Application of a tri-capital community resilience framework for assessing the social–ecological system sustainability of community-based forest management in the Philippines

This study proposes and empirically tests a framework that integrates the concepts of community resilience and social–ecological system (SES) resilience through community forestry case studies. The framework provides a possible approach for assessing community resilience based on the development and allocation of socio-cultural, economic, and natural capital of individual households within a given forest community. Furthermore, aspects of SES resilience and system dynamics are used to define the potential state thresholds of community resilience. This exploratory attempt to quantify community resilience, using the proposed framework, aims to advance understanding of the conceptual overlaps of SES and community resilience as applied to forestry management. We consider community forestry groups as SES examples in which the community is an important stakeholder in managing natural forest capital. We selected pioneer communities under the community-based forest management (CBFM) Program in the Philippines as our case studies. We found that, on average, CBFM group members demonstrated moderate levels of resilience according to their acquired levels of capital. Although economic capital remained the weakest capital, the CBFM program had a positive effect in increasing the socio-cultural and natural capital of an entire community.     

Does community resilience decrease social–ecological vulnerability? Adaptation pathways trade-off in the Bolivian Altiplano

Worsening climate change impacts and environmental degradation are increasingly supporting policies and plans in framing a linear understanding of resilience building and vulnerability reduction. However, adaptations to different but interacting drivers of change are unclear in the mix of opportunities and threats related to increasing connections, emerging technologies, new patterns of dependency and possible lock-in effects. This paper discusses a more open-ended understanding of the relationship between resilience and vulnerability, highlighting emerging trade-offs among adaptive capacities and exposures to different (and new) threats as they relate to social–ecological sustainability. The transition of the Southern Bolivian Altiplano, from being a remote rural area of subsistence farming to a global leader in quinoa production and exportation, has been taken as a study case. Results from 18 workshops organised within different communities provide insights about a range of trade-offs between community resilience attributes and social–ecological vulnerability induced from land use changes, livestock strategies, communities’ behavioural change and institutions’ emerging policies. The main theoretical advances of the paper relate to the need for critically framing multiple threat exposures and adaptive capacity trade-offs, contributing to arguing the usually positive meaning of resilience, and taking into account “to whom or to what is positive which adaptation” and “which trade-off should be accepted, and why”. Framing adaptive pathways through these questions would serve as a tool for addressing sustainable development goals, while avoiding lock-ins or unsustainable path dependencies.     

Resilience and adaptation to extremes in a changing Himalayan environment

Human communities inhabiting remote and geomorphically fragile high-altitude regions are particularly vulnerable to climate change-related glacial hazards and hydrometeorological extremes. This study presents a strategy for enhancing adaptation and resilience of communities living immediately downstream of two potentially hazardous glacial lakes in the Upper Chenab Basin of the Western Himalaya in India. It uses an interdisciplinary investigative framework, involving ground surveys, participatory mapping, comparison of local perceptions of environmental change and hazards with scientific data, identification of assets and livelihood resources at risk, assessment of existing community-level adaptive capacity and resilience and a brief review of governance issues. In addition to recommending specific actions for securing lives and livelihoods in the study area, the study demonstrates the crucial role of regional ground-level, community-centric assessments in evolving an integrated approach to disaster risk reduction and climate change adaptation for high-altitude environments, particularly in the developing world.     

Multiscale system dynamics of humans and nature in The Bahamas: perturbation, knowledge, panarchy and resilience

The analysis of the dynamic interactions between social systems, integrated by governance and communication, and biophysical systems, connected by material and energy flows, remains a challenge. In this paper, we draw on the heuristic models of the “adaptive renewal cycle” and “panarchy” [Gunderson and Holling (eds) Panarchy: understanding transformations in human and natural systems. Island Press, Washington, 2002], which are embedded in the theory of complex adaptive systems. Taking island development research in The Bahamas as a case study, we investigate environmental stressors, knowledge and social response in the context of three distinct social–ecological subsystems: (1) the interaction between tropical storms/hurricanes and the social system of disaster preparedness/management; (2) coastal ecosystem degradation coupled with land development; and (3) the fishery, in which we also consider the impact of a recent biological invasion, the Indo-Pacific red lionfish. The findings demonstrate the complexity of panarchical relations and the crucial role of diverse and uncertain knowledge systems and underlying mental models of risk and environment for resilience and sustainability. These are acquired at different scales and form key variables of change. This also applies to processes of communication. Bringing together the various constantly evolving multi-level knowledge systems for effective communication and decision-making remains a major challenge.     

Cross-scale and multi-level mismatch problems in marine natural resources management: case studies in the Penghu Archipelago,Taiwan

Humans utilize natural resources for their livelihood and form institutions that are meant to manage the resources. However, many institutions tend to mismanage the natural resources and fail to solve the natural resources crisis because mismatches occur between the institutions and the systems to be governed. Although mismatch problems on temporal, spatial and functional scales are recognized in many natural resources management cases, a need remains to understand how mismatch problems emerge in complex humans in nature systems. This study used social–ecological system (SES) as a framework for conducting a cross-scale assessment of multi-level linked systems for better understanding of mismatch problems. Both bottom-up and top-down institutions regulating the utilization of marine natural resources were examined to unveil the cause of temporal, spatial and functional mismatch problems in Penghu Archipelago, a regional SES in Taiwan. Results of the assessment indicated that the single-level design of conventional institutions in marine natural resources management was a primary cause of mismatch problems. Thus, for better governance, adaptive and cooperative management systems of the marine natural resources in Penghu Archipelago, a more integrated institutional design is recommended.     

Visioneering: an essential framework in sustainability science

The science of sustainability has inevitably emerged as a vibrant field of research and education that transcends disciplinary boundaries and focuses increasingly on understanding the dynamics of social-ecological systems (SES). Yet, sustainability remains an elusive concept, and its nature seems unclear for the most part. In order to truly mobilize people and nations towards sustainability, we place emphasis on the necessity of understanding the nature, cost and principles of ‘visioneering’—the engineering of a clear vision. In SES, purpose is the most important pillar, which gives birth to vision—the key to fulfilling the systems’ mission. Such a systems perspective leads us to redefine resilience as jumping back to the original purpose, for which SES do not necessarily retain the same structures and functioning after disturbances. A sustainable future will require purpose-driven transformation of society at all scales, guided by the best foresight, with insight based on hindsight that science can provide. Visioneering with resilience-based systems thinking will provide communities with a logical framework for understanding their interconnections and purposes, envisioning a sustainable web of life, and eventually dancing with the systems.     

Toward legitimate governance strategies for climate adaptation in the Netherlands: combining insights from a legal,planning, and network perspective

In general, the issue of climate change is characterized by uncertainty, complexity, and multifacetedness. In the Netherlands, climate change is in above highly controversial. These characteristics make it difficult to realize adaptation measures that are perceived as legitimate. In this article, we analyze the main difficulties and dilemmas with regard to the issue of legitimacy in the context of climate adaptation. We conceptualize legitimacy from a legal, a planning, and a network perspective and show how the concept of legitimacy evolves within these three perspectives. From a legal perspective, the focus is on the issues of good governance. From a planning perspective, the focus is on the flexibility, learning, and governance capacity. From a network perspective, issues of dialogue, involvement, and support are important. These perspectives bring in different criteria, which are not easy compatible. We describe and illustrate these legitimacy challenges using an in-depth study of the Dutch IJsseldelta Zuid case. From our case study, we conclude that, from a legitimacy perspective, the often acclaimed necessity to be adaptive and flexible is quite problematic. The same holds true for the plea to mainstream adaptation into other policy domains. In our case study, these strategies give rise to serious challenges in relation to good governance and consensus—two indispensable cornerstones of legitimacy.     

Climate capacity:the measurement for adaptation to climate change

This article proposed the concept of"climate capacity"as a way of measuring human’s adaptiveness to climate change.This article also focused on the related concepts like ecological carrying capacity,water resources carrying capacity,land carrying capacity as well as population carrying capacity.The concept of climate capacity was articulated against a background of global climate and environmental change.Essentially,China’s efforts to adapt to climate change was a matter of improving climate capacity,which is the ecosystem as well as the frequency,the intensity and the scale of human’s social activities that the climatic resources of a particular geographic area were supposed to support.The climate capacity has two components.One is the natural climate capacity,which includes temperature,sunlight,precipitation,extreme climatic events,etc.The other is the derived climate capacity,which includes water resources,land resources,ecological systems,climatic risks,etc.The climate capacity can be developed or be transferred between regions by taking engineering,technology or regime-based adaptive measures.However,these adaptive measures must be implemented under the principle of economic rationalism,ecological integrity,climate protection,and social justice.It is expected that by combining the climate capacity and its threshold value with the assessment of climate change risks,we are able to predict the optimal population carrying capacity and the scale of socioeconomic development,and furthermore,provide policy support for the socioeconomic development strategy and adaptive planning.In the regions with high climate capacity,there is a symbiotic relationship between adaptation and socioeconomic development.But,in the regions with limited climate capacity,irrational development may further damage the environment.Taking the Yangtze River delta,a region with high climate capacity,and a region of Ningxia,a region with limited climate capacity,as illustrative examples,the authors of this article analyzed the policy implications of climate capacity and further made suggestions on the problems of capacitylimited adaptation and development-driven adaptation.This article argued that the concept of climate capacity can not only be used as an analytical instrument of climate change economics,but also it can provide research support for planning regional adaptation and development with climate change impact and risk assessments.     

转型期土地利用总体规划公共治理职能研究

土地利用总体规划具有较强的公共政策属性,在我国社会转型期,将“公共治理”理论引入土地利用总体规划中,对于公平、有效配置和永续利用土地资源具有重要意义.采用文献资料法和定性分析法,阐述“公共治理”理论的内涵,论证土地利用总体规划公共政策属性,探讨“土地利用总体规划公共治理职能”的含义及功效、主要表现和基本特征.概述我国社会转型期第一、二轮土地利用总体规划发展历程,总结取得的成绩,从转型时期的经济体制改革和社会主义市场经济发展角度分析两轮土地利用总体规划公共治理职能定位及实现过程中所存在的不足.论述转型期社会经济发展对土地利用总体规划公共治理职能的内在要求,从市场化经济、政治民主化进程、全球化和加入WTO背景分析转型期实现土地利用总体规划公共治理职能的社会条件.在此基础上,从公共治理目标、编制实施理念、规划内容、公民社会网络治理、市场配置土地资源功能、法律法规以及各类规划协调配合等七方面,提出实现与完善土地利用总体规划公共治理职能的对策建议.     

Leadership within regional climate change adaptation networks: the case of climate adaptation officers in Northern Hesse,Germany

In the climate adaptation literature, leadership tends to be an understudied factor, although it may be crucial for regional adaptation governance. This article shows how leadership can be usefully conceptualized and operationalized within regional governance networks dealing with climate adaptation. It applies an integrative framework inspired by complexity leadership theory, distinguishing several leadership functions to enhance the adaptive capacity of regional networks. We focus on one specific institutional innovation, appointed climate adaptation officers, who seek to connect science and governance practice, and to mainstream climate adaptation. Our question is twofold: What is the potential of climate adaptation officers to advance the adaptation agenda and to what extent did their establishment and working practice mirror the various leadership functions needed to raise the adaptive capacity of the regional network they operated in? The integrative leadership framework structures the analysis of climate adaptation officers forming part of a government-funded project seeking to enhance adaptation to climate variability in the central German region of Northern Hesse. The data consist of interviews with scientists and regional authority employees and project documentation including an evaluation. We find that climate adaptation officers raised awareness for climate adaptation and helped to shape and implement a number of projects within the overall KLIMZUG programme, highlighting impeding and enabling factors. The process of setting up this institutional innovation involved all forms of leadership functions and is an example of vertical mainstreaming. Its operation involved most clearly enabling and connective leadership functions and is an example of horizontal mainstreaming.     

‘Subjective resilience’: using perceptions to quantify household resilience to climate extremes and disasters

How should we measure a household’s resilience to climate extremes, climate change or other evolving threats? As resilience gathers momentum on the international stage, interest in this question continues to grow. So far, efforts to measure resilience have largely focused on the use of ‘objective’ frameworks and methods of indicator selection. These typically depend on a range of observable socio-economic variables, such as levels of income, the extent of a household’s social capital or its access to social safety nets. Yet while objective methods have their uses, they suffer from well-documented weaknesses. This paper advocates for the use of an alternative but complementary method: the measurement of ‘subjective’ resilience at the household level. The concept of subjective resilience stems from the premise that people have an understanding of the factors that contribute to their ability to anticipate, buffer and adapt to disturbance and change. Subjective household resilience therefore relates to an individual’s cognitive and affective self-evaluation of their household’s capabilities and capacities in responding to risk. We discuss the advantages and limitations of measuring subjective household resilience and highlight its relationships with other concepts such as perceived adaptive capacity, subjective well-being and psychological resilience. We then put forward different options for the design and delivery of survey questions on subjective household resilience. While the approach we describe is focused at the household level, we show how it has the potential to be aggregated to inform sub-national or national resilience metrics and indicators. Lastly, we highlight how subjective methods of resilience assessment could be used to improve policy and decision-making. Above all, we argue that, alongside traditional objective measures and indicators, efforts to measure resilience should take into account subjective aspects of household resilience in order to ensure a more holistic understanding of resilience to climate extremes and disasters.     

A conceptual framework for analyzing deltas as coupled social–ecological systems: an example from the Amazon River Delta

At the nexus of watersheds, land, coastal areas, oceans, and human settlements, river delta regions pose specific challenges to environmental governance and sustainability. Using the Amazon Estuary-Delta region (AD) as our focus, we reflect on the challenges created by the high degree of functional interdependencies shaping social–ecological dynamics of delta regions. The article introduces the initial design of a conceptual framework to analyze delta regions as coupled social–ecological systems (SES). The first part of the framework is used to define a delta SES according to a problem and/or collective action dilemma. Five components can be used to define a delta SES: social–economic systems, governance systems, ecosystems-resource systems, topographic-hydrological systems, and oceanic-climate systems. These components are used in association with six types of telecoupling conditions: socio-demographic, economic, governance, ecological, material, and climatic-hydrological. The second part of the framework presents a strategy for the analysis of collective action problems in delta regions, from sub-delta/local to delta to basin levels. This framework is intended to support both case studies and comparative analysis. The article provides illustrative applications of the framework to the AD. First, we apply the framework to define and characterize the AD as coupled SES. We then utilize the framework to diagnose an example of collective action problem related to the impacts of urban growth, and urban and industrial pollution on small-scale fishing resources. We argue that the functional interdependencies characteristic of delta regions require new approaches to understand, diagnose, and evaluate the current and future impacts of social–ecological changes and potential solutions to the sustainability dilemmas of delta regions.     

Adaptive urban governance: new challenges for the second generation of urban adaptation strategies to climate change

The task of adapting cities to the impacts of climate change is of great importance—urban areas are hotspots of high risk given their concentrations of population and infrastructure; their key roles for larger economic, political and social processes; and their inherent instabilities and vulnerabilities. Yet, the discourse on urban climate change adaptation has only recently gained momentum in the political and scientific arena. This paper reviews the recent climate change adaptation strategies of nine selected cities and analyzes them in terms of overall vision and goals, baseline information used, direct and indirect impacts, proposed structural and non-structural measures, and involvement of formal and informal actors. Against this background, adaptation strategies and challenges in two Vietnamese cities are analyzed in detail, namely Ho Chi Minh City and Can Tho. The paper thereby combines a review of formalized city-scale adaptation strategies with an empirical analysis of actual adaptation measures and constraints at household level. By means of this interlinked and comparative analysis approach, the paper explores the achievements, as well as the shortcomings, in current adaptation approaches, and generates core issues and key questions for future initiatives in the four sub-categories of: (1) knowledge, perspectives, uncertainties and key threats; (2) characteristics of concrete adaptation measures and processes; (3) interactions and conflicts between different strategies and measures; (4) limits of adaptation and tipping points. In conclusion, the paper calls for new forms of adaptive urban governance that go beyond the conventional notions of urban (adaptation) planning. The proposed concept underlines the need for a paradigm shift to move from the dominant focus on the adjustment of physical structures towards the improvement of planning tools and governance processes and structures themselves. It addresses in particular the necessity to link different temporal and spatial scales in adaptation strategies, to acknowledge and to mediate between different types of knowledge (expert and local knowledge), and to achieve improved integration of different types of measures, tools and norm systems (in particular between formal and informal approaches).     

Livelihoods and landscapes at the threshold of change: disaster and resilience in a Chiapas coffee community

In 2005, torrential rains associated with Hurricane Stan devastated farm systems in southern Mexico. We present a case study on the impacts of and responses to Hurricane Stan by coffee households in three communities in the highlands of Chiapas, Mexico, with the objective of illuminating the linkages between household vulnerability and resilience. We analyze data from 64 household surveys in a cluster analysis to link household impacts experienced to post-Stan adaptive responses and relate these results with landscape-level land-cover changes. The degree of livelihood change was most significant for land-constrained households whose specialization in coffee led to high exposure and sensitivity to Stan and little adaptive capacity. Across the sample, the role of coffee in livelihood strategies declined, as households sought land to secure subsistence needs and diversified economically after Stan. Nevertheless, livelihoods and landscape outcomes were not closely coupled, at least at the temporal and spatial scale of our analysis: We found no evidence of land-use change associated with farmers’ coping strategies. While households held strong attitudes regarding effective resource management for risk reduction, this knowledge does not necessarily translate into capacities to manage resilience at broader scales. We argue that policy interventions are needed to help materialize local strategies and knowledge on risk management, not only to allow individual survival but also to enhance resilience at local, community and landscape scales.     

Building blocks of economic resilience to climate change: a south east Australian fisheries example

Climate change will impact on ecological, social, and economic elements of fisheries; however, the three are seldom considered in an integrated fashion. We develop a fishery-level assessment of economic resilience to climate change for the Tasmanian rock lobster fishery, a linked social–ecological system. We outline the main climate change forcing influences that link climate change to the fishery via changes in lobster abundance, distribution, and phenology. Using a bottom-up approach, we identify twelve economic attributes strongly related to the fisheries’ economic resilience to climate change. Resilience attributes are grouped according to the level of the economic domain (business, sectoral, and governance). Attributes are then evaluated to determine the overall economic resilience of the rock lobster fishery in the context of the specific nature of predicted climate change effects. We identify areas of low resilience in the economic sub-system for this fishery. Evaluating the economic resilience of regional fisheries using this integrated, interdisciplinary framework provides a practical, parsimonious, and conceptually sound basis for undertaking comprehensive and contextually tailored assessments of climate change impacts and economic vulnerability. The framework can be extended to include a broader range of climate change impacts and the social domain of the human sub-system.     

Autonomous adaptation to riverine flooding in Satkhira District,Bangladesh: implications for adaptation planning

Systematic understanding of adaptation measures utilised by households in developing countries is needed to identify the constraints they face, and the external interventions or adaptation planning needed to overcome them. Understanding of autonomous household adaptation patterns remains underdeveloped. In particular, little is known regarding whether households are implementing incremental or transformational adaptation measures as well as the implications of this for adaptation planning. We demonstrate the suitability of the risk hazard approach for understanding autonomous household adaptation patterns and discuss the implications for planned adaptation. To achieve this, we use an in-depth village case study from an area of Bangladesh particularly vulnerable to climate change, using qualitative semi-structured household interviews as primary material. We find that the risk hazard approach is ideal for exploring autonomous adaptations because of its capacity for understanding how households respond to livelihood risk, and what resources are required for it to be most effective. However, the risk hazard approach overlooks equity and fairness considerations need to be integrated due to the insufficient emphasis on these concerns.

     

Climate change adaptation: factors influencing Chinese smallholder farmers’ perceived self-efficacy and adaptation intent

Understanding how individuals perceive their ability to adapt to climate change is critical to understanding adaptation decision-making. Drawing on a survey of 483 smallholder farmer households in the Loess Plateau region of China, we examine the factors that shape smallholder farmer perceptions of their ability to adapt to climate change and their stated intent to do so. We apply a proportional odds ordered logistic regression model to identify the role that determinants of adaptive capacity play in shaping smallholders’ perceived self-efficacy and adaptation intent. Our study provides further evidence that self-efficacy beliefs are a strong, positive predictor of adaptation intent. Our study suggests that human capital, information and technology, material resources and infrastructure, wealth and financial capital, and institutions and entitlements all play an important role in shaping smallholder perceived self-efficacy, while state-society dependencies may reduce smallholder perceived self-efficacy. In addition, our study suggests that perceiving climate change risks and impacts do not necessarily lead to an intention to adapt. Overall, our findings highlight the importance of incorporating both the objective determinants of smallholders’ adaptive capacity and their subjective perceptions of these objective determinants into future climate change adaptation programs and policies in order to facilitate adaptive actions. Identifying factors that cause individuals to have a low estimation of their adaptive ability may allow planned adaptation interventions to address these perceived limitations and encourage adaptive behavior.     

Improving cross-sectoral climate change adaptation for coastal settlements: insights from South East Queensland,Australia

Climate change impacts affecting coastal areas, such as sea-level rise and storm surge events, are expected to have significant social, economic and environmental consequences worldwide. Ongoing population growth and development in highly urbanised coastal areas will exacerbate the predicted impacts on coastal settlements. Improving the adaptation potential of highly vulnerable coastal communities will require greater levels of planning and policy integration across sectors and scales. However, to date, there is little evidence in the literature which demonstrates how climate policy integration is being achieved. This paper contributes to this gap in knowledge by drawing on the example provided by the process of developing cross-sectoral climate change adaptation policies and programmes generated for three coastal settlement types as part of the South East Queensland Climate Adaptation Research Initiative (SEQCARI), a 3-year multi-sectoral study of climate change adaptation options for human settlements in South East Queensland, Australia. In doing so, we first investigate the benefits and challenges to cross-sectoral adaptation to address climate change broadly and in coastal areas. We then describe how cross-sectoral adaptation policies and programmes were generated and appraised involving the sectors of urban planning and management, coastal management, emergency management, human health and physical infrastructure as part of SEQCARI. The paper concludes by discussing key considerations that can inform the development and assessment of cross-sectoral climate change adaptation policies and programmes in highly urbanised coastal areas.     

Exposure,sensitivity, and social adaptive capacity related to climate change: empirical research in China

The present research established a preliminary indicator assessment system satisfying Chinese characters for exposure, sensitivity, and social adaptive capacity related to climate change. The 31 province-level administrative regions in mainland China were considered in our research. We developed three dimensions of indices related to climate change, including primary, secondary, and tertiary indicators. We chose all variables and indicators based on a literature review and used principal component analysis and the varimax method to develop a weighted assessment index system. Districts in central China scored higher on the overall exposure index than other sample districts, western China generally exhibited higher sensitivity, and eastern China exhibited comparatively higher social adaptive capacity than the other regions. This study also provides perspective for adaptation policies that all regions in China could adopt to determine development direction decision-making based on their specific conditions and diversified comparative advantages to enhance adaptive capacity in response to climate change.