Socio-ecological Systems Framework Research Articles

A Socio-Ecological System Analysis of Multilevel Water Governance in Nicaragua

Nicaragua enacted its Water Law in 2007, with the Dublin Principles for sustainable water management and integrated water resources management as its guiding framework. Implementation of the law remains a challenge, but significant efforts have been made to roll out this new water resources framework, to improve water management by enhancing a multilevel water governance system. To analyze multilevel water governance in Nicaragua and diagnose stakeholders’ roles and compliance with the law, we applied a socio-ecological system framework and several methods of analysis to process data collected from 52 in-depth semistructured interviews conducted with key stakeholders in the water sector. We found that the major variables affecting multilevel water governance were social interests, administrative capacity, and political, economic, and legal arrangements. The results suggest that there is centralization at the national level, a tendency toward noncollective choice rules, little investment in water resources, and a lack of knowledge concerning conflict resolution mechanisms. For multilevel water governance, a lack of funds is the main social, economic, and political constraint, affecting interactions and outcomes. Nevertheless, there is great potential to improve water resource management in Nicaragua by enacting the self-funding schemes established in the law. Moreover, government institutions, users, and various networks are willing to participate and take action to implement the law.

Heritage Redemption and the Curse of Tourism: The Case of World’s Last Inhabited Troglodyte Village

ABSTRACT Kandovan, an inhabited troglodyte village, is a historical heritage site that attracts one million visitors per year on average. The collision between authenticity, commodification, conservation and sustainable indigenous livelihood warrants an immediate intervention to preserve this heritage site. Recognizing the fresh dilemmas created by the unsustainable tourism growth, this study provides valuable implications for the preservation of unique heritage sites and indigenous people. For this study, the qualitative method based on an interview with indigenous dwellers utilized. The study draws upon complexity theory and socio-ecological systems framework to enhance our understandings of indigenous whose livelihood is at stake. The research revealed that indigenous dwellers as the main stakeholders have not been considered as equal partners in the management of the site. Furthermore, the lack of collective action towards a sustainable framework is threatening the viability of the site as a heritage asset. Theoretical and managerial implications are discussed.

Identifying leverage points to transition dysfunctional irrigation schemes towards complex adaptive systems

ABSTRACT This article explores the value of Ostrom’s socio-ecological systems framework and Meadows’s leverage point hierarchy, as structured diagnostics, to define systemic problems and avoid approaches based on linear thinking. These frameworks were applied as an ex post analysis of an irrigation scheme in Zimbabwe, drawing on the scheme’s baseline condition and the intervention outcomes. Strong leverage points, particularly those driving feedback mechanisms and institutional design, interacted with other intervention points, initiating systemic change. This analysis suggests that dysfunctional schemes can be transitioned towards complex adaptive systems by using agricultural innovation platforms to identify systemic challenges and intervention points.

Cultivating vulnerability: oil palm expansion and the socio-ecological food system in the Lachuá Ecoregion, Guatemala

The recent Guatemalan oil palm boom has generated concerns over possible negative social and environmental impacts, yet it continues to be embraced as an opportunity to spur rural development and improve food security. This paper uses the socio-ecological food systems framework to demonstrate ways in which oil palm expansion has contributed to increasing food system vulnerability and decreasing adaptation capacity of a community dominated by oil palm contract farming in the Lachua Ecoregion in northern Guatemala. The changing cross-scalar dynamics of self-provisioning and market provisioning of food, and the ecological effects of the spreading oil palm are considered, as they contribute to declining food and nutrition security—notably, the reduced consumption of fresh vegetables, fruits, and herbs. Uncontrolled oil palm expansion has also contributed to the disappearance of certain nutritious foods in the study communities, compromised ecological resources, and heightened the region’s exposure to external shocks, such as oil palm price drops. Lessons highlight the importance of supporting traditional agricultural systems, strengthening environmental protection, and building institutional capacity at community and beyond-community scales.

Government Extension, Agroecology, and Sustainable Food Systems in Belize Milpa Communities: A Socio-Ecological Systems Approach

The sustainability of milpa agriculture, a traditional Mayan farming system in southern Belize, is uncertain. For centuries, the milpa has been a sustainable agriculture system. The slash-and-burn aspect of milpa farming, however, has become less reliable and less sustainable over the last 50 years due to several factors, including forest loss, climate change, population growth, and other factors. The traditional milpa practices of slash-and-mulch and soil nutrient enrichment (nutrient cycling) are agroecological practices that produce food in a more sustainable way. Agriculture extension, a government service in Belize, can promote additional agroecological practices to address food and livelihood insecurities in milpa communities. This study examines perceptions of these practices from milpa farmers and agricultural extension officers in Belize using a socio-ecological systems (SES) framework. SES considers multidisciplinary linkages, including social, economic, environmental, cultural, and other factors in the agroecological system. The study finds several of these SES linkages between agroecological practices—specifically slash-and-mulch and soil nutrient enrichment—and the sustainability of the milpa farming system in southern Belize. Milpa communities are part of the broader SES and therefore are affected by changes to it. Milpa communities can also be enabled and participate in solution-finding. The findings imply that increasing the use of agroecology practices in milpa communities is needed and that government involvement and action, particularly from agriculture extension services, can facilitate a more sustainable milpa farming system and therefore more food and livelihood security in milpa communities in Belize. See the press release for this article.

The effects of farmland use rights trading and labor outmigration on the governance of the irrigation commons: Evidence from China

The governance of the commons depends on collective action by resource users, which may be influenced by land use dynamics and changes in livelihood. We examine the case of China that has experienced massive outmigration of its rural population and significant changes to its land use policy. We contribute to the literature by examining the interaction effects of farmland use rights trading and rural labor out migration on collective action for the governance of the irrigation commons, which has the potential to open up a new line of theoretical and empirical inquiry. Using the socio-ecological system framework, we run ordered probit regression based on data from a survey of 125 villages in 18 provinces in China. We find that a moderate degree of farmland use rights trading has a positive effect on collective action for the governance of the irrigation commons and can slow down and mitigate the negative effect of rural labor outmigration. We conclude with implications for land use policy and governance of the commons.

Urban open spaces as a commons: The credibility thesis and common property in a self-governed park of Athens, Greece

Although abandoned, unused or underused urban open spaces can play an important role in urban well-being, the traditional approaches of state management and privatization have failed to revive them, due to the lack of necessary public funds, low private investment interest or the vagueness of property rights. Therefore, a solution might be to manage this land as a commons, where local users collectively undertake governance of the resource. The current paper explores a successful initiative, the Navarinou Park initiative in downtown Athens, in an attempt to consolidate the experience gained and to draw policy recommendations for the success of such actions. In this endeavour, the paper employs Ostrom’s Socio-Ecological Systems (SES) framework to analyse the park as a commons and then, building upon this, proceeds to explore the credibility of the institution along the lines of the credibility thesis and its underlying theory, with particular reference to the Formal, Actual and Targeted (FAT) institutional framework. The paper concludes that Navarinou Park is a functional, long-standing and credible institution, successfully serving the manifold needs (recreational, environmental, social and political) and interests of the local population. Thus, in line with the Credibility Scales and Intervention (CSI) checklist, an advisable intervention would likely comprise a subtle blend of condoning and co-opting; governments to leave the daily praxis undisturbed while fostering a regime within which this praxis is permitted to flourish.

Rural-Urban Migration and the Growth of Informal Settlements: A Socio-Ecological System Conceptualization with Insights Through a “Water Lens”

Informal settlements i.e., slums emerge from the interplay of multidimensional factors related to urbanization and sustainability. While the contribution of urban factors is well understood, the role of external drivers, such as uncontrolled migration to urban areas, is rarely addressed in research or policy-making. This study develops a novel conceptualization of slums by reviewing the pushing and pulling factors of migration and their contribution to informal settlements through 1) a socio-ecological system approach and 2) the concept of adaptive capacity. Further, it advances the discussion around synergistic and coherent policy-making in the urban context by reviewing three urban agendas and further using water as a case with the concept of cross-cutting domains. We show that the emergence of urban challenges can, and should be, linked to the root causes of flows into urban areas. Understanding these linkages through a socio-ecological system framework opens a window for knowledge-based policy development and addressing the question of how to avoid unsustainable urban development. Urbanization is one of the phenomena where the excessive complexity and dimensions of problems should not hamper action but instead, actions should be encouraged and enabled with synergistic and integrative pathways for sustainable urban development.

Are Vietnamese farmers able to combat global climate change? A case study on perceptions and attitudes towards sustainable forest management and REDD+ in Central Vietnam

ABSTRACTGlobal efforts to combat climate change has led to the establishment of the Reducing Emissions from Deforestation and Forest Degradation program (REDD+). This study concerns the implementation of REDD+ among local landscapes and communities in Vietnam. How do affected forest-dependent households perceive their roles in sustainable forest management and REDD+ and how do these perceptions and attitudes influence the (potential) socio-ecological performance of REDD+? Two communes consisting of forest-dependent and indigenous communities in Central Vietnam were selected for this study–the former involved in the UN-REDD program and the latter involved in a REDD+ program of Fauna and Flora International (FFI). Here, we differentiated between a ‘do no harm’ and pro-carbon (UN-REDD), and pro-poor (FFI-REDD+) approach to REDD+. Employing an applied socio-ecological systems framework, we conducted household surveys (n = 102) and we adopted qualitative research methods. This study identified the importance of traditional ecological knowledge systems in sustainable forest management. While pro-poor REDD+ was more inclusive, both REDD+ programs in our study were implemented in a top down manner. Lastly, households’ attitudes and perceptions towards rulemaking, sanctioning, monitoring, cultural capital (beliefs and worldviews) and forest protection technology were identified as (potential) local drivers for successful REDD+ implementation in both communes.

Water, dust, and agro-pastoralism: Modeling socio-ecological co-evolution of landscapes, farming, and human society in southeast Kazakhstan during the mid to late Holocene

How can archaeologists contribute to tracing the evolutionary dynamics of the coupled human-natural systems that characterize the Anthropocene? We present a Socio-Ecological Systems (SES) framework to integrate models of human and natural landscape formation processes in the mid to late Holocene on the Talgar alluvial fan on the north slope of the Tian Shan Mountains in the area known as “Semirech’ye” (“Seven Rivers”). We compare our model to the physical evidence from sediment profiles and the archaeological record of subsistence and settlement over the Holocene. The resulting coupled model situates “niche construction theory” and the idea of “transported landscapes” within the SES perspective to focus on how couplings and feedbacks between humans and biophysical processes create or limit opportunities for different modes of subsistence over time, especially during periods of expansion and colonization of new territories. In the Talgar region, we hypothesize that initial, low-level human manipulations of surface water flow across an alluvial fan coupled with aeolian and fluvial sediment dynamics in a series of positive feedbacks to increase the possibilities for agricultural production over time. The human niche in Talgar therefore became increasingly sedentary and agricultural in emphasis compared to niches constructed in other parts of Central Eurasia.

Resource governance and the politics of the social: Ordering in and by socio‐ecological systems

In studies of natural resource governance, agency is commonly treated as a property that evolves in conditions of socio‐ecological systems (SESs). While the SES framework has established its position within a multidisciplinary scholarship, it remains controversial. Critical scholars note that the social component has been left under‐theorised. Yet, it is argued that once developed, the framework can provide a useful foundation for studying human–environment relations. This article critically examines such a position. Drawing from actor‐network theory, it analyses the assumptions the SES framework makes about the social forms constitutive for natural resource governance. The focus is on the entities in terms of which governance and management are envisioned to evolve. The analysis shows that the descriptions of SES dynamics often treat social forms as unambiguous and a priori existing. The paper argues that the material ordering that is enacted downplays potentials of politics. Management and governance of natural resources rest on demarcations that are not supposed to be challenged. At the same time radical un‐restrictedness is claimed to co‐exist and to open up potentials for social learning. The promise of management enacted by the SES framework seems thus to be based on a very particular kind of fluctuation between opening up and closing down of system spaces.

Comparing polycentric configuration for adaptive governance within community forests: Case studies in Eastern North America

Looking at two cases of community forests (CF) in Eastern North America, this article examines their institutional features in order to assess whether they are conducive to adaptive governance. To do so, this article presents CFs as manifestations of polycentric governance, which allow identifying the complex networks of relations existing between different actors involved in governance at many scales. Polycentric governance is assumed to have a higher adaptability to changing factors. To better capture the variables conducive to adaptive governance in CFs, we draw on the socio-ecological system (SES) framework. The study shows that variables from the SES framework are useful in identifying features of polycentricity in CFs. Moreover, these variables highlight mechanisms of adaptability in CF governance, namely: interaction between organizations and actors, multiplicity of complementary rules from different organizations and structures of governance. Moreover, ongoing communication with the forest users and learning among actors appear key for CF governance’s adaptability.

A coevolutionary perspective on the adoption of sustainable land use practices: The case of afforestation on degraded croplands in Uzbekistan

Cotton export substantially contributes to Uzbekistan's economy. To produce cotton, the state imposes output targets on farmers which results in intensified cotton production practices, and consequently in land degradation. Improving degraded croplands via afforestation is an option explored through research experiments in the region, yet is currently not practiced by farmers. Using the example of the Amu Darya River lowlands of Uzbekistan, we analyze afforestation and its implementation constraints, by developing a coevolutionary socio-ecological systems framework that leans on evolutionary economics and evolutionary governance theories. Our study shows that farmers' perceptions and rationalities, in close association with governance configurations of actors, institutions and knowledges, make them unreceptive towards afforestation. Altering relations between agricultural institutions and actors that are currently present in the cotton-centric configuration is difficult given the path-, inter- and goal dependencies. To change rural sustainable development paths, we conclude that the adoption of innovations requires a tailoring of knowledge and technology fitting local situation, as well as the reassembling of relations between actors, institutions and knowledge.

Facilitating Energy Transition through Energy Commons: An Application of Socio-Ecological Systems Framework for Integrated Community Energy Systems

Integrated Community Energy Systems (ICES) are an emerging local energy system focusing on the collective use of distributed energy resources (DER). These socio-technical systems (STSs) have a high potential to advance the transition towards socially inclusive, environmentally-friendly energy systems and to stimulate the local economy. While there is an analogy between energy in ICES and other common goods such as natural resources, it is not clear to what extent the existing theoretical framework for Socio-ecological Systems (SES) on the commons accounts for the specificities of common resources in ICESs and other STSs. This research explores the applicability of the SES framework to energy commons that are firmly embedded in STS with reference to the DE Ramplaan ICES in the Netherlands. The formation process and governance characteristics of this ICES are revised, further aided by stakeholder interviews. A framework and a strategic plan that can be used to design and implement an ICES are proposed.

Contextualizing context in the analysis of payment for ecosystem services

For over a decade, payment for ecosystem services (PES) programs has been designed in several countries, the analysis of these programs in recent years highlights the importance and timeliness of the tool. Taking local context into account stands out among the most significant recommendations for the design and implementation of PES programs. However, no clarity or consensus has emerged about how to define and approach “context”. This article proposes to address this issue using the socio-ecological systems (SES) framework. We present conceptual interpretations of context and define and validate the primary set of variables for its characterization. Our analysis is based on a literature review and surveys of people who have implemented these programs in Mexico. We propose “focal”, “very significant”, and “significant” variables, which allow us to define local context within the framework of PES programs. The proposed focal variables are a) forest cover, b) opportunity cost, c) livelihood and productive diversification, d) pro-social and pro-environmental motivations and attitudes, e) confidence and cooperation, f) traditional management practices, g) internal organization on the local level, h) land tenure, and i) rules for the management and use of natural resources.

The importance of understanding self-governance efforts in coastal fisheries in Peru: insights from La Islilla and Ilo

Understanding self-governance efforts in small-scale coastal fisheries may hold the clue to establishing effective coastal fisheries policies or strengthening existing ones. Here, we explored the diversity and the rationale behind the self-devised control rules implemented by two groups of coastal fishers in Peru, and the pathways to promote compliance under self-governance systems, as a prerequisite to sustain such efforts. We drew on an exploratory methodological approach and used semi-structured interviews and a questionnaire, designed following Ostrom's socio-ecological system (SES) framework, to characterize each experience. A compliance framework was used to identify the pathways and factors driving compliance. Results showed a variety of informal control rules have been set and used by fishers, from catch limits to patrolling activities. Each addresses specific fisheries governance and management issues. Results also showed that setting control rules has not been a one-time event; instead, it is an evolving learning process. Furthermore, both traditional (La Islilla) and non-traditional (Ilo) SES frameworks have built their own ways to promote compliance and sustain self-governance efforts. These two experiences provide insights for understanding self-governance of coastal fisheries, with particular attention to identifying ways to improve the governability of small-scale fisheries through cogovernance type arrangements.

Adoption of Sustainable Land Uses in Post-Soviet Central Asia: The Case for Agroforestry

We examine constraints and opportunities to enhance adoption of agroforestry for ecosystem and livelihood improvement in post-Soviet economies, using Central Asian countries as examples. Using a coevolutionary socio-ecological systems framework, we describe how development efforts, especially agricultural policies, under centrally planned regimes and under transition to market economies have changed environmental conditions, and how they affect peoples’ welfare. We then discuss agroforestry as a sustainable land use practice to address these issues. We present regional-specific and -suitable agroforestry practices, and discuss their potential. We found that legacies from the previous period of central planning shape current land uses, institutions, infrastructure and decisions of farmers, and constrain development of agroforestry. By identifying opportunities and constraints of agroforestry, we provide recommendations for enhancing the use of agroforestry in Central Asia.

Enhancing feasibility: Incorporating a socio-ecological systems framework into restoration planning

Forest restoration is the counterforce to deforestation. In many parts of the world it mitigates forest loss and degradation, but success rates vary. Socio-political variables are important predictors of effectiveness of restoration activities, indicating that restoration strategies need to be locally adapted. Yet, contextual assessments of the biophysical, social and political characteristics of forest restoration are rare. Here, we integrate a social-ecological systems framework with systematic decision-making to inform forest restoration planning. We illustrate this approach through a prioritization analysis in a community-based forest restoration context in Paser District, East Kalimantan, Indonesia. We compare the solutions of our integrated framework with those identified on the basis of biophysical criteria alone. We discover that incorporating a socio-political context alters the selection of priority areas. While the social feasibility and political permissibility can be enhanced, ecological benefits are likely to be reduced and/or opportunity costs of alternative land uses are to be increased. Our conceptual framework allows the appraisal of potential trade-offs between social and ecological outcomes of alternative options, and has the potential to evaluate the efficiency of existing policies. Empirical testing in a range of contexts is required to ensure broad applicability and transferability of our conceptual framework.

Beyond yields: Climate change effects on specialty crop quality and agroecological management

Abstract Climate change is impacting the sustainability of food systems through shifts in natural and human dimensions of agroecosystems that influence farmer livelihoods, consumer choices, and food security. This paper highlights the need for climate studies on specialty crops to focus not only on yields, but also on quality, as well as the ability of agroecological management to buffer climate effects on quality parameters. Crop quality refers to phytonutrient and secondary metabolite profiles and associated health and sensory properties that influence consumer buying decisions. Through two literature reviews, we provide examples of specialty crops that are vulnerable to climate effects on quality and examples of climate-resilient agroecological strategies. A range of specialty crops including fruits, vegetables, tree nuts, stimulants, and herbs were identified to respond to climate variables with changes in quality. The review on climate-resilient strategies to mitigate effects on crop quality highlighted a major gap in the literature. However, agricultural diversification emerged as a promising strategy for climate resilience more broadly and highlights the need for future research to assess the potential of diversified agroecosystems to buffer climate effects on crop quality. We integrate the concepts from our literature review within a socio-ecological systems framework that takes into account feedbacks between crop quality, consumer responses, and agroecosystem management. The presented framework is especially useful for two themes in agricultural development and marketing, nutrition-sensitive agriculture and terroir, for informing the design of climate-change resilient specialty crop systems focused on management of quality and other ecosystem services towards promoting environmental and human wellbeing.

Socio-ecological transitions toward low-carbon port cities: trends, changes and adaptation processes in Asia and Europe

Industrial port cities are essential components in a society dependant on fossil fuels and low cost energy. In the global move towards a low-carbon society, industrial port cities are emblematic of complex and integrated socio-ecological systems, which are experiencing transition processes related to interactions between bio-geo-physical components and governance. Using a socio-ecological system framework, this article provides insights into innovative regional eco-industrial development strategies for moving toward a low-carbon future in industrial port areas. Based on three case studies (Marseille-Fos in France, Ningbo in China, and Ulsan in South Korea), our analysis focuses on the changing relationships between energy, land cover, time use, and governance. The historical socio-ecological transition of industrial port cities is described as a stepwise process of spatial and functional disconnection/connection of port industrial complexes, which decouple/combine the port city's metabolism from local resources. We highlight the impacts of globalization on port-city socio-ecological trends, describing the effects of the integration of port cities into global economic processes, the impact of global awareness on global environmental changes, and the accelerating pace of change. We compare low-carbon strategies, revealing similarities in terms of conversion toward low carbon sources and growing connectedness and functional diversity of port-industrial systems.