A systems approach to the evaluation of natural resource management initiatives

Adopting a new paradigm for natural resource and environmental policy that emphasises continuous change, adaptation and learning demands a new approach to evaluation to enable improvements in the way these initiatives contribute to sustainable resource use. Evaluation is fundamental to identifying change, supporting an adaptive approach that is flexible enough to meet the challenge of change, and enabling learning at individual, community, institutional and policy levels. Based on a consideration of changing approaches to natural resource management (NRM) policy and observations and experiences in the practical assessment of on-the-ground initiatives, the authors develop a set of principles for evaluation in NRM that: (a) addresses evaluation from a systems perspective, (b) links objective to consequence, (c) considers the fundamental assumptions and hypotheses that underpin core policy or program objectives, (d) is grounded in the natural resource, policy/institutional, economic, socio-cultural and technological contexts of implementation in practice, (e) establishes practical and valid evaluation criteria by which change can be monitored and assessed, (f) involves methodological pluralism including both quantitative and qualitative methods to ensure rigour and comprehensiveness in assessment, and (g) integrates different disciplinary perspectives (i.e. social, economic, environmental, policy and technological). The paper develops a systems-based evaluation framework that incorporates these principles and also recognises the multiple levels and nested nature of NRM policy, namely: problem characterisation, policy formulation and intent, program logic, and on-ground implementation. Finally, we demonstrate its utility through application to three contrasting Australian case studies: a community-based Integrated Catchment Management policy implementation; a resource information delivery system; and the development of a Decision Support System.     

Intergovernmental relationships after disaster: state and local government learning during flood recovery in Colorado

ABSTRACT

When communities experience disaster, emergency response and recovery are led internally, based on local-level policy decisions and priorities. Decisions about how or whether to rebuild are made by local governments. Higher governmental authorities such as states and provinces may institute their own disaster recovery processes and policies in addition to or in competition with local governments. Greater intergovernmental engagement could increase resources and knowledge, which would yield higher levels of learning and result in superior disaster recovery policy outcomes. The role of higher authorities, then, can have important implications for policy processes and outcomes. The learning literature includes a dearth of studies that analyze the relationships between state and local governments during disaster recovery. We move the learning literature forward by analyzing intergovernmental relationships during disaster recovery. We find that learning within local governments is associated with higher levels of resource flows from state agencies as well as more collaborative intergovernmental relationships. We also find that state governments can improve processes for disaster recovery assistance and bring together disaster-affected local governments to promote learning during the recovery process. While this study focused on relationships constrained by U.S. federal dynamics, the lessons are useful to other multilevel governance systems.     

Engagement with climate change and the environment: a review of the role of relationships to place

A growing body of literature examines how human bonds with place influence engagement with climate change and other environmental issues. Yet, studies in this vein derive from a number of disconnected literatures with a variety of place concepts employed. We set out to assess the current state of knowledge in this field and provide a framework for analysing dimensions of relations to place and their links with environmental engagement. We systematically analysed the characteristics of 66 studies identified for: focus of research, location, methods, and findings, particularly whether relationships to place aided in environmental engagement. We also categorised the studies according to our dimensions of place relations framework, cultural and environmental contexts, and intensity of climate impacts experienced. The answer to our guiding research question – whether place attachment was an effective way to communicate with people about climate change and get them actively engaged with it – was yes (74.2%), but with considerable variation according to these characteristics and dimensions. Based on this analysis, we identify gaps in current research and suggest critical paths for future research, especially in terms of geography and demography because of their implications for justice and equity in the processes of climate change mitigation and adaptation. Needed future research includes studies of place relations in regards to climate change specifically, studies in the Global South, of minority populations, beyond rural areas, and qualitative or mixed-method studies able to draw out the complexities of relations to place.     

Learning in participatory environmental governance – its antecedents and effects. Findings from a case survey meta-analysis

ABSTRACT

Theory on participatory and collaborative governance maintains that learning is essential to achieve good environmental outcomes. Empirical research has mostly produced individual case studies, and reliable evidence on both antecedents and environmental outcomes of learning remains sparse. Given conceptual ambiguities in the literature, we define governance-related learning in a threefold way: learning as deliberation; as knowledge- and capacity-building; and as informing environmental outputs. We develop nine propositions that explain learning through factors characterizing governance process and context, and three propositions explaining environmental outcomes of learning. We test these propositions drawing on the ‘SCAPE’ database of 307 published case studies of environmental decision-making, using multiple regression models. Results show that learning in all three modes is explained to some extent by a combination of process- and context-related factors. Most factors matter for learning, but with stark differences across the three modes of learning, thus demonstrating the relevance of this differentiated approach. Learning modes build on one another: Deliberation is seen to explain both capacity building and informed outputs, while informed outputs are also explained by capacity building. Contrary to our expectations, none of the learning variables was found to significantly affect environmental outcomes when considered alongside the process- and context-related variables.     

Landholder Profiling and Typologies for Natural Resource–Management Policy and Program Support: Potential and Constraints

The use of landholder typologies to aid the development, implementation, and monitoring natural-resource management (NRM) policies and programs has increased considerably during the past decade. This article explores the potential for using such typologies for a variety of NRM and rural and regional development applications. Review of typology use further suggests that there is potential to refine the way that typologies are developed and applied to better aid NRM, farming systems analyses, and rural and regional development. Before typologies will be adopted more widely, a number of theoretical and methodologic issues must be addressed. These include the following questions: (1) Which criteria and methods should or can be used to classify landholders? (2) How should studies across spatial and temporal scales be integrated? (3) How should multiple and single industry studies be integrated to gain the most value from research? We argue that quantitative research techniques are well suited to provide an underlying structure for landholder typologies, and qualitative research techniques are useful for developing understanding of the nature of variation within and between landholder types. We argued further that because of the potential utility and breadth for the application of landholder typologies, a nested set of landholder typologies could be developed that are coordinated at the national, regional, and local geographic levels, with repeated measures used to track the evolution with time of landholder practices, management values, and socioeconomic characteristics.     

Community-based climate change adaptation: a review of academic literature

The focus on climate change adaptation, rather than mitigation, has become more prominent since the turn of the century. Given this, it is important to consider what has been achieved so far, particularly community-based approaches which have become the resolve for practitioners and donor agencies working in the sector. This review of 128 publications on community-based climate change adaptation, identified through a systematic database search, follows the development of this body of work in the academic literature. Commencing in the early 2000s, the literature detailed the emergence of community-based adaptation (CBA), driven by a number of factors: recognition of the human dimensions of changes; appreciation of the role of local knowledge for strengthening adaptive capacity; and a push to focus on the scale at which impacts are felt and link this action with pro-poor development outcomes. A more substantial body of work emerged in the literature from 2010 onwards, defining a series of key enablers for effective CBA, which included: use participatory approaches; recognise that adaptation is a social process; and support CBA at multiple scales. More recently, there has been a growing emphasis in the literature to re-conceptualise CBA, which will require focusing on innovation, learning and multi-sectoral approaches.     

Lay concepts on CCS deployment in Switzerland based on qualitative interviews

Laypeople's acceptance and perception of Carbon Dioxide Capture and Storage (CCS) can have an influence on its political feasibility. It is important, therefore, to study how laypeople perceive CCS and which cognitions they hold with respect to this technique. We conducted in-depth interviews with laypeople (N = 16) to explore their mental concepts of CCS. Little knowledge about CCS was detected among laypeople. We also found that laypeople fear that a deployment of CCS could create incentives that would hinder a sustainable development of the energy economy. A misunderstanding of the concepts of hydro- and geostatic pressure, as well as a lack of knowledge about the physical–chemical properties of carbon dioxide seemed to trigger fundamental rejection of CCS among some laypeople. This qualitative study identifies concepts that underlie CCS perception, and these should be objects of future studies. We provide some suggestions for risk management and communication about CCS.     

An Evaluation of Multiple Objective Decision Support Weighting Techniques in Natural Resource Management

Multiple objective decision support (MODS) is a structured framework for evaluating decision alternatives against multiple, and often conflicting, criteria. Its ability to handle complex trade-offs in a variety of quantitative and qualitative units gives it much potential in the field of natural resource management (NRM). A key component of MODS is the process used to obtain information from decision makers on the relative importance of evaluative criteria. Ranking algorithms then use this information to determine the relative value of each decision alternative. This paper explores how practising community based NRM decision makers respond to five generic methods for weighting the criteria. It presents a study in which 55 decision makers throughout five regions in Queensland, Australia, applied MODS to evaluate environmental projects seeking funding under the Australian Natural Heritage Trust. Weighting methods applied include fixed point scoring, rating, ordinal ranking, a graphical method and paired comparisons. Decision makers evaluated each weighting method in terms of ease of use and of how much it helped clarify the decision problem. Results show that decision makers felt uncomfortable applying fixed point scoring and generally preferred to express their preferences through ordinal ranking. This has implications for the types of ranking algorithms that can be applied to evaluate the decision alternatives.     

Climate change and indigenous natural resource management: a review of socio-ecological interactions in the Alinytjara Wilurara NRM region

This article examines key socio-ecological interactions identified during a climate change vulnerability assessment in the Alinytjara Wilurara natural resources management (NRM) region of South Australia. The complex local socio-ecological interactions are highlighted to guide a response to the challenge of adapting to climate change within the region. Recognising several key desert drivers which perpetuate degraded socio-ecological systems, this article recommends that a range of strategies be employed simultaneously to enhance local environmental management in association with remote indigenous communities, including: linking people and NRM more closely; tracking funding but ensuring systems can withstand periods of limited financial support; developing cross-sectoral and cross-institutional links; empowering and engaging communities; communicating effectively; and actively supporting local and traditional environmental knowledge. Unless climate change adaptation responses within the region are conceptualised and enacted within the context of complex local socio-ecological systems, NRM will not improve and social vulnerability will increase.     

From policy mix to policy networks: assessing climate and land use policy interactions in Mato Grosso,Brazil

ABSTRACT

In the climate and land use fields, policy mixes are complex in terms of the levels of governance, actors, and roles. They consist of policy instruments that target different actors and address multiple goals across several policy sectors and levels. The analysis of these complex arrangements extends beyond purely technical efficiency criteria, as several sources of tension between instruments may be identified, such as conflicting interests, goals, and approaches to implementation. The proliferation of governance networks complicates the understanding of actors’ interactions, the types of authority influencing the outcomes of policy mixes, and importance of different levels of governance. This article provides a framework to address these analytical challenges, particularly the interconnected networks of policy actors and policy instruments. It draws on polycentric governance literature to analyse how power matters in policy networks. This includes identifying distinct types of power, actors’ position, and variables that explain patterns of conflict, competition, convergence, and divergence in policy choices and outcomes. The framework is applied to the climate and land use policies implemented in the state of Mato Grosso, Brazil. Several methods were used to clarify these variables and to characterise policy mixes being implemented in the region, including social network analysis.     

Mediated Modeling in Water Resource Dialogues Connecting Multiple Scales

We observe a paradigm shift toward collaborative, multi‐level (from local to global) water management and suggestions for scale‐related design principles in the literature. Decision‐support tools are needed that can help achieve scale design principles. Mediated modeling (MM) refers to model building with people, rather than for people. This tool belongs to a family of participatory, systems oriented tools. This article explores their suitability for addressing challenges and principles that arise at multiple‐scales. MM can promote the understanding of cross‐level and cross‐scale links, creating salient, credible, and legitimate knowledge and encouraging boundary functions. Prerequisites for successful MM processes include an openness and willingness to collaborative learning. As new “meso‐level” institutions emerge to address complex challenges in water management collaboratively, tools like MM may play an important role in structuring dialogues, developing adaptive management capacity and advance an ecosystem services approach.     

Learning for sustainability: participatory resource management in Cambodian fishing villages

Considerable attention is now being given to the role and importance of education and learning implications of participatory resource and environmental governance. The contention is that such learning has the potential to transform behaviour, and in the case of resource management, may help change current patterns in resource use towards a more sustainable social-ecological system. Our purpose is to establish the opportunities for learning afforded to those participating in local level resource management committees in two Cambodian fishing communities and consider the learning outcomes from such opportunities. Our approach was qualitative and used a case study design. The findings establish a wide range of committee resource management activities that resulted in both instrumental (e.g., learning about administrative procedures) and communicative (e.g., insights into the need to conserve mangroves) learning. It was revealed that such learning can lead to changes in behaviour at the community level (e.g., managing local waste). Our findings also indicated a number of motivators and enablers of learning such as opportunities for dialogue, leadership and the presence of declining resources.     

Local and Regional Partnerships in Natural Resource Management: The Challenge of Bridging Institutional Levels

Although collaboration and multi-stakeholder partnerships have become a common feature in natural resource management throughout the world, various problems are associated with attempts to up-scale community-based natural resource management from the local to the regional level. To analyze the reasons behind these problems, this article reports on two examples of collaboratives in Australia: local Landcare groups, and regional natural resource management (NRM) bodies. Recent government-induced changes have shifted the focus from local Landcare group action to strategic planning and implementation by regional NRM bodies. Two typologies of collaboratives are applied to analyze the characteristics of both these groups. The study uses data from 52 qualitative interviews with key informants at the local and regional level in Victoria and Tasmania, participant observation, as well as literature and document analysis. The article illustrates how the groups’ distinct characteristics can cause conflicts when the different types of collaboratives operate in parallel. In addition, the article reports how stakeholders perceive the level of community participation in decision-making processes. The key message is that the benefits of community participation and collaboration that arise at the local level can be lost when these approaches are up-scaled to the regional level unless there is an intermediary or ‘mediating structure’ to facilitate communication and create the link between different types of collaboratives.     

Learning for sustainability through CIDA's “Community-based pest management in Central American agriculture” project: a deliberative,experiential and iterative process

Community-based approaches to environmental management provide opportunities for public engagement in local decision-making processes. This qualitative case study examines learning as resulted from participation in CIDA's “Community-based pest management in Central American agriculture” project. Outcomes include learning about alternative farming practices, human and natural environments, and safer pesticide use. Many participants learnt how to work more effectively with rural communities. For some, this changed their perspective about life and their role in society. Activities that fostered learning outcomes, including sustainability-related outcomes, were: planning and implementing project activities, experimenting on farm demonstration plots, participating in outreach workshops, and students doing rural practica. The learning process, involving international university collaborators and rural participants, is analyzed particularly as it relates to cultural context, collective action, and sustainability. Findings affirm that how the public participates in environmental management decisions influences the breadth and depth of learning outcomes; practical and policy implications are discussed.     

Organizational learning during policy implementation: lessons from U.S. forest planning

ABSTRACT

Learning is critical for land management agencies implementing new policies in the face of rapid social and ecological change. We investigated learning in the U.S. Forest Service as it implemented new planning regulations. Our research objectives were to: (1) identify collective learning processes and outcomes during this time, and (2) understand factors within the organization supporting or impeding learning. Based on participant observation and 25 interviews with planning personnel, we found evidence of collective learning on individual national forests and across the organization. Several factors helped the agency act as a ‘learning organization,’ including internal networks and tools for information sharing, and meetings for staff to exchange lessons learned. Learning was compromised by limited time and capacity, and lack of internal clarity about balancing the desire for innovation with the need to ensure legal compliance and meet deadlines. This work contributes to the empirical foundations of collective learning theory, allowing us to identify learning processes and outcomes at multiple levels in a public organization, and identifying topics for future research. Based on our exploration of organizational learning, we offer suggestions for how to effectively support learning during times of new policy implementation.     

Collaborative learning for policy innovations: sustainable urban drainage systems in Leicester,England

ABSTRACT

Collaboration among multiple stakeholders is crucial in decentralised governance settings. The success of such collaboration hinges upon collaborative learning – the acquiring, translating, and disseminating of policy-relevant knowledge. However, despite much research, a knowledge gap persists in the public policy literature on the relationship between learning and policy change. It is debated whether learning is necessary and sufficient for policy change, and if so, under what conditions. To contribute to this debate, this paper examined whether collaborative learning has had any impact on the emergence and implementation of sustainable urban drainage systems (SuDS) in Leicester, England. We first examined implementation of SuDS in Leicester, and then study collaborative learning focused on SuDS. We found that implementation of SuDS in Leicester is marginal despite active collaborative learning that has resulted in the change in beliefs and attitudes towards SuDS among all policy actors in the setting. Social dynamics factors and leadership of two SuDS champions proved crucial for collaborative learning. We conclude that collaborative learning, while essential for legitimacy of a policy innovation, is not sufficient for policy change and a national legal and institutional framework is required to incentivise broader SuDS practices in Leicester and England.     

Drivers of future streamflow changes in watersheds across the Northeastern United States

Accurate projections of streamflow, which have implications for flooding, water resources, hydropower, and ecosystems, are critical to climate change adaptation and require an understanding of streamflow sensitivity to climate drivers. The northeastern United States has experienced a dramatic increase in extreme precipitation over the past 25 years; however, the effects of these changes, as well as changes in other drivers of streamflow, remain unclear. Here, we use a random forest model forced with a regional climate model to examine historical and future streamflow dynamics of four watersheds across the Northeast. We find that streamflow in the cold season (November–May) is primarily driven by 3-day rainfall and antecedent wetness (Antecedent Precipitation Index) in three rainfall-dominant watersheds, and 30-day rainfall, antecedent wetness, and 30-day snowmelt in the fourth, more snowmelt-dominated watershed. In the warm season (June–October), streamflow is driven by antecedent wetness and rainfall in all watersheds. By the end of the century (2070–2099), cold season streamflow depends on the importance placed on snow in the machine learning model, with changes ranging from −7% (with snow) to +40% (without snow) in a single watershed. Simulated future warm season streamflow increases in two watersheds (56% and 193%) due to increased precipitation and antecedent soil wetness, but decreases in the other two watersheds (−6% and −27%) due to reduced precipitation.     

A picture of change: using photovoice to explore social and environmental change in coastal communities on the Andaman Coast of Thailand

Coastal communities experience a wide array of environmental and social changes to which they must constantly adapt. Further, a community's perception of change and risk has significant implications for a community's willingness and ability to adapt to both current and future changes. As part of a larger study focusing on the adaptive capacity of communities on the Andaman Coast of Thailand, we used Photovoice to open a dialogue with communities about changes in the marine environment and in coastal communities. This article presents the results of two exploratory Photovoice processes and discusses prospects for using the Photovoice method for exploring social and environmental change. Changes examined included a number of broader environmental and social trends as well as ecological specifics and social particularities in each site. Participants also explored the social implications of environmental changes, the impacts of macro-scale processes on local outcomes, and emotive and active responses of individuals and communities to change. Photovoice is deemed a powerful method for: examining social, environmental, and socio-ecological change, triangulating to confirm the results of other scientific methods, revealing novel ecological interactions, and providing input into community processes focusing on natural resource management, community development, and climate change adaptation.     

The effect of tailored information, goal setting, and tailored feedback on household energy use, energy-related behaviors, and behavioral antecedents

In this multidisciplinary study, an Internet-based tool was used to encourage households (N=189) to reduce their direct (gas, electricity and fuel) and indirect energy use (embedded in the production, transportation and disposal of consumer goods). A combination of tailored information, goal setting (5%), and tailored feedback was used. The purpose of this study was to examine whether this combination of interventions would result in (i) changes in direct and indirect energy use, (ii) changes in energy-related behaviors, and (iii) changes in behavioral antecedents (i.e. knowledge). After 5 months, households exposed to the combination of interventions saved 5.1%, while households in the control group used 0.7% more energy. Households exposed to the interventions saved significantly more direct energy than households in the control group did. No difference in indirect energy savings emerged. Households exposed to the interventions adopted a number of energy-saving behaviors during the course of the study, whereas households in the control group did so to a lesser extent. Households exposed to the interventions had significantly higher knowledge levels of energy conservation than the control group had. It is argued that if the aim is to effectively encourage household energy conservation, it is necessary to examine changes in energy use, energy-related behaviors and behavioral antecedents.     

Mediating an invisible policy problem: Nottingham’s rejection of congestion charging

ABSTRACT

This paper presents a qualitative case study of community participation in local air quality management in Nottingham (UK). We analyse Nottingham’s response to a “clean air zone” mandate: despite national government and local community support of this congestion charging policy, the City Council rejected the measure. We focus on the policy framing, with data from policy documents, interviews with government and non-government actors, and observation in local activities. We found that community groups build links with local government in two ways: (1) as a coalition against the national government and austerity measures, and (2) as “neutral”, non-expert communicators of air pollution as an “invisible” policy problem. We show how this invisibility plays a significant role in factors such as trust, risk, responsibility, and policy communication. This research has theoretical implications for the communication of air pollution and practical implications for cities looking to implement similar transport-oriented strategies.