In this synthesis, we hope to accomplish two things: 1) reflect on how the analysis of the new archaeological cases presented in this special feature adds to previous case studies by revisiting a set of propositions reported in a 2006 special feature, and 2) reflect on four main ideas that are more specific to the archaeological cases: i) societal choices are influenced by robustness–vulnerability trade-offs, ii) there is interplay between robustness–vulnerability trade-offs and robustness–performance trade-offs, iii) societies often get locked in to particular strategies, and iv) multiple positive feedbacks escalate the perceived cost of societal change. We then discuss whether these lock-in traps can be prevented or whether the risks associated with them can be mitigated. We conclude by highlighting how these long-term historical studies can help us to understand current society, societal practices, and the nexus between ecology and society.
What relationships can be understood between resilience and vulnerability in social-ecological systems? In particular, what vulnerabilities are exacerbated or ameliorated by different sets of social practices associated with water management? These questions have been examined primarily through the study of contemporary or recent historic cases. Archaeology extends scientific observation beyond all social memory and can thus illuminate interactions occurring over centuries or millennia. We examined trade-offs of resilience and vulnerability in the changing social, technological, and environmental contexts of three long-term, pre-Hispanic sequences in the U.S. Southwest: the Mimbres area in southwestern New Mexico (AD 650–1450), the Zuni area in northern New Mexico (AD 850–1540), and the Hohokam area in central Arizona (AD 700–1450). In all three arid landscapes, people relied on agricultural systems that depended on physical and social infrastructure that diverted adequate water to agricultural soils. However, investments in infrastructure varied across the cases, as did local environmental conditions. Zuni farming employed a variety of small-scale water control strategies, including centuries of reliance on small runoff agricultural systems; Mimbres fields were primarily watered by small-scale canals feeding floodplain fields; and the Hohokam area had the largest canal system in pre-Hispanic North America. The cases also vary in their historical trajectories: at Zuni, population and resource use remained comparatively stable over centuries, extending into the historic period; in the Mimbres and Hohokam areas, there were major demographic and environmental transformations. Comparisons across these cases thus allow an understanding of factors that promote vulnerability and influence resilience in specific contexts.
First, the IG was used to code the regulatory formal treaty rules. The coded statements were then assessed to determine the rule linkages and dynamic interactions with a focus on monitoring and related reporting and enforcement mechanisms. Treaties with a regulatory structure included a greater number and more tightly linked rules related to these mechanisms than less regulatory instruments. A higher number of actors involved in these activities at multiple levels also seemed critical to a well-functioning monitoring system.
Then, drawing on existing research, I built a set of constitutive rule typologies to supplement the IG and code the treaties’ constitutive rules. I determined the level of fit between the constitutive and regulatory rules by examining the monitoring mechanisms, as well as treaty opt-out processes. Treaties that relied on constitutive rules to guide actor decision-making generally exhibited gaps and poorer rule fit. Regimes which used constitutive rules to provide actors with information related to the aims, values, and context under which regulatory rules were being advanced tended to exhibit better fit, rule consistency, and completeness.
The information generated in the prior studies, as well as expert interviews, and the analytical frameworks of Ostrom’s design principles, fit, and polycentricity, then aided the analysis of treaty robustness. While all four treaties were polycentric, regulatory regimes exhibited strong information processing feedbacks as evidenced by the presence of all design principles (in form and as perceived by experts) making them theoretically more robust to change than non-regulatory ones. Interestingly, treaties with contested decision-making seemed more robust to change indicating contestation facilitates robust decision-making or its effects are ameliorated by rule design.
On-going efforts to understand the dynamics of coupled social-ecological (or more broadly, coupled infrastructure) 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 which increase 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 inhibiting synthesis, meta-analysis, and the validation of findings. Research efforts are further hampered when case inclusion criteria, variable definitions, coding schema, and inter-coder 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; then highlights valuable lessons learned; and finally discusses opportunities for further research on comparative case study analysis focusing on social-ecological systems and common pool resources. Includes supplemental materials and appendices published in the International Journal of the Commons 2016 Special Issue. Volume 10 - Issue 2 - 2016.