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Large-N comparative studies have helped common pool resource scholars gain general insights into the factors that influence collective action and governance outcomes. However, these studies are often limited by missing data, and suffer from the methodological limitation that important information is lost when we reduce textual information to quantitative data.

Large-N comparative studies have helped common pool resource scholars gain general insights into the factors that influence collective action and governance outcomes. However, these studies are often limited by missing data, and suffer from the methodological limitation that important information is lost when we reduce textual information to quantitative data. This study was motivated by nine case studies that appeared to be inconsistent with the expectation that the presence of Ostrom’s Design Principles increases the likelihood of successful common pool resource governance. These cases highlight the limitations of coding and analyzing Large-N case studies.

We examine two issues: 1) the challenge of missing data and 2) potential approaches that rely on context (which is often lost in the coding process) to address inconsistencies between empirical observations theoretical predictions. For the latter, we conduct a post-hoc qualitative analysis of a large-N comparative study to explore 2 types of inconsistencies: 1) cases where evidence for nearly all design principles was found, but available evidence led to the assessment that the CPR system was unsuccessful and 2) cases where the CPR system was deemed successful despite finding limited or no evidence for design principles. We describe inherent challenges to large-N comparative analysis to coding complex and dynamically changing common pool resource systems for the presence or absence of design principles and the determination of “success”. Finally, we illustrate how, in some cases, our qualitative analysis revealed that the identity of absent design principles explained inconsistencies hence de-facto reconciling such apparent inconsistencies with theoretical predictions. This analysis demonstrates the value of combining quantitative and qualitative analysis, and using mixed-methods approaches iteratively to build comprehensive methodological and theoretical approaches to understanding common pool resource governance in a dynamically changing context.

ContributorsBarnett, Allain (Author) / Baggio, Jacopo (Author) / Shin, Hoon Cheol (Author) / Yu, David (Author) / Perez Ibarra, Irene (Author) / Rubinos, Cathy (Author) / Brady, Ute (Author) / Ratajczyk, Elicia (Author) / Rollins, Nathan (Author) / Aggarwal, Rimjhim (Author) / Anderies, John (Author) / Janssen, Marco (Author) / ASU-SFI Center for Biosocial Complex Systems (Contributor)
Created2016-09-09
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Research on collective action and common-pool resources is extensive. However, little work has concentrated on the effect of variability in resource availability and collective action, especially in the context of asymmetric access to resources. Earlier works have demonstrated that environmental variability often leads to a reduction of collective action in

Research on collective action and common-pool resources is extensive. However, little work has concentrated on the effect of variability in resource availability and collective action, especially in the context of asymmetric access to resources. Earlier works have demonstrated that environmental variability often leads to a reduction of collective action in the governance of shared resources. Here we assess how environmental variability may impact collective action. We performed a behavioral experiment involving an irrigation dilemma. In this dilemma participants invested first into a public fund that generated water resources for the group, which were subsequently appropriated by one participant at a time from head end to tail end. The amount of resource generated for the given investment level was determined by a payoff table and a stochastic event representing environmental variability, i.e., rainfall. Results show that that (1) upstream users’ behavior is by far the most important variable in determining the outcome of collective action; (2) environmental variability (i.e. risk level in investing in the resource) has little effect on individual investment and extraction levels; and (3) the action-reaction feedback is fundamental in determining the success or failure of communities.

ContributorsBaggio, Jacopo (Author) / Rollins, Nathan (Author) / Perez, Irene (Author) / Janssen, Marco (Author) / ASU-SFI Center for Biosocial Complex Systems (Contributor)
Created2015
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Protected areas are a cornerstone of biodiversity conservation, and increasingly, conservation science is integrating ecological and social considerations in park management. Indeed, both social and ecological factors need to be considered to understand processes that lead to changes in environmental conditions. Here, we use a social-ecological systems lens to examine

Protected areas are a cornerstone of biodiversity conservation, and increasingly, conservation science is integrating ecological and social considerations in park management. Indeed, both social and ecological factors need to be considered to understand processes that lead to changes in environmental conditions. Here, we use a social-ecological systems lens to examine changes in governance through time in an extensive regional protected area network, the Great Barrier Reef Marine Park. We studied the peer-reviewed and nonpeer-reviewed literature to develop an understanding of governance of the Great Barrier Reef Marine Park and its management changes through time. In particular, we examined how interacting and changing property rights, as designated by the evolving marine protected area network and other institutional changes (e.g., fisheries management), defined multiple goods and ecosystem services and altered who could benefit from them.

The rezoning of the Great Barrier Reef Marine Park in 2004 substantially altered the types and distribution of property rights and associated benefits from ecosystem goods and services. Initially, common-pool resources were enjoyed as common and private benefits at the expense of public goods (overexploited fisheries and reduced biodiversity and ecosystem health). The rezoning redefined the available goods and benefits and who could benefit, prioritizing public goods and benefits (i.e., biodiversity conservation), and inducing private costs (through reduced fishing). We also found that the original conceptualization of the step-wise progression of property rights from user to owner oversimplifies property rights based on its division into operational and collective-choice rule-making levels. Instead, we suggest that a diversity of available management tools implemented simultaneously can result in interactions that are seldom fully captured by the original conceptualization of the bundling of property rights. Understanding the complexities associated with overlapping property rights and multiple goods and ecosystem services, particularly within large-scale systems, can help elucidate the source and nature of some of the governance challenges that large protected areas are facing.

Created2015
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Institutions, the rules of the game that shape repeated human interactions, clearly play a critical role in helping groups avoid the inefficient use of shared resources such as fisheries, freshwater, and the assimilative capacity of the environment. Institutions, however, are intimately intertwined with the human, social, and biophysical context within

Institutions, the rules of the game that shape repeated human interactions, clearly play a critical role in helping groups avoid the inefficient use of shared resources such as fisheries, freshwater, and the assimilative capacity of the environment. Institutions, however, are intimately intertwined with the human, social, and biophysical context within which they operate. Scholars typically are careful to take this context into account when studying institutions and Ostrom’s Institutional Design Principles are a case in point. Scholars have tested whether Ostrom’s Design Principles, which specify broad relationships between institutional arrangements and context, actually support successful governance of shared resources. This article further contributes to this line of research by leveraging the notion of institutional design to outline a research trajectory focused on coupled infrastructure systems in which institutions are seen as one class of infrastructure among many that dynamically interact to produce outcomes over time.

ContributorsAnderies, John (Author) / Janssen, Marco (Author) / Schlager, Edella (Author) / College of Liberal Arts and Sciences (Contributor)
Created2016-09-23
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In order to improve the efficiency of government spending, it is necessary for the decentralized irrigation management to gain support from local institutions. Efficient institutions take on several distinct configurations in different irrigation districts. In this research, we upgrade Tang’s (1992) framework focusing on incentives, to a framework that includes

In order to improve the efficiency of government spending, it is necessary for the decentralized irrigation management to gain support from local institutions. Efficient institutions take on several distinct configurations in different irrigation districts. In this research, we upgrade Tang’s (1992) framework focusing on incentives, to a framework that includes institutional incentives and coordination. Within the framework, we then classify 5 institutional variables: water pricing reform (P), government funding (F), coordination by administration (C), having formal monitors (M) and self-organized management (S). This article processes the data obtained through a field survey (2009–2011) in 20 of China’s southern counties, where they implement the “Small-scale Irrigation and Water Conservancy Key Counties Construction (Key Counties Construction)”, a national project supported by the central government. Next, it applies Data Envelopment Analysis (DEA) to measure the efficiency of government spending and uses Qualitative Comparative Analysis (QCA) to extract efficient institutional configurations. It concludes that there are generally three types of institutional configurations able to improve the efficiency of government spending, which are respectively: “government funding combined with coordination by administration”, “water pricing reform combined with self-organized management and coordination by administration or water pricing reform combined with self-organized management and government funding and formal monitors” and “self-organized management”. Among these, the second configuration is a mixed governance structure with multiple institutions coexisting, and this configuration occurs in the most efficient key counties. For that reason, it is viewed as the mainstream irrigation management approach, and we expect it to be the development trend in the future. Although Chinese irrigation policies are formalizing effective local institutions, they are still not sufficient. Future policies are needed to 1) promote institutions of government support for water laws in order to build stable expectations for both water user associations (WUAs) and farmers, 2) guide water pricing reform by ensuring farmers’ water rights and regulating water markets, and 3) provide opportunities for hiring professional monitors and crafting formal rules.

Created2016-02-01
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Groundwater is a common-pool resource that is subject to depletion in many places around the world as a result of increased use of irrigation and water-demanding cash crops. Where state capacity to control groundwater use is limited, collective action is important to increase recharge and restrict highly water-consumptive crops. We

Groundwater is a common-pool resource that is subject to depletion in many places around the world as a result of increased use of irrigation and water-demanding cash crops. Where state capacity to control groundwater use is limited, collective action is important to increase recharge and restrict highly water-consumptive crops. We present results of field experiments in hard rock areas of Andhra Pradesh, India, to examine factors affecting groundwater use. Two nongovernmental organizations (NGOs) ran the games in communities where they were working to improve watershed and water management. Results indicate that, when the links between crop choice and groundwater depletion is made explicit, farmers can act cooperatively to address this problem. Longer NGO involvement in the villages was associated with more cooperative outcomes in the games. Individuals with more education and higher perceived community social capital played more cooperatively, but neither gender nor method of payment had a significantly effect on individual behavior. When participants could repeat the game with communication, similar crop choice patterns were observed. The games provided an entry point for discussion on the understanding of communities of the interconnectedness of groundwater use and crop choice.

ContributorsMeinzen-Dick, Ruth (Author) / Chaturvedi, Rahul (Author) / Domenech, Laia (Author) / Ghate, Rucha (Author) / Janssen, Marco (Author) / Rollins, Nathan (Author) / Sandeep, K. (Author) / Julie Ann Wrigley Global Institute of Sustainability (Contributor)
Created2016
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Based on considerable neurophysiological evidence, Roy (2012) proposed the theory that localist representation is widely used in the brain, starting from the lowest levels of processing. Grandmother cells are a special case of localist representation. In this article, I present the theory that grandmother cells are also widely used in

Based on considerable neurophysiological evidence, Roy (2012) proposed the theory that localist representation is widely used in the brain, starting from the lowest levels of processing. Grandmother cells are a special case of localist representation. In this article, I present the theory that grandmother cells are also widely used in the brain. To support the proposed theory, I present neurophysiological evidence and an analysis of the concept of grandmother cells. Konorski (1967) first predicted the existence of grandmother cells (he called them “gnostic” neurons) - single neurons that respond to complex stimuli such as faces, hands, expressions, objects, and so on. The term “grandmother cell” was introduced by Jerry Lettvin in 1969 (Barlow, 1995).

ContributorsRoy, Asim (Author) / W.P. Carey School of Business (Contributor)
Created2013-05-24
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Social-ecological organization is a multidimensional phenomenon that combines material and symbolic processes. However, the coupling between social and ecological subsystem is often conceptualized as purely material, thus reducing the symbolic dimension to its behavioral and actionable expressions. In this paper I conceptualize social-ecological systems as doubly coupled. On the one

Social-ecological organization is a multidimensional phenomenon that combines material and symbolic processes. However, the coupling between social and ecological subsystem is often conceptualized as purely material, thus reducing the symbolic dimension to its behavioral and actionable expressions. In this paper I conceptualize social-ecological systems as doubly coupled. On the one hand, material expressions of socio-cultural processes affect and are affected by ecological dynamics. On the other hand, coupled social-ecological material dynamics are concurrently coupled with subjective dynamics via coding, decoding, personal experience, and human agency. This second coupling operates across two organizationally heterogeneous dimensions: material and symbolic. Although resilience thinking builds on the recognition of organizational asymmetry between living and nonliving systems, it has overlooked the equivalent asymmetry between ecological and socio-cultural subsystems.

Three guiding concepts are proposed to formalize double coupling. The first one, social-ecological asymmetry, expands on past seminal work on ecological self-organization to incorporate reflexivity and subjectivity in social-ecological modeling. Organizational asymmetry is based in the distinction between social rules, which are symbolically produced and changed through human agents’ reflexivity and purpose, and biophysical rules, which are determined by functional relations between ecological components. The second guiding concept, conscious power, brings to the fore human agents’ distinctive capacity to produce our own subjective identity and the consequences of this capacity for social-ecological organization. The third concept, congruence between subjective and objective dynamics, redefines sustainability as contingent on congruent relations between material and symbolic processes. Social-ecological theories and analyses based on these three guiding concepts would support the integration of current structuralist-functionalist methods, which sufficiently and appropriately characterize ecological organization, with ethnographic and narrative methods exploring human intentionality, reflexivity, and biographical development.

Created2015
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The structure and dynamics of ecosystems can affect the information available to resource users on the state of the common resource and the actions of other resource users. We present results from laboratory experiments that showed that the availability of information about the actions of other participants affected the level

The structure and dynamics of ecosystems can affect the information available to resource users on the state of the common resource and the actions of other resource users. We present results from laboratory experiments that showed that the availability of information about the actions of other participants affected the level of cooperation. Since most participants in commons dilemmas can be classified as conditional cooperators, not having full information about the actions of others may affect their decisions. When participants had more information about others, there was a more rapid reduction of the resource in the first round of the experiment. When communication was allowed, limiting the information available made it harder to develop effective institutional arrangements. When communication was not allowed, there was a more rapid decline of performance in groups where information was limited. In sum, the results suggest that making information available to others can have an important impact on the conditional cooperation and the effectiveness of communication.

Created2013
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In this study, WRF-Chem is utilized at high resolution (1.333 km grid spacing for the innermost domain) to investigate impacts of southern California anthropogenic emissions (SoCal) on Phoenix ground-level ozone concentrations ([O3]) for a pair of recent exceedance episodes. First, WRF-Chem control simulations, based on the US Environmental Protection Agency

In this study, WRF-Chem is utilized at high resolution (1.333 km grid spacing for the innermost domain) to investigate impacts of southern California anthropogenic emissions (SoCal) on Phoenix ground-level ozone concentrations ([O3]) for a pair of recent exceedance episodes. First, WRF-Chem control simulations, based on the US Environmental Protection Agency (EPA) 2005 National Emissions Inventories (NEI05), are conducted to evaluate model performance. Compared with surface observations of hourly ozone, CO, NOX, and wind fields, the control simulations reproduce observed variability well. Simulated [O3] are comparable with the previous studies in this region. Next, the relative contribution of SoCal and Arizona local anthropogenic emissions (AZ) to ozone exceedances within the Phoenix metropolitan area is investigated via a trio of sensitivity simulations: (1) SoCal emissions are excluded, with all other emissions as in Control; (2) AZ emissions are excluded with all other emissions as in Control; and (3) SoCal and AZ emissions are excluded (i.e., all anthropogenic emissions are eliminated) to account only for Biogenic emissions and lateral boundary inflow (BILB). Based on the USEPA NEI05, results for the selected events indicate the impacts of AZ emissions are dominant on daily maximum 8 h average (DMA8) [O3] in Phoenix. SoCal contributions to DMA8 [O3] for the Phoenix metropolitan area range from a few ppbv to over 30 ppbv (10–30 % relative to Control experiments). [O3] from SoCal and AZ emissions exhibit the expected diurnal characteristics that are determined by physical and photochemical processes, while BILB contributions to DMA8 [O3] in Phoenix also play a key role.

ContributorsLi, Jialun (Author) / Georgescu, Matei (Author) / Hyde, Peter (Author) / Mahalov, Alex (Author) / Moustaoui, Mohamed (Author) / Julie Ann Wrigley Global Institute of Sustainability (Contributor)
Created2015-08-21