INSTITUTIONAL ANALYSIS IN COMMUNITY DECISION-MAKING: A CASE EXAMPLE FROM SOUTHERN ARIZONA1

ABSTRACT: While there is increasing recognition of the need to consider institutional factors in water resources decision-making, there are few specific methods available to use in actually conducting an institutional analysis. The lack of such methods has spurred interest in going beyond begging water resource agencies to conduct institutional analyses to developing more refined tools to use in the analysis process. However, as more complex systems of analysis are developed, it is important not to lose sight of the value that less objective and participatory approaches to institutional analysis may have in solving institutional problems. Improving the techniques and tools of institutional analysis should not mean developing complex methods or models that can only be manipulated and understood by the trained analyst. The advantages and disadvantages of full participation by stakeholders in the institutional analysis process are discussed by describing the efforts of a local community organization in Tucson, Arizona, to study the need for a basinwide management entity.     

BUILDING THE AGENDA FOR INSTITUTIONAL RESEARCH IN WATER RESOURCE MANAGEMENT1

ABSTRACT: This paper pursues more specifically the recommendations of a recent National Research Council report recommending greater attention to research on institutions in the field of water resource management. The important challenge for the future in institutional research lies in going beyond the observation that institutions are important and in explaining instead how institutions actually affect management options and outcomes. It is possible to illuminate the relationships between institutional features and water management through comparative institutional research. This paper offers recommendations for studying water institutions in a comparative context, including methodological recommendations concerning approaches to comparative institutional research, and topics for comparative institutional research that appear especially fruitful at this time. The example of conjunctive management is used to illustrate the importance of institutional factors in water management, drawing to some extent on the authors’ recent experience with a comparative study of conjunctive management institutions.     

A Framework for Understanding and Improving Environmental Decision Making

This paper presents a framework for understanding and improving public sector environmental decision making. Within the framework, four interrelated components are discussed: (1) the environmental and cultural context-understanding this context includes understanding what people consider to be environmental problems, the goals and values that they bring to environmental problems and decision processes, specialized and common knowledge about environmental problems, and the institutional settings within which problems are addressed; (2) planning and appraisal activitiesthese activities include forecasting and monitoring exercises, evaluations of past decisions, and decisions that processes ought to be launched to solve specific environmental problems; (3) decision-making modes-these include six typical ways of conducting an environmental problem-solving process, modes which, in the framework, are called emergency action, routine procedures, analysis-centred, elite corps, conflict management and collaborative learning; (4) decision actions-these include five generic steps that are undertaken, formally or intuitively, in virtually any decision-making situation: issue familiarization; criteria setting; option construction; option assessment; and reaching a decision. In the course of describing the framework, we show a decision-making process can be adapted to incorporate sustainability concerns, including fostering sustainable environmental and social systems, meeting obligations to future generations, and searching for robust and reasonable (rather than rigidly optimal) decisions. The framework also helps to illuminate intriguing questions regarding institutional responsibility, decision process complexity and paradigms for environmental decision making.     

Institutional aspects of lake management

The major barriers to successful lake management are institutional. However, in contrast to the technical and limnological dimensions of lake management, the institutional aspects of managing lakes have received little attention. The institutional factors that are important for successful lake management outcomes are: overlapping areal jurisdiction among governmental units, fragmented functional program responsibilities, ineffective coordination, limited authority, financial constraints, private sector roles, and inadequate public awareness and consensus. The range of typical institutional problems confronting lake management are well illustrated through experiences from the state of Wisconsin, USA. Because lake management programs with institutional shortcomings rarely realize their goals, it is critical to assimilate, evaluate, and apply our experience to date with the institutional arrangements necessary to effectively manage lake resources.     

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.     

Coming to the table: collaborative governance and groundwater decision-making in coastal California

Collaborative governance is on the rise in the United States. This management approach brings together state and non-state actors for environmental decision-making, and it is frequently used in California for decisions regarding local groundwater management. This study examines groundwater decision-making groups and practices in a central California coastal community to understand whether groups meet specific collaborative governance criteria and whether and why certain subsets of the population are excluded from groundwater decision-making practices. It also identifies actions for better group inclusion. We find that small farmers, the Hispanic/Latino community, and the general public are often excluded from groundwater decision-making groups and practices due to unawareness, mistrust, and insufficient resources. Education and awareness as well as incentives could help increase inclusion. This study provides insights into more equitable groundwater decision-making groups and practices, and also calls for more critical examination of the current stakeholder approach to decision-making.     

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.     

Identifying the Institutional Decision Process to Introduce Decentralized Sanitation in the City of Kunming (China)

We conducted a study of the institutional barriers to introducing urine source separation in the urban area of Kunming, China. On the basis of a stakeholder analysis, we constructed stakeholder diagrams showing the relative importance of decision-making power and (positive) interest in the topic. A hypothetical decision-making process for the urban case was derived based on a successful pilot project in a periurban area. All our results were evaluated by the stakeholders. We concluded that although a number of primary stakeholders have a large interest in testing urine source separation also in an urban context, most of the key stakeholders would be reluctant to this idea. However, the success in the periurban area showed that even a single, well-received pilot project can trigger the process of broad dissemination of new technologies. Whereas the institutional setting for such a pilot project is favorable in Kunming, a major challenge will be to adapt the technology to the demands of an urban population. Methodologically, we developed an approach to corroborate a stakeholder analysis with the perception of the stakeholders themselves. This is important not only in order to validate the analysis but also to bridge the theoretical gap between stakeholder analysis and stakeholder involvement. We also show that in disagreement with the assumption of most policy theories, local stakeholders consider informal decision pathways to be of great importance in actual policy-making.     

Realizing the Potential of Ecosystem Services: A Framework for Relating Ecological Changes to Economic Benefits

Increasingly government agencies are seeking to quantify the outcomes of proposed policy options in terms of ecosystem service benefits, yet conflicting definitions and ad hoc approaches to measuring ecosystem services have created confusion regarding how to rigorously link ecological change to changes in human well-being. Here, we describe a step-by-step framework for producing ecological models and metrics that can effectively serve an economic-benefits assessment of a proposed change in policy or management. A focus of the framework is developing comparable units of ecosystem goods and services to support decision-making, even if outcomes cannot be monetized. Because the challenges to translating ecological changes to outcomes appropriate for economic analyses are many, we discuss examples that demonstrate practical methods and approaches to overcoming data limitations. The numerous difficult decisions that government agencies must make to fairly use and allocate natural resources provides ample opportunity for interdisciplinary teams of natural and social scientists to improve methods for quantifying changes in ecosystem services and their effects on human well-being. This framework is offered with the intent of promoting the success of such teams as they support managers in evaluating the equivalency of ecosystem service offsets and trades, establishing restoration and preservation priorities, and more generally, in developing environmental policy that effectively balances multiple perspectives.     

Why is integrating policy assessment so hard? A comparative analysis of the institutional capacities and constraints

Widely advocated as a means to make policy making more integrated, policy assessment remains weakly integrated in practice. But explanations for this shortfall, such as lack of staff training and resources, ignore more fundamental institutional factors. This paper identifies institutional capacities supporting and constraining attempts to make policy assessment more integrated. A comparative empirical analysis of functionally equivalent assessment systems in four European jurisdictions finds that there are wide-ranging institutional constraints upon integration. These include international policy commitments, the perception that assessment should support rather than determine policy, organisational traditions, and the sectorisation of policy making. This paper concludes by exploring the potential for altering these institutions to make policy assessment more integrated.     

Enhancing environmental equity through decision-making: Learning from waste management

Environmental justice arguments focused on improving the quality of life of the poor contend that environmental 'bads' are more often located in areas of social disadvantage. In relation to waste facilities such claims of distributional outcomes have been enhanced by epidemiological analyses of apparent disease clusters in the vicinity. While politically engaging these arguments have been supported rarely by robust evidence. However, if repositioned in more structural issues related to the unequal societal distribution of power, resources and environmental burdens, they do prompt questions about the processes by which equitable decisions are made in a sustainable waste management context. The paper discusses the scientific and institutional barriers affecting the effective balancing of equity issues, arguing that while deliberative processes potentially challenge 'expert black-boxing' they also challenge current political and regulatory structures for waste management.     

Organizational commitment to integrated and collaborative management: matching strategies to constraints

Integrated and collaborative approaches to environmental management are being advocated as a more appropriate and effective approach to decision-making. It is based on collaboration among a range of individuals and organizations that have a stake, role, or responsibility in management outcomes. However, researchers have found that implementation of this approach has encountered difficulties. This paper focuses on the role of organizations and their commitment to implementation. Based on case study and survey research in the United States and Australia, the author examines organizational constraints and the range of strategies used to secure commitment. It is argued that participants must more explicitly address the commitment issue and design implementation strategies that respond to organizational constraints.     

STATE LEGISLATIVE CONSTRAINTS ON THE DEVELOPMENT OF WATER RESOURCES POLICY1

ABSTRACT: Legislative constraints on the development of water resources policy fit into three broad categories-political, institutional, and informational. The political category encompasses constituency needs and preferences, satisfaction with existing water management practices and policies, and the necessity for legislators to blend political ambition with public problem solving. Constraints fitting into the institutional category include differences in legislative behavior and attitudes that stem from one's location in the legislature (e.g., senate-house, leader-follower, or committee activity), the dynamics of scheduling and organization, and the capability to manage complex issues. Informational constraints refer to the availability of information and the use to which it is put by lawmakers in formulating decisions on waterrelated issues. These constraints are approached from a behavioral perspective by examining several constituency, institutional, and information hypotheses that “explain” legislative involvement with water resources issues. The data are drawn from a recent study of water resources decision making in West Virginia. Eighty-three of the 134 members of the 1975–76 West Virginia Legislature participated in the study.     

A critical investigation of evaluation matrices to inform coastal adaptation and planning decisions at the local scale

Local governments are under pressure to tackle an increasing spectrum of complex contemporary problems, such as climate change, while ensuring multiple stakeholder interests are incorporated into decision processes. Multi-criteria decision tools can assist, but challenges remain in creating an enabling environment for incorporating and balancing different stakeholder perspectives. Here, we draw on interview data and a sensitivity analysis to investigate the use of an evaluation matrix to guide local coastal adaptation decision-making in South Africa. We adopt a participatory action research framework and find that decision-making is influenced by individual, departmental and institutional values that are not adequately captured in the matrix approach. Our study reveals the compromise between achieving broad stakeholder representation and utilising technical expertise, and that altering matrix assumptions can imply different decision outcomes. Suggestions are made to improve multi-criteria decision approaches to better facilitate integrated coastal management in responding to local coastal adaptation challenges.     

Integrating Science into Management of Ecosystems in the Greater Blue Mountains

Effective management of large protected conservation areas is challenged by political, institutional and environmental complexity and inconsistency. Knowledge generation and its uptake into management are crucial to address these challenges. We reflect on practice at the interface between science and management of the Greater Blue Mountains World Heritage Area (GBMWHA), which covers approximately 1 million hectares west of Sydney, Australia. Multiple government agencies and other stakeholders are involved in its management, and decision-making is confounded by numerous plans of management and competing values and goals, reflecting the different objectives and responsibilities of stakeholders. To highlight the complexities of the decision-making process for this large area, we draw on the outcomes of a recent collaborative research project and focus on fire regimes and wild-dog control as examples of how existing knowledge is integrated into management. The collaborative research project achieved the objectives of collating and synthesizing biological data for the region; however, transfer of the project’s outcomes to management has proved problematic. Reasons attributed to this include lack of clearly defined management objectives to guide research directions and uptake, and scientific information not being made more understandable and accessible. A key role of a local bridging organisation (e.g., the Blue Mountains World Heritage Institute) in linking science and management is ensuring that research results with management significance can be effectively transmitted to agencies and that outcomes are explained for nonspecialists as well as more widely distributed. We conclude that improved links between science, policy, and management within an adaptive learning-by-doing framework for the GBMWHA would assist the usefulness and uptake of future research.     

Financing of wasteland afforestation in India

India has vast tracts of wastelands, which have been lying barren for ages. Most such lands are physically suitable for growing trees and thus could be put to socially productive uses. However, although usually economically viable, afforestation requires massive initial investment, generally beyond the means of the landowners. Also, government budgetary allocations do not cover current needs. In this situation, institutional credit is required. The National Bank for Agriculture and Rural Development (NABARD) of India has recognized this need and has devised a number of different schemes to provide refinance facilities to individuals and organisations. Although the number of forestry schemes refinanced by NABARD has increased rapidly in the past, they currently constitute only about 1% of the total number of loans sanctioned, and only about 2% of NABARD's cumulative loan disbursement to date. In fact, since 1992, the share of afforestation schemes has declined. A number of factors have been identified as major constraints, including time-consuming and complicated procedures for accessing land; restrictions on harvesting and selling trees; delays in sanctioning and disbursement of bank credit; non-remunerative prices for tree products; and flawed public policies and programmes. This article argues that unless these constraints are overcome, NABARD will not be able to play an effective role in speeding up development programmes in the forestry sector. It further argues that most of the current constraints on institutional credit for wasteland afforestation can be removed or relaxed. Practical strategies are suggested to mobilize more funds and channel more institutional credit for wasteland afforestation in India.     

中国农业污染防控的制度约束研究

中国作为世界上最大的发展中国家,正经历着越发严重的农业污染问题;对农业污染防控的制度性约束因素进行深入分析,是实现有效污染防控的前提,具有积极的理论和现实意义。对中国农业污染防控的制度约束分析研究表明：农业污染及其防控涉及的利益主体关系及相关制度设计,对各利益主体形成了污染防控负激励,加重了农业污染;城乡＂二元＂结构及其衍生的一系列体制问题,导致＂三农＂在农业环境治理、农村公共物品提供等方面被严重边缘化,进而直接制约了农业污染防控;此外,高度分散的小规模农户经营模式也不利于农业污染防控。最后,针对中国农业污染防控的制度性约束因素,提出了有针对性的农业污染防控政策建议。     

Exploring constraints and incentives for the adoption of agroforestry practices on degraded cropland in Uzbekistan

Agroforestry is often an economically viable land-use option for the environmental rehabilitation of salinized cropping areas in irrigated drylands, but afforestation initiative at the farm level is subject to various socio-political constraints. We analyzed the factors that affect farmer decisions with respect to the agroforestry adoption using an ex ante approach through Ethnographic Decision Tree Modeling (EDTM). Constraints on agroforestry adoption were identified via a review of legal documents, focus-group discussions, and a farm survey in northwest Uzbekistan. The findings highlighted the importance of farmer perceptions of risk with respect to decision making surrounding the adoption of alternative land uses. The EDTM analysis allowed determining those policy incentives for afforestation that could directly influence the decision-making process of potential participants. In particular, there is a need for increased land-use flexibility, improved land tenure and tree plantation proprietorship security, increased awareness raising and training in agroforestry practices, and greater institutional support.     

From concept to practice: Implementing cumulative impact assessment in New Zealand

In 1991, provisions for environmental impact assessment in New Zealand were changed significantly with the enactment of the Resource Management Act. Among other provisions, this act requires consideration of cumulative impacts in environmental assessment activities undertaken by planners in newly created regional authorities and district and city councils. The institutional context in which the act is being implemented offers both opportunities and constraints to cumulative impact assessment. A lack of methods for CIA is a recognized problem. However, methods that have been developed for environmental impact assessments can be modified to incorporate second-, third-, and fourth-order impacts as well as to identify the direction and magnitude of additive and synergistic impacts. Layered matrices and combined networks are examples of such methods. While they do not allow for scientific prediction, they do provide the practitioner with the ability to consider the cumulative impacts of decisions. This is crucial in New Zealand, where statutory requirements are ahead of established methodologies.