Unraveling complex causal processes that affect sustainability requires more integration between empirical and modeling approaches.

Scientists seek to understand the causal processes that generate sustainability problems and determine effective solutions. Yet, causal inquiry in nature-society systems is hampered by conceptual and methodological challenges that arise from nature-society interdependencies and the complex dynamics they create. Here, we demonstrate how sustainability scientists can address these challenges and make more robust causal claims through better integration between empirical analyses and process- or agent-based modeling. To illustrate how these different epistemological traditions can be integrated, we present four studies of air pollution regulation, natural resource management, and the spread of COVID-19. The studies show how integration can improve empirical estimates of causal effects, inform future research designs and data collection, enhance understanding of the complex dynamics that underlie observed temporal patterns, and elucidate causal mechanisms and the contexts in which they operate. These advances in causal understanding can help sustainability scientists develop better theories of phenomena where social and ecological processes are dynamically intertwined and prior causal knowledge and data are limited. The improved causal understanding also enhances governance by helping scientists and practitioners choose among potential interventions, decide when and how the timing of an intervention matters, and anticipate unexpected outcomes. Methodological integration, however, requires skills and efforts of all involved to learn how members of the respective other tradition think and analyze nature-society systems.

The importance of transient social dynamics for restoring ecosystems beyond ecological tipping points.

Regime shift modeling and management generally focus on tipping points, early warning indicators, and the prevention of abrupt shifts to undesirable states. Few studies assess the potential for restoring a deteriorating ecosystem that is on a transition pathway toward an undesirable state. During the transition, feedbacks that stabilize the new regime are still weak, providing an opportunity to reverse the ongoing shift. Here, we present a social-ecological model that explores both how transient social processes affect ecological dynamics in the vicinity of a tipping point to reinforce the desired state and how social mechanisms of policy implementation affect restoration time. We simulate transitions of a lake, policy making, and behavioral change by lake polluters to study the time lags that emerge as a response to the transient, deteriorating lake state. We found that restoration time is most sensitive to the timing of policy making, but that the transient dynamics of the social processes determined outcomes in nontrivial ways. Social pressure to adopt costly technology, in our case on-site sewage treatment, was up to a degree capable of compensating for delays in municipal policy making. Our analysis of interacting social and ecological time lags in the transient phase of a shallow lake highlights opportunities for restoration that a stable state analysis would miss. We discuss management perspectives for navigating critical feedbacks in a transitioning social-ecological system. The understanding of transient dynamics and the interaction with social time lags can be more relevant than solely stable states and tipping points.

Social relationship dynamics mediate climate impacts on income inequality: evidence from the Mexican Humboldt squid fishery.

Small-scale fisheries are critically important for livelihoods around the world, particularly in tropical regions. However, climate variability and anthropogenic climate change may seriously impact small-scale fisheries by altering the abundance and distribution of target species. Social relationships between fishery users, such as fish traders, can determine how each individual responds and is affected by changes in fisheries. These informal cooperative and competitive relationships provide access, support, and incentives for fishing and affect the distribution of benefits. Yet, individuals' actions and impacts on individuals are often the primary focus of the economic analyses informing small-scale fisheries' formal management. This focus dismisses relevant social relationships. We argue that this leads to a disconnect between reality and its model representation used in formal management, which may reduce formal fisheries management's efficiency and efficacy and potentially trigger adverse consequences. Here, we examine this argument by comparing the predictions of a simple bioeconomic fishery model with those of a social-ecological model that incorporates the dynamics of cooperative relationships between fish traders. We illustrate model outcomes using an empirical case study in the Mexican Humboldt squid fishery. We find that (1) the social-ecological model with relationship dynamics substantially improves accuracy in predicting observed fishery variables to the simple bioeconomic model. (2) Income inequality outcomes are associated with changes in cooperative trade relationships. When environmental temperature is included in the model as a driver of species production dynamics, we find that climate-driven temperature variability drives a decline in catch that, in turn, reduce fishers' income. We observe an offset of this loss in income by including cooperative relationships between fish traders (oligopoly) in the model. These relationships break down following species distribution changes and result in an increase in prices fishers receive. Finally, (3) our social-ecological model simulations show that the current fishery development program, which seeks to increase fishers' income through an increase in domestic market demand, is supported by predictions from the simple bioeconomic model, may increase income inequality between fishers and traders. Our findings highlight the real and urgent need to re-think fisheries management models in the context of small-scale fisheries and climate change worldwide to encompass social relationship dynamics. SUPPLEMENTARY INFORMATION: The online version contains supplementary material available at (10.1007/s10113-021-01747-5).

Sustainability transformations: socio-political shocks as opportunities for governance transitions.

Faced with accelerating environmental challenges, research on social-ecological systems is increasingly focused on the need for transformative change towards sustainable stewardship of natural resources. This paper analyses the potential of rapid, large-scale socio-political change as a window of opportunity for transformative change of natural resources governance. We hypothesize that shocks at higher levels of social organization may open up opportunities for transformation of social-ecological systems into new pathways of development. However, opportunities need to be carefully navigated otherwise transformations may stall or lead the social-ecological system in undesirable directions. We investigate (i) under which circumstances socio-political change has been used by actors as a window of opportunity for initiating transformation towards sustainable natural resource governance, (ii) how the different levels of the systems (landscape, regime and niche) interact to pave the way for initiating such transformations and (iii) which key features (cognitive, structural and agency-related) get mobilized for transformation. This is achieved through analyzing natural resource governance regimes of countries that have been subject to rapid, large-scale political change: water governance in South Africa and Uzbekistan and governance of coastal fisheries in Chile. In South Africa the political and economic change of the end of the apartheid regime resulted in a transformation of the water governance regime while in Uzbekistan after the breakdown of the Soviet Union change both at the economic and political scales and within the water governance regime remained superficial. In Chile the democratization process after the Pinochet era was used to transform the governance of coastal fisheries. The paper concludes with important insight on key capacities needed to navigate transformation towards biosphere stewardship. The study also contributes to a more nuanced view on the relationship between collapse and renewal.

Cross-scale cooperation enables sustainable use of a common-pool resource.

In social-ecological systems (SESs), social and biophysical dynamics interact within and between the levels of organization at multiple spatial and temporal scales. Cross-scale interactions (CSIs) are interdependences between processes at different scales, generating behaviour unpredictable at single scales. Understanding CSIs is important for improving SES governance, but they remain understudied. Theoretical models are needed that capture essential features while being simple enough to yield insights into mechanisms. In a stylized model, we study CSIs in a two-level system of weakly interacting communities harvesting a common-pool resource. Community members adaptively conform to, or defect from, a norm of socially optimal harvesting, enforced through social sanctioning both within and between communities. We find that each subsystem's dynamics depend sensitively on the other despite interactions being much weaker between subsystems than within them. When interaction is purely biophysical, stably high cooperation in one community can cause cooperation in the other to collapse. However, even weak social interaction can prevent the collapse of cooperation and instead cause collapse of defection. We identify conditions under which subsystem-level cooperation produces desirable system-level outcomes. Our findings expand evidence that collaboration is important for sustainably managing shared resources, showing its importance even when resource sharing and social relationships are weak.

Past management affects success of current joint forestry management institutions in Tajikistan.

In the Pamir Mountains of Eastern Tajikistan, the clearance of mountain forests to provide fuelwood for an increasing population is a major source of environmental degradation. International development organisations have implemented joint forestry management institutions to help restore once-forested mountainous regions, but the success of these institutions has been highly variable. This study uses a multi-method approach, drawing on institutional analysis supported by Elinor Ostrom's design principles and social-ecological system framework in combination with resilience thinking to help understand why some communities in Tajikistan manage their forests more sustainably than others. The application of the design principles provided helpful guidance for practitioners implementing joint forestry management. The social-ecological system analysis revealed both 'history of use' and 'tenant density' as positively associated with forest condition. However, we also identify limitations of snapshot social-ecological assessments. In particular, we illustrate the critical importance of considering historical legacy effects, such as externally imposed centralised governance regimes (that characterise many post-Soviet states) in attempts to understand current management practices. Our work shows how a more nuanced understanding of institutional change and inertia can be achieved by adopting a resilience approach to institutional analysis, focusing on the importance of reorganisation. Lessons learned from our analysis should be widely applicable to common pool resource management in other semi-arid forested landscapes as well as in regions with a strong centralised governance legacy.

An empirical model of the Baltic Sea reveals the importance of social dynamics for ecological regime shifts.

Regime shifts triggered by human activities and environmental changes have led to significant ecological and socioeconomic consequences in marine and terrestrial ecosystems worldwide. Ecological processes and feedbacks associated with regime shifts have received considerable attention, but human individual and collective behavior is rarely treated as an integrated component of such shifts. Here, we used generalized modeling to develop a coupled social-ecological model that integrated rich social and ecological data to investigate the role of social dynamics in the 1980s Baltic Sea cod boom and collapse. We showed that psychological, economic, and regulatory aspects of fisher decision making, in addition to ecological interactions, contributed both to the temporary persistence of the cod boom and to its subsequent collapse. These features of the social-ecological system also would have limited the effectiveness of stronger fishery regulations. Our results provide quantitative, empirical evidence that incorporating social dynamics into models of natural resources is critical for understanding how resources can be managed sustainably. We also show that generalized modeling, which is well-suited to collaborative model development and does not require detailed specification of causal relationships between system variables, can help tackle the complexities involved in creating and analyzing social-ecological models.

Robustness of norm-driven cooperation in the commons.

Sustainable use of common-pool resources such as fish, water or forests depends on the cooperation of resource users that restrain their individual extraction to socially optimal levels. Empirical evidence has shown that under certain social and biophysical conditions, self-organized cooperation in the commons can evolve. Global change, however, may drastically alter these conditions. We assess the robustness of cooperation to environmental variability in a stylized model of a community that harvests a shared resource. Community members follow a norm of socially optimal resource extraction, which is enforced through social sanctioning. Our results indicate that both resource abundance and a small increase in resource variability can lead to collapse of cooperation observed in the no-variability case, while either scarcity or large variability have the potential to stabilize it. The combined effects of changes in amount and variability can reinforce or counteract each other depending on their size and the initial level of cooperation in the community. If two socially separate groups are ecologically connected through resource leakage, cooperation in one can destabilize the other. These findings provide insights into possible effects of global change and spatial connectivity, indicating that there is no simple answer as to their effects on cooperation and sustainable resource use.

Crop booms as regime shifts.

A crop boom is a sudden, nonlinear and intense expansion of a new crop. Despite their large impacts, boom-bust dynamics are not well understood; booms are largely unpredictable and difficult to steer once they unfold. Based on the striking resemblances between land regime shifts and crop booms, we apply complex systems theory, highlighting the potential for regime shifts, to provide new insights about crop boom dynamics. We analyse qualitative and quantitative data of rubber and banana plantation expansion in two forest frontier regions of northern Laos. We show that preconditions, including previous booms, explain the occurrence (why) of booms, and triggers like policy and market changes explain their timing (when). Yet, the most important features of booms, their intensity and nonlinearity (how), strongly depended on internal self-reinforcing feedbacks. We identify built-in feedbacks (neighbourhood effects and imitation) and emergent feedbacks (land rush) and show that they were social in nature, multi-scale from plot to region and subject to thresholds. We suggest that these are regular features of booms and propose a definition and causal-mechanistic explanation of crop booms, examining the overlap between booms and regime shifts and the role of frontiers. We then identify opportunities for management interventions before, during and after booms.

Navigating causal reasoning in sustainability science.

When reasoning about causes of sustainability problems and possible solutions, sustainability scientists rely on disciplinary-based understanding of cause-effect relations. These disciplinary assumptions enable and constrain how causal knowledge is generated, yet they are rarely made explicit. In a multidisciplinary field like sustainability science, lack of understanding differences in causal reasoning impedes our ability to address complex sustainability problems. To support navigating the diversity of causal reasoning, we articulate when and how during a research process researchers engage in causal reasoning and discuss four common ideas about causation that direct it. This articulation provides guidance for researchers to make their own assumptions and choices transparent and to interpret other researchers' approaches. Understanding how causal claims are made and justified enables sustainability researchers to evaluate the diversity of causal claims, to build collaborations across disciplines, and to assess whether proposed solutions are suitable for a given problem.

Testing the Social Function of Metacognition for Common-Pool Resource Use.

Metacognition, the ability to monitor and evaluate our own cognitive processes, confers advantages to individuals and their own judgment. A more recent hypothesis, however, states that explicit metacognition may also enhance the collective judgment of groups, and may enhance human collaboration and coordination. Here, we investigate this social function hypothesis of metacognition with arguably one of the oldest collaboration problems humans face, common-pool resource use. Using an agent-based model that simulates repeated group interactions and the forming of collective judgments about resource extraction, we show that (1) in "kind" environments (where confidence and judgment accuracy correlate positively), explicit metacognition may allow groups to reach more accurate judgments compared to groups exchanging object-level information only; while (2) in "wicked" environments (where confidence and judgment accuracy correlate negatively), explicit metacognition may protect groups from the large judgment errors yielded by groups using metacognitive information for individual-level learning only (implicit metacognition). With explicit metacognition, this research highlights a novel mechanism which, among others, provides a testable explanation of the often-observed finding that groups all over the world communicate to enhance common property use.

The survival of the conformist: social pressure and renewable resource management.

This paper examines the role of other-regarding behavior as a mechanism for the establishment and maintenance of cooperation in resource use under variable social and environmental conditions. By coupling resource stock dynamics with social dynamics concerning compliance to a social norm prescribing non-excessive resource extraction in a common pool resource, we show that when reputational considerations matter and a sufficient level of social stigma affects the violators of a norm, sustainable outcomes are achieved. We find large parameter regions where norm-observing and norm-violating types coexist, and analyze to what extent such coexistence depends on the environment.

Rethinking resilience and development: A coevolutionary perspective.

The interdependence of social and ecological processes is broadly acknowledged in the pursuit to enhance human wellbeing and prosperity for all. Yet, development interventions continue to prioritise economic development and short-term goals with little consideration of social-ecological interdependencies, ultimately undermining resilience and therefore efforts to deliver development outcomes. We propose and advance a coevolutionary perspective for rethinking development and its relationship to resilience. The perspective rests on three propositions: (1) social-ecological relationships coevolve through processes of variation, selection and retention, which are manifest in practices; (2) resilience is the capacity to filter practices (i.e. to influence what is selected and retained); and (3) development is a coevolutionary process shaping pathways of persistence, adaptation or transformation. Development interventions affect and are affected by social-ecological relationships and their coevolutionary dynamics, with consequences for resilience, often with perverse outcomes. A coevolutionary approach enables development interventions to better consider social-ecological interdependencies and dynamics. Adopting a coevolutionary perspective, which we illustrate with a case on agricultural biodiversity, encourages a radical rethinking of how resilience and development are conceptualised and practiced across global to local scales.

Fish provision in a changing environment: The buffering effect of regional trade networks.

Local and regional trade networks in small-scale fisheries are important for food security and livelihoods across the world. Such networks consist of both economic flows and social relationships, which connect different production regions to different types of fish demand. The structure of such trade networks, and the actions that take place within them (e.g., people fishing, buying, selling), can influence the capacity of small-scale fisheries to provide sufficient fish in a changing social and ecological context. In this study, we aim to understand the importance of networks between different types of traders that access spatially-distinct fish stocks for the availability and variability of fish provision. We deployed a mixed-methods approach, combining agent-based modelling, network analysis and qualitative data from a small-scale fishery in Baja California Sur, Mexico. The empirical data allowed us to investigate the trade processes that occur within trade networks; and the generation of distinct, empirically-informed network structures. Formalized in an agent-based model, these network structures enable analysis of how different trade networks affect the dynamics of fish provision and the exploitation level of fish stocks. Model results reveal how trade strategies based on social relationships and species diversification can lead to spillover effects between fish species and fishing regions. We found that the proportion of different trader types and their spatial connectivity have the potential to increase fish provision. However, they can also increase overexploitation depending on the specific connectivity patterns and trader types. Moreover, increasing connectivity generally leads to positive outcomes for some individual traders, but this does not necessarily imply better outcomes at the system level. Overall, our model provides an empirically-grounded, stylized representation of a fisheries trading system, and reveals important trade-offs that should be considered when evaluating the potential effect of future changes in regional trade networks.

Governing the commons beyond harvesting: An empirical illustration from fishing.

Harvesting has received most theoretical, empirical, and policy attention towards understanding common-pool resource dilemmas. Yet, pre-harvesting and post-harvesting activities influence harvesting outcomes as well. Broadening the analytical focus beyond harvesting is needed to imagine new ways of theorizing and governing the commons. Fishing-which is synonymous with harvesting-is a case in point. We contribute to a beyond-harvesting research agenda by incorporating concepts from common-pool resources theory that have not received enough attention in the literature. We compare two ubiquitous self-organizing strategies (i.e., fishing cooperatives and patron-client relationships) fishers use to access means of production and analyze their effects on the distribution of benefits resulting from harvesting. We use rarely available longitudinal data of monetary loans to fishers in Mexican small-scale fisheries and find that cooperatives can deliver broader distribution of benefits than patron-client relationships. Our study highlights the importance of historically and contextually situating analyses linking the effects of pre-harvesting processes on harvesting outcomes, and the benefits of broadening the scope of inquiry beyond a narrow policy attention on harvesting to move towards a fuller understanding of commons dilemmas.

Sustainable natural resource governance under interest group competition in policy-making.

Non-state actors play an increasingly important role in environmental policy. Lobbying by interest groups has been associated with policy stagnation and environmental degradation as well as with sustainable governance. However, little is known about how competition between economic and environmental interests influences the ability of governance systems to avoid undesirable outcomes. We investigate how competing interest group behaviour affects sustainable resource management by tracing the policy change process in a case study of the European Union fisheries policy and analysing its dynamics with an agent-based model. We find that formation of interest group coalitions in response to a perceived crisis can delay or prevent collapses, even when the competing interests have unequal resources. We attribute such outcomes to the emergence and timing of a 'tug of war' mechanism between competing interest group coalitions. We argue that attempts to improve sustainable resource management must account for feedbacks from environmental change to behaviours of political actors.

Micro-level explanations for emergent patterns of self-governance arrangements in small-scale fisheries-A modeling approach.

Small-scale fisheries (SSFs) in developing countries are expected to play a significant role in poverty alleviation and enhancing food security in the decades to come. To realize this expectation, a better understanding of their informal self-governance arrangements is critical for developing policies that can improve fishers' livelihoods and lead to sustainable ecosystem stewardship. The goal of this paper is to develop a more nuanced understanding of micro-level factors-such as fishers' characteristics and behavior-to explain observed differences in self-governance arrangements in Northwest Mexico. We focus on two ubiquitous forms of self-governance: hierarchical non-cooperative arrangements between fishers and fishbuyers, such as patron-client relationships (PCs), versus more cooperative arrangements amongst fishers, such as fishing cooperatives (co-ops). We developed an agent-based model of an archetypical SSF that captures key hypotheses from in-depth fieldwork in Northwest Mexico of fishers' day-to-day fishing and trading. Results from our model indicate that high diversity in fishers' reliability, and low initial trust between co-op members, makes co-ops' establishment difficult. PCs cope better with this kind of diversity because, in contrast to co-ops, they have more flexibility in choosing whom to work with. However, once co-ops establish, they cope better with seasonal variability in fish abundance and provide long-term security for the fishers. We argue that existing levels of trust and diversity among fishers matter for different self-governance arrangements to establish and persist, and should therefore be taken into account when developing better, targeted policies for improved SSFs governance.

Resilience offers escape from trapped thinking on poverty alleviation.

The poverty trap concept strongly influences current research and policy on poverty alleviation. Financial or technological inputs intended to "push" the rural poor out of a poverty trap have had many successes but have also failed unexpectedly with serious ecological and social consequences that can reinforce poverty. Resilience thinking can help to (i) understand how these failures emerge from the complex relationships between humans and the ecosystems on which they depend and (ii) navigate diverse poverty alleviation strategies, such as transformative change, that may instead be required. First, we review commonly observed or assumed social-ecological relationships in rural development contexts, focusing on economic, biophysical, and cultural aspects of poverty. Second, we develop a classification of poverty alleviation strategies using insights from resilience research on social-ecological change. Last, we use these advances to develop stylized, multidimensional poverty trap models. The models show that (i) interventions that ignore nature and culture can reinforce poverty (particularly in agrobiodiverse landscapes), (ii) transformative change can instead open new pathways for poverty alleviation, and (iii) asset inputs may be effective in other contexts (for example, where resource degradation and poverty are tightly interlinked). Our model-based approach and insights offer a systematic way to review the consequences of the causal mechanisms that characterize poverty traps in different agricultural contexts and identify appropriate strategies for rural development challenges.

Cooperation Is Not Enough­Exploring Social-Ecological Micro-Foundations for Sustainable Common-Pool Resource Use [corrected].

Cooperation amongst resource users holds the key to overcoming the social dilemma that characterizes community-based common-pool resource management. But is cooperation alone enough to achieve sustainable resource use? The short answer is no. Developing management strategies in a complex social-ecological environment also requires ecological knowledge and approaches to deal with perceived environmental uncertainty. Recent behavioral experimental research indicates variation in the degree to which a group of users can identify a sustainable exploitation level. In this paper, we identify social-ecological micro-foundations that facilitate cooperative sustainable common-pool resource use. We do so by using an agent-based model (ABM) that is informed by behavioral common-pool resource experiments. In these experiments, groups that cooperate do not necessarily manage the resource sustainably, but also over- or underexploit. By reproducing the patterns of the behavioral experiments in a qualitative way, the ABM represents a social-ecological explanation for the experimental observations. We find that the ecological knowledge of each group member cannot sufficiently explain the relationship between cooperation and sustainable resource use. Instead, the development of a sustainable exploitation level depends on the distribution of ecological knowledge among the group members, their influence on each other's knowledge, and the environmental uncertainty the individuals perceive. The study provides insights about critical social-ecological micro-foundations underpinning collective action and sustainable resource management. These insights may inform policy-making, but also point to future research needs regarding the mechanisms of social learning, the development of shared management strategies and the interplay of social and ecological uncertainty.