Policy learning in collaborative environmental governance processes

ABSTRACT

Collaborative governance processes have become a popular mechanism for addressing complex environmental problems. Their success is premised, in part, on the assumption that they promote learning among diverse participants, who are then better equipped to develop creative, consensus-oriented environmental management actions. Significant gaps remain, however, in our understanding of how collaborative governance processes foster learning and what impact increased learning has on policymaking outputs. To investigate these relationships, this study provides one of the first empirical applications of Heikkila and Gerlak's collective learning framework. Key framework concepts are operationalized via interview data and existing literature and then measured via survey data collected from participants in a collaborative environmental governance process in Colorado, U.S. Findings indicate that both internal and exogenous contextual factors affect how much an individual learns within a collective context. Additionally, participants who report more learning also more strongly agree that the process produced favorable outputs and outcomes. These findings advance theories of learning in collaborative contexts and inform process design to maximize learning.     

Assessing the role of learning devices and geovisualisation tools for collective action in natural resource management: Experiences from Vietnam

In northern Vietnam uplands the successive policy reforms that accompanied agricultural decollectivisation triggered very rapid changes in land use in the 1990s. From a centralized system of natural resource management, a multitude of individual strategies emerged which contributed to new production interactions among farming households, changes in landscape structures, and conflicting strategies among local stakeholders. Within this context of agrarian transition, learning devices can help local communities to collectively design their own course of action towards sustainable natural resource management. This paper presents a collaborative approach combining a number of participatory methods and geovisualisation tools (e.g., spatially explicit multi-agent models and role-playing games) with the shared goal to analyse and represent the interactions between: (i) decision-making processes by individual farmers based on the resource profiles of their farms; (ii) the institutions which regulate resource access and usage; and (iii) the biophysical and socioeconomic environment. This methodological pathway is illustrated by a case study in Bac Kan Province where it successfully led to a communication platform on natural resource management. In a context of rapid socioeconomic changes, learning devices and geovisualisation tools helped embed the participatory approach within a process of community development. The combination of different tools, each with its own advantages and constraints, proved highly relevant for supporting collective natural resource management.     

"I'm Learning … How You Go about Stirring Things Up—in a Consultative Manner": Social capital and action competence in two community catchment groups

The contributions of local community action groups to environmental care and restoration is usually justified and evaluated in terms of improvements to environmental quality. This article explores social benefits in the form of increases in social capital and action competence that also flow from their actions, benefits that may not only help restore degraded but also contribute to the stock of good will and skill in the community that may even prevent or minimise future environmental problems. This article documents the emergence of action competence and social capital in two community catchment groups in South-East Queensland. The findings suggest that social capital is enhanced through processes of community participation in the catchment consultation processes. The article concludes that the relationship between social capital and action competence is complementary, with social capital and action competence being mutually enhanced by the social learning that accrues from the process of community participation.     

Perceptions of Wildfire and Landscape Change in the Kenai Peninsula, Alaska

Despite a broad literature addressing the human dimensions of wildfire, current approaches often compartmentalize results according to disciplinary boundaries. Further, relatively few studies have focused on the public’s evolving perceptions of wildfire as communities change over time. This paper responds to these gaps by exploring perceptions of landscape dynamics and wildfire between 2003 and 2007 using a typological framework of intersecting ecological, social, and cultural processes. Designed as a restudy, and using key informant interviews, this research allowed us to observe risk perception as they are related to community challenges and opportunities in the Kenai Peninsula, Alaska. Risk perceptions were examined as an integral part of community and landscape change. Wildfire was a concern among informants in 2003 and remained a concern in 2007, although informants were less likely to discuss it as a major threat compared to the original study. Informants in the western part of the peninsula tended to express more concern about wildfire than their eastern counterparts largely due to their experiences with recent fires. Other important factors residents considered included changing forest fuels, the expanding wildland urban interface, and contrasting values of new residents. Underscoring the localized nature of risk perceptions, informants had difficulty describing the probability of a wildfire event in a geographical context broader than the community scale. This paper demonstrates how a holistic approach can help wildfire and natural resource professionals, community members, and other stakeholders understand the social and physical complexities influencing collective actions or inactions to address the threat of wildfire.     

Sustainable urban community development from the grassroots: Challenges and opportunities in a pedestrian street initiative

Abstract

A local sustainable development initiative to establish a temporary pedestrian zone within a Canadian urban community served as a research study into the efficacy of social capital in the development of a network for community action. This community-based initiative used social capital to overcome campaign obstacles and the campaign itself generated new social capital within the neighbourhood through the creation of adaptive networks of participants. The campaign succeeded in creating a part-time pedestrian-only space that serves as an educational example of change for sustainable community development that is replicable in other communities, and provides an example of alternative occupation of community space. Contrary to other literature, little evidence of “core burnout” was found although the network does continue to expend a large amount of effort and time on fundraising. While social capital is a powerful tool for local grassroots action, the availability of a critical source of economic capital may prove vital to the long-term success and sustainability of the network.     

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.     

Using a social learning configuration to increase Vietnamese smallholder farmers’ adaptive capacity to respond to climate change

Social learning is crucial for local smallholder farmers in developing countries to improve their adaptive capacity and to adapt to the current and projected impacts of climate change. While it is widely acknowledged that social learning is a necessary condition for adaptation, few studies have systematically investigated under which conditions particular forms of social learning are most successful in improving adaptive capacity of the most vulnerable groups. This study aims to design, implement and evaluate a social learning configuration in a coastal community in Vietnam. We make use of various methods during four workshop-based interventions with local smallholder farmers: interviews with key farmers and commune leaders, farmer-to-farmer learning, participatory observations and focus group discussions. The methods for evaluation of social learning configuration include in-depth interviews, focus group discussions and structured survey interviews. Our findings show that the social learning configuration used in this study leads to an increased problem ownership, an enhanced knowledge-base with regard to climate change impacts and production adaptation options, improved ability to see connections and interdependencies and finally, strengthened relationships and social cohesion. The results suggest that increased social learning in the community leads to increase in adaptive capacity of smallholder farmers and improves both their economic and environmental sustainability. We discuss the key lessons for designing learning configurations that can successfully enhance adaptive capacity and smallholder farmers’ agency and responsiveness to the challenges posed by climate change impacts.     

Evaluation Criteria for Participatory Research: Insights from Coastal Uruguay

Participatory research in which experts and non-experts are co-researchers in addressing local concerns (also known as participatory action research or community-based research) can be a valuable approach for dealing with the uncertainty of social–ecological systems because it fosters learning among stakeholders and co-production of knowledge. Despite its increased application in the context of natural resources and environmental management, evaluation of participatory research has received little attention. The objectives of this research were to define criteria to evaluate participatory research processes and outcomes, from the literature on participation evaluation, and to apply them in a case study in an artisanal fishery in coastal Uruguay. Process evaluation criteria (e.g., problem to be addressed of key interest to local and additional stakeholders; involvement of interested stakeholder groups in every research stage; collective decision making through deliberation; and adaptability through iterative cycles) should be considered as conditions to promote empowering participatory research. Our research contributes to knowledge on evaluation of participatory research, while also providing evidence of the positive outcomes of this approach, such as co-production of knowledge, learning, strengthened social networks, and conflict resolution.     

Results of Community Deliberation About Social Impacts of Ecological Restoration: Comparing Public Input of Self-Selected Versus Actively Engaged Community Members

Participatory processes for obtaining residents' input about community impacts of proposed environmental management actions have long raised concerns about who participates in public involvement efforts and whose interests they represent. This study explored methods of broad-based involvement and the role of deliberation in social impact assessment. Interactive community forums were conducted in 27 communities to solicit public input on proposed alternatives for recovering wild salmon in the Pacific Northwest US. Individuals identified by fellow residents as most active and involved in community affairs ("AE residents") were invited to participate in deliberations about likely social impacts of proposed engineering and ecological actions such as dam removal. Judgments of these AE participants about community impacts were compared with the judgments of residents motivated to attend a forum out of personal interest, who were designated as self-selected ("SS") participants. While the magnitude of impacts rated by SS participants across all communities differed significantly from AE participants' ratings, in-depth analysis of results from two community case studies found that both AE and SS participants identified a large and diverse set of unique impacts, as well as many of the same kinds of impacts. Thus, inclusion of both kinds of residents resulted in a greater range of impacts for consideration in the environmental impact study. The case study results also found that the extent to which similar kinds of impacts are specified by AE and SS group members can differ by type of community. Study results caution against simplistic conclusions drawn from this approach to community-wide public participation. Nonetheless, the results affirm that deliberative methods for community-based impact assessment involving both AE and SS residents can provide a more complete picture of perceived impacts of proposed restoration activities.     

Communicating risk for vulnerable groups: a case study of the Mano community’s strategies for collective knowledge to action

This paper discusses the emergent interest in risk communication as a strategy for disaster risk reduction. Communication plays an essential role in understanding risk, but studies suggest that people often do not respond in the way that risk experts anticipate. For risk communication to be effective, vulnerable communities need to understand risk within the local context as well as in terms of sustainability. Risk messages offer communities a way to enhance their collective knowledge of existing vulnerabilities, leading them towards alternative solutions for action. A longitudinal study of the Mano community development approach and its recovery from the 1995 Kobe earthquake illustrates how risk communication dynamics contributed to the community’s sustainable risk reduction. The study concludes that risk communication is a collaborative way for a community to work with risk experts, own their risk information, influence existing policies and practices, develop solutions to reduce vulnerability, and ultimately enhance a community’s capacity for managing future risk.     

Connecting resourcefulness and social innovation: exploring conditions and processes in community gardens in the Netherlands

ABSTRACT

Resourcefulness, a community’s capacity to engage with their local resource base, is essential in contributing to resilience, the potential to adapt to external challenges and shocks. Resourcefulness and social innovation have some overlapping qualities, however, the academic connection between the two concepts is yet to be explored. Social innovations include new practices, ideas, and initiatives that meet societal needs and contribute to social change and empowerment. Through in-depth interviews and participant observation, this study researches conditions and processes of resourcefulness in facilitating social innovation in rural, peri-urban, and urban community gardens in the North of the Netherlands. Comparing differing contexts, five main enablers for altering social relations and community empowerment have been identified: (1) clear goals and motivations; (2) diversity in garden resources; (3) experimental knowledge processes; (4) strong internal support and recognition; and (5) place-based practices. Above all, this research stresses the importance of defining resourcefulness as a process and foregrounding the place-based contextual nature of innovative collective food system practices.     

A Critical Realist Perspective on Urban Environmental Risk: A case study of an informal settlement in South Africa

This paper uses a critical realist framework to analyse environmental risk in a local space. It argues that urban risk needs to be understood in terms of the causal mechanisms that shape risk events and the contingent conditions that provide the context within which they occur. It uses a case study of an informal settlement in Hout Bay, South Africa, to explore these ideas. It is an approach that challenges the dominant technical and scientific discourse that usually determines the understanding of risk. The research suggests that the key causal mechanisms that shape risk events in informal settlements are globalisation and urbanisation, poverty and vulnerability, the social construction of environmental problems, gender relations, the rise of civil society organisations, political governance and the spatial distribution of risk. The environmental characteristics of the site, as well as the development of the settlement during the political transformation in South Africa, are the key contingent conditions determining the nature of risk.     

Barriers and enablers of local adaptive measures: a case study of Bengaluru’s informal settlement dwellers

ABSTRACT

Cities, with their increasing populations, are host to a range of issues including non-climatic factors due to the prevailing development paradigm, discriminatory urbanisation patterns, and weak governance structures. Climate change poses an additional challenge and exacerbates existing vulnerabilities affecting cities and its people, especially the urban poor. This paper highlights the barriers and enablers to climate change-related adaptation experienced in some of Bengaluru’s informal settlements. The barriers described in the paper include economic, social, governance and information related issues that impede local actions and increase vulnerabilities. Enabling factors such as improving social and human capital, gaining formal recognition and most importantly support from agencies (e.g. local government, civil societies, and community leaders), help overcome some of the barriers or challenges. Hence, local level adaptation measures mainstreamed with local developmental agendas help address some of the structural causes of vulnerability. Contextual policies and interventions can facilitate successful local level adaptation measures.     

Learning environmental justice and adult education in a Scottish community campaign against fish farming

Community campaigns against local sources of pollution and environmental degradation form the building blocks of movements for environmental justice. They also constitute important locations for people to learn about the environment and obtain outlooks, knowledge and skills with which to tackle pollution and address sustainable alternatives. The learning which occurs is usually informal and involves collective learning for action. A challenge to formal educators is to be able to support such learning. This account is of the learning which has been achieved during a community campaign against fish farming in the community of Scoraig in Wester Ross, north-west Scotland. We identify a complex diversity of learning within the community, involving information-gathering and critical analysis, between those active in the campaign and those supportive but less active, and in interaction between formal and informal education.     

"I'm Learning … How You Go about Stirring Things Up--in a Consultative Manner": social capital and action competence in two community catchment groups

The contributions of local community action groups to environmental care and restoration is usually justified and evaluated in terms of improvements to environmental quality. This article explores social benefits in the form of increases in social capital and action competence that also flow from their actions, benefits that may not only help restore degraded but also contribute to the stock of good will and skill in the community that may even prevent or minimise future environmental problems. This article documents the emergence of action competence and social capital in two community catchment groups in South-East Queensland. The findings suggest that social capital is enhanced through processes of community participation in the catchment consultation processes. The article concludes that the relationship between social capital and action competence is complementary, with social capital and action competence being mutually enhanced by the social learning that accrues from the process of community participation.     

Community based initiatives to mainstream climate change adaptation into disaster risk reduction: evidence from the Hunter Valley (Australia)

In Australia, local communities often enact Community-Based Initiatives (CBIs) to respond to climate change through Climate Change Adaptation (CCA). CBIs can also be integrated into the Disaster Risk Reduction (DRR) agenda. The paper explores the extent to which CBIs promote the mainstreaming of CCA into DRR. Primary data were obtained from interviews with representatives of CBIs and supporting organisations in three local governments of the Hunter Valley (New South Wales, Australia). Findings show that CBIs recognise the potential contribution of climate change in modifying the local hazard profile. CBIs mainstream CCA into DRR by following four approaches: environmental and social justice; sustainability and transition; ecosystem-based approach; and adaptive planning. Partnerships were identified both among CBIs and between CBIs and City Councils; however, conflicts between CBIs, City Councils and business actors emerged, and a lack of commitment by multi-level governments in responding to climate change was revealed. The findings show that CBIs consider CCA and DRR within a broad everyday context related to vulnerability and local development. But we argue that assigning responsibility for climate change issues to CBIs is not a panacea and should not be the only local climate change response. Instead, CBIs need to be included in a larger and long-term commitment by actors that possess access to resources, such as higher levels of government. The paper provides a local Australian perspective on the effectiveness of mainstreaming CCA into DRR and furthers the conversation for the benefit of other communities facing similar challenges.     

From Experiential Knowledge to Public Participation: Social Learning at the Community Fisheries Action Roundtable

Extensive research demonstrates that public participation in environmental decision making can increase understanding of diverse worldviews and knowledge bases, public faith in governance institutions, and compliance with resulting rules. Concerns linger around costs, possibilities of polarization and decreased legitimacy in cases of poorly executed processes, and the ability of newly empowered groups to gain political leverage over others. If participants in public processes can bracket their personal experience to better assess other viewpoints, establishing mutual respect and understanding through deliberative exchange, they increase the likelihood of maximizing participatory benefits and minimizing risks. Such reflexivity indicates double-loop social learning, change undertaken through collective discussion and interaction. A capacity-building workshop program aims to foster such learning within the Maine fishing industry. Case material draws primarily on participant observation and interview data, using a grounded theory approach to qualitative analysis. Evidence indicates that in social contexts removed from the norms of daily life and the frustrations of past fishery management confrontations, harvesters acquire knowledge and skills that facilitate more strategic and productive behavior in formal and informal marine resource decision venues. Suspensions of longstanding spatio-temporal assumptions around the prosecution and management of fisheries comprise key learning moments, and yield corresponding changes in industry attitudes and actions. With heightened appreciation for a diversity of experiences and management priorities, harvesters can better mobilize a broad spectrum of local knowledge to develop viable regulatory proposals and collaborative decision processes.     

Community business: a new role for the planner

The growing political pressure for local authorities in the UK to be seen to be doing something about unemployment has led to a variety of local economic initiatives. This paper looks at one such initiative in Scotland. Community Business aims to help those who have not benefitted from conventional schemes; that is, the long‐term unemployed with outdated skills, or with no skills at all. The paper considers how and why planners should be involved in community business promotion, on the basis of Scottish experience.     

Design and evaluation of a local analytic-deliberative process for climate adaptation planning

In the midst of rapidly proliferating engagement efforts around climate adaptation, attention to the design and evaluation of decision support processes and products is warranted. We report on the development and evaluation of a process framework called the Vulnerability, Consequences, and Adaptation Planning Scenarios (VCAPS) process. VCAPS is a systematic approach to integrate local knowledge with scientific understanding by providing opportunities for facilitated, deliberative learning-based activities with local decision makers about climate change vulnerability and adaptation. We introduce the conceptual basis of the process in analytic-deliberation, hazard management, and vulnerability. Our evaluations from eight coastal communities where the approach was applied point to four assets of VCAPS: it promotes synthesis of local and scientific knowledge; it stimulates systems thinking and learning; it facilitates governance by producing action plans with transparent justifications; and it accommodates participant time constraints and preferences.     

Spatially identifying vulnerable communities to climate change impact in South Australia

The impending form and extent of climate change and its direct impacts present disproportionate challenges for the most socially and economically disadvantaged groups within populations. Evaluating the vulnerability of disadvantaged groups in the context of climate change has presented tremendous theoretical, methodological and policy challenges especially where vulnerability assessment research is focused at the local community level. This study addresses the challenges by developing an interdisciplinary methodology, based on expert knowledge, and uses the state of South Australia as a case study. It focuses on key indicators that measure the exposure of local communities to climate change and socio-economic vulnerabilities of local populations. A main contribution in this study is the novel incorporation of physical, environmental and socio-demographic data sets and extensive use of spatial modelling and estimation methods to spatially define climate change and social vulnerability “hot spots”. This paper assesses vulnerability under moderate and high Intergovernmental Panel on Climate Change CO₂ emission scenarios in order to generate an assessment model to be used before planning is done. The result is the creation of a practical tool through which decision-makers can better understand how the complexity of one's local spatial context influences the unique exposure, which different vulnerable communities have, to the impacts of climate change. This paper presents a useful tool that can be used in the initial assessment phase by planners and policy-makers to better assist those who are limited in their ability to adapt to climate change.