Risk Tradeoffs in Adaptive Ecosystem Management: The Case of the U.S. Forest Service

Natural resource planning processes on public lands in the United States are driven in large part by the requirements of the National Environmental Policy Act (NEPA), which dictates general processes for analyzing and disclosing the likely impacts of proposed actions. The outcomes of these processes are the result of multiple factors, many related to the manifold smaller incremental decisions made by agency personnel directing the processes. Through interviews with decision makers, team leaders, and team members on five NEPA processes within the U.S. Forest Service, this study examines those incremental decisions. Risk, in particular external relationship risk, emerged as a dominant lens through which agency personnel weigh and make process-related decisions. We discuss the tradeoffs associated with agency actors’ emphasis on this form of risk and their potential implications for adaptive ecosystem management and organizational performance.     

From the office to the field: Areas of tension and consensus in the implementation of the National Environmental Policy Act within the US Forest Service

We conducted an online survey (n = 3321) followed by five focus groups with Forest Service employees involved in compliance with the National Environmental Policy Act (NEPA) to explore agency views of how NEPA should be implemented within the agency. We filter these perceptions through the lenses of different functional groups within the agency, each with its own role in agency compliance with NEPA and its own suite of perceived accountabilities. In doing so, we uncover areas of consensus regarding valued practices as well as tensions between employees with different roles in NEPA compliance. General consensus exists regarding the importance of the effective functioning of interdisciplinary teams, but opinions about what constitutes an effective team vary. Findings suggest that NEPA serves as a playing field for competing accountabilities felt by line officers, disciplinary specialists, and advisory personnel within the agency, as each attempts to exert influence over NEPA processes and their outcomes.     

The use of recreation planning tools in U.S. Forest Service NEPA assessments

U.S. Forest Service managers are required to incorporate social and biophysical science information in planning and environmental analysis. The use of science is mandated by the National Environmental Policy Act, the National Forest Management Act, and U.S. Forest Service planning rules. Despite the agency’s emphasis on ‘science-based’ decision-making, little is known about how science is actually used in recreation planning and management. This study investigated the perceptions of Forest Service interdisciplinary (ID) team leaders for 106 NEPA projects dealing with recreation and travel management between 2005 and 2008. Our survey data show how managers rate the importance of social and biophysical science compared to other potential ‘success factors’ in NEPA assessments. We also explore how team leaders value and use multi-disciplinary tools for recreation-related assessments. Results suggest that managers employ a variety of recreation planning tools in NEPA projects, but there appears to be no common understanding or approach for how or when these tools are incorporated. The Recreation Opportunity Spectrum (ROS) was the most frequently used planning tool, but the Visitor Experience and Resource Protection (VERP) framework was the most consistently valued tool by those who used it. We recommend further evaluation of the strengths and weaknesses of each planning tool and future development of procedures to select appropriate planning tools for use in recreation-related NEPA assessments.     

The Relationship of Ecosystem Management to NEPA and Its Goals

/ The National Environmental Policy Act of 1969 (NEPA) was intended to promote a systematic, comprehensive, interdisciplinary approach to planning and decisionmaking, including the integration of the natural and social sciences and the design arts. NEPA critics have cited three key shortcomings in its implementation: (1) a lack of engagement with the NEPA process early in the planning process through interdisciplinary collaboration; (2) a lack of rigorous science and the incorporation of ecological principles and techniques; and (3) a lack of emphasis on the Act's substantive goals and objectives. In recent years and independent of NEPA, a policy of ecosystem management has been developed, which represents a fundamental change from a fragmented, incremental planning and management approach to a holistic, comprehensive, interdisciplinary land and resource management effort. We postulate that by incorporating ecosystem management principles in their planning and decisionmaking, federal agencies can address the shortcomings in NEPA implementation and move closer to NEPA's intent. A case analysis of EISs prepared by the USDA Forest Service before and after adopting an ecosystem management approach supports our hypothesis.     

Managing Public Forests: Understanding the Role of Collaborative Planning

/ As federal land management agencies such as the USDA Forest Service increasingly choose to implement collaborative methods of public participation, research is needed to evaluate the strengths and weaknesses of the technique, to identify barriers to effective implementation of collaborative processes, and to provide recommendations for increasing its effectiveness. This paper reports on the findings of two studies focused on the experiences of Forest Service employees and their external partners as they work to implement collaborative planning processes in national forest management. The studies show both similarities and differences between agency employees and their partners in terms of how they evaluate their collaborative experiences. The studies reveal that both Forest Service employees and external partners are supportive of collaborative planning and expect it to continue in the future, both see the trust and relationships built during the process as being its greatest benefit, and both see the Forest Service's organizational culture as the biggest barrier to effective collaborative efforts. The groups differed in terms of evaluating each other's motivation for participating in the process and in whether the process was a good use of time and resources, with external partners seeing it as too drawn out and expensive. The paper concludes with a discussion of the policy implications and changes necessary to increase the effectiveness of collaborative efforts within the Forest Service and other federal land management agencies.KEY WORDS: Public land management; Collaborative planning; National forests; Public participation     

Cooperation or conflict? Interagency relationships and the future of biodiversity for US parks and forests

Cooperation between the United States Department of Agriculture (USDA) Forest Service and the United States Department of Interior (USDI) National Park Service is most often advocated to protect biological diversity on national forests and parks, but the agencies, so far, have done little to implement the biodiversity mandates of such laws as the Endangered Species Act and the National Forest Management Act. The ideological and political history of the Forest Service and Park Service is explored to determine the roots of interagency conflicts. Several recent models of cooperative reform are also critiqued and found to be insufficient to stimulate better working relationships. To protect biodiversity, cooperation must be framed within conservation biology and must place primary emphasis on ecosystem patterns and processes as well as on individual species. Increased education of agency managers, ecosystem-level research, local and regional public participation, scientific oversight committees, new legislation, and enlightened leadership also play important roles. Ultimately, management policies must be reframed within a context of ecocentric values.     

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.     

Constituency Bias in a Federal Resource Management Agency: a Confirmatory Analysis

In a 1989 article, Ben Twight and Fremont Lyden compared the attitudes of national forest managers in the United States in 1981 with those of its major constituents to assess the extent to which the U.S. Forest Service was biased: were the beliefs and values of agency employees concerning resource management more representative of one of two major constituent groups, environmentalists and forest utilizers? The research tested Culhane's (Public Lands Politics: Interest Group Influence on the Forest Service and the Bureau of Land Management. Baltimore, Maryland: John Hopkins University Press. 1981) theory that the Forest Service occupies a middle ground in its attitudes relative to those of its environmental and utilization constituencies. They concluded that the agency did not; ideologically, district rangers were quite close to the Forest Service's utilizer constituency and relatively far from its environmentalist constituency. Given recent changes in the attitudes of Forest Services managers, the present study sought to answer the question: what do these changes reveal about the ideological position of the agency in 1981 vis a vis its position in 1990, and what are their implications for continuing concerns over the agency's representation of all interest groups? The response to survey questions of four groups—1990 district rangers and district rangers, environmentalists and forest utilizers in 1981—were combined for statistical comparison. Discriminant analyses were conducted to clarify the differences in the groups. Although the hypothesized bias of the Forest Service toward the traditional utilizer position was confirmed, the results also suggested that managers' values and attitudes had changed over the decade. The major issue underlying this bias—preservation versus utilization of resources—no longer adequately represented the agency's position, which has been fragmented into concerns with multiple issues.     

Institutional,Individual, and Socio-Cultural Domains of Partnerships: A Typology of USDA Forest Service Recreation Partners

Federal land management agencies, such as the USDA Forest Service, have expanded the role of recreation partners reflecting constrained growth in appropriations and broader societal trends towards civic environmental governance. Partnerships with individual volunteers, service groups, commercial outfitters, and other government agencies provide the USDA Forest Service with the resources necessary to complete projects and meet goals under fiscal constraints. Existing partnership typologies typically focus on collaborative or strategic alliances and highlight organizational dimensions (e.g., structure and process) defined by researchers. This paper presents a partner typology constructed from USDA Forest Service partnership practitioners’ conceptualizations of 35 common partner types. Multidimensional scaling of data from unconstrained pile sorts identified 3 distinct cultural dimensions of recreation partners—specifically, partnership character, partner impact, and partner motivations—that represent institutional, individual, and socio-cultural cognitive domains. A hierarchical agglomerative cluster analysis provides further insight into the various domains of agency personnel’s conceptualizations. While three dimensions with high reliability (RSQ = 0.83) and corresponding hierarchical clusters illustrate commonality between agency personnel’s partnership suppositions, this study also reveals variance in personnel’s familiarity and affinity for specific partnership types. This real-world perspective on partner types highlights that agency practitioners not only make strategic choices when selecting and cultivating partnerships to accomplish critical task, but also elect to work with partners for the primary purpose of providing public service and fostering land stewardship.     

Boundary spanners as trust ambassadors in collaborative natural resource management

Collaboration is a growing trend in agency-led natural resource management in the USA, carrying the promise of defusing conflict and incorporating a broader range of stakeholder ideas. However, concerns exist that confrontational or litigious groups may use collaborative forums to their organization's own advantage. We conducted case studies on three collaboratives to understand how these efforts have influenced the behavior of environmental groups who were previously at odds with the managing agency, the US Forest Service. Results suggest that trust between boundary spanners from historically adversarial groups can support a realignment of the accountabilities they feel. As rational, affinitive, and procedural trust developed, boundary spanners began to advocate, within their home organizations, for the collaborative's goals. Key activities driving these realignments included the development of fair and transparent procedures governing the collaborative group, structured interaction designed to build consensus, and planned informal interactions that revealed shared values among collaborative participants.     

Forest service experience with interdisciplinary teams developing integrated resource management plans

The National Forest Management Act and National Environmental Policy Act require the use of an interdisciplinary team (ID team) to do integrated resource planning for the National Forests and the concurrent environmental analysis. A survey sent to all National Forest planning officers (82% response) reveals the composition of the ID teams used in integrated resource and land management planning. More than half the National Forests ID teams met NEPA and NFMA compositional requirements. National Forest planners recount their experiences with these ID teams. Despite frustrations with many aspects of the ID teams, the planners strongly support the idea that ID teams are an important part of the land-use planning process and think that their use leads to better National Forest integrated resource plans.     

Why Won’t They Come? Stakeholder Perspectives on Collaborative National Forest Planning by Participation Level

Collaboration has taken root in national forest planning, providing expanded opportunities for stakeholder participation in decision-making, but are these processes considered meaningful by key stakeholders? Do the processes result in increased participation by key stakeholders? We present results of a study of stakeholder perspectives of a collaborative planning process on the Grand Mesa, Uncompahgre, and Gunnison National Forests in Western Colorado, U.S.A. The stakeholders were stratified by participation levels in order to explore a possible relationship between participation and perceptions of the collaborative process. We used a Q-methodology approach to compare and contrast perspectives across participant levels in the North Fork Valley Landscape Working Group process. The results demonstrate four distinct perspectives on the collaborative process: 1) The collaborative process is valued by the Forest Service and will directly influence planning decisions; 2) The Forest Service, the collaborative process, and other stakeholders are not to be trusted; 3) The collaborative process is most effective when emphasizing place-specific dialogue that primarily involves stakeholders educating the Forest Service about issues; and 4) Forest planning involves issues requiring the application of scientific knowledge and expertise rather than collaboration. These perspectives were not strongly associated with participation levels, with time constraint being the primary mediating factor affecting participation. There are several possible actions policymakers and planners can take to enhance participation and overcome high rates of nonparticipation.     

Theory into Practice: Implementing Ecosystem Management Objectives in the USDA Forest Service

In the United States and around the world, scientists and practitioners have debated the definition and merits of ecosystem management as a new approach to natural resource management. While these debates continue, a growing number of organizations formally have adopted ecosystem management. However, adoption does not necessarily lead to successful implementation, and theories are not always put into practice. In this article, we examine how a leading natural resource agency, the United States Department of Agriculture Forest Service, has translated ecosystem management theory into concrete policy objectives and how successfully these objectives are perceived to be implemented throughout the national forest system. Through document analysis, interviews, and survey responses from 345 Forest Service managers (district rangers, forest supervisors, and regional foresters), we find that the agency has incorporated numerous ecosystem management components into its objectives. Agency managers perceive that the greatest attainment of such objectives is related to collaborative stewardship and integration of scientific information, areas in which the organization has considerable prior experience. The objectives perceived to be least attained are adaptive management and integration of social and economic information, areas requiring substantial new resources and a knowledge base not traditionally emphasized by natural resource managers. Overall, success in implementing ecosystem management objectives is linked to committed forest managers.     

Environmental Impact Assessment Under the National Environmental Policy Act and the Protocol on Environmental Protection to the Antarctic Treaty

US government actions undertaken in Antarctica are subject to the requirements of both the Protocol and the US National Environmental Policy Act (NEPA). There are differences in the scope and intent of the Protocol and NEPA; however, both require environmental impact assessment (EIA) as part of the planning process for proposed actions that have the potential for environmental impacts. In this paper we describe the two instruments and highlight key similarities and differences with particular attention to EIA. Through this comparison of the EIA requirements of NEPA and the Protocol, we show how the requirements of each can be used in concert to provide enhanced environmental protection for the antarctic environment. NEPA applies only to actions of the US government; therefore, because NEPA includes certain desirable attributes that have been refined and clarified through numerous court cases, and because the Protocol is just entering implementation internationally, some recommendations are made for strengthening the procedural requirements of the Protocol for activities undertaken by all Parties in Antarctica. The Protocol gives clear and strong guidance for protection of specific, valued antarctic environmental resources including intrinsic wilderness and aesthetic values, and the value of Antarctica as an area for scientific research. That guidance requires a higher standard of environmental protection for Antarctica than is required in other parts of the world. This paper shows that taken together NEPA and the Protocol call for closer examination of proposed actions and a more rigorous consideration of environmental impacts than either would alone. Three areas are identified where the EIA provisions of the Protocol could be strengthened to improve its effectiveness. First, the thresholds defined by the Protocol need to be clarified. Specifically, the meanings of the terms “minor” and “transitory” are not clear in the context of the Protocol. The use of “or” in the phrase “minor or transitory” further confuses the meaning. Second, cumulative impact assessment is called for by the Protocol but is not defined. A clear definition could reduce the chance that cumulative impacts would be given inadequate consideration. Finally, the public has limited opportunities to comment on or influence the preparation of initial or comprehensive environmental evaluations. Experience has shown that public input to environmental documents has a considerable influence on agency decision making and the quality of EIA that agencies perform.     

PUBLIC PARTICIPATION IN WATER PLANNING: A CRITIQUE OF THEORY,DOCTRINE, AND PRACTICE1

ABSTRACT. Water development planning has virtually since its beginnings over one hundred fifty years ago utilized a variety of devices for involving segments of the public. But a new insistence for increased public participation, particularly at the Federal level, has stimulated re-examination of objectives and methods for relating water planning to citizen interests and preferences. Involved is partly a recommitment to democratic symbols, partly a recognition that segments of society have been overlooked, and partly a reaction to the pressures of confrontation and demonstration. The rhetoric and polemics of participation have often implied a kind of “town-meeting” process of decision, difficult at best in a nation of 200 million. In water planning more emphasis has been placed on listening to citizens, which has meant providing opportunities for influentials to express their views and preferences. A more adequate approach would seem to require identification of all who are significantly affected by plans and proposals (even though they may not perceive then-interest). But gaining greater participation does not make the planning job easier. It may increase tension and conflict; it may require difficult choices; and it can alter existing power relationships and generate changes with considerable consequences for the agency and its programs.     

Environmental Management in India: Recent Challenges to the Indian Forest Service

This paper examines the impact of various social, economic and political changes on the work of the Indian Forest Service, the elite organization concerned with environmental management in India. It is noted that whilst many leading authors criticize this organization, nobody has taken the time to analyse the role of the Indian Forest Service and the way it has responded to the many challenges it has faced in the last 20 years. This paper seeks to rectify this by focusing on three key challenges: (1) due to economic liberalization the actual work that the forest officer is expected to undertake has changed beyond recognition; (2) political manipulation and correspondingly accusations of corruption have increased; (3) social changes and their impact on recruitment into the Indian Forest Service. It is concluded that, despite the many challenges which the Indian Forest Service has faced over the years, it is remarkably resilient and remains the most powerful agent in rural India.     

Building Trust in Natural Resource Management Within Local Communities: A Case Study of the Midewin National Tallgrass Prairie

Communities neighboring federally protected natural areas regularly weigh the costs and benefits of the administering agency’s programs and policies. While most agencies integrate public opinion into decision making, efforts to standardize and formalize public involvement have left many local communities feeling marginalized, spurring acrimony and opposition. A significant body of research has examined barriers to effective public participation as well as strategies for relationship building in planning processes; many of which point to trust as a key factor. Trust is especially tenuous in local communities. This paper explores perceptions of trust, expectations for management, as well as constraints to building trust. In-depth interviews were conducted with 21 community members and USDA Forest Service personnel at the Midewin National Tallgrass Prairie in northeastern Illinois. The interviews revealed that trust is perceived as important to effective management. Distinct expectations for management outcomes and processes emerged, including the values, knowledge, and capacity demonstrated in management decisions and actions and opportunities provided for communication, collaboration, and cooperation within the agency-community relationship. The case study identified several constraints to building trust, including competing values, knowledge gaps, limited community engagement, and staff turnover.     

Guidelines and Techniques for Improving the NEPA Process

/ The Council on Environmental Quality's (CEQ's) principal aims in implementing the National Environmental Policy Act (NEPA) are (1) to reduce paperwork, (2) to avoid delay, and most importantly (3) to produce better decisions that protect, restore, and enhance the environment. This paper presents four strategies for improving the NEPA process along with tools that can be used to implement each strategy. The tools include guidelines for project management and problem definition, tips for acquiring existing information and identifying issues of public concern, worksheets on how to identify and analyze potential impacts on resources, ideas for enhancing NEPA documents, and a NEPA process checklist. The tools can be used at various stages of the NEPA process and provide a toolbox of guidelines and techniques to improve implementation of the NEPA process by focusing the pertinent information for decisionmakers and stakeholders. KEY WORDS: National Environmental Policy Act; NEPA; Environmental impact assessment; Ecosystem management     

Collaborative Implementation for Ecological Restoration on US Public Lands: Implications for Legal Context,Accountability, and Adaptive Management

The Collaborative Forest Landscape Restoration Program (CFLRP), established in 2009, encourages collaborative landscape scale ecosystem restoration efforts on United States Forest Service (USFS) lands. Although the USFS employees have experience engaging in collaborative planning, CFLRP requires collaboration in implementation, a domain where little prior experience can be drawn on for guidance. The purpose of this research is to identify the ways in which CFLRP’s collaborative participants and agency personnel conceptualize how stakeholders can contribute to implementation on landscape scale restoration projects, and to build theory on dynamics of collaborative implementation in environmental management. This research uses a grounded theory methodology to explore collaborative implementation from the perspectives and experiences of participants in landscapes selected as part of the CFLRP in 2010. Interviewees characterized collaborative implementation as encompassing three different types of activities: prioritization, enhancing treatments, and multiparty monitoring. The paper describes examples of activities in each of these categories and then identifies ways in which collaborative implementation in the context of CFLRP (1) is both hindered and enabled by overlapping legal mandates about agency collaboration, (2) creates opportunities for expanded accountability through informal and relational means, and, (3) creates feedback loops at multiple temporal and spatial scales through which monitoring information, prioritization, and implementation actions shape restoration work both within and across projects throughout the landscape creating more robust opportunities for adaptive management.     

Using Topography to Meet Wildlife and Fuels Treatment Objectives in Fire-Suppressed Landscapes

Past forest management practices, fire suppression, and climate change are increasing the need to actively manage California Sierra Nevada forests for multiple environmental amenities. Here we present a relatively low-cost, repeatable method for spatially parsing the landscape to help the U.S. Forest Service manage for different forest and fuel conditions to meet multiple goals relating to sensitive species, fuels reduction, forest products, water, carbon storage, and ecosystem restoration. Using the Kings River area of the Sierra Nevada as a case study, we create areas of topographically-based units, Landscape Management Units (LMUs) using a three by three matrix (canyon, mid-slope, ridge-top and northerly, southerly, and neutral aspects). We describe their size, elevation, slope, aspect, and their difference in inherent wetness and solar radiation. We assess the predictive value and field applicability of LMUs by using existing data on stand conditions and two sensitive wildlife species. Stand conditions varied significantly between LMUs, with canyons consistently having the greatest stem and snag densities. Pacific fisher (Martes pennanti) activity points (from radio telemetry) and California spotted owl (Strix occidentalis occidentalis) nests, roosts, and sightings were both significantly different from uniform, with a disproportionate number of observations in canyons, and fewer than expected on ridge-tops. Given the distinct characteristics of the LMUs, these units provide a relatively simple but ecologically meaningful template for managers to spatially allocate forest treatments, thereby meeting multiple National Forest objectives. These LMUs provide a framework that can potentially be applied to other fire-dependent western forests with steep topographic relief.