David J. Yu

Transformation of resource management institutions under globalization: the case of songgye community forests in South Korea.

The context in which many self-governed commons systems operate will likely be significantly altered as globalization processes play out over the next few decades. Such dramatic changes will induce some systems to fail and subsequently to be transformed, rather than merely adapt. Despite this possibility, research on globalization-induced transformations of social-ecological systems (SESs) is still underdeveloped. We seek to help fill this gap by exploring some patterns of transformation in SESs and the question of what factors help explain the persistence of cooperation in the use of common-pool resources through transformative change. Through the analysis of 89 forest commons in South Korea that experienced such transformations, we found that there are two broad types of transformation, cooperative and noncooperative. We also found that two system-level properties, transaction costs associated group size and network diversity, may affect the direction of transformation. SESs with smaller group sizes and higher network diversity may better organize cooperative transformations when the existing system becomes untenable.

Social roles and performance of social-ecological systems: Evidence from behavioral lab experiments

Social roles are thought to play an important role in determining the capacity for collective action in a community regarding the use of shared resources. Here we report on the results of a study using a behavioral experimental approach regarding the relationship between social roles and the performance of social-ecological systems. The computer-based irrigation experiment that was the basis of this study mimics the decisions faced by farmers in small-scale irrigation systems. In each of 20 rounds, which are analogous to growing seasons, participants face a two-stage commons dilemma. First they must decide how much to invest in the public infrastructure, e.g., canals and water diversion structures. Second, they must decide how much to extract from the water made available by that public infrastructure. Each round begins with a 60-second communication period before the players make their investment and extraction decisions. By analyzing the chat messages exchanged among participants during the communication stage of the experiment, we coded up to three roles per participant using the scheme of seven roles known to be important in the literature: leader, knowledge generator, connector, follower, moralist, enforcer, and observer. Our study supports the importance of certain social roles (e.g., connector) previously highlighted by several case study analyses. However, using qualitative comparative analysis we found that none of the individual roles was sufficient for groups to succeed, i.e., to reach a certain level of group production. Instead, we found that a combination of at least five roles was necessary for success. In addition, in the context of upstream-downstream asymmetry, we observed a pattern in which social roles assumed by participants tended to differ by their positions. Although our work generated some interesting insights, further research is needed to determine how robust our findings are to different action situations, such as biophysical context, social network, and resource uncertainty.

Effect of infrastructure design on commons dilemmas in social−ecological system dynamics

Significance Recent years have witnessed an explosion of interdisciplinary research on social−ecological systems (SESs), which has typically viewed SESs as self-organized systems. This view, however, may be incomplete in that many modern SESs are in fact part designed and part self-organized, i.e., the coupled processes in most SESs are mediated by consciously designed infrastructure. We examined how design features of infrastructure shape the long-term dynamics of SESs, using a model of an irrigation system (an exemplary case of a partly designed SES). We show that two design features common to many SESs—the structure of benefit flows and the scale of effort needed to maintain infrastructure—can induce fundamental changes in qualitative behavior as well as altered robustness characteristics. The use of shared infrastructure to direct natural processes for the benefit of humans has been a central feature of human social organization for millennia. Today, more than ever, people interact with one another and the environment through shared human-made infrastructure (the Internet, transportation, the energy grid, etc.). However, there has been relatively little work on how the design characteristics of shared infrastructure affect the dynamics of social−ecological systems (SESs) and the capacity of groups to solve social dilemmas associated with its provision. Developing such understanding is especially important in the context of global change where design criteria must consider how specific aspects of infrastructure affect the capacity of SESs to maintain vital functions in the face of shocks. Using small-scale irrigated agriculture (the most ancient and ubiquitous example of public infrastructure systems) as a model system, we show that two design features related to scale and the structure of benefit flows can induce fundamental changes in qualitative behavior, i.e., regime shifts. By relating the required maintenance threshold (a design feature related to infrastructure scale) to the incentives facing users under different regimes, our work also provides some general guidance on determinants of robustness of SESs under globalization-related stresses.

Robust-yet-fragile nature of partly engineered social-ecological systems: a case study of coastal Bangladesh

Modern social-ecological systems are often partly engineered to enhance the robustness (or reduce the variance) of human welfare to environmental fluctuations over a foreseeable time horizon. Recent studies show, however, that subtle trade-offs are usually inherent in such efforts of enhancing short-term robustness. Managing variance on short time scales is likely to be associated with the buildup of hidden fragilities on longer time scales. Using a flood-prone social-ecological system (SES) of coastal Bangladesh as an example, this paper investigates some of the ways in which such robustness-fragility trade-offs can manifest. This SES has been extensively modified in the last few decades through the construction of large-scale flood protection structures (polders) and the introduction of commercial shrimp farming to enhance the robustness of food production to hydrological variability. Our case study analysis of the long-term changes in the SES shows that, although the modifications helped with stability in short time scales, the resulting changes also induced unforeseen problems such as infrastructure maintenance issues, land degradation and sinking, and exposure to market volatility. With this paper therefore we contribute to better understanding of the notion of robustness-fragility trade-offs by illustrating an exemplary case of the phenomenon in the engineered coastal environment context.

Engineering meets institutions: an interdisciplinary approach to the management of resilience

Resilience management stretches across the decoupled domains of community, corporate, and public governance. As a result, fostering resilience needs a governance structure that supports collective actions and integrates fragmented fields with different institutional frameworks. In this study, we carry out a review of three different perspectives on resilience -engineering, social, and organizational- in order to explore resilience management in the context of governance of infrastructure systems. We discuss the common practices to address resilience of engineering systems, the need and current trend for integration of institutions into these practices through formal (e.g., policies and regulations) as well as informal mechanisms (e.g., trust, norms, and shared cognitive structures). To illustrate our theorizing, we provide three illustrative case studies. The cases highlight the barriers and enablers across the three perspectives and highlight the inter-organizational context of management of resilience. We uncovered organizational dynamics such as the necessity of establishing critical functionality through organizational capacity for stakeholder engagement, the need for diverse organizations to address institutional complexity in management of resilience, and the importance of decoupling in aligning the outcomes of resilience management practices with policies. We suggest an agenda for future research on managing practices associated with management of resilience.

Interplays of Sustainability, Resilience, Adaptation and Transformation

This chapter analyzes the complex interplays between and among sustainability, resilience, adaptation and transformation, key paradigms and analytical concepts that have emerged from the human-environmental interactions, social-ecological systems, and global environmental change literatures. Specifically, this chapter provides a summary of how these key paradigms and analytical concepts have evolved over time and synthesizes current debates about their interplays. Our findings reveal certain theoretical synergies between and among sustainability, resilience, adaptation and transformation, as well as epistemological tensions and practical tradeoffs when actions are taken to promote ostensibly desirable attributes of social-ecological systems through on-the-ground actions. These findings highlight the need for scholars, practitioners and policy makers to be explicit about the normative assumptions associated with sustainability, resilience, adaptation and transformation as they complement or contradict each other in local contexts, and how they may affect or be affected by the characteristics of and processes within local communities. Such understanding will be crucial for moving towards developing adaptation or transformation interventions that maximize the achievement of sustainability or resilience policy goals and minimize potential negative outcomes on both human well-being and environmental conditions.

Exploring the role of worker income and workplace characteristics on the journey to work

Abstract Traditional trip distribution processes that rely heavily on gravity models fail to capture how the characteristics of individuals or the heterogeneity in the attributes of attraction zones may influence the accessibility to jobs and, therefore, journey-to-work patterns. Different approaches, such as destination choice models, are not generally applied because of limited data availability and calibration requirements. This paper proposes an alternative approach to overcome this challenge by combining a utility-based measure of accessibility and a maximum range of commuting distance to predict the journey-to-work patterns of individual worker-agents using an open-access database. A multinomial logit model is estimated and an agent-based model is developed using data from the Census Transportation Planning Products (CTPP) 5-year database. The proposed methodology is demonstrated using a case study based on Tippecanoe County, Indiana, and the results are compared to a double-constrained gravity model. Results indicate that the utility functions derived from the CTPP database can replicate the aggregated journey-to-work patterns by income levels. Furthermore, it was found that the utility functions for low-, middle-, and high-household income groups could be different. Finally, while a calibrated gravity model could produce a trip-length distribution and average commuting distance more similar to observed data, the destination choice model provides more insights into the trip patterns across different household income groups, thereby providing a better basis for policy analysis.

Supplementary Material for Challenges and opportunities in coding the Commons: problems procedures, and potential solutions in large-N comparative case studies

On-going efforts to understand the dynamics of coupled socialecological systems and common pool resources have led to the generation of numerous datasets based on a large number of case studies. This data has facilitated the identification of important factors and fundamental principles thereby increasing our understanding of such complex systems. However, the data at our disposal are often not easily comparable, have limited scope and scale, and are based on disparate underlying frameworks which inhibit synthesis, metaanalysis, and the validation of findings. Research efforts are further hampered when case inclusion criteria, variable definitions, coding schema, and intercoder reliability testing are not made explicit in the presentation of research and shared among the research community. This paper first outlines challenges experienced by researchers engaged in a large-scale coding project; highlights valuable lessons learned; and finally discusses opportunities for future comparative case study analyses of social-ecological systems and common pool resources.