Professional Documents
Culture Documents
Instrument: STREP
Deliverables:
D 2.2 Report on governance types
D 3.2 Report on ecosystem management characteristics
Organisation name of lead contractors for this deliverables: CTM (D2.2) – IUCN (D3.2)
Revision: final
Project co-funded by the European Commission within the Sixth Framework Programme (2002-2006)
Dissemination Level
PU Public 9
PP Restricted to other programme participants (including the Commission Services)
RE Restricted to a group specified by the consortium (including the Commission Services)
CO Confidential, only for members of the consortium (including the Commission Services)
GEM-CON-BIO Ecosystems and Governance
REVISION CONTROL
OTHER
EDITION DATE PAGES COMMENTARY AUTHOR
CONTRIBUTORS
V. Galaz – T. Hahn –
1 20/8/2006 60 Draft Version A. Terry All partners
V. Galaz – T. Hahn –
2 7/9/2006 61 Draft Version All partners
A. Terry
All partners and
V. Galaz – T. Hahn –
3 16/10/2006 81 Final Version invited experts during
A. Terry
Stockholm meeting
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Contents
Preface ................................................................................................... 6
1. Introduction.......................................................................................... 8
1.1 Aims and Objectives of GEM-CON-BIO ........................................................ 8
1.2 Outline of the Report ............................................................................ 9
2. Biodiversity and Ecosystems in Europe ....................................................... 10
2. Biodiversity and Ecosystems in Europe ....................................................... 10
2.1 Considering ecosystems and their goods and services.................................... 10
2.2 The role of biodiversity within ecosystems ................................................ 12
2.3 Natural Resources .............................................................................. 15
2.4 Measuring Biodiversity ......................................................................... 15
2.5 Biodiversity in Europe ......................................................................... 15
2.6 Major ecosystems in Europe .................................................................. 16
2.6.1 Europe’s landscapes ...................................................................... 16
2.6.2 Farmland ................................................................................... 18
2.6.3 Forests ...................................................................................... 18
2.6.4 Coastal and Marine Ecosystems ......................................................... 19
2.6.5 Freshwater Ecosystems .................................................................. 20
2.7 Drivers of Ecosystem change ................................................................. 20
2.7.1 Main Direct Pressures on ecosystems .................................................. 22
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Preface
This report represents the first technical deliverables from the GEM-CON-BIO project.
Originally when the project was being developed two separate studies were foreseen.
These studies would review the state of ecosystems in Europe and present the role of
governance in biodiversity conservation. However as the project has been implemented, it
has become clear that the innovative approach of GEM-CON-BIO is that it takes an
integrated approach to the role of governance and ecosystem management for
biodiversity. The project recognises that only through a study of the processes and
interactions involved in the management of our ecosystems can be hope to gain insight
into the future tools that will foster the sustainable use of natural resources. Thus with
this approach in mind the authors decided to combine their efforts. Andrew Terry from
the World Conservation Union (IUCN) worked on the text concerning the state of European
ecosystems, while Thomas Hahn and Victor Galaz both of Centre of Transdisciplinary
Environmental Research of Stockholm University carried out the review of governance
structures. The authors came together to develop the analytical framework presented
later in the report. It is this integrated framework that is the key output of this report as
it forms the basis for further study within the project. Therefore within this document we
present combined deliverables D3.2 on ecosystem management and D2.2 on governance.
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1. Introduction
In Europe, possibly more than anywhere else, human societies have has altered the
landscapes and species that occupy them to such an extent that many of our biodiversity
rich areas are reliant on some form of human management. In recent times our ability to
extract natural resources or modify our ecosystems has increased exponentially and is
having strongly deleterious effects on biodiversity and our future wellbeing (Schröter et al
2005). In fact these two aspects of our living world – biodiversity and human wellbeing -
have become so closely intertwined that it is difficult to separate them. With few
exceptions, the landscapes we protect for their value in sustaining biodiversity require
some form of management and are surrounded by intensively used areas. Coupled with
this is the fact that we now protect more of the European continent than ever before,
some 18% of the European Union is protected under Natura 2000 alone, and yet we still
witness strong rates of species decline. Political targets have been established to put in
place the policies that will address this decline. Much of their focus is not on nature
protection legislation or activities, but rather it is focused on those sectors of natural
resource use and economic development which have greatest impact. It is against this
background that the GEM-CON-BIO project was developed with the view that only through
the equitable and sustainable management of natural resources will it be possible to
maintain levels of biodiversity in Europe. We share the prevailing view of the global
community that we must focus on the ecosystem level and then identify the services that
ecosystems provide. Only through the realistic valuation (in all senses of the term) of
ecosystems will be able to achieve some form of sustainable development. We take the
view that biodiversity underpins much of the ability of ecosystems to provide functions
and as such is a key component that warrants special attention. Thus throughout this
project we study the interaction between the institutions and processes used to govern
our ecosystems and their resulting impacts on biodiversity. Can we truly manage our
ecosystems in an equitable way to enhance our wellbeing and sustain biodiversity? It is a
fundamental question that this project will undertake to study.
In order to meet the above outlined objective, GEM-CON-BIO has the following specific
and operational objectives:
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This report acts as the opening paper for the project. We discuss the history and legacy of
natural resource management in Europe and we introduce the concepts and ideas that will
shape the later analytical components of the project (Chapter 2). We start with concepts
associated with ecosystems and the role of biodiversity in maintaining ecosystem
functions. Then we consider the processes that have led to the development of the
ecosystem approach for both biodiversity conservation and natural resource management.
In Chapter 3 we focus on the institutions and processes (i.e. the governance) used to
manage natural resources and set out the general features of the analysis framework used
within this project. We define “biodiversity governance” as the way society at all scales
manages its social, economic, and regulatory affairs with the aim to protect ecosystem
function and biodiversity.
Developing a cogent analytical framework that is able to identify the key features of the
process and can identify the areas of study is a difficult task. Within this report we
recognise that in addressing the complexity of ecosystems and the diversity of tools and
interactions involved in their management there has to be a focus. Our focus is
governance and we discuss how the framework we propose compares with the leading
analysis methodologies currently employed (Chapter 4). Finally in Chapter 5 we provide a
detailed discussion of the components of the framework and the types of questions and
data that they should contain.
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Ecosystems Natural
Resources
Biodiversity
Figure 2.1. A graphic summary of the relationship between the concepts of ecosystems,
biodiversity and natural resources. The figure aims to illustrate that the concepts are highly
related but retain key differences.
Ecosystems are a relatively recent concept for ecological study, gaining prominence within
the last fifty years. Here we use the CBD definition of an ecosystem as a “dynamic
complex of plant, animal and micro-organism communities and their non-living
environment interacting as a functional unit”1. It is the dynamic interactions, sometimes
termed ecosystem processes, between the components of an ecosystem that define its
boundaries and these are irrespective of scale or location. Ecosystem processes occur at a
multitude of scales and finding the actual boundaries between ecosystems can be
difficult. Generally ecologists take a pragmatic approach that looks for assemblages of
strong links between components within an ecosystem compared to weak interactions with
components outside them. As biological diversity relates to the sum of the variability
within species (e.g. genetic), between species and between ecosystems2, it can be seen as
a key structural feature of ecosystems (MA 2005).
When discussing the different components of an ecosystem and then how they relate to
human wellbeing, there is a wide range of different terminologies used, and sometimes in
1
CBD Article 2
2
CBD Article 2
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a contradictory sense (De Groot et al 2002). Here we try to clearly state how ecosystems
are viewed within the workings of GEM-CON-BIO and these definitions will be used
throughout the project.
Table 2.1: Trends in the human use of Ecosystem Services around 2000 (Source: Millennium
Assessment 2005).
Human Enhanced/
Service Sub-category
Use Degraded
Provisioning Services
Food Crops Ï Ï
Livestock Ï Ï
Capture Fisheries Ð Ð
Aquaculture Ï Ï
Wild Plant and animal
NA Ð
products
Fibre Timber Ï +/-
Cotton, hemp, silk +/- +/-
Wood fuel +/- Ð
Genetic Resources Ï Ð
Biochemical, natural medicines
Ï Ð
and pharmaceuticals
Ornamental Resources NA NA
Fresh water Ï Ð
Regulating Services
Air quality Ï Ð
Climate regulation Global Ï Ï
Regional and local Ï Ð
Water regulation Ï +/-
Erosion regulation Ï Ð
Water purification and waste
Ï Ð
treatment
Disease regulation Ï +/-
Pest regulation Ï Ð
Pollination Ï Ð
Natural hazard regulation Ï Ð
Cultural Services
Cultural Diversity NA NA
Spiritual and religious values Ï Ð
Knowledge systems NA NA
Educational values NA NA
Inspiration NA NA
Aesthetic values Ï Ð
Social relations NA NA
Sense of place NA NA
Cultural heritage values NA NA
Recreation and tourism Ï +/-
Supporting Services
Soil formation Supporting Services
Photosynthesis by definition are not
Primary production included in this
Nutrient cycling analysis, as they would
Water cycling be double accounted
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Generally the starting point for studying an ecosystem comes from its structure, the
organisation and composition of an ecosystem’s components, and the processes which are
the interactions between these components (Naeem et al 2002, De Groot et al 2002). As
expected the structure and composition of an ecosystem are extremely important for its
function. There is considerable variation between the roles of species and functional units
(e.g. groups of species performing similar functions) within an ecosystem, which can also
change between habitats and ecosystems.
Much of the complexity of an ecosystem (its structure and processes) can be reduced to
contain a number of ecosystem functions; each of which represents the sum total of the
processes within one particular system. A definition of an ecosystem function is “the
capacity of natural processes and components to provide goods and services that satisfy
human needs, directly or indirectly” (De Groot 1992, De Groot et al 2002). It is important
to remember that the functions themselves do not need to convey direct or even indirect
benefits or value to humans. Sustained ecosystem processes and functions are necessary
for the production of ecosystem services whether or not we value, or even understand,
these processes and functions. Based on this definition, De Groot et al (2002) broadly
grouped these functions into four categories: 1) Regulation, 2) Habitat, 3) Production and
4) Information.
Out of this group of ecosystem functions, we can identify a set which have observable
benefits to human society and these are termed ecosystem goods and services. In this case
the definition of what is a good or a service is anthropocentric and based on their value to
humans (De Groot et al 2002). The Millennium Ecosystem Assessment (MA 2005) developed
a list of what it defined as Ecosystem Services which include the functions identified by De
Groot et al (2002), but focuses on their anthropogenic role (see Table 2.1). Within this
project we concentrate on the role ecosystem goods and services, as being those elements
that are most easily valued within a system of use of natural resources. It should also be
remembered that different components of an ecosystem will perform different functions,
especially when we consider biodiversity which underpins the delivery of most ecosystem
services.
Finally, when considering ecosystem goods and services, a distinction is often made
between those that provide direct benefits such as the production of a raw material and
those that provide indirect benefits (MA Glossary, MA 2005). This distinction, whereas may
serve in some cases to allow the better differentiation of services in economic and
valuation models, is otherwise difficult to make with most services.
Biodiversity represents the sum of variation in genes, species and ecosystems (MA 2005).
This includes the variation found within species and also the interactions between
different species and assemblages. As such biodiversity underpins the provision of all
ecosystem services (see Figure 2.2). Although most measures of biodiversity assess species
richness, understanding the role of biodiversity requires data on trophic relations between
species, functional traits, abundance, distribution etc. Much of this information is lacking
and as yet, there have been few studies into the relationship between biodiversity,
ecosystem services and human wellbeing (MA 2005b).
The case of invasive species illustrates the importance of understanding the different
components of biodiversity within an ecosystem. Currently invasive alien species are
identified as one of the leading causes of biodiversity loss (MA 2005b). These are species
that can exist at normal densities within their native ranges, but on introduction into a
novel ecosystem can spread at fast rates usually out-competing local species. Alien species
may exist at low densities in particular habitats before becoming invasive and subtle
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changes in the ecosystem dynamics suddenly supply the necessary conditions for the
species to spread (e.g. Stockwell et al 2003).
Thus the key feature of biodiversity is the functional relationships between species within
an ecosystem. Although we have a good understanding of the role species play within an
ecosystem, for example the role of photosynthesis for primary production, we have only a
very limited understanding of the functional significance of biodiversity, for example the
role of grass diversity in supporting ecosystem productivity (Naeem et al 2002). In nature
conservation terms we assume that biodiversity should be maximized to ensure that
ecosystems can function, but there are numerous theories concerning the form this
relationship takes (Naeem et al 2002). Conversely when looking at extinctions,
considerable attention is placed on halting global extinction, however local extinction and
functional extinction (the reduction of a species population to a point that it can no longer
play a functional role) receive far less attention, but are equally damaging to the provision
of ecosystem services (MA 2005b). Hence, if we are interested in how biodiversity and
ecosystem services sustain human wellbeing we need to broaden our interest in “hot spot”
biodiversity areas and also assess ecosystem processes in “cold spots”, i.e. in areas with
relatively small number of species of which few are endemic but which are crucial to
human wellbeing (Ceballos et al. 2005).
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such as nitrogen fixation. The loss of one of these species may be deemed as acceptable
as other species can perform the same function and therefore there is redundancy in the
system. Conversely there will be some species that have a key function within the
ecosystem and their loss will have highly deleterious effects. With greater redundancy
there is a greater ‘insurance’ that an ecosystem can function in the face of change. This
brings us to the concept of ecosystem resilience. Resilience in this context is defined as
the capacity of a system to absorb disturbance and reorganize while undergoing change so
as to still retain essentially the same function, structure, identity, and feedbacks (Walker
et al 2004). As with many of the terms used within ecosystem studies, resilience has a
broad definition. But it is one that is closely linked to our assessment of the role of
biodiversity within ecosystems and the ability of ecosystems to cope with Human induced
impacts (e.g. habitat destruction and fragmentation). It is important to note that within
an ecosystem, the capacity to buffer negative effects is not enough. The ecosystem must
be able to reorganize after disturbance, adapt to the new situation, and sustain important
ecosystem services. A non-resilient ecosystem facing disturbance will degrade or even flip
into less desirable states (Holling 2001). The importance of resilience needs to be further
borne in mind when considering the value of biodiversity. Biodiversity is often valued for
its components but in the true sense of its definition, the variety of all life, it is valuable
its ability to support ecosystem resilience (MA 2005b)
Table 2.2: Definition of Natural Resources as found in the European Commission Impact Assessment
to the Thematic Strategy on the sustainable use of natural resources (COM (2005) 670 final)
Resource Definition
Raw materials and biomass Including minerals (fossil energy carriers and metal
ores) and biomass. Fossil energy carriers, metal ores
and other minerals (e.g. gypsum, china clay) are non-
renewable in the sense that they cannot be replenished
within a human timeframe. Stocks are finite and are
diminishing because of their use in human activities. In
contrast, biomass is in principle renewable within the
human timeframe. It includes quickly renewable
resources, such as for example agricultural crops, and
slowly renewable resources, such as timber. However,
some of these resources used as raw
materials can be exhausted if they are overexploited
Environmental media E.g. air, water and soil. These resources sustain life and
produce biological resources. In contrast with raw
materials it is their declining quality that causes
concern. It is not a question of how much there is (with
the notable exception of soil), but what state they are in.
Flow resources E.g. wind, geothermal, tidal and solar energy. These
resources cannot be depleted, but require other
resources to exploit them. For example, energy,
materials and space are needed to build wind turbines or
solar cells.
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All humans are directly or indirectly reliant on natural resources for survival. Natural
resources in their broadest sense refer to all the elements of the physical environment
that are exploited by humans and hence are ascribed an economic value (monetary or
cultural). It is possible to define natural resources in a number of ways, for example
whether they are biotic or abiotic or by their renewal rate (renewable, semi-renewable or
non-renewable). In its strategy on the sustainable use of natural resources, the European
Commission uses four categories (see table 2.2): raw materials and biomass,
environmental media, flow resources and space (EC 2005). Within GEM-CON-BIO, we focus
on the provision ecosystem goods and services and this will require the analysis of
different natural resource types be they biotic or abiotic, renewable or non-renewable.
The project considers the goods and services that are derived (used and managed) from
major resources in cultivated lands, forests and aquatic (marine and freshwater)
ecosystems.
As discussed above biodiversity plays a critical role in the ability of ecosystems to provide
goods and services to humans. Measuring the state of biodiversity is extremely complex
and as such there are no real measures of biodiversity currently in use. Instead we use a
number of indicators of elements of biodiversity that highlight changes to biodiversity over
time. As we increasingly focus on the goods and services that ecosystems provide, and
consequently the ability of biodiversity to sustain them we must be careful in the choice
of proxy indicators (e.g. hot spot areas and red listed species versus ecosystem processes
in cold spot areas).
When assessing biodiversity we can focus on three major levels: genetic, species and
ecosystem. Monitoring programmes almost completely focus on the species level, primarily
using species richness (i.e. the number of different species in an area) and then
abundance (the number of each species in an area). This approach only allows us to see
one aspect of biodiversity which are the elements that make up ecosystems. There are
also several issues associated with the use of species, primarily that it is a fairly arbitrary
concept that is used rigidly by conservation biologists and fairly liberally by taxonomists
(Isaac et al 2004). Species richness, although it correlates with ecosystem health, does not
yield information on genetic diversity, trophic relationships or functional traits (MA
2005b).
In Europe, there is a relatively rich source of biodiversity monitoring data with all
countries managing species monitoring schemes. Furthermore through the adoption of
indicators at the global level through the CBD and then at the pan-European and EU level,
greater effort and resources are being placed in the developed of a series of state and
trend indicators for elements of biodiversity (the Streamlining European 2010 Biodiversity
Indicators (SEBI2010) process). The best known data is undoubtedly from the long term
monitoring of bird species (e.g. Gregory et al 2002, Birdlife International 2004). Some
countries also have good monitoring data for vascular plants, mammals and commercially
exploited fish species (The Royal Society 2003), but in general we lack sufficient data to
monitor the long term trends in the state of species.
Europe contains a wide range of biomes and habitat types within its 11 distinct
biogeographic regions. In general these terrestrial habitats are estimated to contain 1,000
vertebrate species, 10,000 plants and over 100,000 different invertebrates (EEA 2005).
Species richness varies across Europe, generally increasing in the South, with areas of low
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richness in Northern Europe. The most biodiversity rich areas are to be found in the
mountainous regions and the Mediterranean basin; these areas (the Caucasus and the
Mediterranean) provide Europe’s two biodiversity hotspots3.
Europe is the second most densely populated continent in world (32 people/km2), and
produces 27% of the worlds GDP (UN 2001). Population density decreases across Europe -
ranging from 166 people/km2 in Western Europe to 16 people/km2 in Eastern Europe. As a
result, the state of biodiversity in Europe is characterised by the degree of association
between people and nature. Generally, moving from Western to Eastern Europe and the
Commonwealth of Independent States (CIS), Europe’s habitats have received less
modification or conversion. Habitats in Western Europe are largely framed within a
network of farmed and urbanised landscapes, however the CIS contains vast areas of
wilderness (EEA 2003).
Europe contains around 8.5% of all the globally threatened vertebrate species (37% of
which are mammals, 15% birds, 4% amphibians, 10% reptiles and 34% freshwater fish)4. It is
more difficult to accurately gauge the level of threat faced by plant taxa, but Europe
contains approximately 2.5% of all globally threatened species (excluding the Caucasus,
EEA 2003).
With the introduction of the ecosystem level focus and the increased attention put on
connectivity, our focus has shifted from habitats to landscapes. Using the term
‘landscape’ is already an anthropomorphism as the notion includes not only the biological
functions of the ecosystem, but also the services it provides to humans (EEA 2005). A view
of Europe’s landscapes can be seen in Figure 2.3. Here it is possible to see that the vast
majority of Europe’s landscapes have been modified by humans for some sort of resource
production; less than one fifth is free from some form of management (EEA 2005). These
changes to the landscape have created many of Europe’s habitats and the opening of
forested areas also presented opportunities for species to expand and colonise new areas.
Now much of the continent’s biodiversity is found on semi-natural grasslands, which
require continuous extensive management to sustain populations. Many of the most
important semi-natural areas are found in South Eastern Europe, including areas such as
puszta and steppe grasslands and alpine meadows (EEA 2005).
3
Defined as an area supporting over 1500 endemic plant species, 0.5% of global total. Also it must have lost over 70% of its
primary vegetation (Myers 1988).
4
Based on IUCN categories.
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a summary review of some of Europe’s dominant land use types (farmland, forestry and
freshwater ecosystems).
Figure 2.3: The dominant landscape types in Europe, based on Corine 2000 land cover data
(reproduced from EEA 2005).
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2.6.2 Farmland
The twentieth century witnessed the mass transformation of natural areas into agriculture
and the modernisation of traditional agricultural practices into intensified production. This
process was at the heart of the EU’s Common Agricultural Policy (CAP) since its inception.
Since the 1950’s the expansion of arable land in Europe has largely stabilized and
increased production has been achieved through intensification (MA 2005b). Currently
arable land and grasslands under some form of management cover about 45% of Europe
and are estimated to contain around 50% of the species (EEA 2005). Therefore they are
very important for biodiversity. At the same time there are some key conservation issues
such as intensification of farming in the new EU Member States and the abandonment of
land in rural areas where intensification is not profitable, which are threatening the status
of species on farmland. Current changes to agricultural lands are a complex mix of
conversion of marginal lands, conversion of arable land to pasture, and abandonment
(either with afforestation or without). These are all largely the responses of farmers to
changing economic and market conditions (EEA 2005), partly in response to changes in the
orientation of the CAP.
The European Environment Agency (EEA) has undertaken considerable work on high nature
value farmland which is estimated to cover between 15-25% of the landscape. Due to
increasing specialization in breeding, global homogenization and intensification there has
been a considerable reduction in the genetic diversity of domestic plants and animals. In
many cases these species are better adapted to utilizing marginal conditions than
currently favoured breeds.
2.6.3 Forests
Forests cover approximately 30% of Europe, and represent an important natural resource
in social, economic and ecological terms and contain a major reservoir of European
biodiversity. Forest areas also form large parts of the European protected area network
and constitute ‘stepping-stones’ and corridors for connectivity between different
protected areas. Since the 1970’s, forested areas have been slowly growing, which is
primarily due to afforestation (either natural or artificial) on abandoned farmland (EEA
2005). However old growth forests, which are important in terms of biodiversity, continue
to decline. About three quarters of these forested areas are considered by the UNECE/FAO
(2000) to be undisturbed, however the vast majority are within the Russian Federation.
Excluding the main boreal forest regions (Russian Federation, Sweden, Finland and
Norway), only 1% of the remaining forest can be categorised as undisturbed (EEA 2003).
Forest condition is generally measured through the condition of the crowns of trees.
Crown condition decreased rapidly in the 1970’s and 1980’s through atmospheric pollution,
e.g. sulphur dioxide emission. However as the pressure from acidification has decreased in
recent years, there is increasing data to suggest that climate change will pose a significant
threat to forests in the future.
Forests serve important ecosystem functions including the maintenance of the physical
and chemical stability of soil, groundwater protection, local climate regulation and refugia
for biodiversity. They are of course mainly exploited for timber, but also non-timber
forest products are very important for rural communities. Central European countries have
started to report declines in the forest available for wood harvest as countries increasingly
utilise forests for nature conservation or recreation (EEA 2005b).
Historically sustainable use has long been a component of the management of European
forests. Unlike other areas of trans-boundary resources in Europe, there is no single
policy, such as the Common Agricultural or Fisheries Policies of the EU, to govern the
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Coastal and marine ecosystems provide important services that people have relied on for
millennia. In Europe they provide some of the most productive and yet threatened
ecosystems (EEA 2006). This change is also continuing unabated; between 1990 and 2000,
the EU lost more coastal wetland than during previous decades primarily due to
infrastructure development (EEA 2006). The most significant threats come from industrial
and recreational uses of coastal areas that concentrate in the areas of high biodiversity
such as the Mediterranean Sea. Integrated Coastal Zone Management (ICZM) is being
promoted to combat this destruction of habitats in coastal areas. This approach can be
viewed as an equivalent of ecosystem management for coastal areas. It recognises three
key principles; the importance of the connection between marine and terrestrial
processes, the role of human activities along the coast and the integration of different
sectors and stakeholders in the management of coastal areas.
With respect to Marine ecosystems, the UN identifies 13 large marine ecosystems in the
pan-European region; of which the most heavily used are the Baltic Sea, North Sea,
Atlantic Ocean (European parts), Mediterranean Sea and Black Sea. Each of these
ecosystems has specific features that influence the extent of the impacts they face, for
example the shallow Baltic Sea has a low salinity and long renewal time, whereas the
Mediterranean is rich in oxygen but poor in nutrients. The Baltic Sea is one of the most
threatened regional seas suffering from eutrophication, pollution and invasion of alien
species. All the regional seas suffer from over-exploitation of fish stocks.
Fishery landings in the EU have been decreasing since the 1990’s from 9.1 million tonnes
in 1995 to 7.2 million tonnes in 20035. The majority of the capture is taken by four
countries (UK, Spain, Denmark and France). Outside of the EU the major users are Norway
and the Russian Federation. However, marine fisheries remain a vitally important
economic asset. In 2002, 93 million tonnes of fish were caught globally with a value of 78
billion USD(FAO 2004). Aquaculture is also increasing rapidly and has become the fastest
growing food production sector; growing faster than the global population indicating
increasing resource demands(FAO 2004). However this growth is not so strong in Europe
where production has remained relatively stable, with the exception of the Russian
Federation which is one of the top 10 rapidly developing countries in terms of aquaculture
production.
Both the over-harvesting of marine species and the capture methods used have led to
dramatic declines. The State of the Worlds Fisheries Report from 2002 stated that “An
estimated 25 percent of the major marine fish stocks … are underexploited or moderately
exploited … About 47 percent of the main stocks or species groups are fully exploited …
18 percent of stocks or species groups are reported as overexploited … The remaining
10 percent have become significantly depleted, or are recovering from depletion” (FAO
2002). This situation has changed little and the stocks in most need of recovery are to be
found in European waters: Northeast Atlantic, Mediterranean and Black Seas (FAO 2004).
Although recoveries have been witnessed from some stocks depleted to 10% of their former
5
Source: EuroStat (http://ec.europa.eu/eurostat/)
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size, evidence from the cod fisheries from the East coast of Canada show that the
populations may not recover from such depletion.
Europe has a rich network of rivers, waterways and wetlands which are an important store
of biodiversity. They are also vitally important for human well-being and economic
development. Europe’s wetlands have been significantly altered in recent history and few
remain in a natural state (EEA 2005). Europe has approximately 1.2 million kilometres of
rivers and they together with their associate habitats are extremely important for
biodiversity. Most inland waterways have been modified to control water flow often for
irrigation and wetlands have been drained to create agricultural land. In recent years
pollution has been a major impact on aquatic habitats, with the introduction of nitrates
and other chemicals into the water. Considerable effort has been spent on reducing such
pollutions and now there are marked increases in water quality (EEA 2005).
There are approximately 560 species of freshwater (FW) fish in Europe. Although there has
been considerable work on freshwater species, there is little coordinated monitoring
activity. Therefore it has been difficult to gain an overview of the state of European
species. An assessment that will soon be released indicates that 18 species are now
extinct and a further 202 (36%) are threatened (M. Kottelat pers. comm.). Recently a
regional assessment was made for Mediterranean FW Fish by IUCN, which shows that out of
253 endemic species assessed 56% are threatened, of which 18% Critical, 18% Endangered
and 20% Vulnerable, further highlighting the plight of these species6(Smith and Darwall
2006).
It is clear that Europe’s ecosystems and the species they contain are under considerable
pressure. Ecosystems have been converted or modified for human use more now than at
any time in Human history (MA 2005b). In its analysis, the MA considers indirect and direct
drivers of change, which at the European level (or within the DPSIR framework) would be
considered drivers and pressures. The principle anthropocentric drivers in Europe are
economic growth and development. Given the pervasive nature of its impacts, climate
change can be considered as a key driver, although the anthropogenic role in exacerbating
climate change is due to economic development. Understanding the relationship between
drivers and pressures is extremely complex as there is rarely a simple linear relationship
with the resulting impacts on ecosystem services. Although there are key drivers that act
at all levels, the impacts and magnitude of these drivers comes from their interaction with
local conditions. Furthermore these drivers have impacts that are expressed over different
time periods and at different organisational levels. Figure 2.4 illustrates some of the key
drivers and their interactions identified within the MA sub-global assessment for Portugal.
The rapid development in the use of natural resources in Europe has led to substantial
gains in well-being and economic development (EEA 2005b). Globally increasing
population, economic growth and patterns of development broadly cause ever increasing
demands on natural resources (the MA also includes cultural and religious factors, and
scientific and technological change as key drivers (MA 2005b)). In Europe,
populations are stabilising or have declined in some countries, and therefore may not
directly place a pressure on natural resources. However as economic wealth increases,
people seek increased living conditions and the people per household decrease.
6
http://www.uicn.org/places/medoffice/noticias/med_fw_fish_en.html
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Figure 2.4: the feedback and interactions between drivers in the MA sub-global assessment
for Portugal (MA 2005b).
European countries have become increasing efficient in their extraction and use of natural
resources, primarily through technological development. This has in some cases reduced
the pressure on resources, but in others it has been offset by an increased demand for the
resources. As a greater proportion of the economy shifts from direct resource use
industries (e.g. extraction) to both manufacturing and services, the pressure on resources
can be further reduced. European economies have witnessed a relative decoupling of
development and resource use in the past 20 years (EEA 2005b). Since the 1980, the
European (EU) economy has grown by 50%, however natural resource extraction has
remained largely constant. However it should be remembered that the absolute use of
resources remains and therefore this decoupling may not have led to an absolute
reduction in environmental impacts (EEA 2005b). A further caveat to this view of economic
development in Europe is that there is considerable variation among EU countries
generally moving from West to East in the intensity of resource use.
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The MA identified five key drivers resulting in the decline in the provision of key
ecosystem services (see Figure 2.5): habitat change, climate change, invasive species,
over-exploitation and pollution. In Europe we view this slightly differently. For the
purpose of this project we view climate change as a main driver of change and do not
group it with the more proximate pressures, this is primarily an issue of scale and the
appropriate level of response. We also look at habitat change in more detail, expressing
the distinction between habitat destruction, fragmentation and conversion.
Figure 2.5. The direct drivers of global ecosystem change (MA 2005)
Habitat Change
Globally habitat change is identified as the key direct pressure forcing ecosystem change;
only those ecosystems which are of little agricultural value have escaped with little
impact (e.g. tundra, desert and boreal forest) (MA 2005b). We can identify three key types
of habitat change: destruction, conversion and fragmentation. The separation between
these classifications is based on the impacts on biodiversity with destruction removing any
ability of the area to maintain its function (e.g. urbanisation), conversion involving the
change to some form of productive use (e.g. agriculture or plantation) which can still
support some functions, and fragmentation acting as the pervasive degradation of habitat
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quality. As mentioned above, the majority of Europe’s habitat conversion has taken place
in historic times, leading to the mosaic of semi-natural landscapes we know today.
The modification of habitats is treated as the leading cause of biodiversity loss. The MA
identified that temperate grasslands, temperate broadleaf forests, and Mediterranean for-
ests each experienced 55% or more conversion prior to 1950 (MA 2005b). There is
considerable variation in the extent to which different habitats have been modified and
the rate of change of that modification. Throughout the twentieth century, temperate
grasslands have lost much of their extent (70% before 1950 and 15.6% afterwards),
whereas Mediterranean forests had lost the majority of their range by 1950 and have only
witnessed a small decline since (MA 2005b). This is most likely to due to most of the
useable land being converted to agriculture, with only marginal areas remaining.
Current important pressures that are changing Europe’s habitats are the growth of the
tourism industry (especially on coastal ecosystems), continued urbanisation and the
development of transport networks (EEA 2005). In the 1990’s the dominant form of land
cover change was urbanisation, largely at the expense of agricultural and natural areas
(EEA 2005). As urbanisation continues, most development is in suburban areas which tend
to contain more green areas, which can be important for biodiversity. However due to
reduced prices for agricultural land, considerable development is occurring outside cities
and principle urban areas, and in rural areas. This will have important impacts on natural
ecosystems. At present these changes have been most strongly expressed in Western
Europe, however the indications are that very similar processes will occur in the new EU
Member States and South Eastern European countries in the near future. These areas still
contain Europe’s large stores of biodiversity.
Invasive species
Increasing global trade and the transport of goods and people has enabled societies to
benefit from the unprecedented movement and establishment of species around the
world. Many industries and consumers are entirely dependent on raw materials that are
native to distant parts of the world. Within the European Community the free movement
of goods and people are fundamental principles, and with the establishment of the single
market in 1992, the only controls to movement are found at the EU’s external borders.
With the recent expansion of the EU to contain 25 countries this internal market has
grown to incorporate an area of 3.9 million km2. Furthermore the development of trade
agreements between the EU and other organisations and regions, such as the Euro-
Mediterranean Free Trade Area, further enhances the ease with which goods are
transported.
This movement of goods and people, although providing considerable opportunities for
societal enrichment, has also enhanced the intentional and unintentional movement of
species. In many cases these species have, and continue to have, a negative impact on
local ecosystems, economies, human health and welfare. It is now a considerable
challenge to identify these species, and minimise their impacts whilst still promoting
continued sustainable economic and societal development.
Every species that becomes established within an ecosystem has an impact on it and on
the biological communities within it. Often established species can spend considerable
periods of time at low densities, before undergoing (if at all) the explosive population
spreads associated with such examples as Zebra Mussels (Dreissena polymorpha), Caulerpa
seaweed (Caulerpa taxiflora) or the Water Hyacinth (Eichornia crassipes). The timing of
this release, which usually results in the dramatically harmful impacts on ecosystem
services, may largely depend on the effects of natural or artificial disturbance, changes to
the invading species or chance. The ecological impact of the species as it spreads is then
dependent on the links between that species and native species and their role in
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delivering ecosystem functions. Although all ecosystems are able to open to invasion,
particularly vulnerable ecosystems include those that are isolated (e.g. islands) or those
that are heavily disturbed either through natural or more likely anthropogenic factors.
Therefore ecosystems associated with human resource use (e.g. forests and grasslands)
are also vulnerable. In Europe after island ecosystems, inland water bodies are the most
widely impacted ecosystems.
Climate change
It is clear from a multitude of data sources that average global temperatures are currently
rising faster than at any time in modern human history, and in Europe they have risen
more than the global average (EEA 2005). The effects of climate change are being
witnessed across Europe as droughts increase, extreme weather events become more
common and snowfall decreases. The main cause of this is now identified with a high
degree of certainty as the increased release of so called ‘greenhouse gases’, principally
CO2, into the atmosphere. These gases remain in the atmosphere for approximately a
century before being assimilated into marine and terrestrial ecosystems.
Our understanding of the complex relationships between Carbon stores in the atmosphere
and within ecosystems is still in its infancy and studies are identifying how ecosystems
respond to climate change. It is clear though that climate change will become one of the
key driving forces behind ecosystem change in coming years. In general increasing
temperatures have increased plant growing periods and therefore plant productivity.
However in the Mediterranean, where temperature increases are the strongest, this has
resulted in more forest fires and droughts (EEA 2005). Changing temperatures are changing
the distributions of plant and animal species, and already it is possible to measure
differences in bird migration times and reproductive behaviour (Stenseth et al 2002, Visser
& Both 2005). Those species that are unable to adapt to these changes (e.g. range limited
species) will be put under severe pressure. Studies are showing that as populations of
species that are mistiming their migratory and reproductive behaviour with respect to
changing climates are experience severe populations declines (Both et al 2006). The two
latitudinal extremes of Europe, the Arctic and the Mediterranean, have been identified as
the most vulnerable and ecosystems and human well-being is already being impacted in
both. Coastal zones are also likely to undergo changes as increased water levels,
phytoplankton growth and more sever storms will change their ecology (EEA 2005).
Carbon sinks such as forests and soil represent an important tool that could assist efforts
to control CO2 emission, however research indicates that soils may be releasing far more
Carbon than previously thought (Bellamy et al 2005) and that forests may also release
more carbon once temperatures increase above a threshold level. Currently there is
considerable interest in the development of alternative fuel sources to offset the
emissions from fossil fuels. However the growing of bioenergy crops raises a number of
concerns for biodiversity conservation and the significant amount of land required to meet
targets for bioenergy fuels threatens to dramatically increase the homogenisation of
landscapes. It is also further clear that the combined effects of climate change and
habitat fragmentation from anthropogenic activities will also limit the ability of species to
respond and adapt to changing conditions.
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In this chapter we discuss these issues and how they are inter-connected and linked to
conservation of biodiversity.
Natural Resource Management (NRM) was developed in response to the rapid development
and expansion of countries in the nineteenth and early twentieth century. In the US,
people were moving west and irrevocably changing the landscapes and species (e.g.
through the removal of bison and deforestation). In Europe the ever expanding need for
natural resources to fuel post-industrial development at home and expansion abroad saw
the dramatic decline of forests and wetland resources. At the time, the prevailing outlook
was strictly utilitarian, and management aimed to ensure that sufficient resources
remained to supply our expanding needs (Meffe et al 2002). The end of the Second World
War, witnessed another rapid increase in the demand for natural resources. Again in the
US, post-war development prospered from and supported a strong economy as people
moved away from rural areas to cities and suburbs (Meffe et al 2002). In Europe, the
destruction of the war placed large burdens on the economies of the countries to supply
basic functions to their populations such as the provision of food. These pressures
witnessed some of the greatest changes to landscapes and the rise of industrialised food
and fibre production.
By the seventies people started to notice the impacts of such intense resource use on
species and ecosystems and there was a rapid development of legislation to protect
species. Natural resource managers were also being required to take into account an ever
increasing range of factors including ecological, social and economic values (Kessler &
Thomas 2006). From the seventies until the present day, this raising of awareness of the
changing state of natural resources (and the development of conservation biology),
coupled with the development of ecological and ecosystem concepts has moved natural
resource management from a traditional perspective of single resource extraction to the
much more holistic and contextual approach of ecosystem management (see below, Meffe
et al 2002, Kessler & Thomas 2006).
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1. The objectives of management of land, water and living resources are a matter of societal choices.
2. Management should be decentralized to the lowest appropriate level.
3. Ecosystem managers should consider the effects (actual or potential) of their activities on adjacent and
other ecosystems.
4. Recognizing potential gains from management, there is usually a need to understand and manage the
ecosystem in an economic context. Any such ecosystem-management programme should:
a) Reduce those market distortions that adversely affect biological diversity;
b) Align incentives to promote biodiversity conservation and sustainable use;
c) Internalize costs and benefits in the given ecosystem to the extent feasible.
5. Conservation of ecosystem structure and functioning, in order to maintain ecosystem services, should be a
priority target of the ecosystem approach.
6. Ecosystems must be managed within the limits of their functioning.
7. The Ecosystem Approach should be undertaken at the appropriate spatial and temporal scales.
8. Recognizing the varying temporal scales and lag-effects that characterize ecosystem processes, objectives
for ecosystem management should be set for the long term.
9. Management must recognize that change is inevitable.
10. The Ecosystem Approach should seek the appropriate balance between, and integration of, conservation
and use of biological diversity.
11. The Ecosystem Approach should consider all forms of relevant information, including scientific and
indigenous and local knowledge, innovations and practices.
12. The Ecosystem Approach should involve all relevant sectors of society and scientific disciplines.
This shift in the objectives of natural resource management has brought it much closer to
conservation biology, in fact under the present paradigm of ensuring the future protection
of ecosystems and their ability provide goods and services, there is little to choose
between the two disciplines (Kessler & Thomas 2006). In fact, the Ecological Society of
America has gone even further by integrating natural resource management with the
social capacity to create organizations and institutions that sustain the flow of ecosystem
goods and services (Kinzig et al 2002).
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Table 3.2: Characteristics of traditional and ecosystem management approaches (Redrawn from
Lamont 2006).
At the same time that the disciplines of Natural Resource Management were going through
their period of paradigm shift towards the ecosystem perspective, there were concerted
efforts at the international level within the conservation movement to provide guidelines
on the use of resource and, importantly, the equitable sharing of costs and benefits.
Although many of concepts associated with ecosystem management were being developed
in developed countries, such as the USA, the rapid extraction of natural resources from
developing countries most often bypassed the local communities most reliant on those
resources for survival.
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needs of the present without compromising the ability of future generations to meet
their own needs” (UN 1987).
The Summit on Environment and Development which took place in Rio de Janeiro in 1992
and gave birth to the Convention on Biological Diversity was a direct response to the
Brundtland Report. At its core, the CBD has three goals of protecting biodiversity, ensuring
its sustainable use and the promoting equitable sharing of costs and benefits arising from
the utilisation of genetic resources. The CBD has become the single most important global
convention affecting the protection of biodiversity and the governance of natural resource
management.
Since its ratification, the CBD has gone a long way to solidifying and adopting many of the
concepts that were being developed in the last three decades. The 2004 Seventh
Conference of Parties saw the adoption of the Ecosystem Approach (CBD VII.11) and also
the adoption of the Addis Ababa Principles and Guidelines for the Sustainable Use of
Biodiversity (CBD VII.12).
The sustainable use of natural resources is a central pillar of the CDB, and considerable
work over several years resulted in the adoption of a set of principles and guidelines to
support stakeholders in the use of biodiversity. The so-called Addis Ababa Principles and
Guidelines (AAPG), aim to apply to all stakeholders at all organisational levels. Although
they are also supposed to apply to all forms of natural resource use, the AAPG do not fully
deal with the use of agricultural biodiversity. The principles are very broad and emphasise
the importance of coordinated legal and policy frameworks at all organisational levels, the
participation of local communities (including the devolution of management to the
appropriate level) and the equitable sharing of costs and benefits. As with sustainable
development principles and the ecosystem approach, the AAPG call for the empowerment
of local users, awareness-raising, education and transparency in decision making
processes. The key role of the AAPG is to empower local users within resource
management frameworks to not only give them legitimacy and a voice in the process, but
to also ensure their responsibility as the ones utilising the resource.
Policy
Unlike other inter-governmental organisations, the European Union (EU) has strong
regulatory powers, being able to adopt legislation that is binding for Member States. The
EU is a Treaty-based organisation, and the EU institutions can only act if the Treaties give
them powers to do so. Although European environmental policy got underway before 1987,
based on parts of the existing Treaty, the 1987 Single European Act for the first time
established an explicit legal basis for the Community’s environmental policy, including
provisions for nature conservation.
The development of Environmental policy is arguably one of the success stories of the EU.
Early on it was realised that environmental issues did not just affect member countries
but were a problem across the whole continent. Pressures such as air and water pollution
flowed from the country of source into neighbouring regions. This gave the EU an area of
competence for policy making at the super-national level. Here we consider the EU’s
legislation that is directly relevant to natural conservation, the use of natural resources
and sustainable development.
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From the initial 1987 Treaty, one of the main ways of the supporting the environment as
through the integration of environmental considerations into existing or future policies. In
general, and as with the Member States, the EU has faced the fundamental trade-off of
having to develop policies that foster economic development and harmonisation across a
diverse range of countries while at the same time safe-guarding the sustainable use of its
natural resources. This trade-off has been more or less well managed within the different
policy sectors, for example pollution issues such as sulphur dioxide emissions have been
dealt with successfully, but the environmental components of the Common Agriculture and
Fisheries Policies (CAP, CFP) have been disastrous.
The current dominating political agenda for the EU is the so-called Lisbon Strategy with its
core goal of making the EU “the most competitive and dynamic knowledge-based economy
in the world, capable of sustainable economic growth with more and better jobs and
greater social cohesion”. This was to be achieved through increases in access to labour
markets for more jobs, more efficiency in European bureaucracy and more investment in
research and development. The progress being made in implementing the Lisbon Strategy
was reviewed in 2004 and found that little progress had been made in the five years since
its launch (EC 2004). Within the original strategy, development was designed to be
environmentally sustainable with the aim of decoupling growth from resource use and in
the speech of policy-makers, developing ‘win-win situations’ through innovations in
efficiency, pollution reduction and lower resource use (EC 2004). As with other sustainable
development agendas, the Lisbon process has the potential for being very supportive to
environmental protection and the sustainable use of resources. However in practice such
considerations fall low on the agendas of Member States which try to maximise their
opportunities for direct economic development (in terms of infrastructure and jobs).
Along side the Lisbon Strategy, is the EU’s Sustainable Development Strategy, adopted in
2001 in Gothenburg. Within this framework, the EU adopted its 6th Environmental Action
Programme (6EAP), which sets out the activities to be undertaken within the EU between
2002 and 2012 for the environment. It was through the 6th EAP that the 2010 target to halt
the loss of biodiversity within the EU was adopted. Contrary to previous EAPs this did not
use time defined targets and objectives; instead it developed a series of seven Thematic
Strategies. These strategies quickly became bogged down in review and consultation
processes, especially as their requirements were identified as restricting the economic
development of Member States. Currently five of the seven thematic strategies have been
adopted.
Already before the SDS, and in response to its commitments to the CBD, the EU adopted
its Biodiversity Strategy which contained four action plans for the sustainable use of
natural resources, agriculture, fisheries and economic cooperation. Most recently these
documents went through an extensive stakeholder consultation and review which resulted
in a conference in Malahide, Ireland in 2004 and a Communication from the European
Commission on Biodiversity which was finally adopted in 2006. This process, which has
been long and drawn out, has finally delivered a ‘road map’ containing time defined
targets and goals for action to halt biodiversity loss at the European level. As expected it
is an ambitious document, with targets that will be difficult to meet. However it has
achieved a number of objectives. It has united much of the scientific, NGO and state
agency community around the goal of halting biodiversity loss. Second it has raised the
profile of biodiversity on the sustainable development agenda, although still considerable
work remains and it has further integrated policy on the use of natural resources with the
goals of sustainability and the ecosystem approach. It should be remembered that in the
parlance of the EU, a ‘communication from the Commission’ is agreed by all components
of the EU and is therefore a binding document that they must follow. Within this project,
the Biodiversity Communication and its associated targets are the most relevant and
strongest piece EC policy.
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The Birds and Habitats Directives provide the core of the EU’s nature conservation
legislation. When the Birds Directive was implemented it was a highly innovative piece of
legislation and set standards for bird protection across Europe. The Directives identify
species and habitats of European importance and state that they must be protected in
“their wild state” (Birds Directive) or to a “favourable conservation status” (Habitats
Directive), both terms emphasising the long term survival of populations. The Directives
required Member States to identify areas within the countries that would protect the
species and to protect them under national law. This network of protected areas became
Natura 2000.
As of June 2006, the Natura 2000 network comprises 20,582 sites under the Habitats
Directive, including 1,250 marine sites (12% of the area of the European Union), and 4,317
sites under the Birds Directive, including 459 marine sites (9% of the area of the European
Union). The process of implementing the Nature Directives gives valuable insight into the
process of governing natural resources and biodiversity conservation. The Directives
recognised the importance of managed habitats and therefore allowed the continued use
and exploitation of sites within limits. However implementation in the former EU-15
Member States was extremely difficult with considerable resistance met at all levels,
particularly from landowners and users. Invariably these problems stemmed from the lack
of due communication between Member States and the stakeholders, with landowners
often being unaware of them becoming a Natura 2000 site! Furthermore a lack of
understanding of the activities possible within Natura 2000 led to losses of land value and
more resistance. When 10 new countries joined the EU in 2004, the process was started
again. Some lessons were learned from the EU-15, but many mistakes were repeated.
Currently there is considerable difference between countries in their implementation of
the Directives.
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To date most of the actions to protect and sustainably use biodiversity have come from a
top-down policy or legal perspective. For example the use of species can become
restricted or areas can become protected. In most cases this centralised approached was
based on the advice of scientific experts and the relevant statutory agencies or Ministries.
However rarely were the considerations of users at the local level who may be completely
reliant on natural resources, taken into consideration. In developing countries this
approach leads to the marginalisation of rural communities and exacerbates poverty.
Individuals who are exploiting natural resources are motivated primarily by the need to
support and enhance their livelihood within the social and cultural contexts. Therefore
economic considerations usually come first and are shaped by both the relevant regulatory
framework and the current environmental conditions. A balance between local economics
and central regulation can greatly affect the cost-effectiveness of conservation
management, and hence its socio-economic sustainability. Protection of areas, habitats
and species may be defied at great enforcement cost if the loss of local opportunity cost is
too great (Hutton & Dixon 2000, Adams et al. 2004). Rather than regulatory constraint
that creates economic loss, it may be better to deliver or enable incentives for preserving
ecological services, non-consumptive use (e.g. eco-tourism) or limited extractive use
(Inamdar et al. 1999, Getz et al. 1999). Despite the success of protecting species and
reserves for maintaining biodiversity (as species inventory) at national levels, restoration
efforts to reverse continuing rapid loss at local level (e.g. Thomas et al. 2004) are most
likely to benefit from incentives.
In order to understand the processes that change ecosystems and biodiversity, and hence
to affect those decisions most efficiently for long term sustainability, one needs to
understand how individuals make the decisions that summate to the change. Crucial
questions for policymakers therefore concern the balance between constraints and
incentives (‘sticks’ and ‘carrots’), as well as the balance of flexibility and other factors if
governance of ecosystem management is centrally directed (‘top-down’) or locally
enabled (‘bottom-up’).
Based on the standard theory on property rights regimes (e.g. (Bromley 1991)), GEM-CON-
BIO recognizes four major ecosystem management regimes:
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Open access is also a de facto regime but typically a result of failure to implement any of
the four de jure regimes above. Some resources in abundance, e.g. some berries and
mushroom, are governed by an explicit open access regime in countries like Sweden and
Finland. However, it is difficult to implement management objectives under an open
access regime and hence it falls outside our framework.
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In the property rights literature the notion of “landowner” is quite complex (e.g. (Becker
1977), Bromley 1991, Ostrom & Schlager 1996). Indeed, what a person may own is not the
land itself but a bundle of rights vis-à-vis other persons. These rights may be shared
among different stakeholders and they may also vary for different ecosystem services. For
instance, on private land, the landowner may have exclusive rights to timber but share
hunting rights with indigenous groups and share rights to pick mushrooms with everybody
(open access). Hence, on the same land, timber may be managed under a private property
rights regime and hunting under a multi-stakeholder regime. Hence, the concept of
“landowner” is theoretically awkward. The difference between an “owner” and a user or
“claimant” depends on which rights they have vis-à-vis other stakeholders (Table 3.3).
Table 3.3. Property rights may be distributed to different stakeholders in a cumulative way.
(Modified from (Ostrom and Schlager 1996).)
Access x x x x x
Withdrawal x x x x
Management x x x
Exclusion x x
Alienation x
For ecosystem management, the most important property rights issue is management
authority/right. Several actors may have access and withdrawal rights but the contents of
these rights (e.g. fishing gears or quotas) belong to management authority. Under private
management regimes, management rights reside at the private landowner contingent upon
regulations by governmental agencies. Other stakeholders have usually no management
authority but may of course try to influence public policy. Under government management
regimes, many stakeholders may claim a share in management authority. Often
stakeholder involvement is limited to consultation but sometimes management authority is
shared (co-management). Different types of collaboration are discussed under 3.1.3
Mobilization of different knowledge systems may take place in a social learning process
i.e. “learning that occurs when people engage one another, sharing diverse perspectives
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and experiences to develop a common framework of understanding and basis for joint
action” {(Schusler et al. 2003). Hence, social learning integrates issues of knowledge
generation, working out objectives, solving conflicts, and action.
Several, if not most, state initiatives for collaborative natural resource management (co-
management) are no real co-management, meaning formal sharing of management
authority but rather some kind of multi-stakeholder consultation (Berkes 2002:302). Such
consultation may however be of great value and involve deliberation, social learning,
trust-building, and facilitate conflict resolution. A quite different management regime is
joint management in which management authority resides at a multi-stakeholder board.
One example is the Laguna Lake in the Philippines: the governance was
compartmentalized and non-participatory before the authorities formed 33 River
Rehabilitation Councils (RRCs), which all included several stakeholders. The RRCs are
capable of making comprehensive and effective responses to declining trends addressing
social as well as ecological drivers (Folke et al 2005:461).
Besides, vertical collaboration increases the probability that responses have a positive
impact on the social and ecological drivers of ecosystem change. To the extent that these
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drivers occur at a continuum of social and ecological scales, governance (responses) may
be more effective if they involve decision-makers (and action-takers) at multiple
organizational levels. Governance, to be effective, often needs to address a range of
drivers and interactions of social and ecological systems, to match the reach and
interactions of those drivers. The existence of several actors, at various organizational
levels, managing the same natural resource, results in a redundancy in governance. This is
generally criticized in policy analysis, although it has been defended in the management
of complex adaptive systems like ecosystems (Low et al. 2003), which require institutional
flexibility. An array of institutions at different organizational levels enhances the diversity
of governance options (Hahn et al. 2006). This has been referred to as scale-matching (Lee
1993), institutional fit (Folke et al. 1998); (Brown 2003), or multilayered or polycentric
governance (Ostrom 1998); (McGinnis 2000).
The leadership of key persons developing policy communities (networks) for ecosystems
management has been highlighted by Olsson et al (2004). A policy community has been
defined as a diverse network of individuals representing public and private organizations
generally associated with the formation and implementations of policy in a given resource
area (Shannon 1998). Policy communities are similar to epistemic communities (Haas 1992)
but not with the same focus on scientific consensus.
Policy communities and related forms of collaboration do not emerge automatically; some
leadership is required. In a synthesis of 18 sub-global assessments within the Millennium
Ecosystem Assessment (MEA), Malayang et al (2006) found a strong correlation between
the number of stakeholder groups collaborating and the effectiveness of response. In
several of the most effective responses a “bridging organization” was involved. A bridging
organization provides an arena for trust-building, sense-making, identification of common
interests, social learning, vertical and/or horizontal collaboration, and conflict resolution
(Folke et al. 2005). Bridging organizations create the space for institutional innovations,
i.e. new norms and rules for cooperating for sustaining biodiversity and ecosystem
services. Bridging organizations differ from “boundary organizations,” which synthesize
and translate scientific knowledge to make such knowledge relevant for policy-making
(Cash and Moser 2000).
Both scientific and policy-related discussions on biodiversity tend to put a large emphasis
on discussing the need to implement “good governance”, or elaborate the changes
required in present governance systems as a strategy to protect biodiversity. In addition,
the scientific literature analyzing the emergence of new governance patterns at various
political levels, and their general implications for society, has experienced a large
increase the last decades (Pierre and Peters 2000). But what is “governance”, and why is
it important? Which are the known impacts of different types of governance on
biodiversity? And which are the most pressing research needs in the intersection between
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High governance capacity on the other hand, as manifested by most European countries, is
no guarantee that government will take environmentally positive measures, or implement
effective management of ecosystems (Katzner 2005). Under the pressure of strong
political lobbyists, governments may be reluctant to implement scientifically grounded
and cost-effective environmental policies.
In addition, even with the best intentions, policy can be adopted based on inadequate
theoretical foundations. Policy initiatives can be seen as a simultaneous experiment with
all resources and their management. If this initiative is based on erroneous data about one
key structural variable, one false assumption about how actors or ecological systems will
respond, or create implementation that is unable to adapt to changing social and
ecological environment, the result can be a collapse in the whole system. Central policy-
makers without a coherent and effective theory of how the dynamic social-ecological
systems work, may easily be misled, and create policy that is to more harm than good
(Ostrom 1999, Anderies et. al. 2004, Dietz et. al. 2003, Ostrom et. al. 1994:18f).
Hence the linkage between “governance” and biodiversity is far from simple. At the same
time, any attempt to understand the drivers of change in biodiversity, or to concretely
cope with the destruction of vital ecosystem services, requires a deep understanding of
these poorly understood linkages. As we argue in the following sections, this can only be
done by unfolding the characteristics of biodiversity governance, and by trying to assess
their linkages to the state of biodiversity.
The term “governance” has many different meanings, and has been employed by
researchers in a large variety of empirical settings, ranging from studies of local politics,
multilevel analysis of cross-national institutions, to investigations of international
organizations (i.e. global governance) (Pierre 2000, Rhodes 2000, Stoker 1998). In its most
general expression the concept of governance can be understood as the coordination of
the public sphere taking place parallel to the formal legal-bureaucratic framework for
public policy formulation (Pierre and Peters 2005, Kjær, 2004). “Governance” is a more
inclusive concept than government as it embraces the relationship between a society and
its government at various scales. Governance generally involves modifying behaviour via
values, norms, and, where possible, through laws. The concept of governance of course
encompasses laws, regulations, and institutions but it also relates to government policies
and actions, to domestic activities, and to networks of influence, including international
market forces, the private sector and civil society.
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GEM-CON-BIO Ecosystems and Governance
In the following report, we will refer to “governance” as the way society as a whole
manages the full array of its political, economic, and social affairs. We will refer to
“biodiversity governance” as the way society at all scales manages its social, economic,
and social affairs with the aim to protect ecosystem function and biodiversity. This latter
definition includes not only central policy-initiatives and legislation, but also attempts by
actors at other political scales to introduce or modify current ecosystem management. A
fundamental assumption in this definition is that biodiversity governance radically shapes
the incentives political actors, individuals and communities face in their daily activities
and interactions, hence either facilitating or hindering biodiversity conservation.
We would like to stress the importance of making a distinction between uses of the term
“governance” as 1) a normative conception (i.e. the demands of “good governance” as
discussed by e.g. the UNDP), and 2) using the term as an analytical concept. In the former
case, “good governance” is used as a blueprint to which existing and malfunctioning
governance is contrasted (Grindle 2004). The second approach uses the term as a way to
unpack, and systematically assess the characteristics of biodiversity governance that seem
to lead to diverse outcomes (i.e. state of ecosystems and biodiversity (e.g. Smith et. al.
2003, Sampford 2002). This report follows the latter perspective as we believe that it
addresses the most interesting, and pressing research needs.
As will be discussed in detail in the next chapter, the main components of biodiversity
governance are related to the both the willingness, and capacity of central and local
actors to promote biodiversity protection, but also the governability of the social and
ecological system. Governability here refers to the ability of social actors at various scales
to steer the development of social and ecological systems (c.f. Pierre and Peters 2005:66f,
Kooiman 2003). Complex ecosystem feedbacks make ecosystems less governable and
conflicting social goals further reduces the governability of the social-ecological system.
The factors presented above are all crucial for a comprehensive, interdisciplinary
understanding of biodiversity governance. Although presented parallel in the above
section, we would like to stress that there are important linkages between the different
components of biodiversity governance. To be precise, the characteristic of governance as
defined by governance capacity, and the realization of policy initiatives, provide the
institutional, economic and socio-political setting for ecosystem management. These
initiatives determine the incentives local stakeholders face, define their capacity to deal
with emerging threats to ecosystems, and define the degrees of freedom for local
initiatives, and affect local actors’ ability to innovate.
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GEM-CON-BIO Ecosystems and Governance
Folke et al. (2005) and Hahn et. al. (2006) analyze the features of successful adaptive
approaches for ecosystem management under uncertainty. As illustrated in Figure 3.1,
these features involve a diversity of interacting social, economic, institutional and
ecological factors.
Social norms
and rules
External
drivers, Know-
change ledge
and Management: systems
surprise actors, organizations
Ecosystem functions +
dynamics
Figure 3.1. A conceptual model of the dynamics facing a linked social-ecological system (SES). A
SES consists of an ecosystem, the management of this ecosystem by actors and organizations, and
the formal (rules) and informal (social norms and conventions) institutions underlying this
management. The resilience of a SES depends on ecological dynamics as well as the organizational
and institutional capacity to adapt to ecosystem dynamics. This requires a learning environment
and links between key persons across organizational levels. To be resilient, the social-ecological
system also needs capacity for dealing with external change. (Modified from (Hahn et al. 2006)
As a case in point, well intended ecosystem management (ESM) initiatives are likely to be
predestined to fail if central states are corrupt, social capital across organizational levels
is low, institutional and economic incentives are perverse, or existing legislation is
absence, or is paralleled by non-existing enforcement. These tight linkages motivate why
issues of biodiversity governance, and ecosystem management can not be treated as
separable entities.
Governance systems are as dynamic as ecological. Scholars seldom recognize that threats
to biodiversity take place parallel to a number of changes in governance around the world.
Decentralization initiatives, the growth of partnership arrangements, the augmented
importance of non-governmental organizations and epistemic communities, and the
increased influence of multi-lateral agreements in a diverse set of fields, have all
diminished the command-and-control nature of governing in favour for more indirect
steering. At the same time, trust in political institutions and party membership in the
Western world is in decline, which implies that the legitimacy of the political system
seems to be less stable compared to a couple of decades ago. (Pierre and Peters 2005:66,
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GEM-CON-BIO Ecosystems and Governance
Pierre and Peters 2000:83-91, Rodhes 1994, Kooiman 2003). The reduced capacity and,
perhaps also legitimacy, of national governments to implement environmental policies,
combined with the complexity of dynamic social-ecological systems, imply a joint and
tough challenge: the need to develop new forms of effective and adaptive biodiversity
governance.
But which forms of governance seems to be most effective from the perspective of
biodiversity? How do we strike a balance between top-down initiatives and local
innovations? When does biodiversity legislation make a difference? And which kind of
collaboration forms and ownership structures seem to be most effective in promoting
adaptive approaches to ecosystems? Despite the pressing need to provide policy-makers
and societal actors in general with clear answer to these questions, our understanding is
limited, fragmented and at worst shallow.
GEM-CON-BIO is particularly concerned with some research issues that are in the interface
between governance, ecosystem management, and changes in biodiversity.
These issues are further elaborated in the rest of this report and in Annex 1: The Research
Questions
The role of governance issues in biodiversity conservation has been discussed in earlier
sections of the report. We suggest that the wide variety of biodiversity governance
objectives and characteristics can be reduced analytically to six general models: state
dominated, community based, corporatist, policy network based, adaptive management
and market based governance (Table 3.4). Each of these models display its own type of
governance with regard to the degree of stakeholder involvement, the policy instruments
preferred, the adaptability and feed-back characteristics, the importance of multi-level
governance and leadership and other.
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GEM-CON-BIO Ecosystems and Governance
To be more precise, the models imbed a number of logical arguments that specify a set of
relationships among variables (examples from mainstream governance literature that
apply the same strategy include Jordan et. al. (2005), Pierre and Peters (2005), Pierre
(1999), Yee (2004)). As an example, the impact of visionary leadership for biodiversity
conservation is hypothesized to be limited in a context dominated by state actors, and
where corporatist structures dominate important decision-making processes (corporatist
biodiversity governance). Another hypothesis is that epistemic communities will play only
a limited role in market-based biodiversity governance since farmers and other actors are
expected to change management based on price signals rather than scientific knowledge.
While the causal statements are likely to be controversial, they should provide a
parsimonious and rich ground for hypothesis testing. Hence the ideal type governance
models and their characteristics suggested here can be modified and elaborated during
the research process depending on the how the empirical results of the project unfold.
Another important point is that the governance models should be linked to a defined set
of outcomes as defined in the suggested GEMCONBIO framework. To be more specific,
GEMCONBIO can study whether the different governance models meet the requirements of
the resource management objectives, and the requirements of broader commitments
made at the international level (e.g. CBD). The rich data to be gathered according to the
suggested GEMCONBIO framework also allows a more detailed elaboration of the factors
that seem to lead to biodiversity governance success and failure.
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Table 3.4: Models of Governance for biodiversity identified within GEM-CON-BIO
Defining State Dominated Community Based Corporatist Policy Network Based Adaptive management Market Based
Characteristics*)
A. Local community
Low High Limited High Limited Variable (Low-high)
participation
B. Integration of
Low High Limited High High High to low
local knowledge
C. Main Ownership
State/Mix Community/Mix Unimportant Mix Unimportant Private
structure
Decentralized formal
D. Key policy Legislation and Legislation and
and informal Mix None/Mix Economic incentives
instrument information information
institutions
E. Adaptability to
Low Low to High Low Variable (High-Low) High Variable (Low-High)
ecosystem feed-back
G. Epistemic
Unimportant Low importance Important Important Important Unimportant
communities
These three issues provide the basis for the GEM-CON-BIO framework. Before elaborating
on these issues we provide a very short review of four existing frameworks that we have
used as bench-marking.
There are a number of similar analytical frameworks for the study of natural resource
management. In the following section, we review four of the most widely used research
frameworks in the field of governance and natural resources, to elaborate the advantages
and transdisciplinary focus of the suggested framework.
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GEM-CON-BIO Ecosystems and Governance
In her seminal work Elinor Ostrom (1990) identifies a number of factors behind institutional
choice in natural resource management (Ostrom 1990:194f). Various situational variables
such as the number of decision makers, heterogeneity of interests, past strategies of
leaders affect, whether the appropriators live near the CPR and other variables have all
proven to be important (Ostrom 1990:205f). Refined and extended versions of the
framework called the Institutional Analysis and Development (IAD) framework has been
applied to several and widely differing settings around the world such as the evolution of
coffee cooperatives in Cameroon to the regulation of the phone industry in the
U.S.(Ostrom 2005), indicating its significance and wide spread use.
Though the framework has helped to clarify the important role self-organized
institutions plays in natural resource management, it suffers from an important drawback
that can be circumvented in part by the suggested framework. As Agrawal argues, studies
based on this highly institution-focused framework are “negligent in examining how
aspects of the resource system, some aspects of user membership and the external social,
physical and institutional environment affect institutional durability and long-term
management at the local level” (Agrawal 2001:1650-1). A related shortcoming is the fact
that the IAD-framework lacks an explicit strategy to elaborate to what extent changes in
“outcome” (in our case biodiversity) are the results of the institutions created by local
natural resource users, or the result of natural fluctuations, changes in government policy,
or other external non-institutional changes linked to the state of biodiversity. The latter is
important in discussing how governance affects biodiversity as degradation often results
from government initiatives at higher institutional levels than self-organized natural
resource management institutions (c.f. York et. al. 2003, Agrawal 2001, Baland and Platteu
1998).
These policy questions were to some extent addressed by the sub-global assessments (MEA
2006) which did not belong to the original plan for the MEA but were appended after
criticism at one early science meeting. The sub-global assessments were approved after
application to the MEA Board and although they promised to follow the overall MEA
Framework, the assessment was carried out by researchers focussing on quite different
issues. Hence, the process of synthesizing the findings from the 34 sub-global assessments
proved to be very difficult since the data were not really compatible (see e.g. (Malayang
et al. 2006).
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GEM-CON-BIO Ecosystems and Governance
social and ecological systems across scales, the structure and feature of ecosystem
management, and the system’s ability to buffer, recover or reorganize from crises, stress
or change (Gunderson and Holling 2002, Berkes et. al. 2003). Research within this
framework also has an explicit ambition to analyze non-linear behaviour in social-
ecological systems, including both path dependence and abrupt change (ecological
surprises and social responses to such crises).
It is important to highlight that the RSES “framework” also lacks an explicit agenda for the
study of the impacts of governance capacity and governability on ecosystems and
biodiversity. An exception here is Folke et. al. 2005, yet the framework suggested for GEM-
CON-BIO includes more detailed governance issues. Related to this is the fact that the RSES
framework has not yet been applied systematically in large cross-national studies (c.f.
Berkes and Seixas 2005) although attempts are underway (Olsson et al. 2006, Walker and
Salt 2006).
The simplicity of the model is often raised as strength of the PSR/DPSIR approach. Not only
does it make the framework easy to understand, and therefore easy to apply on other
cases, furthermore the approach is flexible enough to adjust on more detailed questions
(OECD 2003:21).
The similarities between the work assumed by users of the PSR/DPSIR approach, and the
ambitions of GEMCONBIO are obvious: Both describe the interactions and causalities
between human decisions and activities and their consequences for the environment. At
the DPSIR framework the societal responses related to biodiversity governance are not as
detailed compared to the suggested GEMCONBIO framework. While the first approach
merely includes indicators of societal responses such as legislation, taxes and subsidies,
waste recycling rates etc. (OECD 2003:21, Pirrone et al. 2005), the latter elaborates the
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GEM-CON-BIO Ecosystems and Governance
importance of, and the interactions between governance factors such as co-management,
social networks and others (Dhakal and Imura 2003). In this way, the suggested GEMCONBIO
framework can be considered as a detailed elaboration of governance responses in the
field of biodiversity protection. Figure X (see below) elaborates the linkages between the
suggested GEMCONBIO framework and the PSR/DPSIR approach.
This framework is developed in the rest of this report, especially in section 5.2 and Annex
1: The Research Questions. Important ingredients have been mentioned above in 4.1 “What
should be addressed in a framework?” In short, the GEM-CON-BIO Framework draws on the
insights and experiences from the other three frameworks described here. We expand the
issues of governance without neglecting ecosystem dynamics and adapt the framework to
the European ecological and policy context.
The GEM-CON-BIO framework is scale-free, i.e. works for all institutional scales and
explores links between institutional processes at different scales (Figure 4.1). Each cycle
starts by assessing the Initial Capacity (ecological capacity including drivers and threat,
socio-economic capacity, governance capacity, regulatory capacity, and general social
capacity). Based on this general capacity, we assess how management objectives are
determined, whether an integrated perspective (e.g. the ecosystem approach) is
employed, and whether efforts to monitor are taken (which is necessary for an adaptive
management).
Then our framework calls for detailed analysis of the governance processes, how
regulations are linked between multi-level institutions, how rules are enforced, how
monetary and social incentives are provided, whether and how stakeholder groups
collaborate in horizontal and vertical networks, how local ecological knowledge is
embedded in management plans, the role of leadership, and so on. Since our framework
focuses on governance and ECM, we assess the impacts of these on market opportunities,
on social organization (changes in stakeholder collaboration and local social capital) and
ecosystem services including the threats (drivers and pressures) to ecosystem services.
Hence, by “impact” we don’t mean impact of drivers and pressures but impact of
governance (which of course sometimes can be regarded as drivers, e.g. the Common
Agricultural Policy or economic policies). In this respect the GEM-CON-BIO framework
differs from both the MEA and the DPSIR frameworks.
The GEM-CON-BIO framework focuses on the Change in the State of Biodiversity resulting
from the impacts of all governance processes. This is followed by the important
evaluation: did the biodiversity governance actions meet the management objectives
and/or the requirements of broader commitments (e.g. the CBD)? Were major drivers and
pressures identified, targeted, and influenced? If this was not the case, or if governance
actions were based on inadequate understanding of ecosystem dynamics, the actions are
bound to be ineffective, no matter how democratic the governance processes have been
and how much “good governance” we have experienced. A response at a local scale may
appear effective and successful at the local scale but unless drivers and trends at larger
scales have been influenced the effectiveness can be questioned. This was the case for
some of the Sub-Global Assessments within the MEA (Malayang et al. 2006).
Table 4.1 provides an overview of the differences between GEM-CON-BIO and the other
presented frameworks and Figure 4.2 is a stylized representation of the relationship
between the GEM-CON-BIO analytical framework and the DPSIR framework and relate it to
the policy development cycle.
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European level
National level
Local level
Evaluation
Social
Capacity
Social Ecological
Ecological
Governance
Societal
Evaluation
Drivers
Pressures
Change in
State of
Biodiversity
State
AND Social
Impact
Response
GEM-CON-BIO
Governance
DPSIR Processes
Figure 4.2: A stylized representation of the relationship between the GEM-CON-BIO analytical framework and the
DPSIR framework and also the policy development cycle.
5. Implementing the Analysis Framework
Linking social, political, economic and ecological components across scales is a complex
scientific task. Establishing causal links in such a context requires a thorough
understanding of a number of methodological challenges. The following sections elaborate
a number of research design strategies and recommendations to the application of the
GEM-CON-BIO framework as a way to increase the explanatory power of the case studies
assumed within the project.
When a large number of causal variables potentially affect outcomes, the absence of
careful research design makes it almost impossible to be sure that the observed
differences in outcomes are the result of claimed causes (Scharpf 1997). This is most clear
in case studies or small N studies where the causal model is not carefully or explicitly
specified. The drawbacks here have the potential to produce an emphasis on causal factors
that may not be relevant, ignoring other factors that may be relevant, and the generation
of spurious correlations (Agrawal 2001:1661, King et. al. 1994, Scharpf 1997).
This is not to say that large-N multivariate studies are free from research bias and
problems in assessing causal relationships. Limitations here are the range and quality of
measures available for all cases in the data sets. Sometimes, variables of theoretical
importance are not measured at all, or can be measured only by using rough proxies.
Hence even though large-N studies can be very fruitful in formulating and testing
hypothesis, they can also fail in properly elaborating the causal paths, or assume false
correlations (Hedström and Swedberg 1998, Stern et. al. 2002:451f.7
These challenges are obviously common to all research activities. The important question
at this point is how to overcome them. One often suggested strategy to approach these
methodological problems is to deploy a careful research design by assuming 1)
theoretically motivated comparative case analyses to identify the most important causal
mechanisms, and narrow the range of relevant theoretical variables, and 2) conduct large-
N studies to identify the strength of causal relations (Agrawal 2001:1662-5, Stern et. al.
2002:468f). The benefits of the suggested approach should not be underestimated.
Theoretically guided comparative case studies, combined with multivariate analysis can
contribute to empirically supported causal hypothesis, particularly in dealing with
transdisciplinary challenges (Stern et. al. 2002:467f, Coppedge 1999, Agrawal 2001).
It is of great importance that as many variables of the suggested framework are measured
in each case study. There are two main reasons for this. First, a systematic use of the
framework allows the research programme to expand it explanatory potential, compared
to a scenario where the framework is applied unsystematically and ad hoc (King et. al.
1994:43ff, George and Bennett 2006). As a case in point, the IAD-framework and its
systematic use over a large number of natural resources, has been widely acknowledged as
solid knowledge base of great importance for our increased understanding of how natural
resource users overcome the “Tragedy of the Commons” (Drama of the Commons, Ostrom
2005).
7
For elaborations of the argument see Durlauf 2002 on social capital and Galaz 2006 on heterogeneity and
collective action in natural resource management).
GEM-CON-BIO Ecosystems and Governance
Second, a systematic use of the framework across the case studies allows the research
program to elaborate the linkages between different biodiversity governance factors, and
changes in biodiversity. As one example, whether the use of market-based instruments is
effective across differing institutional contexts (e.g. national and international legislation,
degree of compliance etc), can only be answered in a convincing way if these dimensions
are captured in all case studies.
We recommend that the program avoids a situation where the included case studies differ
considerably in the data collected (e.g. some cases are rich in ecological data, and poor in
social data, or vice versa), or the framework is applied in a disjointed manner. Hence we
recommend that the project management makes sure that the balance between social,
institutional, economic and ecological is taken in serious consideration in the choice of
case studies.
One often raised point of criticism to large N studies is the lack of dynamics in the studied
phenomena (Agrawal 2001). In the case of GEMCONBIO, the linkages between the
independent variables (i.e. biodiversity governance), and the outcome of interest
(biodiversity conservation) risks to be studied measuring non-changing variables as a way to
keep the analysis simple. The cost of this simplified approach on the other hand, is that
the project overlooks how the factors change and interact over time. To be precise, a
static analysis within GEMCONBIO might lead to highly limited possibilities of understanding
how shifts in biodiversity governance affect changes in the state of biodiversity, or vice
versa. The importance of assessing these dynamics is of high scientific and policy value.
Hence we recommend that the case studies include an analysis of ex ante, and ex post of
both ecosystem state and biodiversity governance. Due to financial and time limitations of
the project, this requirement should be applied on changes on the identified biodiversity
governance modes/types, and a number of strategically selected biodiversity indicators.
The number of success stories and “good examples” are more than common in the field of
natural resource management. Only analyzing success stories in the case of the ambitions
of GEMCONBIO is, however, a potentially problematic approach. The main reason for this is
the risk that the selection process builds in a selection bias that seriously limits the case
studies explanatory power. The logic is that non-random samples of case studies (such the
one assumed in GEMCONBIO) must allow for a variation in the dependent variable (state of
biodiversity). The reason is, bluntly put, that to be able to explain variations in the state
of biodiversity, we must allow the state of biodiversity to vary to maximize the
explanatory power.
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GEM-CON-BIO Ecosystems and Governance
research group be sure of that the governance features they identified as leading to
success, were not also present in other non-studied cases linked to ecosystem management
failure? (This sort of selection bias is elaborated explicitly in King et. al. 1994:128-149,
however see Dion 1998).
We recommend that GEMCONBIO and its collaborating case study partners attempt to
include both successes and failures in biodiversity governance in the sample of case
studies. Ideally and if possible, these observations can be assumed within case studies as
discussed in the section above concerning the need to assess change in the case studies.
Second, the low sample number (between 12-17 at this time) is likely to be considered as
too low by biodiversity scholars used working with large-N samples. Although there is no
definite solution to the low number of case studies, we suggest three possible ways to
partly deal with the problem.
First, the recommendation to study change in the respective case studies is applicable here
as well. This strategy increases the number of observations hence contributing to
increasing the explanatory power of the GEMCONBIO-framework (see King et. al. 1994).
Second, there are a number of existing databases that include case studies in the field of
ecosystem management that can be integrated into the final analysis of the project.
Examples here are the OECD Database on Incentive Measures for Biodiversity8, the webpage
ConservationEvidence.com9 that includes a collection of cases that range of subjects
including habitat restoration, to species management etc., and the University of Michigan
Ecosystem Management Initiative database “Learning from Experience”10. In addition,
there exist a number of case studies in the field of natural resource management in the
academic literature that also can be included to increase the sample size.
We would however like to stress that the likelihood of finding cases that fit all dimensions
(social, economic, and ecological) of the GEMCONBIO framework is very low. Hence
integrating other existing case studies should only be done if the project is interested in
elaborating specific linkages between a few variables, or test specified hypotheses
formulated by the project.
8
http://www.oecd.org/document/57/0,2340,en_2649_33713_34316473_1_1_1_1,00.htm
9
http://www.conservationevidence.com
10
http://www.snre.umich.edu/ecomgt/cases/index.htm
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GEM-CON-BIO Ecosystems and Governance
The amount of data to be collected according to the suggested framework forces the
project to think through how data is to be summarized and analyzed. The alternatives are
several, ranging from a compilation of narrative case studies, to strictly steered analytical
case studies with a systematic application of a joint framework. As discussed above, we
suggest the latter alternative. Although the GEMCONBIO’s core activities will evolve around
a limited number of case studies, a number of quantitative techniques can be used to
facilitate dissemination activities, and the final analysis. Figure 5.1 illustrates such a
technique from the Millennium Ecosystem Assessment Multiscale Assessement. In addition,
the Research Questions in Annex 1 identify a number of variables that can be condensed
into rough categories to simplify the final analysis. (This issue is to be elaborated in the
forthcoming case study manual for GEMCONBIO.)
Actors
5
4
3
2
1
Instruments 0 Organizational levels
Atacama/Advisory
Committee
KW-Sweden/Cranes
Philippines/River
Know ledge systems Rehabilitation Councils
Figure 5.1 A quantitative comparison of four features for three of the Sub-Global
Assessments (Malayang et al. 2006).
The sections above have all dealt with a number of key methodological issues of interest
for the GEM-CON-BIO framework. Our main objective has been to identify a number of
practical ways to increase the explanatory power of the suggested GEM-CON-BIO
framework, and hence the scientific and policy contribution of the project as a whole. It is
important to highlight that the framework and methodological strategies suggested in this
report can contribute to the first transdisciplinary and systematic analysis of biodiversity
governance, and its linkages to the state of ecosystems. This is not a small contribution. At
the same time however, it is important to recognize that no framework or research
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GEM-CON-BIO Ecosystems and Governance
strategy is able to capture the full complexity of social and ecological factors relevant in
field settings. Considering that the project will build its scientific conclusions and policy
recommendations on a low and a non-random sample of case studies, the issues discussed
above should be taken seriously.
In this section we discuss each of the elements of the framework in more detail and
elaborate some of the possible data sources that could provide information. This discussion
is not meant to be exhaustive and we also recognise that it will not be possible to extract
data in all cases. Furthermore there will be numerous discussions concerning the use of
proxies, for example the use of species richness as a measure of state of biodiversity.
Therefore the components of this chapter should be viewed as work in progress. We should
also bear in mind that the aim of the framework is to analyse the processes and institutions
used to manage the use of natural resources and how these relate to changes in the state
of biodiversity.
The starting point for any analysis is the condition faced within a particular site at a given
time. This may be the current situation for present day case studies or it could be a
historic condition for case studies assessing the situation occurring in sites in the past. We
consider it important to have data not only on the ecological processes occurring within
the area, but also the societal and organisational processes. The basic site information is
the same as that required for the Millennium Ecosystem Assessment (MA):
This data can yield information concerning land cover at one point in time and also
changes in land cover over time (e.g. Corine), which is very important when studying
changes in the ability of ecosystems to provide goods and services.
To standardize the methodology between case studies, the most internationally accepted
land cover data should be used to derive a map of the land cover types within each case
study site. Within Europe this will be the Corine Land Cover data administered by the
European Environment Agency (EEA) and globally it can be the Global Land Cover (GLC)
data which is currently being updated (2006) and should be released by the end of 2006.
The MA was based on the GLC2000 database, which is based on SPOT vegetation sensors
(MA ch2 2005). Both Corine and GLC have open access policies and should be compared
with local GIS data if it exists.
The use of remote sensing data to determine changes in land cover over time is still in its
infancy and is best suited to studies of large areas and broad habitat classifications, e.g.
tropical forest cover (Lepers et al 2005). Within the case studies it may be possible to
collect data on land cover changes over time through maps and past inventories.
Once the area is defined and the dominant land cover types are identified, we can identify
the major ecosystem goods and services that contribute to human wellbeing in the area.
The MEA defined ecosystem goods, like food and fibre, as provisional ecosystem services:
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GEM-CON-BIO Ecosystems and Governance
- provisioning services – this includes the resources most commonly identified for
ecosystems such as food and fibre. This data is usually readily available through
inventories carried out by the relevant national authorities such as agriculture or
forestry services. Depending on the availability of local data it may be possible to
compile information from different data sources into a meta-analysis of ecosystem
provisioning services.
- Supporting services – these include services such as soil formation, nutrient cycling
and primary production. Although this data is not systematically collected it may be
possible to either collect data during the case studies or to use proxies (such as past
research and/or inventories).
- Regulating services – these include water and climate regulation. Generally it will not
be possible to collect data on these services.
- Cultural services – these include the non-material benefits from ecosystems. Although
often systematic data has not been collected, there is a wealth of information from
local sources which could possibly be compiled for the case studies. Further
information may be yielded through the pan-European case study on the valuation of
the use of wild resources.
For habitats, inventories should already exist to identify the major habitat types, based on
the land cover data required above. For each of the habitat types, it should be possible to
gather data on changes in the extent of different habitats and also major degradations. It
may be possible to measure the ability of certain habitats to provide ecosystem functions.
It is likely however that measures of species (richness, abundance and trends) and diversity
and extent of habitat types will be the only biodiversity information that can be gathered.
However additional sources of information should be considered including domestic genetic
diversity.
It is beyond the scope of this project to tackle the underlying drivers of change (e.g.
economic development, see Chapter 2), however they obviously play an important role in
the decision-making process that affects resource management from the local to national
levels. Therefore we treat drivers as part of the starting conditions within which resource
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managers have to act. Through actions they may be able to make progress towards tackling
the drivers, but this can only be viewed as part of contributions to international
agreements and not as a priori objectives for the project. Therefore for each case study
data should be collected on the major threats to biodiversity and ecosystem services and
which drivers of change they correspond to.
To understand the pressures being placed on biodiversity and also the local communities,
we need to collect data on existing and identified negative pressures from the perspective
of biodiversity. This can include infrastructure development, pollution, habitat
fragmentation, introduction of invasive species etc. A list of the common threats can be
formulated and case study leaders will be able to identify the extent of the threat posed.
Furthermore case study leaders should identify past threats and actions taken to address
them. It will be important to identify the success of these actions and the level of
participation from different stakeholders that was involved.
Population data
Changes in the population and distribution of the population within a given area can be
powerful drivers of change in the use of natural resources and the distribution of the costs
and benefits that subsequently arise. For example demographic shifts in rural areas with
people moving to cities has resulted in wide scale abandonment which is now one of the
leading threats for agricultural biodiversity. Therefore an important start is have data on
local population and changes in population density over time. It is also important to have
an understanding of any major issues associated with human wellbeing. For example the
MA sub-global assessment that took place in Portugal highlighted access to key facilities,
illiteracy, health and education as major issues affecting the study area (Pereira et al
2005). These will have an impact on the societal attributes of the community.
Economic data
Economic indicators can provide an insight into the resources that are exploited and what
proportion of the economy of the area that they make up. Understanding how resources
are currently used and how people benefit from them, allows a better understanding of the
options for future management decisions. Furthermore information is required on the flow
of resources to identify what proportion of resources or their income remains in the area
studied. This further adds dimensions to the study of incentives for sustainable
management and conservation.
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GEM-CON-BIO Ecosystems and Governance
Yet, the lack of effective biodiversity governance is not an issue for developing countries
only. On the contrary, a number of countries with high governance capacity have low
levels of species richness. Hence it seems like highly efficient capitalist economies are
usually capable destroyers of natural systems (Katzner 2005). As a case in point, although
the governance capacity of Sweden is likely to be one of the highest according to all
accepted indicators of “good governance”, problems of eutrophication and loss of aquatic
biodiversity remain endemic despite changes in legislation, national funding and NGO
involvement (Galaz 2006).
The implications of high governance capacity (c.f. “good governance”) and biodiversity
conservation are hence far from simple. As discussed in previous sections, there are a
number of poorly elaborated, yet fundamental interactions between this capacity, and the
outcome of ecosystem management. The outcome of the presented biodiversity
governance models/types (Table 3.4), are also likely to be affected by the general
institutional context as defined by different societies’ governance capacity.
But which are the main indicators of what we denote as “governance capacity”? To
simplify the analysis, we have chosen three governance indicators identified by the World
Bank and the organization’s database “Governance Matters”. The indicators are based on
several hundred individual variables that cover over 209 countries. The indicators that we
suggest to be used within GEMCONBIO are the following:
ii) Control of corruption – measures the exercise of public power for private gain, including
both petty and grand corruption and state capture
iii) Rule of law – measures the quality of contract enforcement, the police, and the courts,
as well as the likelihood of crime and violence.
It is important to recognize that these indicators can only be used as rough estimates of
the capacity of central policy makers to achieve set up biodiversity conservation targets.
On the other hand, the advantages and scientific novelty of using already existing
governance data, with comparative in-depth studies of ecosystem management should not
be downplayed. It is worth highlighting that the Millennium Ecosystem Assessment did not
elaborate the detailed linkage between ecosystem change and the capacity of societies to
govern their societal affairs, something that clearly limits the assessments policy
evaluations and recommendations.
The full dataset and detailed explanations of the database can be found at
www.worldbank.org/wbi/governance/govdata/
Multi-level Governance
The multi-scale character of ecosystem change has been widely acknowledged in both the
policy and scientific community the last decades. Ecological and social scales operate at a
wide variety of scales – from very small and short to very large and slow – creating
important driving forces for both human and environmental systems (Millennium Ecosystem
Assessment 2003, Gibson et. al. 2001). Climate change, demographical change,
technological innovations and fluctuations in world markets all illustrate fundamental
drivers that can have vast impacts on local ecosystems and biodiversity. It is important to
recognize that these cross-scale interactions do not add up in a linear manner. On the
contrary, they can be predominated by both positive and negative feed-backs operating
over a range of spatial and temporal scales which often result in “surprises” with immense
consequences for ecosystems and human welfare (Kay et. al. 1999:722, see Geist and
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GEM-CON-BIO Ecosystems and Governance
Lambin 2004 on desertification, Schneider and Root 1995 on ecosystems, Downing et. al.
2005 and Moench 2005 on freshwater).
Another issue related to why well-intended biodiversity conservation initiatives might fail,
despite high governance capacity, is related to the “governability” of the social and
ecological system. Governability here refers to the ability of social actors – independent of
scale – to steer the development of social and ecological systems (c.f. Pierre and Peters
2005:66f, Kooiman 2003). Simply put, systems that imbed highly dynamic and poorly
understood ecological systems, and uninterested or opposing social forces (such as policy
networks for conservation and a public that opposes biodiversity conservation) will be
difficult to manoeuvre towards defined ecosystem management aims. Hence the outcome
of well-intended biodiversity conservation initiatives at local or central level is highly
dependent of issues related not only to the capacity to govern, but also the governability
of the social-ecological system.
Operationalizing governability is far from a simple task. We suggest that GEMCONBIO uses
four attributes to identify governability in the case studies.
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GEM-CON-BIO Ecosystems and Governance
2) The existing public support for biodiversity conservation - Governing for biodiversity
tends to involve tough trade-offs that might trigger conflicts between stakeholders and
between local users and governmental agencies. These latter conflicts typically involve an
effort from the agency to preserve or protect a certain species perceived by people living
in the area as harmful or unwanted in some way. In some instances, these conflicts have
even held displays of violence, sabotage, and explicit disobedience of laws. Conflicts of
this kind provide fundamental obstacles to biodiversity conservation initiatives (Wilshusen
2002), social learning processes (Galaz 2005), and ecological restoration efforts (Diggelen
et. al. 2001).
3) The trust actors have for existing institutions and government initiatives in general -
Although trust and social networks among stakeholders in ecosystem management is likely
to be important, the importance of vertical trust should be recognized. Vertical trust here
refers to the social capital existing between local stakeholders and government actors and
institutions. Low vertical poses a number of challenges for ecosystem management. First,
self-organized multi-level biodiversity governance relies heavily on collaboration among a
diverse set of actors operating at different levels, from local users to municipalities to
regional and national organizations. These vertical linkages are fundamental for linking a
variety of sources of information and knowledge and hence avoiding set prescriptions of
management superimposed on a particular place, situation, or context (Olsson et. al.
2004). Second, the ability to reorganize and renew a desired social-ecological system state
following disturbance and change, will strongly depend on the influences from dynamics at
scales above and below which highlights the need for creating institutional linkages across
scales (Gunderson and Holling 2002), and the importance of vertical trust. Third, low levels
of vertical trust can seriously diminish the incentives for self-organization and innovations
by local actors in ecosystem management as exemplified by the case of corruption.
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GEM-CON-BIO Ecosystems and Governance
Alcock 2002). Actors uncertain about the future may simply discount it and focus on short-
term gains, or resist establishing any agreement that potentially may disfavour them hence
intensifying conflict (Knight 1992). A noteworthy insight reviewing experiments made by
social-psychological researchers is that ecological uncertainty tends to drive an outcome-
desirability bias among natural resource users in harvesting experiments (Gustafsson et. al.
1999, Budescu et. al. 1992), which illustrates the destructive effects of high ecosystem
uncertainty.
For the area under consideration, it may be wholly or partially contained with a
Management Plan, either as a protected area or as a natural resource. In fact it is likely to
contain a number of management plans either for different areas or for different
authorities. Therefore within this section it is important to identify what the prime
objectives of managing the area are and what mechanisms are used to achieve these goals.
First of all we have to identify who are the stakeholders currently involved in the
management of ecosystems. During this process we will be able to see whether resources
are managed by State authorities, privatised agencies, community administrations or a
combination of each. It will be important to understand which resources are managed in
which way and under which supporting legislation.
Once data is derived for the set of ecosystems that are managed, the following sources of
information are required to understand the features of the management process or
planning:
Decisions made on how and what natural resources to use are implemented at all levels.
Decisions are made by central government all the way down to individual landowners. A
common feature for each of these “decision-makers” is that they make their decisions in
an imperfect world (ie. with uncertainty) and in the face of a set of conflicting demands
(Dietz et al 2003). Governments are faced with complex and conflicting demands and
interests from different sectors, and individuals are trying to balance different aspects of
their lives to maximise their well-being. This dynamic process which is responding to
changing ecological and social conditions informs the trade-offs that each decision-maker
has to make. To understand the decisions made and how they can be influenced to support
both human wellbeing and the protection of biodiversity, we must be able to gauge these
trade-offs.
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In the implementation of management objectives within the study area, we identify three
broad categories of mechanism that can be used. We have identified these as governance
processes to emphasise that it is the structures and processes involved in the
implementation of the management tools that are the focus for this project. In most cases
even the most innovative tool will not be successful without effective processes behind it.
We take the view that the implementation of management objectives, be it by an
individual land owner or a government will use a combination of economic (and financial),
social and regulatory processes. It is likely that the relative balance of the use of these
different tools and their interaction with the different stakeholders involved will be one of
the key areas of investigation for this project.
Regulatory Processes
Under this category we investigate how many institutional levels are involved in the
regulation of biodiversity conservation in the studied area. Regulations are developed
within institutional contexts and are often administered and enforced by different agencies
or actors. Levels of enforcement can different between sectors and regions, leading to a
patchy implementation of regulations and an unbalanced use of regulatory tools. To assess
the level of implementation of such approaches we view the interaction between
institutions and government agencies at different levels. This is related to the more
general question of multi-level governance (section 5.2.2) but here the issues are applied
directly to the study area and its actors.
An important first step is to understand if and how wild resources are valued within the
study area. This approach which looks at components of biodiversity that do not include
farming or forestry commodities, but can include resources found on farmland or in forests
(e.g. non-timber forest products), is often not fully incorporated into the economic
decision-making concerning an area. Therefore one part of the study is to understand what
resources are currently utilised within different countries and what their combined value
to users could be. This initial approach will limit itself to activities directly related to wild
living resources (both consumptive and non-consumptive).
A further important question addressed here is the relationship between those who bear
the cost of managing an area or resource for biodiversity and those who may benefit from
it. One of the key provisions of global biodiversity conventions is the equitable sharing of
costs and benefits. Examples of this include the extractive use of forest resources or the
impacts of tourism which invariable leave the negative impacts to the local community,
but the economic benefits are taken by companies outside the region.
Social Processes
One of the central tenets of GEM-CON-BIO is the social processes involved in the effective
implementation of management for biodiversity. Integrated management processes
emphasise the importance of social interactions and the use of knowledge. Therefore this
part of the project will assess the level of interaction among stakeholders within the
studied area and the level of trust both vertically (i.e. with institutions at different levels)
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GEM-CON-BIO Ecosystems and Governance
and horizontally (between institutions at the same level). Often the success of activities at
the local level relies on the driving force of certain key individuals. These individuals offer
both advantages and disadvantages, primarily related to the consequences of them leaving
the system. The social processes issues related to the Research Questions were discussed
above in section 3.2.
5.2.6 Impacts
The theoretical construct of the analytical framework maintains that the three broad
groups of governance processes are used in varying degrees simultaneously to manage
natural systems. The outcomes of these processes have a series of impacts that can be
broadly clustered into ecological, economic & financial and societal categories. The
combination of processes used is assumed to affect each of these categories to differing
degrees. For example the implementation of market tools may have positive impacts on
societal and economic features in the study area, but they may equally have large
deleterious impacts on the ecological state of the area.
Therefore in this part of the analysis we ask whether people within the study area realise
both monetary and non-monetary values from the management of resources. Also we ask
whether the governance processes have led to the use and benefit from new ecosystem
services; an example of this could be the establishment of a wildlife viewing business or
sustainable harvest of a natural resource not previously exploited. We then ask whether
the result of these approaches increases or decreases the threats and pressures faced by
the study area.
5.2.8 Evaluation
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GEM-CON-BIO Ecosystems and Governance
what organisational level are changes most necessary. The principles of both the
Ecosystem and Approach and Addis Ababa highlight the need to make decisions at the most
appropriate level. This is issue of subsidiarity in the management of natural resources is
very important, especially when associated with the effectiveness of governance
processes. This approach will allow the project to make recommendations concerning the
feedback that is required and also at what stage it is needed, whether modifications of the
Natural Resource Management Plans can be made at the site level or whether institutional
or policy changes are required at the national or regional level.
Conclusions
This report establishes the groundwork for the GEM-CON-BIO project. We have provided a
brief overview of the concepts and theoretical approaches used in the management of
biodiversity. We have shown the relationship between the different components of
ecological theory, management practice and biodiversity conservation. Although these
different fields have developed from very different origins, we can now see that both
globally and increasingly locally, they are forming into a single vision for the sustainable
use and management of ecosystems. Within the European Union this comes at a very
prescient time. We are witnessing a dramatic decline in European biodiversity that will be
exacerbated by increased habitat fragmentation and climate change. Two years ago, 10
countries joined the European Union with the result that most of continental Europe is a
party to the development and natural resource use policies of the European Community.
Within this complex body of legislation there are conflicting demands for increased
economic development (the so called Lisbon Agenda) and the commitments made globally
and in Europe to halt the loss of biodiversity by 2010. As scientists we know this target is
un-manageable, however it has provided a catalysis and spotlight for the state of Europe’s
nature. This is coupled with the broader financial perspective of the EU which is
integrating biodiversity considerations into other financial mechanisms such as rural
development and structural funds. Thus in Europe we are faced with a situation that
‘nature’ is competing with the economic and development interests of Member States. The
shift in thinking from separate perspectives on land use policies and nature conservation to
a more holistic ecosystem approach therefore provides a potent opportunity to ensure that
development can move towards being sustainable.
However this approach carries many challenges and one of the largest is associated with
governance. We postulate that European countries and the EU are, relative to most other
countries, tightly bound by legislative processes governing the use of natural resources
which have developed over centuries. The disparity between regions and countries in the
management and use of resources comes in part from the governance processes (i.e. the
interactions between political, social and economic affairs) that have evolved over time.
We identify a complex mix of economic, regulatory and financial tools that can support the
use and management of natural resources and the effectiveness of these approaches is in
part determined by the interactions between the different stakeholder groups and
institutions involved. This is the first time that there has been an integrated approach to
the study of what we define as biodiversity governance; the way society at all scales
manages its social, economic, and regulatory affairs with the aim to protect ecosystem
function and biodiversity.
Using our review as a basis we have developed an analytical framework that allows us to
undertake an integrated study of the interaction between governance processes and the
management of natural resources for biodiversity conservation. Our model is built on an
existing background of analytical concepts including those employed by the EU and OECD
(the PSR and DPSIR approach), and also governance based models. The core content of this
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GEM-CON-BIO Ecosystems and Governance
framework (Figure 4.1) is contained within an extensive table of questions (Annex A.1) that
has been consulted with project members and will guide them collect relevant data in the
case studies of this project. We hope that this review, analytical model and set of research
questions can prepare the ground for a detailed review of governance processes currently
underway across the EU. Through this approach we will be able to draw conclusions on the
processes that best support biodiversity and answer the questions posed at the beginning
of our report.
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GEM-CON-BIO Ecosystems and Governance
Glossary
Term Definition
Adaptive management The structuring of policy or management actions as a set of
testable hypotheses to promote learning from policy
implementation, and to allow for greater adaptability when
change does inevitably occur within the system (Lamont
2006).
Addis Ababa Principles A set of 14 principles and guidelines that assist stakeholders
to ensure that their use of the components of biodiversity
will not lead to the long-term decline of biological diversity.
Afforestation Planting of new forests on lands that historically have not
contained forests
Alien Species A species (or lower taxon) occurring outside its historical
range and its potential dispersal range. It can be introduced
intentionally or unintentionally. Synonyms include: exotic,
non- native, non-indigenous, foreign species.
Biodiversity The variability among living organisms from all sources [...]
this includes diversity within species, between species and of
ecosystems" (Article 2, CBD).
Biodiversity governance The way society at all scales manages its social, economic,
and regulatory affairs with the aim to protect ecosystem
function and biodiversity.
Climate change A statistically significant variation in either the mean state
of the climate or in its variability, persisting for an extended
period (typically decades or longer). The UNFCCC in its
Article 1 makes the distinction between climate change
which it identifies as anthropocentric in origin and climate
variability which is attributable to natural causes.
Collaborative governance The integration of values (economic and social as well as
environmental) through a collaborative, multi-partner
decision making process (Lamont 2006)
Ecosystem a “dynamic complex of plant, animal and micro-organism
communities and their non-living environment interacting as
a functional unit” (UN 1992)
Ecosystem Approach A strategy for the integrated management of land, water and
living resources that promotes conservation and sustainable
use in an equitable way (CBD Decision V/6). The CBD
developed a set of 12 principles for the Ecosystem approach.
Ecosystem processes The interactions between the components of an ecosystem
Ecosystem function The capacity of natural processes and components to provide
goods and services that satisfy human needs, directly or
indirectly (De Groot 1992)
Ecosystem goods and The set of ecosystem functions which have observable
services benefits to human society
Ecosystem management Analogous to the ecosystem approach.
Ecosystem structure the organisation and composition of an ecosystem’s
components
Habitat fragmentation The reduction and isolation of patches of natural
environment.
Governance The way society as a whole manages the full array of its
political, economic, and social affairs.
Good governance Good governance features of governance that promote,
among other things, participatory, transparent, equitable
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GEM-CON-BIO Ecosystems and Governance
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GEM-CON-BIO Ecosystems and Governance
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KEY
Optional
C = Compulsory; O = Optional
Level
E = European, N = National, S = Sub-national; L = Local
Each level column has a number which identifies the relevance of the question at the
level of organisation. (3 = low, 2 = medium, 1 = high, NA = non applicable)
VC or Variable Code
N = Number (direct measurement, e.g. Number of stakeholders or area)
P = Parameter (a derived measure, either based on subjective assessment or calculation)
L = List (identify series of objects)
T = Text (refers to the need for more detailed explanation or justification for a parameter)
Values
This column indicates the type of data that should be collected and in specific cases
the variables used.
Notes
This column provides some more detailed information such as potential sources of data.
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No. Optional Question Level VC Values
1 C O Initial Capacity E N S L
1.1 Ecological Capacity
1.1.1 C What is the size of the study area 1 1 1 1 N km sq
What are the most important habitat types in the area (How
1.1.2 C many, list, rank) 1 1 1 1 L, N No., List, % cover
What are the main ecosystem services of the area vital for
1.1.3 C human well-being 2 2 1 1 L, N rank MA list per habitat type
For each identified ecosystem service, identify any change in
1.1.4 O the delivery of that service over time 3 3 2 2 P % change Category system
1.1.5 C What are the major threats facing the area being studied 1 1 1 1 L rank MA List of threats
What proportion of the area is protected and managed either %, text entry for further
1.1.6 C publicly or privately for biodiversity 2 2 1 1 N, T information
What is the change in state of monitored species (e.g. Birds) in Use relevant and/or
1.1.7 O the area 1 1 1 1 Trend representative species data
Use relevant and/or
1.1.8 O What is the change in state of monitored habitats in the area 1 1 1 1 Trend representative habitat data
1.2 Socio-economic Capacity
%: NUTS1, NUTS2, NUTS3,
Private, Church, Common
1.2.1 C What is the current ownership structure in the study area 1 1 1 1 P Other
1.2.2 C What is the population size and density of the area 1 1 1 1 N population
What is the per capita income (additional information by sector
1.2.3 C if possible) 1 1 1 1 N
1.2.4 O What is the unemployment rate (again by sector if possible) 1 1 1 1 N
1.3 Governance Capacity
1.3.1 O What is the Voice and accountability of citizens in the region 1 1 NA NA P National Indicators
What is the Political stability and absence of violence of citizens
1.3.2 O in the region 1 1 NA NA P National Indicators
1.3.3 O What is the Voice and accountability of citizens in the region 1 1 NA NA P National Indicators
1.3.4 O What is the Government effectiveness in the region 1 1 NA NA P National Indicators
1.3.5 O What is the Regulatory quality for citizens in the region 1 1 NA NA P National Indicators
1.3.6 O What is the Rule of law in the region 1 1 NA NA P National Indicators
1.3.7 O What is the Control of corruption in the region 1 1 NA NA P National Indicators
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6 C O Evalutation
Do the results of the different governance processes meet the
6.1.1 C requirements of the resource management objectives? 2 2 1 1 P, T Yes/ No, text justification
Do the results meet the requirements of broader commitments
6.1.2 C made at the international level (e.g. CBD) 1 1 2 2 P, T Yes/ No, text justification
Identify the necessary level at which changes must be made Rank each level and use
to meet current objectives or set future objectives - category to classify need for
6.1.3 O governance process, Management Plan or National Policy. 3 3 2 1 P, T change. Text justification.
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