Coevolving Ostrom’s social–ecological systems (SES) framework and sustainability science: four key co-benefits

Research on social–ecological systems (SES) is scattered across many disciplines and perspectives. As a result, much of the knowledge generated between different communities is not comparable, mutually aggregate or easily communicated to nonspecialists despite common goals to use academic knowledge for advancing sustainability. This article proposes a conceptual pathway to address this challenge through outlining how the SES research contributions of sustainability science and researchers using Elinor Ostrom’s diagnostic SES framework (SESF) can integrate and co-benefit from explicitly interlinking their development. From a review of the literature, I outline four key co-benefits from their potential to interlink in the following themes: (1) coevolving SES knowledge types, (2) guiding primary research and assessing sustainability, (3) building a boundary object for transdisciplinary sustainability science, and (4) facilitating comparative analysis. The origins of the SESF include seminal empirical work on common property theory, self-organization, and coupled SES interactions. The SESF now serves as a template for diagnosing sustainability challenges and theorizing explanatory relationships on SES components, interactions, and outcomes within and across case studies. Simultaneously, sustainability science has proposed transdisciplinary research agendas, sustainability knowledge types, knowledge coproduction, and sustainability assessment tools to advance transformative change processes. Key challenges for achieving co-beneficial developments in both communities are discussed in relation to each of the four themes. Evident pathways for advancing SES research are also presented along with a guideline for designing SES research within this co-aligned vision.     

Conditions for successful local resource management: lessons from a Brazilian small-scale trawling fishery

Conditions for successful common-pool resources management institutions have been systematized by Elinor Ostrom as a set of “design principles for robust governance”. The comparison of two attempts to developing a local informal managing institution for shrimp trawling, 30 years apart (the late 1970s and 2010 attempts), and in the same community (therefore, the same socioecological system—SES) in Southern Brazil, provides a convenient ground to test the hypothesis that the degree of success of each attempt is related to the degree of adherence to Ostrom’s principles. Moreover, the comparison allows investigating how conditions and changes in the SES affect management institutions. Our institutional analysis showed that the 1970s attempt followed a local rule that best fitted almost all principles, which may explain its relative success and longer-lasting activity. However, changes such as the emergence of new technologies and increased fishing activity gradually led to an erosion of the local rule. A low level of group cohesion, regional socioeconomic changes, increased fishing effort, and lack of legal provisions for fishers to develop local managing institutions were the main factors that led to institutional failure in the two evaluated attempts. Additionally, the lack of ability to adapt to changing conditions weakened the continuity of the management regime. Although Brazil has created new fishery co-management policies, strategies to enable institutions at local levels are urgently needed for improved performance.     

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.     

Introducing adaptive waves as a concept to inform mental models of resilience

While ecological resilience is conceptually established, resilience concepts of social–ecological systems (SES) require further development, especially regarding their implementation in society. From the literature, (a) we identify the need for a revised conceptualization of SES resilience to improve its understanding for informing the development of adjusted mental models. (b) We stress the human capacity of social learning, enabling deliberate transformation of SES, for example of SES to higher scales of governance, thereby possibly increasing resilience. (c) We introduce the metaphor of adaptive waves to elucidate the differences between resilience planning and adaptation, by conceptualizing adaptation and transformation as dynamic processes that occur both inadvertently and deliberately in response to both shocks and to gradual changes. In this context, adaptive waves stress the human and social capacity to plan resilience with an intended direction and goal, and to dampen the negative effects of crises while understanding them as opportunities for innovation. (d) We illustrate the adaptive waves’ metaphor with three SES cases from tourism, forestry, and fisheries, where deliberate transformations of the governance structures lead to increased resilience on a higher governance scale. We conclude that conceptual SES resilience communication needs to clarify the role and potential of human and social capital in anticipating change and planning resilience, for example, on different scales of governance. It needs to emphasize the crucial importance of crises for innovation and transformation, relevant for the societal acceptance of crises as drivers of adaptation and transformation. The adaptive waves’ metaphor specifically communicates these aspects and may enhance the societal capacity, understanding, and willingness for planning resilience.     

A review of vulnerability indicators for deltaic social–ecological systems

The sustainability of deltas worldwide is under threat due to the consequences of global environmental change (including climate change) and human interventions in deltaic landscapes. Understanding these systems is becoming increasingly important to assess threats to and opportunities for long-term sustainable development. Here, we propose a simplified, yet inclusive social–ecological system (SES)-centered risk and vulnerability framework and a list of indicators proven to be useful in past delta assessments. In total, 236 indicators were identified through a structured review of peer-reviewed literature performed for three globally relevant deltas—the Mekong, the Ganges–Brahmaputra–Meghna and the Amazon. These are meant to serve as a preliminary “library” of potential indicators to be used for future vulnerability assessments. Based on the reviewed studies, we identified disparities in the availability of indicators to populate some of the vulnerability domains of the proposed framework, as comprehensive social–ecological assessments were seldom implemented in the past. Even in assessments explicitly aiming to capture both the social and the ecological system, there were many more indicators for social susceptibility and coping/adaptive capacities as compared to those relevant for characterizing ecosystem susceptibility or robustness. Moreover, there is a lack of multi-hazard approaches accounting for the specific vulnerability profile of sub-delta areas. We advocate for more comprehensive, truly social–ecological assessments which respond to multi-hazard settings and recognize within-delta differences in vulnerability and risk. Such assessments could make use of the proposed framework and list of indicators as a starting point and amend it with new indicators that would allow capturing the complexity as well as the multi-hazard exposure in a typical delta SES.     

Sustainability from a Chinese cultural perspective: the implications of harmonious development in environmental management

Sustainable development has broad consensus in environmental science and policy discourse, but its implications differ in specific cultural contexts. This article articulates sustainable development from a Chinese cultural perspective by tracing ideas from Chinese traditional culture and exploring China’s concept of harmonious development with emphasis on environmental management. Ideas that resemble sustainable development are not new to Chinese culture, but have roots in ancient Chinese thoughts, which in turn influence current governance and policies. Notably, Chinese traditional philosophies such as Confucianism, Taoism, Legalism, and Yin–Yang contain philosophies fundamental to sustainable development. As a distinct local discourse, such concepts were well interpreted and understood in the ancient meaning of harmony, giving China unique sustainability perspectives with institutional implications for policies of harmonious development and environmental management. Currently, China is driven to create a new national identity of harmonious development that involves Chinese traditional philosophies and values in its modern administration. The slogans “harmonious society” and “Chinese dream” reflect this new way of responding to the world with the aspiration to achieve cleaner growth, personal prosperity, and social stability. The Chinese and Western roots of sustainable development are conceptually, ideologically, and historically different, and this paper articulates how the convergence of the two underlies contemporary international debates.     

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.     

A science of integration: frameworks,processes, and products in a place-based,integrative study

Integrative research is increasingly a priority within the scientific community and is a central goal for the evolving field of sustainability science. While it is conceptually attractive, its successful implementation has been challenging and recent work suggests that the move towards interdisciplinarity and transdisciplinarity in sustainability science is being only partially realized. To address this from the perspective of social-ecological systems (SES) research, we examine the process of conducting a science of integration within the Southcentral Alaska Test Case (SCTC) of Alaska-EPSCoR as a test-bed for this approach. The SCTC is part of a large, 5 year, interdisciplinary study investigating changing environments and adaptations to those changes in Alaska. In this paper, we review progress toward a science of integration and present our efforts to confront the practical issues of applying proposed integration frameworks. We: (1) define our integration framework; (2) describe the collaborative processes, including the co-development of science through stakeholder engagement and partnerships; and (3) illustrate potential products of integrative, social-ecological systems research. The approaches we use can also be applied outside of this particular framework. We highlight challenges and propose improvements for integration in sustainability science by addressing the need for common frameworks and improved contextual understanding. These insights may be useful for capacity-building for interdisciplinary projects that address complex real-world social and environmental problems.     

Analysis of building environment assessment frameworks and their implications for sustainability indicators

Green construction is gaining increasing attention in the global context. However, the construction of sustainable green buildings and environments involves different tools and systems and diverse perspectives. Therefore, the development of environmental assessment tools is an important task for managing green housing and green building projects. In this paper, we discuss the benefits, limitations, and future directions of the assessment framework. There are four characteristics of building environmental assessment, i.e., comprehensiveness, design guideline, signaling, and communication tools, which afford both benefits and limitations. We illustrate the role of the assessment framework as a hub promoting integration of diverse knowledge, as a design guideline encouraging better design and action, as signaling environmentally friendly design and action, and as a communication tool. On the other hand, there are limitations, such as the use of a mixture of quantitative and qualitative measures, ambiguity of weighing, lack of financial evaluation, and lack of involvement of diverse disciplines and stakeholders. To develop an effective assessment framework, the following three factors must be considered: knowledge, power, and implementation. We propose that knowledge innovation, a credible approach for a salient solution, and collective action represent the future challenges of the assessment framework.     

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.     

Communication Practices and Political Engagement with Climate Change: A Research Agenda

In this article, we call for a refocusing of research on citizens’ political engagement with climate change. In doing so, we argue that communication practices not only help create the conditions for political engagement but they also comprise the modes of such engagement. Our argument proceeds in four steps. First, we review the literature on public engagement with climate change, concluding that there is a lack of attention to issues regarding the political. Consequently, we make the case for a refocusing of research on political engagement. Second, we explain how the notion of political subjectivity helps us to understand the relation between communication practices and engagement with the politics of climate change. Third, we discuss examples of dominant communication practices that constrain citizen political engagement by depoliticizing climate change, and alternative communication practices that have the potential to politicize. We end by outlining the many research questions that relate to the study of political engagement with climate change.     

Monitoring, enforcement, and the choice of environmental policy instruments

How to choose among the dozen policy instruments available to environmental management agencies has been a matter of concern and debate among environmental economists for the entire life of the profession – nearly four decades. The ability, or lack of it, to measure the quantities or observe the actions made "enforceable" by particular policy instruments ought clearly to be central to this choice. However, all too often the monitoring problem has been assumed away. When it is reintroduced in realistic forms, we find, not surprisingly, that some favorite policy instruments, such as pollution charges, are not applicable to some important problems, such as runoff pollution from farms; that marginal subsidies, by changing the burden of proof, may no longer be symmetric with charges; and that the apparent freedom from monitoring requirements of the newly fashionable instrument involving the public provision of information about firms or products is "paid for" by our inability to say anything about its performance on other dimensions that are also of interest. Electronic Publication     

国内外可持续发展评价方法对比分析

国际、国内很多组织都对可持续性评价方法进行过研究分析,但大多是特定的案例研究.目前国内外对可持续发展评价方法没有一个全面系统的分析比较,使得不同地区比较起来很困难.本文对各种评价方法如环境可持续性指数法、生态足迹法、能值分析法和指标综合评价法的来源、理论和应用作了介绍.得出各方法适用范围:可持续性指数法适合于国家间的综合评价;生态足迹和能值分析法适合于各种范围,包括国家、区域、地区和小系统;指标体系综合评价法对于小范围更合适.同时对各种方法的优势和缺陷进行了分析讨论,得出:可持续性指数法信息量大,但是计算复杂;生态足迹法计算过程简单,但是缺失一些可持续性信息;能值分析法考虑问题全面,但是其原理涉及热力学知识,很难被一些学者认同;指标体系评价法变通性较大,可随着评价系统的变化而进行调整,但是主观性较强.通过分析指出不同方法适用范围并指出每种分析方法的优势和不足,为以后选择合适的分析方法评价对象的可持续性提供依据.     

Assessing water quality in rivers with fuzzy inference systems: a case study

In recent years, fuzzy-logic-based methods have demonstrated to be appropriated to address uncertainty and subjectivity in environmental problems. In the present study, a methodology based on fuzzy inference systems (FIS) to assess water quality is proposed. A water quality index calculated with fuzzy reasoning has been developed. The relative importance of water quality indicators involved in the fuzzy inference process has been dealt with a multi-attribute decision-aiding method. The potential application of the fuzzy index has been tested with a case study. A data set collected from the Ebro River (Spain) by two different environmental protection agencies has been used. The current findings, managed within a geographic information system, clearly agree with official reports and expert opinions about the pollution problems in the studied area. Therefore, this methodology emerges as a suitable and alternative tool to be used in developing effective water management plans.     

A simplified method for the design and sizing of anaerobic digestion systems for smaller farms

Anaerobic digestion (AD) as a waste treatment practice has existed for nearly 200 years and has become an accepted option for many farming and small-scale residential operations. Many developing countries now encourage the use of AD in order to meet new environmental regulations and/or to provide small amounts of energy resulting from methane generated during the process. This development has been met with some difficulty due to the lack of resources and knowledge of the systems in many of the rural communities in which these digesters are placed. A properly designed AD system can help prevent soil and water pollution as well as help mitigate methane emissions by capturing them for use as a potential energy source. This paper focuses on providing guidance to the proper design and sizing of an AD system for typical small farms, which account for the majority of dairy farms worldwide. A focus was on the implementation of such systems as they might be applied in Central America, although the aspects studied here can be applied for AD systems handling animal waste streams practically anywhere. We provide a method for sizing of anaerobic digester systems based on design standards from the US National Resource Conservation Service and using field sampled data of holding pen wash water runoff. An overview of the decision process for alternative designs is given, and simple-to-use nomographs are presented for use in sizing of an anaerobic digester system for smaller (non-industrial)-scale farms.     

Debates on Sustainable Development: Towards a Holistic View of Reality

The paper analyzes the concept of sustainable development in the light of the different interpretations existing on the issue since its appearance and establishment as an ideal to lead humanity’s line of progress. Within these interpretations, a characteristic generation of diverse debates can be appreciated, arising from different perspectives, academic as well as ideological, aiming at describing, clarifying and determining their conceptual reach. Based on these facts a model of categorization for these debates has developed, a model in which interpretations generated on the concept of sustainable development were catalogued into four realms: conceptual, contextual, academic and geopolitical. The configuration of these four areas of debate, as well as the recognition of the diversity of interpretations existing on sustainable development, is a reflection of the intrinsic complexity of the phenomena, which affect the natural and social world, both at the local and global level. The analysis of this complexity is based on the subjectivity, which is inherent to the interpretation of these phenomena, with permanent reference to the cultural context from which the diverse discourses were structured. This global perspective on the state-of-the-art controversy concerning the idea of sustainable development as an articulatory axis reveals the necessity of building epistemological models, which can give a new direction to scientific research. From these new models, based on the analysis of the holistic character of reality, the subjective and the objective must be integrated in the generation of knowledge, which contributes usefully to the unceasing reconstruction of our world-(view). Readers should send their comments on this paper to: BhaskarNath@aol.com within 3 months of publication of this issue.     

基于灾变理论的盐城市土地生态安全评价研究

土地生态安全关系到区域的可续发展。以压力 状态 响应模型与灾变理论相结合,根据盐城市的土地利用特点,分别从社会、经济和生态环境方面构建土地生态安全评价指标体系,分析盐城市2002～2011年的土地生态安全变化情况,找出其中的问题,能为盐城市土地利用可持续发展提供理论依据和参考价值。研究表明：盐城市土地利用生态安全等级除了2003年和2007年为安全等级外,其余8 a均为中等安全、不安全和极不安全等级,而且基本呈逐年下降趋势;人口、环保投入和城镇化是导致盐城市土地利用生态安全等级下降的重要影响因素,这种现实状况应该引起政府相关决策部门的高度重视,最后提出了几点建议     

Social-ecological resilience and the quest for sustainability as object of science

The term ‘sustainability science’ has been employed to refer to a scientific trend, movement or program aimed at studying problems related to human–nature interactions. However, since it does not have its own set of principles for knowledge building and lack of a definition of a study object, sustainability science is not a science, at least in the usual sense of the word. A study object is the conceptual delimitation of the problems tackled by a science, and therefore, its search in the context of a science of sustainability requires exploring different notions of sustainability. This article presents different perspectives on the concept of sustainability and analyzes the viability to assume them as study object of sustainability science. Such exploration demands concepts based on a processual ontology that directs the researcher toward the dynamic, historic and temporal and social-ecological character of problems of unsustainability. The concept of social-ecological resilience seems to comply with such requirements.     

Evaluating knowledge integration and co-production in a 2-year collaborative learning process with smallholder dairy farmer groups

Although knowledge integration and co-production are integral to transdisciplinary approaches to foster sustainable change in social–ecological systems, this type of research is usually not evaluated based on assessments of the learning process. While participants are meant to be central in such approaches, too often, their perspectives are not central to the evaluation. Moreover, there is limited empirical information about how new knowledge is transformed into action. We respond to these knowledge gaps by analyzing (A) farmers’ perspectives on the collaborative learning process and (B) how farmers’ new knowledge can serve as the basis for changed actions. Theoretically, we are guided by second-order cybernetics and have integrated the Control Loop Model with Learning Loops to extend Kirkpatrick (Evaluating training programs: the four levels, 2nd edn. Berrett-Koehler Publisher, San Francisco, 1998) four-level evaluation scheme. We apply this to evaluate a 2-year collaborative learning process with two smallholder dairy farmer groups in Nakuru County, Kenya that aimed to co-develop local sustainable pathways to reduce milk losses. Results showed that farmers learned by (1) implementing corrective actions based on known cause–effect relations (single-loop learning); (2) discovering new cause–effect relations and testing their effect (double-loop learning); and (3) further questioning and changing their aims (triple-loop learning). Highlighting the importance of knowledge integration and co-production, this collaboration between farmers, researchers, and field assistants improved the farmers’ ability to respond, adapt, and intentionally transform their farming system in relation with complex sustainability challenges. Results demonstrate that the potential of our evaluation scheme to better reflect learning and empowerment experienced by actors involved in transdisciplinary research for sustainability.