Testing resilience thinking in a poverty context: Experience from the Niger River basin

Resilience thinking is an important addition to the range of frameworks and approaches that can be used to understand and manage complex social–ecological systems like small-scale fisheries. However, it is yet to lead to better environmental or development outcomes for fisheries stakeholders in terms of food security, improved livelihoods and ecological sustainability. This paper takes an empirical approach by focusing on the fundamentals of resilience thinking to evaluate its usefulness in developing relevant management interventions in small-scale fisheries in the Niger River Basin in West Africa. The paper presents the outputs of a participatory assessment exercise where both fishery communities and local experts were involved at two different scales. The resilience frame used was designed to facilitate the identification of socially defined thresholds that help delineate the desirability of the current system configuration and provides a diagnosis framework that tailors management solutions to problems in local context. The analysis highlights some key contributions from resilience thinking to the challenge of diagnosis in small-scale fisheries management in developing countries, as well as important contributions that emerge from taking a pragmatic and critical approach to its application.     

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.     

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.     

Unpacking governance: Building adaptive capacity to climate change of river basins in Brazil

Governance and institutions are critical determinants of adaptive capacity and resilience. Yet the make-up and relationships between governance components and mechanisms that may or may not contribute to adaptive capacity remain relatively unexplored empirically. This paper builds on previous research focusing on integrated water resources management in Brazil to ‘unpack’ water governance mechanisms that may shape the adaptive capacity of water systems to climatic change. We construct a river basin index to characterize governance approaches in 18 Brazilian river basins, apply a reliability test to assess the validity of these governance indicators, and use in-depth qualitative data collected in a subsample of the basins to explore the relationship between the governance indicators and adaptive capacity. The analysis suggests a positive relationship between integrated water governance mechanisms and adaptive capacity. In addition, we carry out a cluster analysis to group the basins into types of governance approaches and further unveil potential relationships between the governance variables and overall adaptive capacities. The cluster analysis indicates that tensions and tradeoffs may exist between some of the variables, especially with equality of decision making and knowledge availability; a finding that has implications for decision makers aiming to build adaptive capacity and resilience through governance and institutional means.     

Constraints,multiple stressors,and stratified adaptation: Pastoralist livelihood vulnerability in a semi-arid wildlife conservation context in Central Kenya

The focus of this study is on how changes in formal and informal institutions have differential impacts across populations in terms of vulnerability of livelihoods to drought, and the unequal processes that shape adaptation to new conditions. Drought vulnerability occurs as a result of exposure and sensitivity to interrelated economic, social, political, and ecological dynamics. There is a need for approaches that can evaluate how the ability to reduce these exposures and sensitivities becomes socially stratified. Building on our understanding of institutional and biophysical constraints in one pastoralist group ranch, we use an approach that draws on quantitative and qualitative data to combine analyses of entitlements, access, and adaptive capacity. We asked how, in a context of changing herding institutions, the ability to adapt to drought and other stressors, is differentiated among actors. We found that herders with higher livestock wealth are more likely to have entitlement sets that include factors that enable access to secure cattle grazing on private wildlife conservation lands, and access to more distant areas with herds of sheep and cattle – two key means of reducing exposure to drought vulnerability, leading to greater coping ability during drought. Those with lower livestock wealth rely disproportionately on illicit, precarious access to external grazing resources. Higher livestock wealth families experienced disproportionately lower sensitivity to drought with smaller losses of cattle, and likely have decreased sensitivity to drought-related market fluctuations, while others are primarily reliant on small stock and/or precarious access pathways. However, rather than naturalize this differential ability as merely increased adaptive capacity for some that are better able to adapt to novel, local conditions, we argue this instead reflects the unequal footing that households find themselves on, in a shifting institutional landscape of structural and relational access constraints and reconfigurations of reciprocity, that are intertwined with interventions by state and non-state actors.     

Adaptive capacity and its assessment

This paper reviews the concept of adaptive capacity and various approaches to assessing it, particularly with respect to climate variability and change. I find that adaptive capacity is a relatively under-researched topic within the sustainability science and global change communities, particularly since it is uniquely positioned to improve linkages between vulnerability and resilience research. I identify opportunities for advancing the measurement and characterization of adaptive capacity by combining insights from both vulnerability and resilience frameworks, and I suggest several assessment approaches for possible future development that draw from both frameworks and focus on analyzing the governance, institutions, and management that have helped foster adaptive capacity in light of recent climatic events.     

‘Strange changes’: Indigenous perspectives of climate change and adaptation in NE Arnhem Land (Australia)

Despite growing global attention to the development of strategies and policy for climate change adaptation, there has been little allowance for input from Indigenous people. In this study we aimed to improve understanding of factors important in integration of Yolngu perspectives in planning adaptation policy in North East Arnhem Land (Australia). We conducted workshops and in-depth interviews in two ‘communities’ to develop insight into Yolngu peoples’ observations and perspectives on climate change, and their ideas and preferences for adaptation. All participants reported observing changes in their ecological landscape, which they attributed to mining, tourism ‘development’, and climate change. ‘Strange changes’ noticed particularly in the last five years, had caused concern and anxiety among many participants. Despite their concern about ecological changes, participants were primarily worried about other issues affecting their community's general welfare. The results suggest that strategies and policies are needed to strengthen adaptive capacity of communities to mitigate over-arching poverty and well-being issues, as well as respond to changes in climate. Participants believed that major constraints to strengthening adaptive capacity had external origins, at regional, state and federal levels. Examples are poor communication and engagement, top-down institutional processes that allow little Indigenous voice, and lack of recognition of Indigenous culture and practices. Participants’ preferences for strategies to strengthen community adaptive capacity tended to be those that lead towards greater self-sufficiency, independence, empowerment, resilience and close contact with the natural environment. Based on the results, we developed a simple model to highlight main determinants of community vulnerability. A second model highlights components important in facilitating discourse on enhancing community capacity to adapt to climatic and other stressors.     

适应气候变化研究中的常见术语辨析

适应气候变化在国际公约谈判及国内适应实践中成为重要的关注内容,明晰适应相关的术语含义具有科学参考价值和实践指导意义。本文通过比较适应相关术语认为,适应是行为方式或对策措施的界定,可不需量化数据支持;适应能力需有明确评价指标体系,并最终产生量化性评价结果;适应性更偏重于能力属性,其基本结论是有或无、强或弱的判断,在适应性有量化结论支持或明确强弱确定时则等同于适应能力。脆弱性评价中,暴露度体现主体对象与气候变化相关的基本处境概况,敏感性表明气候变化对主体对象的影响,适应能力则是经济资本、自然资源、技术水平、社会保障四大要素的综合评价,各要素涵盖的具体指标需要酌情依据适应主体属性予以判别和遴选。适应气候变化与灾害风险管理在主体范畴、驱动因子、行动目的上有所区别,但两者共同关注提高对气候变化/气候灾害风险的抵御、承受、恢复能力,以降低不利影响,实现可持续发展为共同目标。     

Post-disaster recovery and ongoing vulnerability: Ten years after the super-cyclone of 1999 in Orissa,India

This paper examines what recovery means in a context where vulnerability cannot be reduced to a single hazard but is an ongoing aspect of life. It analyses convergences in trajectories of livelihood and shelter for two sites in coastal Orissa, despite important differences in hazard exposure and the nature of external assistance available in the aftermath of a major disaster: the super-cyclone of 1999. It critically examines processes and prospects for recovery, in situations where entrenched ongoing vulnerability compounded by severe limitations on grassroots adaptive capacity and weak institutional support deeply undermine even recovery to a pre-disaster state let alone a condition of greater resilience. While recognising the structural constraints on institutional performance, it signals the need for a fundamental change in state approach if resilience building is to be fostered in communities that are chronically at risk from hazards.     

Common property rights, adaptive capacity, and response to forest disturbance

This paper reports the results of a statistical analysis which measures the effects of adaptive capacity on forest conditions in response to a prior disturbance. Particular emphasis is placed on common property rights as a form of institutional adaptive capacity. Common property rights are delineated in terms of rights of access, withdrawal, management, exclusion, and alienation. Using statistical analysis of 326 forest user groups from 13 countries in the database of the International Forestry Resources and Institutions (IFRI) program, the effects on user group rankings of forest conditions are estimated with a probability model. Overall, the results indicate that user groups with more complete property rights are more likely to rank forest conditions favorably. However, the effects of property rights also depend on the level of other forms of adaptive capacity such as the organizational capacity of the group and the number of rival user groups.     

Planning for climate change in small islands: Insights from national hurricane preparedness in the Cayman Islands

This paper examines contemporary national scale responses to tropical storm risk in a small island in the Caribbean to derive lessons for adapting to climate change. There is little empirical evidence to guide national planners on how to adapt to climate change, and less still on how to build on past adaptation experiences. The paper investigates the construction of institutional resilience and the process of adaptation to tropical storm risk by the Cayman Islands’ Government from 1988 to 2002. It explains the roles of persuasion, exposure and collective action as key components in developing the ability to buffer external disturbance using models of institutional economics and social resilience concepts. The study finds that self-efficacy, strong local and international support networks, combined with a willingness to act collectively and to learn from mistakes appear to have increased the resilience of the Cayman Islands’ Government to tropical storm risk. The lessons learned from building resilience to storm risk can contribute to the creation of national level adaptive capacity to climate change, but climate change has to be prioritised before these lessons can be transferred.     

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.     

Uncertainty in adaptive capacity and the importance of scale

Understanding different adaptive capacities is a prerequisite for targeting interventions to reduce the adverse impacts of climate change. Indicators and indices are common tools in this process, but their construction embodies many uncertainties, not least of which is their scale specificity. This paper describes the development of two empirical adaptive capacity indices for use at different scales of analysis: a national index for cross-country comparison in Africa and a household index for cross-household comparison in a village in Limpopo province, South Africa. Explaining the decisions made at each stage of construction illuminates the degree of uncertainty involved when assessing adaptive capacity, and how this uncertainty is compounded when looking across different scales of analysis. It concludes that the central elements of adaptive capacity, based on institutional collective response and the availability of and access to resources, are common at different scales, although the structure of each index is scale-specific. Hence the findings of these apparently irreconcilable scales of analysis converge to demonstrate points of leverage for policy intervention to raise resilience and the capacity to adapt to the risks posed by climate change.     

Globalization,Pacific Islands,and the paradox of resilience

On April 2nd, 2007 a 12 m tsunami struck Simbo, a relatively remote island in Western Province, Solomon Islands. Although Simbo's population continues to depend on their own food production and small-scale governance regimes regulate access to resources, the island's way of life over the last century has increasingly been affected by processes associated with globalization. In this context of a rapidly globalizing world, this article examines the island's resilience and vulnerability to the tsunami and the adaptive capacities that enabled the response and recovery. The tsunami completely destroyed two villages and damaged fringing coral reefs, but casualties were low and social–ecological rebound relatively brisk. By combining social science methods (household surveys, focus group and ethnographic interviews) and underwater reef surveys we identify a number of countervailing challenges and opportunities presented by globalization that both nurture and suppress the island's resilience to high amplitude, low-frequency disturbances like tsunamis. Analysis suggests that certain adaptive capacities that sustain general system resilience come at the cost of more vulnerability to low-probability hazards. We discuss how communities undergoing increasingly complex processes of change must negotiate these kinds of trade-offs as they manage resilience at multiple spatial and temporal scales. Understanding the shifting dynamics of resilience may be critical for Pacific Island communities who seek to leverage globalization in their favor as they adapt to current social–ecological change and prepare for future large-scale ecological disturbances.     

Divergent adaptation to climate variability: A case study of pastoral and agricultural societies in Niger

Adaptation is a complex, dynamic, and sometimes unequal process. Stemming from social ecological systems theories of climate change adaptation and adaptive capacity, this case study introduces the concept of ‘divergent’ adaptation. Adaptation is divergent when one user or group's adaptation causes a subsequent reduction in another user or group's adaptive capacity in the same ecosystem. Using the example of pastoral and agricultural groups in northern and southern rainfall zones of Niger, this study illustrates the concept of divergent adaptation by identifying changes to the adaptive capacity of users who are currently engaged in conflicts over access to natural resources. Similar to other studies, we find that expansion of farmland and the consequent loss of pastoral space are restricting pastoral adaptation. Divergent adaptations favoring agricultural livelihoods include cultivating near or around pastoral wells or within pastoral corridors, both of which limit the mobility and entitlements of pastoralists. Institutions rarely secure pastoral routes and access to water points, a problem that is compounded by conflicting modes of governance, low accountability, and corruption. The case study illustrates the need to enhance the adaptive capacity of multiple user groups to reduce conflict, enhance human security, and promote overall resilience.     

Cultivating resilience by empirically revealing response diversity

Intensified climate and market turbulence requires resilience to a multitude of changes. Diversity reduces the sensitivity to disturbance and fosters the capacity to adapt to various future scenarios. What really matters is diversity of responses. Despite appeals to manage resilience, conceptual developments have not yet yielded a break-through in empirical applications. Here, we present an approach to empirically reveal the ‘response diversity’: the factors of change that are critical to a system are identified, and the response diversity is determined based on the documented component responses to these factors. We illustrate this approach and its added value using an example of securing food supply in the face of climate variability and change. This example demonstrates that quantifying response diversity allows for a new perspective: despite continued increase in cultivar diversity of barley, the diversity in responses to weather declined during the last decade in the regions where most of the barley is grown in Finland. This was due to greater homogeneity in responses among new cultivars than among older ones. Such a decline in the response diversity indicates increased vulnerability and reduced resilience. The assessment serves adaptive management in the face of both ecological and socio-economic drivers. Supplier diversity in the food retail industry in order to secure affordable food in spite of global price volatility could represent another application. The approach is, indeed, applicable to any system for which it is possible to adopt empirical information regarding the response by its components to the critical factors of variability and change. Targeting diversification in response to critical change brings efficiency into diversity. We propose the generic procedure that is demonstrated in this study as a means to efficiently enhance resilience at multiple levels of agrifood systems and beyond.     

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.     

A conceptual framework for analysing adaptive capacity and multi-level learning processes in resource governance regimes

Governance failures are at the origin of many resource management problems. In particular climate change and the concomitant increase of extreme weather events has exposed the inability of current governance regimes to deal with present and future challenges. Still our knowledge about resource governance regimes and how they change is quite limited. This paper develops a conceptual framework addressing the dynamics and adaptive capacity of resource governance regimes as multi-level learning processes. The influence of formal and informal institutions, the role of state and non-state actors, the nature of multi-level interactions and the relative importance of bureaucratic hierarchies, markets and networks are identified as major structural characteristics of governance regimes. Change is conceptualized as social and societal learning that proceeds in a stepwise fashion moving from single to double to triple loop learning. Informal networks are considered to play a crucial role in such learning processes. The framework supports flexible and context sensitive analysis without being case study specific.First empirical evidence from water governance supports the assumptions made on the dynamics of governance regimes and the usefulness of the chosen approach. More complex and diverse governance regimes have a higher adaptive capacity. However, it is still an open question how to overcome the state of single-loop learning that seem to characterize many attempts to adapt to climate change. Only further development and application of shared conceptual frameworks taking into account the real complexity of governance regimes can generate the knowledge base needed to advance current understanding to a state that allows giving meaningful policy advice.     

Facilitating adaptation of biodiversity to climate change: a conceptual framework applied to the world’s largest Mediterranean-climate woodland

The importance of ecological management for reducing the vulnerability of biodiversity to climate change is increasingly recognized, yet frameworks to facilitate a structured approach to climate adaptation management are lacking. We developed a conceptual framework that can guide identification of climate change impacts and adaptive management options in a given region or biome. The framework focuses on potential points of early climate change impact, and organizes these along two main axes. First, it recognizes that climate change can act at a range of ecological scales. Secondly, it emphasizes that outcomes are dependent on two potentially interacting and countervailing forces: (1) changes to environmental parameters and ecological processes brought about by climate change, and (2) responses of component systems as determined by attributes of resistance and resilience. Through this structure, the framework draws together a broad range of ecological concepts, with a novel emphasis on attributes of resistance and resilience that can temper the response of species, ecosystems and landscapes to climate change. We applied the framework to the world’s largest remaining Mediterranean-climate woodland, the ‘Great Western Woodlands’ of south-western Australia. In this relatively intact region, maintaining inherent resistance and resilience by preventing anthropogenic degradation is of highest priority and lowest risk. Limited, higher risk options such as fire management, protection of refugia and translocation of adaptive genes may be justifiable under more extreme change, hence our capacity to predict the extent of change strongly impinges on such management decisions. These conclusions may contrast with similar analyses in degraded landscapes, where natural integrity is already compromised, and existing investment in restoration may facilitate experimentation with higher risk?options.     

Adaptive co-management and the paradox of learning

Much emphasis has been placed on the importance of learning to support collaborative environmental management and achieve sustainability under conditions of social–ecological change. Yet, on-going struggles to learn from experience and respond to complex social–ecological conditions reflect an emerging paradox. Despite widespread support of learning as a normative goal and process, core concepts, assumptions and approaches to learning have been applied in vague and sometimes uncritical ways. Greater specificity with respect to learning goals, approaches and outcomes is required. In response to this gap, we examine five dimensions of the learning paradox in the context of adaptive co-management, where the learning and linking functions of governance are stressed: (i) definitions of learning; (ii) learning goals and expectations; (iii) mechanisms by which learning takes place; (iv) questions regarding who is involved in the process of learning; and (v) the risks and ethical ambiguities faced by different actors expected to willingly participate in a learning process, whether formal or informal. Lessons from experience with a series of cases from the global North and South illustrate the implications of these dimensions. Resolving the dimensions of this learning paradox will require greater attention to capacity-building, recognition of the role of risk, and consideration of how incentives could be used to encourage learning. Further consideration of the role of power and marginality among groups participating in the learning process is also needed, as is more systematic evaluation to monitor and measure learning outcomes.