Author Archive for Steve Carpenter

Scenarios and Resilience

People or organizations can focus their effort on a narrow goal, or they can diversify the uses of resources to explore and innovate. It is hard to do both at the same time. This pattern arises in politics as well as in corporations, agencies or academic institutions. When politics of democracies begin to lock into a stationary state, party positions are caricatures, messages are simplistic, campaigns are tightly scripted, media events are rigidly coordinated, and big donors demand loyal candidates. These conditions do not encourage broad, creative, inventive discussions of the most important problems of the day. Such a political environment seems hopelessly incapable of addressing the multiple shocks of the present – the credit crisis, sharply rising prices of energy and food, shortage of arable land, declining capacity of ecosystems to produce the goods that people need, and the complex challenges of climate change, among others. These shocks are unprecedented, so the solutions are novel – the kinds of solutions that cannot emerge from gridlock politics.

Nonetheless, people need answers to complex questions. In a recent global survey, respondents were asked to identify the questions that were most important to them. Questions were then ranked in order of the number of respondents who identified them as important. All of the top-ranking questions were deeply complex. What does sustainability look like? How must humans adapt to survive the changes of this century? What economic structures best support a shift to sustainability? How can we re-invent politics so people feel that they have a voice? What kind of leadership does the world need now?

Complex questions can be addressed by scenarios – sets of stories about the future, derived from collaborative processes and models, designed to integrate diverse perspectives. The scenarios of the Millennium Ecosystem Assessment are a recent example.

Scenarios are a way of building resilience – the capacity to maintain useful features of nature and society, while inventing and implementing transformations to new ways of living. In a recent talk at Resilience 2008 I discussed some of the connections between scenarios and resilience. To break out of traps, people need positive stories of what the future could be, and blunt warnings of dangerous paths. Scenarios provide such motivating visions. Moreover, the process of scenario-building itself may create connections that enable transformation. Scenario projects form networks of people in settings that promote playful, inventive thinking at the margin of formal politics. The scenarios, the insights, the people, or the networks themselves are capable of infiltrating wider thinking, and thereby contributing to change when the conditions are right.

What could expand the use of scenarios to build resilience? We need more people trained in relevant skills such as collaboration, rapid prototyping, flexible fast modeling, synthesis, and use of art, music, science and stories together. Courses exist and a sizeable literature is available. Yet the best way to learn scenarios is by doing. Why not try scenario thinking the next time you face a complex problem with long-term consequences?

Endless Forms Most Beautiful

The closing words of Darwin’s Origin of Species are probably the best known passage in all of biology: “There is a grandeur in this view of life, with its several powers, having been originally breathed into a few forms or into one; and that whilst this planet has gone cycling on according to the fixed law of gravity, from so simple a beginning endless forms most beautiful and most wonderful have been, and are being, evolved”.

Darwin deliberately contrasted predictable cycles with the endless change of biological systems. How does novelty arise in evolution? Genetic variation alone seems insufficient. How do the nearly-identical genomes of bonobos, chimpanzees and humans give rise to such different organisms? The answer, as Darwin himself suspected, lies in the dynamics of development of organisms from embryos to adults.

In Endless Forms Most Beautiful (Norton, 2005), University of Wisconsin biologist Sean Carroll explains the mechanisms of animal development with breathtaking clarity. Some of the key discoveries come from his own work on developmental differentiation of the striking patterns of butterfly wings.

Butterfly

Carroll emphasizes three hallmarks of evolutionary innovation: (1) evolution works by modifying structures and processes that are already present, not by creation de novo; (2) structures and processes in organisms are multifunctional and partially overlapping, opening the possibility for differentiation through specializing or reorganizing the division of labor; and (3) organisms are modular, opening the possibility of changing the number of modules or the functions of individual modules. The underpinnings of modularity are modular geography of embryos, and modular genetic switches which allow evolutionary change to occur in one part of the organism, independent of other parts. He writes:

We have seen that insects, pterosaurs, birds or bats did not invent wing genes, butterflies a spot gene, or humans a bipedalism or speech gene. Rather, innovation in all these groups has been a matter of modifying existing structures and teaching old genes new tricks.

The key to innovation at the genetic level is the multifunctionality of tool kit genes. The multifunctionality of tool kit genes stems from their deployment at different times and places through batteries of genetic switches. In this manner, a protein such as Distal-less can act at one time to promote limb formation, and at another to promote eyespot development. The protein made each time is identical, so the difference in function is due to its action on different switches in these different contexts.

At an anatomical level, multifunctionality and redundancy are keys to understanding the evolutionary transitions in structures . . .The history of these structures also illustrates how “endless forms” evolve through cycles of invention and expansion. New structures open up new ways of living. The insect wing led to the evolution of dragonflies and mayflies, butterflies and beetles, fleas and flies, and more. The expansion of these groups was catalyzed in turn by a cycle of innovation and expansion by making modifications to the wings or body plan . . .

Why are existing body parts and genes the more frequent pathway to innovation? This is a matter of probability. Variation in existing structures and genes is more likely to arise than are new structures or genes, and this variation is therefore more abundant for selection to act upon.

The tool kit genes central to evolutionary innovation have been conserved through about 500 million years of animal evolution, and are found across the animal kingdom. Paradoxically, the fundamental mechanisms of evolutionary innovation have been strongly stabilized over eons of time.

Punctuated Equilibrium in Environmental Policy

Readers familiar with panarchy theory will find a rich set of relevant examples in a new book edited by Robert Repetto, Punctuated Equilibrium and the Dynamics of U.S. Environmental Policy.

In Chapter 2, Frank Baumgartner explains how U.S. environmental policy shows is static for long periods of time, reflecting stable institutional structures, shared understanding of goals, and balance of power among competing interests. Occasionally, however, there are bursts of innovation as public policies are radically restructured. These rare but crucially important bursts of innovation occur across a range of scales, from local to national. Baumgartner makes his case using statistical case histories of policy dynamics.

William Brock, in Chapter 3, explains social and economic mechanisms that cause long periods of stasis interrupted by bursts of enormous change in environmental policy. Brock uses minimal models grounded in well-established social and economic phenomena. The remainder of the book develops case studies in depth.

Some cases have undergone radical change: management of water in California, certain marine fisheries, and timber in the Pacific Northwest. Other systems seem locked in traps: greenhouse gas and climate policy, vehicular fuel economy standards, and livestock grazing on public lands. History suggests that these traps will eventually be broken.

In his introductory chapter, Repetto summarizes the positive and negative feedback mechanisms that underlie punctuated equilibrium. He writes:

Though they [the feedback mechanisms] are fully capable of explaining the observed patterns of stability and abrupt change, their workings are difficult to predict in particular policy struggles because of their complex interactions. The infrequency of policy breakthroughs suggests that most efforts to bring them about will fail. Entrenched interests and ideology will retain their dominance; challengers will be unable to gather sufficient resources, attention, and momentum. Nonetheless, such failed efforts may build a foundation for later success when conditions are more favorable by undermining the prevailing policy image, by mobilizing new interests, and by forming new coalitions. Even knowing that the odds are long, effective policymakers continue to work on their issues in order to be ready and primed when opportunities arise. Timing is crucial . . . . Across the broad range of resource and environmental policy issues, only a few, if any, are likely to have potential for significant change at any particular time. The ability to discern which ones these are is a vital strategic skill.

This pattern is well known to researchers familiar with adaptive cycles and panarchy. Surprisingly, this scholarly and well-documented volume has almost no references to research on adaptive cycles, resilience and panarchy. The lone exception is a citation to the 2002 Panarchy book edited by Gunderson and Holling. I hope that there is more exchange of ideas on punctuated policy dynamics and panarchy in the future.

Tremors and Tipping Points

Tipping points cause some important ecosystem surprises.  Examples include collapses of rangelands, water quality, and some fisheries.  The trouble with tipping points is that they are hard to anticipate in advance.  However, tremors may provide an advance warning of some tipping points.

The graphic shows a model of a pastoral system .  There is a tipping point when the stocking level of herbivores is about 5.  Above the tipping point, grassy vegetation disappears and the grazing system collapses.  As the tipping point is approached from low levels of herbivores, the standard deviation of grass biomass rises sharply before the tipping point is reached.  If the herbivore level is rising slowly enough, the rise in standard deviation could provide advance warning of impending collapse.  If the pastoralist was attentive to the warning, sheep numbers could be reduced in time to prevent the collapse.
 Pastoral Ecosystem

 Thomas Kleinen and colleagues have shown that reddening of the variance spectrum can anticipate rapid climate changes such as those that could result from a breakdown in ocean circulation.  Steve Carpenter and Buz Brock have analyzed water pollution, air pollution, and social systems that tremble before they tip.  They demonstrate increases in variance, which may be more easily detected than reddening of spectra.  Importantly, the variance increases can be detected with simple statistical filters using common time-series data.  No particular knowledge of the actual ecosystem dynamics is required.  Berglund and Gentz compare hard losses of stability in which an attractor vanishes (such as the pastoral system shown here) with soft losses of stability where an attractor divides like a braided river.  Hard losses of stability — the regime shifts that cause resource collapses — may provide stronger advance warnings than soft losses of stability — the regime shifts that gradually and imperceptibly create traps for ecosystem management.  Ludwig, Walker and Holling provide a more general discussion of hard and soft losses of stability in ecosystems.

 

Self-Organization of Ecosystem Lumpiness

niche evolutionWe have growing evidence that ecosystems are lumpy. Along an axis such as body size, for example, we find clusters of similar-sized species separated by intervals of body size in which no species are found. Multiple explanations exist for lumpy patterns, and causes are still debated. Scheffer and van Nes present a simple mathematical explanation for evolution of lumpy patterns in ecosystems. Their article appears in the Early Edition of PNAS on 3 April 2006. The abstract states

Here we show that self-organized clusters of look-a-likes may emerge spontaneously from evolution of competitors. The explanation is that there are two alternative ways to survive together: being sufficiently different or being sufficiently similar. Using a model based on classical competition theory, we demonstrate a tendency for evolutionary emergence of regularly spaced lumps of similar species along a niche axis . . . Our result suggest that these patterns may represent self-constructed niches emerging from competitive interactions.

Later, the authors comment

Finally, it is worth noting a remarkable link to Hotelling’s theory in social sciences suggesting that competition of companies or political parties will often lead to convergence rather than differentiation. In this field of research, the focus is on the problem that such convergence is not in the interest of the public. For instance, having more of the same kind of TV channels is not better. By contrast, the seeming redundancy of similar species in nature may be essential to ensure ecosystem functioning in the face of adverse impacts.

When Scheffer and van Nes’s article is published in the print version of PNAS, it will be accompanied by a commentary written by Craig Allen which places the new findings in the context of research on lumps dating to the original discovery by C.S. Holling in 1992 (Ecological Monographs 62: 447-502).

Greening of Cost-Benefit Analysis

The use of economic discounting for environmental decision analysis is often criticized. Discounting refers to the method of weighing present versus future benefits. Customarily, discounting has been calculated at a constant exponential rate, analogous to the interest rate on a loan. This can lead to absurd results. For example, living resources that grow more slowly than the discount rate (such as redwoods and whales) should be harvested to extinction, according to cost-benefit analyses using constant exponential discounting. Such outcomes have led some scientists and environmentalists to reject cost-benefit analysis for environmental decisions.

However, recent research shows that constant economic discounting is not supported by data for decisions with long time horizons. Proper approaches to discounting yield much greener decisions . Diverse economic models show that future interest rates are highly uncertain. Therefore environmental cost-benefit analyses must consider outcomes over a plausible range of models for future discount rates. When outcomes are averaged, models with relatively severe discounting (such as the constant exponential model) have negligible impact after a long period of time has elapsed. Instead, models that lightly discount the future have greatest impact on decisions. Thus optimal decisions are far greener than previously thought.

The greening effect is especially notable for decisions that involve environmental tipping points, such as species extinctions, freshwater quality, and climate change. Proper economic discounting leads to conservation-friendly decisions in these cases.

Constant exponential discounting has been a powerful obstacle to adaptive ecosystem management, because it downgrades the present value of future information. However, when discounting is done properly then learning has greater weight in decisions, favoring adaptive ecosystem management.

The Millennium Ecosystem Assessment has shown that properly computed cost-benefit analyses would often lead to conservation (rather than conversion) of ecosystems, even using constant exponential discounting. Proper discounting would favor conservation in an even wider variety of cases.

New Journals

Sustainability: Science, Practice, & Policy is a new peer-reviewed, open access journal that provides a platform for the dissemination of new practices and for dialogue emerging out of the field of sustainability. According to the journal’s web site, “The e-Journal fills a gap in the literature by establishing a forum for cross-disciplinary discussion of empirical and social sciences, practices, and policies related to sustainability. Sustainability will facilitate communication among scientists, practitioners, and policy makers who are investigating and shaping nature-society interactions and working towards sustainable solutions.”

Foresight: The International Journal of Applied Forecasting is an official publication of the International Institute of Forecasters.
The first issue contains a special feature on judgemental adjustment of statistical forecasts. These are methods for combining soft information or mental models held by individuals with statistical or mathematical models. The issue also includes a paper by John Boylan, “Intermittent and lumpy demand: a forecasting challenge”. In business, “slow items with intermittent and lumpy demand patterns may seem unimportant, but they can make up a substantial part of an organization’s inventory”. Boylan describes several methods for determining and forecasting regularities in lumpy time series. His discussion may be of interest to researchers studying lumpy series from a wide range of systems.

Positive Steps for Resilient Ecosystem Services

Although much of the mainstream press attention to the Millennium Ecosystem Assessment (see State of the World’s Ecosystems posted 31 March 2005) has emphasized the losses of ecosystem services and the adverse trends, a substantial fraction of the MA technical reports is devoted to positive, feasible steps that can be taken to improve ecosystem services in the future. All of these proactive steps are grounded in policies that are presently in place somewhere in the world today. A few examples:

• Increase the use of economic instruments and market-based approaches, e.g. assignments of property rights for ecosystem services, user fees for externalities, payment for ecosystem services, and mechanisms to express consumer preferences through markets (such as certification schemes)

• Explicitly include ecosystem services in poverty-reduction strategies

• Connect environmental management across ministries and sectors, instead of isolating it in a single ministry

• Create co-management systems to maintain reserves as part of regional mosaics

• Include local and indigenous knowledge, as well as technical knowledge, in decision-making

• Expand information available to individuals about how ecosystems affect them, and how their actions affect ecosystems

• Expand environment-friendly technology, especially in the areas of agriculture (water, nutrient and land use), urban design, and energy efficiency

Continue reading ‘Positive Steps for Resilient Ecosystem Services’