Diagnosing the role of the state for local collective action: Types of action situations and policy instruments

This paper presents a diagnostic approach to the role and capacity of governments to facilitate local collective action and alleviate environmental problems. The paper adds to a nascent scholarship aiming to conciliate theories on “governance by government” and “governance by self-organization”. We adopt two premises for that purpose: (1) policy instruments shall be tailored to the strategic nature of local resource management decisions; and (2) such nature is not static and can be modified via governmental policies. We first build on the Institutional Analysis and Development (IAD) framework to characterize the decision-making situations that local resource users face and the local rules that shape said situations. Then, based on common pool resource (CPR) and policy instrument choice theory, we identify four mechanisms through which different policy instruments can facilitate local collective action (change in payoffs and their perception, reduction of transaction costs, reduction of un- certainty, and normative consonance). This analytical approach is then applied to four illustrative cases of water management in Germany, France, Greece and Spain. As shown, local resource users are embedded in not one but many overlapping decision-making situations. In this context, the promotion of collective action is rarely ac- complished via a single policy instrument or mechanism but via bundles of them. Also, the paper illustrates the importance of understanding how governmental policies modify the structure of rules and incentives that affect local resource users, potentially facilitating local collective action and the solution of environmental problems

Evaluating the utility of common-pool resource theory for understanding forest governance and outcomes in Indonesia between 1965 and 2012

While Common Pool Resource (CPR) theory has been widely applied to forestry, there are few examples of using the theory to study large-scale governance. In this paper we test the applicability of CPR theory to understanding forest governance and outcomes in Indonesia between 1965 and 2012. Indonesia contains one of the world’s largest tropical forests, and experienced rapid deforestation during this time frame, with forest cover dropping from close to 85% to less than 50%. Using a mixture of within case comparison and process tracing methods, we identify key variables that influenced the levels of deforestation during two time periods: before 1998, when governance was dominated by the dictatorship of President Suharto, and after 1998, when democratic governance and political decentralization were initiated, and deforestation rates fell and then rose again. Our results point to the value of CPR theory in identifying important variables that influence sustainability at large scales, however they also illustrate important limitations of CPR theory for the study of forests with large spatial extent and large numbers of users. The presence and absence of key variables from CPR theory did emerge as important causes of deforestation. However, some variables, such as strong leadership and local rule-making, appeared to work in the opposite direction as predicted by CPR theory. In addition, key variables that may have influenced deforestation rates are not well captured in CPR theory. These include the intention of the governance system, the presence of clientelistic politics, the influences of international politics and markets, and the influence of top-down governance. Given that CPR theory does not fully explain the case at hand, its applicability, as is, to large-scale commons should be treated with some caution

Linking Classroom Learning and Research to Advance Ideas about Social-Ecological Resilience

There is an increasing demand in higher education institutions for training in complex environmental problems. Such training requires a careful mix of conventional methods and innovative solutions, a task not always easy to accomplish. In this paper we review literature on this theme, highlight relevant advances in the pedagogical literature, and report on some examples resulting from our recent efforts to teach complex environmental issues. The examples range from full credit courses in sustainable development and research methods to project-based and in-class activity units. A consensus from the literature is that lectures are not sufficient to fully engage students in these issues. A conclusion from the review of examples is that problem-based and project-based, e.g., through case studies, experiential learning opportunities, or real-world applications, learning offers much promise. This could greatly be facilitated by online hubs through which teachers, students, and other members of the practitioner and academic community share experiences in teaching and research, the way that we have done here

Networks of action situations: a systematic review of empirical research

“Action situations”—events, venues, or physically interdependent instances of decision-making—have become a central unit of analysis in the social–environmental sciences, particularly among scholars interested in bridging the social with the biophysical or ecological side of interdependent decisions. A growing body of empirical studies in social–ecological systems research has recently used case and comparative studies to analyse multiple interdependent action situations, structured into networks. In this article, we take stock of this body of empirical research, synthesize the diverse approaches that scholars have taken to assess “networks of action situations”, and identify fruitful paths forward. We conduct a systematic review of the empirical literature in the field, reviewing and summarizing the key characteristics of the empirical studies, including network features, topologies, methods, and data sources used in each case. We summarize and discuss the conceptualizations, methods, diagnostic procedures, and conclusions used in this body of work in a narrative framework synthesis. The review indicates that an increasingly coherent approach is taking shape, but a systematic, protocol-driven, or formalized approach is only partly emerging. We derive future research needs that could help accumulate knowledge from empirical research

Design and quality criteria for archetype analysis

A key challenge in addressing the global degradation of natural resources and the environment is to effectively transfer successful strategies across heterogeneous contexts. Archetype analysis is a particularly salient approach in this regard that helps researchers to understand and compare patterns of (un)sustainability in heterogeneous cases. Archetype analysis avoids traps of overgeneralization and ideography by identifying reappearing but nonuniversal patterns that hold for well-defined subsets of cases. It can be applied by researchers working in inter- or transdisciplinary settings to study sustainability issues from a broad range of theoretical and methodological standpoints. However, there is still an urgent need for quality standards to guide the design of theoretically rigorous and practically useful archetype analyses. To this end, we propose four quality criteria and corresponding research strategies to address them: (1) specify the domain of validity for each archetype, (2) ensure that archetypes can be combined to characterize single cases, (3) explicitly navigate levels of abstraction, and (4) obtain a fit between attribute configurations, theories, and empirical domains of validity. These criteria are based on a stocktaking of current methodological challenges in archetypes research, including: to demonstrate the validity of the analysis, delineate boundaries of archetypes, and select appropriate attributes to define them. We thus contribute to a better common understanding of the approach and to the improvement of the research design of future archetype analyses

Lessons learned from synthetic research projects based on the ostrom workshop frameworks

A generalized knowledge of social-ecological relationships is needed to address current environmental challenges. Broadly comparative and synthetic research is a key method for establishing this type of knowledge. To date, however, most work on social-ecological systems has applied idiosyncratic methods to specific systems. Several projects, each based on the frameworks developed by Elinor Ostrom and colleagues, stand out for their application of consistent methods across a broad range of cases. In this paper we compare seven of these projects and draw conclusions regarding their potential benefits and the challenges that scholars can expect in conducting this type of research. The two main challenges that we identified are (1) the collective-action dilemmas that collaborators face in producing and maintaining the social and technical infrastructure that is needed for such projects; and (2) balancing complexity and comparability in the structure of the databases used and the associated methods for characterizing complex social-ecological cases. We discuss approaches for meeting these challenges, and present a guiding checklist of questions for project design and implementation to provide guidance for future broadly comparative research

Introduction to the special issue on adapting institutions to climate change

Unidad de excelencia María de Maeztu MdM-2015-0552This article introduces the special issue on climate adaptation and institutions. Economic accounts of climate adaptation have stressed its collective action nature and the limitations of standard economic approaches to the matter. Governance accounts, on their part, have shown that adaptation does not always happen when it is expected. Against this background, institutional economics has the potential to shed light on those societal processes and collective mechanisms leading to and shaping adaptation (or the absence of it). The selection of articles contributing to this special issue shows that climate adaptation can indeed be explored successfully through institutional economics, and that doing so fits well within the institutional economics agenda. Some recommendations for future research are provided at the end

The Problem of Institutional Fit: Uncovering Patterns with Boosted Decision Trees

Complex social-ecological contexts play an important role in shaping the types of institutions that groups use to manage resources, and the effectiveness of those institutions in achieving social and environmental objectives. However, despite widespread acknowledgment that “context matters”, progress in generalising how complex contexts shape institutions and outcomes has been slow. This is partly because large numbers of potentially influential variables and non-linearities confound traditional statistical methods. Here we use boosted decision trees – one of a growing portfolio of machine learning tools – to examine relationships between contexts, institutions, and their performance. More specifically we draw upon data from the International Forest Resources and Institutions (IFRI) program to analyze (i) the contexts in which groups successfully self-organize to develop rules for the use of forest resources (local rulemaking), and (ii) the contexts in which local rulemaking is associated with successful ecological outcomes. The results reveal an unfortunate divergence between the contexts in which local rulemaking tends to be found and the contexts in which it contributes to successful outcomes. These findings and our overall approach present a potentially fruitful opportunity to further advance theories of institutional fit and inform the development of policies and practices tailored to different contexts and desired outcomes

Types of collective action problems and farmers’ willingness to accept agri-environmental schemes in Switzerland

Over the last years, there has been an increasing interest in the intersection of collective action and payments for ecosystem services. This has been motivated, among other things, by the understanding that spatially coordinated conservation practices can be ecologically more effective. In this study, we propose understanding collective action in the PES context as shaped by three collective action problems: the public good provision problem (i.e., the decision by landholders of whether to participate in a PES program); the coordinated implementation problem (i.e., the decision of landholders who participate in the PES to implement conservation measures in a coordinated fashion); and the externality internalization problem (i.e., the internalization of externalities that PES participants create on neighboring landholders and/or vice-versa). We then explore the extent to which perceptions about those three problems affect participation in PES. For this purpose, we carry out a choice experiment among farmers in the Swiss cantons of Zurich and Aargau. A majority of farmers have pessimistic expectations about the possibility of collective action regardless of whether that serves the provision of ecosystem services (pubic good provision), the coordinated implementation of AES or the internalization of potential externalities. Those with optimistic expectations about the first two problems are more likely to participate in PES. Finally, we find that expectations with regard to the public good provision and coordinated implementation problems interact, i.e., farmers who are optimistic about the willingness of other farmers to participate in PES are also more willing to coordinate in the implementation, and the other way around

Commons Movements: Old and New Trends in Rural and Urban Contexts

Over the past few years, studies in political ecology and environmental justice have been increasingly connecting the commons and social movements empirically, giving shape to a new, distinctive body of research on commons movements. In our review, we first organize and synthesize empirical lessons from this body of literature. We then highlight recent theoretical efforts made by scholars to both bridge and transcend the gap between the theory of the commons and social movement theory. As we illustrate, movements can help create and strengthen commons institutions and discourses, as well as rescale them horizontally and vertically. This is particularly evident in the context of rural community-rights movements in the global South, as well as in new water and food commons movements and community energy movements in both the global South and North. Commons institutions, in turn, can serve as the basis of social mobilization and become a key frame for social movements, as shown in the context of local environmental justice and livelihoods conflicts and anti-privatization struggles. Tensions and contradictions of commons-movement dynamics also exist and reflect trade-offs between diversity versus uniformization and organizational closure versus expansion of discourses and practices. Theoretically, there is an opportunity to cross boundaries from the theory of the commons to social movementtheory and vice versa, e.g., by highlighting the role of political opportunities and framing, and biophysical factors and polycentricity, respectively. More importantly, a new commons movements theory is emerging focusing on cross-scalar organizations, the virtuous cycles between commons projects and mobilization, and the processes of commons-making