Governance Change and Institutional Adaptation: A Case Study from Harenna Forest, Ethiopia

Many common pool resources have traditionally been managed through intricate local governance arrangements. Over time, such arrangements are confronted with manifold political, social, economic and ecological changes. However, the ways in which local governance arrangements react to such changes are poorly understood. Using the theoretical concept of institutional adaptation, we analyse the history of Harenna forest, Ethiopia, to examine processes of institutional change over the last 150 years. We find that the traditional institutions that governed Harenna’s resources persisted, in essence, over time. However, these institutions were modified repeatedly to address changes caused by varying formal, supra-regional governance regimes, the development of markets for forest products, increasing population pressure and changes in formal property rights. A key mechanism for adaptation was combining elements from both informal and formal institutions, which allowed traditional rules to persist in the guise of more formal arrangements. Our findings also highlight several constraints of institutional adaptation. For example, by abolishing fora for collective decision-making, regime changes limited adaptive capacity. To conclude, we argue that such insights into traditional resource governance and its adaptability and dynamics over time are essential to develop sustainable approaches to participatory forest management for the future, both in Harenna and more generally.     

Public Sector Reform and Governance for Adaptation: Implications of New Public Management for Adaptive Capacity in Mexico and Norway

Although many governments are assuming the responsibility of initiating adaptation policy in relation to climate change, the compatibility of “governance-for-adaptation” with the current paradigms of public administration has generally been overlooked. Over the last several decades, countries around the globe have embraced variants of the philosophy of administration broadly called “New Public Management” (NPM) in an effort to improve administrative efficiencies and the provision of public services. Using evidence from a case study of reforms in the building sector in Norway, and a case study of water and flood risk management in central Mexico, we analyze the implications of the adoption of the tenets of NPM for adaptive capacity. Our cases illustrate that some of the key attributes associated with governance for adaptation—namely, technical and financial capacities; institutional memory, learning and knowledge; and participation and accountability—have been eroded by NPM reforms. Despite improvements in specific operational tasks of the public sector in each case, we show that the success of NPM reforms presumes the existence of core elements of governance that have often been found lacking, including solid institutional frameworks and accountability. Our analysis illustrates the importance of considering both longer-term adaptive capacities and short-term efficiency goals in public sector administration reform.     

Institutional innovation in urban governance: The case of climate change adaptation

Urban governance systems need to be adaptive to deal with emerging uncertainties and pressures, including those related to climate change. Realising adaptive urban governance systems requires attention to institutions, and in particular, processes of institutional innovation. Interestingly, understanding of how institutional innovation and change occurs remains a key conceptual weakness in urban climate change governance. This paper explores how institutional innovation in urban climate change governance can be conceptualised and analysed. We develop a heuristic involving three levels: (1) “visible” changes in institutional arrangements, (2) changes in underlying “rules-in-use”, and (3) the relationship to broader “governance dilemmas”. We then explore the utility of this heuristic through an exploratory case study of urban water governance in Santiago, Chile. The approach presented opens up novel possibilities for studying institutional innovation and evaluating changes in governance systems. The paper contributes to debates on innovation and its effects in urban governance, particularly under climate change.     

Responding to climate change as a transformative stressor through metro-regional planning

This paper characterises climate change as a “transformative stressor”. It argues that institutional change will become increasingly necessary as institutions seek to reorientate governance frameworks to better manage the transformative stresses created by climate change in urban environments. Urban and metropolitan planning regimes are identified as central institutions in addressing this challenge. The operationalisation of climate adaptation is identified as a central tenet of a comprehensive urban response to the transformative stresses that climate change is predicted to create. Operationalisation refers to climate adaptation becoming incorporated, codified and implemented as a central tenet of urban planning governance. This paper has three purposes. First, it examines conceptual perspectives on the role of transformative stressors in compelling institutional change. Second, it establishes a conceptual approach that characterises climate change as a transformative stressor requiring institutional change within planning frameworks. Third, it reports emergent results and analysis from an empirical inquiry which examines how the metro-regional planning regime of Southeast Queensland has responded to climate change as a transformative stressor via institutional change and the operationalisation of climate adaptation.     

Old ways for new days: Australian Indigenous peoples and climate change

ABSTRACT

This paper explores how Australia's Indigenous peoples understand and respond to climate change impacts on their traditional land and seas. Our results show that: (i) Indigenous peoples are observing modifications to their country due to climate change, and are doing so in both ancient and colonial time scales; (ii) the ways that climate change terminology is discursively understood and used is fundamental to achieving deep engagement and effective adaptive governance; (iii) Indigenous peoples in Australia exhibit a high level of agency via diverse approaches to climate adaptation; and (iv) humour is perceived as an important cultural component of engagement about climate change and adaptation. However, wider governance regimes consistently attempt to “upscale” Indigenous initiatives into their own culturally governed frameworks - or ignore them totally as they “don't fit” within neoliberal policy regimes. We argue that an opportunity exists to acknowledge the ways in which Indigenous peoples are agents of their own change, and to support the strategic localism of Indigenous adaptation approaches through tailored and place-based adaptation for traditional country.     

Barriers and enablers to climate change adaptation in hierarchical governance systems: the case of Vietnam

Governments fulfil important roles in increasing the adaptive capacity of local communities to respond to climate change impacts, particularly in developing countries. Existing studies on how governments enable and constrain the ways in which local level communities learn and build their adaptive capacity, however, generally adopt network or market-oriented types of governance. However, the most vulnerable regions to climate change impact in the world are generally governed through hierarchical policy systems. This research aims to understand how the hierarchical policy system in Vietnam creates enables and/or constrains the policy capacity of policy actors to contribute to effective climate change adaptation. We conducted interviews (n?=?26) with key actors at multiple levels of government. Our findings show the importance of clear legal institutions, available financing for implementing policies, and the training of governmental staff, particularly at district and commune levels where the policy capacities are generally too low to deal with climate change impacts. We conclude that any efforts to support local actors (i.e. smallholder farmers) should include investments in policy capacity to ensure uptake and upscaling of adaptation actions more broadly.     

Towards socially just adaptive climate governance: the transformative potential of conflict

Conflict is an important factor in ongoing climate change debates and its role in management is under increasing scrutiny. In this paper, I present the results of an advanced discourse analysis that analyses trends in the relationship between conflict and climate change. I present two primary discourses dominate discussion: (i) climate as a security risk and (ii) climate as one of many factors affecting power relations that may lead to conflict. Both narratives implicitly or explicitly discuss climate conflict as a cause–outcome relationship, and further primarily construct conflict and climate change within normative frames. Yet, conflict has transformative potential and can be incorporated into management in ways that harness its capacity to drive innovation and lead to more robust and just adaptive governance. I argue for a shift in the discursive frame from a cause– outcome-oriented approach to a process-driven approach, one that treats conflict as an integral part of adaptive governance processes, thus being more just and equitable. Such a shift in focus can lead to positive on ground climate adaptation outcomes, in ways that respect rather than are counter-intuitive to dominant political and societal imbalances and institutional structures.     

Natural resource industry involvement in collaboration for water governance: influence on processes and outcomes in Canada

Natural resource industries are increasingly significant actors in environmental decision-making. Possessing vast institutional and technical capacity, firms have an important role to play in ‘new’ governance strategies such as collaboration. These strategies are often based upon assumptions of equitable influence. This paper investigates the nature of resource industry participation in collaborative water governance in Canada, and the potential consequences of that participation as investigated using power theory. The study used comparative cases to reveal that resource industries are able to shape collaboration, and the issues collaborated upon, at multiple analytical levels both internal and external to the collaborative process in ways not available to other actors. Analysis also revealed that resource industry participation in collaboration did not reflect a commitment to engage in shared learning and the reexamination of values and interests as presupposed by collaborative theory. Collaboration is thus challenged in producing equitable, representative outcomes when resource industries participate.     

Marshaling Adaptive Capacities within an Adaptive Management Framework to Enhance the Resiliency of Wastewater Systems

We assess adaptive capacity and adaptive management as measures of wastewater (WW) system resiliency using data from interviews with WW system managers (hereafter managers) impacted by past storms. Results suggest the most resilient WW systems are those with high adaptive capacities that employ an adaptive management approach to make ongoing adaptation investments over time. Greater amounts of generic adaptive capacities (i.e., skilled staff and good leadership) help smooth both day‐to‐day and emergency operations and provide a foundation for adaptive management. In turn, adaptive management helps managers both build more generic adaptive capacities, and develop and employ greater amounts and diversity of specific adaptive capacities (i.e., soft and/or hard adaptations) that are especially important for enhancing and sustaining resiliency. Adaptive management also enables managers to better understand their system's vulnerabilities, how those vulnerabilities change over time, and what specific actions may reduce those vulnerabilities. Finally, our work suggests WW system resilience critically depends on the capacities of the human systems for building resilience as much as or more so than relying only on physical infrastructure resilience. Our work contributes to filling an important gap in the literature by advancing our understanding of the human dimensions of infrastructure resilience and has practical implications for advancing resilience in the WW sector.     

Adaptive Comanagement for Building Resilience in Social–Ecological Systems

Ecosystems are complex adaptive systems that require flexible governance with the ability to respond to environmental feedback. We present, through examples from Sweden and Canada, the development of adaptive comanagement systems, showing how local groups self-organize, learn, and actively adapt to and shape change with social networks that connect institutions and organizations across levels and scales and that facilitate information flows. The development took place through a sequence of responses to environmental events that widened the scope of local management from a particular issue or resource to a broad set of issues related to ecosystem processes across scales and from individual actors, to group of actors to multiple-actor processes. The results suggest that the institutional and organizational landscapes should be approached as carefully as the ecological in order to clarify features that contribute to the resilience of social–ecological systems. These include the following: vision, leadership, and trust; enabling legislation that creates social space for ecosystem management; funds for responding to environmental change and for remedial action; capacity for monitoring and responding to environmental feedback; information flow through social networks; the combination of various sources of information and knowledge; and sense-making and arenas of collaborative learning for ecosystem management. We propose that the self-organizing process of adaptive comanagement development, facilitated by rules and incentives of higher levels, has the potential to expand desirable stability domains of a region and make social–ecological systems more robust to change.Published online     

Fit-for-Purpose Institutions? An Evaluation of Biodiversity Conservation in the Agricultural Landscape of the Tasmanian Midlands,Australia

Biodiversity loss is a globally significant problem. Institutional failure to halt this loss suggests current arrangements are not fit for the purpose of conserving biodiversity. The objective of this paper is to diagnose institutional fitness for conserving biodiversity in the Tasmanian Midlands of Australia, a highly modified agricultural landscape with critically endangered biodiversity values. This paper presents and applies a novel diagnostic framework that adopts a broad view of institutional fit, drawing on concepts from adaptive governance, institutional theory, and public administration, and finds four areas of poor fit that can guide reform efforts. The first is a narrow framing of biodiversity objectives, leading to neglect of key social and ecological concerns. Second, the interplay of current arrangements fails to buffer key economic and political drivers, and compromises adaptive capacity. Third, limited government authority and embedded power relations raise questions about the effectiveness and fairness of current approaches. Finally, the reluctance of governments to devolve authority and decision-making powers to self-organizing networks constrains adaptation. This suite of fit problems constrains achievement of biodiversity conservation, particularly in dealing with landscape multifunctionality, the need to balance private landholder rights and responsibilities, and the need to consider how to respond to emerging novel and hybrid ecosystems.     

Adaptive co-management and network learning in the Room for the River programme

Adaptive co-management and learning are paramount for integrated flood risk management. Relevant literature focuses on adaptation at the level of physical and societal systems. The level of projects and programmes is largely overlooked, but they comprise interventions that adapt our physical systems and they provide opportunities for learning to contribute to transitions of societal systems. This paper aims to increase understanding on how learning takes place and can be stimulated within a programme. The mixed-method case study of Room for the River, a €2.3 billion programme for flood risk management, shows that a programme can be organised using various governance arrangements to stimulate learning and be a means for adaptive co-management to deliver upon environmental objectives.     

A participatory decision making framework for artisanal fisheries collaborative governance: Insights from management committees in Chile

Fisheries management is increasingly transitioning towards collaborative governance. Collaborative systems depend on stakeholders’ capacity to design and implement legitimate and scientifically robust management plans within collective action arenas. Here we propose that collaborative governance outcomes, in fisheries management, will benefit from using structured participatory decision making frameworks that enhance deliberative thinking among stakeholders. We tested our approach in the artisanal fishery of Chile, an important producer of marine resources. Recently in 2013, Chile made important changes to fisheries policies by creating multi-sectorial management committees to manage de facto open access fishing areas. We applied a structured decision making framework to inform the restructuring of a management plan within a committee. As a result, we identified goals,objectives and indicators, including social, economic, biological and ecological dimensions; we explored tradeoffs, assessing the relative importance of the objectives; finally, we created scenarios and prioritized alternatives, reflecting on the interplay between self-regulation and government control. Members of the management committee were able to rationalize the different steps of the framework and identify ways forward which highlighted the importance of self-regulation in comparison to central authorities’ control. We concluded that structured decision making promotes spaces for rational analysis of alternatives costs and benefits. Promoting deliberative thinking in fisheries management can improve equity, legitimacy and sustainability of collaborative governance.     

Multi-level network governance of disaster risks: the case of the Metropolitan Region of the Aburra Valley (Medellin,Colombia)

Cities have increasingly been confronted with disasters, ranging from earthquakes and storms to floods and landslides. Traditional technocratic top-down approaches have proved inadequate to face disaster risks in urban agglomerations. Thus, expectations have risen that through multi-level governance, metropolitan regions could become more resilient by joining forces across scales and sectors, enabling them to implement adaptation strategies collectively. Under the leadership of the city of Medellin and integrated within the national risk governance system of Colombia, such a governance arrangement has been established in the Metropolitan Area of the Aburra Valley. Applying social network analysis, this paper analyses the institutional relationships within the multi-level risk governance network Red Riesgos. It demonstrates that the effectiveness of multi-level disaster risk governance networks depends primarily on the protagonist role of local governments and on their abilities to involve local communities and citizens and to interact constantly with higher-level authorities in the implementation process.     

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.     

Managing climate change vulnerabilities: formal institutions and knowledge use as determinants of adaptive capacity at the local level in Sweden

Though managing vulnerabilities posed by climate change calls for effective strategies and measures, its challenges have hitherto not been fully understood. In Sweden, municipalities have recently started incorporating vulnerability management into their political and administrative agendas. This study discusses such experiences and explores how institutional determinants may influence adaptive capacity within a local case study area, to illustrate emerging challenges and opportunities for Swedish municipalities in managing climate vulnerabilities. Specifically, formal institutional structure and the use of knowledge are analysed, concluding that vulnerability management often is focused on technical and reactive fixes, due to limited co-operation between local sector organisations, lack of local co-ordination, and an absence of methods and traditions to build institutional knowledge. Even so, opportunities, such as a high capacity to examine risks to technical systems and important establishments which in turn facilitates protection of technical infrastructure exposed to climate variability and change, also exist.     

A Framework for Assessing Collaborative Capacity in Community-Based Public Forest Management

Community-based collaborative groups involved in public natural resource management are assuming greater roles in planning, project implementation, and monitoring. This entails the capacity of collaborative groups to develop and sustain new organizational structures, processes, and strategies, yet there is a lack of understanding what constitutes collaborative capacity. In this paper, we present a framework for assessing collaborative capacities associated with community-based public forest management in the US. The framework is inductively derived from case study research and observations of 30 federal forest-related collaborative efforts. Categories were cross-referenced with literature on collaboration across a variety of contexts. The framework focuses on six arenas of collaborative action: (1) organizing, (2) learning, (3) deciding, (4) acting, (5) evaluating, and (6) legitimizing. Within each arena are capacities expressed through three levels of social agency: individuals, the collaborative group itself, and participating or external organizations. The framework provides a language and set of organizing principles for understanding and assessing collaborative capacity in the context of community-based public forest management. The framework allows groups to assess what capacities they already have and what more is needed. It also provides a way for organizations supporting collaboratives to target investments in building and sustaining their collaborative capacities. The framework can be used by researchers as a set of independent variables against which to measure collaborative outcomes across a large population of collaborative efforts.     

Evaluating Adaptive Governance Approaches to Sustainable Water Management in North-West Thailand

Adaptive governance is advanced as a potent means of addressing institutional fit of natural resource systems with prevailing modes of political–administrative management. Its advocates also argue that it enhances participatory and learning opportunities for stakeholders over time. Yet an increasing number of studies demonstrate real difficulties in implementing adaptive governance ‘solutions’. This paper builds on these debates by examining the introduction of adaptive governance to water management in Chiang Mai province, north-west Thailand. The paper considers, first, the limitations of current water governance modes at the provincial scale, and the rationale for implementation of an adaptive approach. The new approach is then critically examined, with its initial performance and likely future success evaluated by (i) analysis of water stakeholders’ opinions of its first year of operation; and (ii) comparison of its governance attributes against recent empirical accounts of implementation difficulty and failure of adaptive governance of natural resource management more generally. The analysis confirms the potentially significant role that the new approach can play in brokering and resolving the underlying differences in stakeholder representation and knowledge construction at the heart of the prevailing water governance modes in north-west Thailand.     

Using Social Network Analysis to examine the role that institutional integration plays in community-based adaptive capacity to climate change in Caribbean small island communities

Remote island communities in the Caribbean are known to be disproportionately vulnerable to the impacts of climate change. As a result, there is a need to better understand the factors that contribute to increasing local-scale adaptive capacity through large-scale adaptation projects. While it has been argued that strong institutional networks are highly influential in a community’s ability to leverage funds and to implement tailored adaptation projects, limited empirical research has been undertaken. Social Network Analysis was used to retrospectively evaluate the importance of institutional integration for enhancing adaptive capacity in the small island community of Paget Farm in St. Vincent and the Grenadines. Paget Farm successfully adapted to a lack of fresh water through the implementation of a funded solar-powered desalination plant – and as a result the community represents an ideal case study for analysis. Results reveal that while the level of vertical integration varied throughout the temporal phases of the adaptation project, horizontal integration was consistently low. These findings suggest that high integration between institutions may not be required during all project phases in order to ensure success and that more consistent rather than high levels of integration between sectors may be more meaningful for enhancing adaptive capacity.     

Network structure and adaptive capacity in watershed governance

What supports the adaptive capacity of watershed governance? Using document review, interviews, and network diagrams, we analyze how structural attributes of a governance network emerged and co-evolved with changes in biophysical conditions in a case study of a small watershed in northeast Ohio. Results indicate that the network governance structure that emerged evolved to become a hybrid of two different structural forms that diversified stakeholder engagement, generated social capital, improved social learning, and stimulated change in management practices, all of which have enhanced adaptive capacity. A significant challenge to adaptive capacity arises, however, as network governance has come to rely significantly on a centralized organization to broker relationships for information and other resources.