Policy-induced innovations networks on climate change adaptation – An ex-post analysis of collaboration success and its influencing factors

This study is about 16 policy-induced innovation networks on climate change adaptation, i.e., subsidised multi-actor networks that are initiated by research institutes and formed around a particular real-life problem aiming at joint development, test, and implement adaptation measures. The political-administrative context is Germany, and the institutional context is a joint research framework in which each network works independently on a particular topic, but remains bound to the principle of practical and solution-oriented research carried out in close partnership between scientific and extra-scientific actors. Our objective is to provide empirical insights into the processes and outcomes of such networks and to systematically analyse the networks’ collaboration success and its influencing factors. To this end, collaboration success is operationalised as a three-dimensional metric including (1) the practitioners’ satisfaction with the cooperation, (2) their perceived learning effects, and (3) their perceived implementation capacity. Results show a decreasing level of success throughout the three dimensions and particularly a gap between knowledge acquisition and learning on the one hand and implementation, i.e., transforming the knowledge into action, on the other. While the positive relationship between these dimensions is confirmed, results of correlation analysis highlight the importance of repeated participation, appropriate information management, and inclusive as well as responsive network practices. We discuss the results against our existing knowledge on multi-actor collaborative research and deduce (methodological) lessons learnt as well as future research needs.     

University engagement and regional sustainability initiatives: some Danish experiences

With an outset in ‘sustainability’ defined as a continuous process requiring balance between (the emergence of) problems and our ability and capability to solve them using four distinct capitals available, i.e. natural, production, human and intellectual, and social capital, a model of universities as factories is used. The model suggests that the most notable products of a university being graduates, and knowledge in the form of books, journal articles etc., i.e. human and intellectual capital. As a consequence, these are also the most important impacts from a university. Using the case of Aalborg University, Denmark, the linkages (actual, potential and missing) between academic work in research and education and sustainability initiatives are explored. The focus is both on the university's core activities as a provider of research and education and on the university's activities as an organisation, i.e. its own operation and its accounting for this. It is suggested that systematic engagement activities could benefit both the university's ability to manage internal university processes (by learning from its peers) and its ability to produce the right graduates and knowledge. As a consequence, the main societal benefit would be the ability to better cope with emerging problems endangering the sustainable development of our societies. It is concluded that Aalborg University with its long tradition for project-based and problem-oriented learning in fact has every opportunity to be able to lead by example and become the link to sustainability.     

Reprint of: ‘Heimat’ as a boundary object? Exploring the potentialities of a boundary object to instigate productive science-stakeholder interaction in North Frisia (Germany)

The North Frisian Wadden Sea represents one of the best researched natural regions in the world. Since the end of the 1980s, scientific research has been carried out to scientifically study, analyse and assess this intertidal coastal zone under the conceptual umbrella of ecosystem research. The outcome of this assessment materialised in the establishment of the Nationalpark Schleswig-Holsteinisches Wattenmeer. Its implementation caused considerable conflicts between coastal inhabitants, national park authorities and government officials. Arguments in these disputes revolved around the validity and relevance of scientific knowledge generated to assess and legitimately protect the tidelands and areas of the Waddensea. In summary, the whole implementation process was locally perceived as a politically endorsed top-down enforcement strategy only allowing scientific knowledge for decision-making purposes while local concerns and ‘knowledges’ were not included. To learn from these developments and past mistakes, we compare concepts of co-management, boundary work and boundary objects (BO) to theoretically and methodologically explore their potentials to generate shared meanings and instigate communication in the context of future managing purposes. Against this theoretical background, we propose the empirical show-case example of the German concept of ‘Heimat’ as a BO to assess its applicability to study place-based meanings and to illustrate it as a practice-oriented point of entry to initiate productive science-stakeholder interaction (SSI) in managing the North Frisian Wadden Sea.     

A systemic approach to managing multiple perspectives and stakeholding in water catchments: some findings from three UK case studies

As the EU-wide Water Framework Directive enters into public policy, the UK faces significant challenges in managing its water resources, including exceptional flood and drought events in recent years. New legislation is resurfacing existing conflicts and generating new debates among multiple stakeholders about managing water catchments. Existing policies and practices are under strain as a result. This paper reports how the SLIM project in the UK researched the role of a systemic approach to managing multiple perspectives and stakeholding in water catchments and the new challenges this presents to existing forms of knowledge and practice. The authors apply the conceptual tradition of systems thinking and practice, and the methodological approach of systemic co-researching inquiry to empirical studies in the Tweed, the Ythan, and the Eye Brook catchments, in the context of a review of policy and practice in the UK. The extent to which systems approaches to multiple stakeholding can lead to social learning for concerted action is considered. An assessment of the implications of the research findings for policies and practices in managing water catchments concludes the article.     

The institutions-adaptive capacity nexus: Insights from coastal resources co-management in Cambodia and Vietnam

Responding to the unprecedented social-environmental change facing humankind will require responsive and flexible governance institutions (i.e., systems of rules and social norms) that facilitate adaptive capacity of individuals, groups and organisations. This may explain the sustained interest in the institutional dimensions of adaptive capacity. However, a better understanding of how institutions may enable adaptive capacity is still evolving. The literature is yet to clearly articulate how institutions relate to attributes of adaptive capacity. This study contributes to address this knowledge gap; it employs an evaluative approach that underscores the relationship between types of institutions and attributes of adaptive capacity (i.e., variety, learning capacity, autonomy, leadership, resources and fair governance). Such approach is used to examine how institutions enable adaptive capacity in the context of coastal resources co-managemen in the Peam Krasaop Wildlife Sanctuary (Cambodia) and Tam Giang Lagoon (Vietnam). In this study, complexity emerges as a defining feature of adaptive capacity. It results from the relationship between institutions and adaptive capacity and the contextual factors in which such relationship takes place. Exercises aiming to assess adaptive capacity should consider the institutions-adaptive capacity nexus together with the embedding social, cultural and political context.     

Participatory modelling for sustainable development: Key issues derived from five cases of natural resource and disaster risk management

Stakeholder participation is considered a key principle for sustainable development in the context of natural resource and disaster risk management. Participatory modelling (PM) is an interactive and iterative process in which stakeholder involvement is supported by modelling and communication tools. Planning and decision-making for sustainable development (SD)integrate three substantive dimensions − social, ecological and economic. The procedural dimension of SD, however, is equally important, and here we see great potential for PM. In this study, we evaluate five PM research projects against criteria for the procedural dimension of SD. This provides a basis for identifying key issues and needs for further research into PM for SD. While the cases show great potential, especially for supporting knowledge integration, learning and transparent handling of values and perspectives, they indicate a particular need to develop PM in respect of organizational integration. This issue is closely connected to the possibility of effectively implementing PM in practice.     

The organisation of social learning in response to perceptions of crisis in the water sector of The Netherlands

This article deals with responses in the Netherlands to a widespread perception within the water sector of crisis, rooted in an appreciation that former ways of managing water could no longer deal with contemporary and possible future events. The crisis and initial responses are first outlined, grounding the SLIM project experience in Dutch water management practice and policy. This leads to the research question formulated by the Dutch SLIM team, and the predictions it gave rise to. The research methodology, case studies and policy analyses at the core of the study are introduced. Empirical observations concerning four aspects of the change process are used to explore the predictions: conflict and confrontation among stakeholders; discovery of interdependence among stakeholders; development of social spaces where stakeholders could encounter each other in shared actions; and the role of facilitators and process leaders in helping stakeholders to go forward. The observations are analysed in relation to the initial predictions and the surprises encountered in the history of the cases. Knowledge management is identified as a key task in the social learning processes analysed. The article concludes with reflections on the role of the environmental sciences in the policy processes and research practices described.     

Social capital accumulation and the role of the researcher: An example of a transdisciplinary visioning process for the future of agriculture in Europe

Transdisciplinarity is a demanding paradigm, considered by many in the literature as the way to move forward in terms of science and policy integration. In this paper we present the example of a tailored transdisciplinary (TD) process to tackle a key topic of European policy – the future of agriculture at the regional level. This phased process was followed in seven regions across Europe and involved the co-construction of future visions, engaging both researchers and a range of relevant stakeholders. This paper presents results based on a critical reflection made by researchers and stakeholders in Portugal and Scotland, throughout the participatory process. These results provide insights into the roles and responsibilities of researchers and stakeholders in TD processes. One main conclusion is that accumulated social capital can be essential to initiate and maintain a TD process, and requires a commitment between the research community and the surrounding society. Our analysis demonstrates the challenges of implementing a TD process within the temporal frame/boundaries of a research project and the added value of having transdisciplinarity as part of the long term strategy of a research group, not just one part of a specific project. Not acknowledging this may lead to disappointment and fatigue amongst those connecting with researchers. We also found that researchers position themselves differently in a TD process depending on their soft skills, experience and knowledge about transdisciplinarity; hence we call attention to the need to work more explicitly with these skills in the research environment and to present this concept in an early stage of researcher training, if better transdisciplinarity is to be achieved.     

A case study of industrial symbiosis development using a middle-out approach

Industrial symbiosis (IS) emerged as a collective, multi-industrial approach to improve economic and environmental performance through the use of wastes/by-products as substitutes for raw materials. The development of IS initiatives depends on the context in which they occur, characterised in terms of social, economic, political, spatial and temporal embeddedness. As a consequence, the context can be influenced to become more supportive of IS through a continuous, interactive process, combining top-down governmental directives and bottom-up spontaneous business initiatives. A strategy to develop and enhance this process is explored in this paper and described by the authors as a middle-out approach.Policies and policy instruments introduced by governmental agencies provide objectives and incentives to businesses. The middle-out approach induces the development of a strategy to create positive feedback loops among agents (e.g. government, industries) that may guide their actions into setting the conditions to support IS emergence.This paper provides a case study that discusses a regional development of IS in Portugal that highlights critical factors for success in implementing IS, and shows that the middle-out approach can also be understood as an extension and combination of previous research on context factors and planned/spontaneous approaches to IS development.     

Perspectives on capacity building to guide policy and program development and delivery

This paper examines the perspectives of major interest groups on capacity development within the context of the significant contemporary global phenomenon of community-based decentralised governance at catchment scale. It focuses on providing empirical evidence to guide the development and implementation of policies and programs, especially those of governments. The research draws especially from regional governance experiences in Australia, as a country with advanced arrangements, and capacity building experiences in the sectors of health and risk and emergency management as informative arenas of learning. Twenty-two specific capacity building measures were presented in a discussion paper across human, social, institutional and economic dimensions. Perspectives were sought from regional, policy/research and Indigenous interest groups about applying these measures to enhance the effectiveness of the community-based Boards governing Australia's nation-wide network of 56 natural resource management (NRM) organisations. The research identifies a suite of specific measures and, in doing so, demonstrates the benefits of examining other sectors to inform capacity building in the NRM domain. The work highlights the need to better understand and account for differing interest group perspectives about capacity building issues, the application of specific measures, and the outcomes anticipated before developing and implementing policies and programs. While explored in the Australian context, these findings have application to decentralised governance arrangements in other countries.     

Climate change and transdisciplinary science: Problematizing the integration imperative

In this article we critically examine the ‘integration imperative’ in transdisciplinary environmental science and build on social constructivist and political theories to suggest alternative approaches of knowledge co-production in transdisciplinary settings. Our argument builds upon a body of literature in social studies of science to cull insights about knowledge co-production, social learning, and the ecology of team science, particularly as it relates to climate change adaptation. Couched in this transdisciplinary literature, we demonstrate, is the assumption that integration necessarily can and should be a regulative ideal. We critique this assumption by examining the ‘messy’ politics of achieving consensus among radically different, and sometimes irreconcilable, ways of knowing. We argue that the integration imperative conceals the friction, antagonism, and power inherent in knowledge co-production, which in turn can exclude innovative and experimental ways of understanding and adapting to climate change. By way of conclusion, the final section explores three alternative models of knowledge co-production – triangulation, the multiple evidence-based approach, and scenario building – and illustrates their application in the context of transdisciplinary research in climate change adaptation in the arctic, focusing on alternative means of cross-boundary engagement with indigenous ways of knowing.     

不同产权制度下青藏高原地区草地资源使用的效率与公平性分析

论文基于四川省若尔盖牧区两个村落的田野调查,通过草地资源使用的效率和公平性指标,比较草场使用权全村共有和牧户私有这两种产权制度下的经济与社会效益。研究表明,在青藏高原牧区,草场使用权全村共有较牧户私有在资源使用的效率与公平性两个方面均能获得更好的表现。这是因为全村共有的使用权制度更契合当地的自然与社会实情,这包括草地资源时空差异大的自然条件、藏传佛教浸润下的文化氛围以及较强的社区自组织管理能力的社会背景。因此,建议我国在制定与推行草场使用权制度时,应考虑制度实施地的自然环境与社会文化等各方面背景因素,不能简单地在所有牧区强行推进一种产权制度。     

What kinds of knowledge,knowing and learning are required for addressing resource dilemmas?: a theoretical overview

This paper considers what kinds of knowledge, knowing and learning are required for addressing resource dilemmas in the context of sustainable development. It also explains why and how the SLIM project focused on social learning for managing water resources. The range of learning theories that informed SLIM are discussed, as is the historical pattern of lineages, relationships and discontinuities among these and other theories. Whilst conceptions of social learning are contested, most perspectives raise questions about the nature of knowledge and knowing. It is argued that becoming aware of our assumptions regarding learning, knowing and how we develop knowledge, can help us find out more about what we need to know.The nature of resource dilemmas, implications for learning, what learning involves, its interdisciplinary nature and its history of ideas are all considered. An overview of learning theories is given, explaining their potential relevance for researchers, policymakers and practitioners in environmental contexts. The discourse, theory and practice of social learning and factors that influenced the choice of social learning theories by SLIM researchers are discussed. The paper concludes by considering how understanding what social learning involves can contribute, in a practical way, to dealing with resource dilemmas.     

Side biases in humans (Homo sapiens): three ecological studies on hemispheric asymmetries

Hemispheric asymmetries and side biases have been studied in humans mostly in laboratory settings, and evidence obtained in naturalistic settings is scarce. We here report the results of three studies on human ear preference observed during social interactions in noisy environments, i.e., discotheques. In the first study, a spontaneous right-ear preference was observed during linguistic exchange between interacting individuals. This lateral bias was confirmed in a quasi-experimental study in which a confederate experimenter evoked an ear-orienting response in bystanders, under the pretext of approaching them with a whispered request. In the last study, subjects showed a greater proneness to meet an experimenter’s request when it was directly addressed to the right rather than the left ear. Our findings are in agreement both with laboratory studies on hemispheric lateralization for language and approach/avoidance behavior in humans and with animal research. The present work is one of the few studies demonstrating the natural expression of hemispheric asymmetries, showing their effect in everyday human behavior.     

SWAT模型在我国流域水环境模拟应用中的评估验证过程评价

模型评估验证是模型开发和应用过程中的重要环节,是管控模型应用于管理决策风险的重要手段.近年来,以SWAT模型为代表的流域水环境模型在我国流域水环境管理中得到广泛应用,但模型评估验证过程尚缺乏规范性指导.结合SWAT模型建模过程和模型评估验证的基本步骤,梳理总结SWAT模型评估验证过程的评价方法,针对确定研究或决策目标、获取输入数据、构建模型、模型率定验证、展示模型结果等5个阶段分别设计评价指标.筛选中国知网收录的2015—2017年发表的以SWAT模型为主题的428篇学术论文作为研究对象,评价现有研究的模型评估验证过程,分析我国SWAT模型评估验证的现状以及存在的问题和不足.评价结果表明,我国现有的SWAT模型应用研究总体比较重视模型评估验证过程,能够清晰定义研究区域、建模目标和期望产出,说明输入数据来源和质量以及模型概化、参数灵敏度分析、参数识别、不确定性分析的方法和结果,模型模拟效果较好.但是,针对SWAT模型评估验证方法的研究较少,在模型参数识别方面还存在参数选取未考虑研究区域特征、参数识别结果不合理等问题.建议在SWAT模型应用研究中关注参数灵敏度分析和参数识别,结合研究区域特征建立本地化应用数据库,加强模型评估验证方法研究.当模型应用于流域水环境管理决策时,应完整地开展模型评估验证,并分析模型不确定性对决策的影响.      

Interdisciplinary knowledge integration through group model building: recognizing dualities and triadizing the conversation

As part of the inquiry into managing an interdisciplinary research process on adaptive water governance, we investigated the process of group model building (GMB) and, more specifically, the role of Unified Modeling Language (UML) in this process. An analysis of group interaction reveals several tensions in the process of knowledge integration, which can be grouped into three overarching dualities: ‘simplicity versus complexity’, ‘constraining versus containing’ and ‘defining versus refining’. As group members take different positions with regard to these dualities, these represent sources of tension and potential ‘stuckness’ of the GMB. Hence the question arises how the group can manage duality in ways that take the GMB beyond its opposing forces. We suggest that knowledge integration processes may benefit from early recognition of the dualities at hand and strategies aimed at creating ‘thirdness’, including some suggestions on the concrete forms such ‘thirdness’ may take.     

Are ecosystem service hotspots located in protected areas? Results from a study in Southern Italy

Ecosystems are essential in providing multiple services to society. However, understanding ecosystem services (ESS) in terms of spatial distribution and trade-offs still remains a challenge for landscape planners and natural resource managers. In this paper, we analyzed the supply of a set of ESS – carbon storage, soil erosion protection, biodiversity, and recreation – within the landscape surrounding the city of Bari in Southern Italy. Through an analysis of this landscape, which includes natural protected areas, such as Natura 2000 Network sites, national and regional parks and nature reserves, and in view of the recent Fitness Check of the Nature Directives, we aimed to provide answers to the following questions: (i) Where are the areas of high and low supply of individual ecosystem services located?; (ii) Where do ecosystem service trade-offs (i.e., ‘hotspots’ and ‘coldspots’) occur?; and (iii) To what extent are ecosystem service hotspots and coldspots located within or outside of natural protected areas? Results show that most of the landscape in the study area supplied at least one of the selected ESS and that ESS hotspots were mostly located within forested and/or natural areas. Hotspots occupied 8.0% of the total landscape, with 23.7% located in natural protected areas. Coldspots were scarce and equal to 2.4%; they constituted only 0.1% of natural protected areas. Almost all of the landscape (89.6%) consists of intermediate areas (i.e., between hotspots and coldspots); 76.2% of natural protected areas consists of intermediate areas. This latter finding is relevant because the high intermediate classes are potentially high-performing areas, which lie mainly on the borders of protected spaces; they can positively influence ecological processes and thus enhance a wide-ranging provision of ESS. Our results highlight the importance of analyzing landscapes to facilitate the selection of priority areas where management efforts would yield maximum benefits.     

Socially robust knowledge in coastal projects

Interactive modes of knowledge production offer a strategy for seeking solutions to complex environmental problems. The outcome of such knowledge production is socially robust knowledge. Social robustness refers to knowledge that is relevant and accepted by actors in the context of its application. This is achieved when knowledge is credible, salient and produced in a legitimate way. To date, only limited research has focused on how social robustness is achieved. As coastal problems are characterised by conflicting interests and major uncertainties, the coastal zone represents a relevant domain for studying socially robust knowledge. This paper analyses and presents three conditions that need to be in place if one is to achieve socially robust knowledge in coastal projects. The conditions are based on theories related to socially robust knowledge, boundary spanning, project arrangements and knowledge arrangements. The conditions specify how social robustness can be achieved through knowledge testing by boundary spanners, the involvement of diverse actors and a close connection between knowledge production and the evolving project. In a case study, these conditions are compared to developments in a Dutch coastal project involving spatial developments near the Ems estuary. The comparison highlights the relevance of the three conditions in achieving socially robust knowledge. In addition, a fourth aspect is empirically uncovered: the role of boundary spanning among project partners prior to producing knowledge. These four conditions clarify how social robustness may be achieved in coastal solutions. As such, this paper contributes to the theoretical and empirical understanding of socially robust knowledge.     

Unruly pathogens: eliciting values for environmental risk in the context of heterogeneous expert knowledge

This paper examines some of the theoretical and methodological issues arising from the process of conceptualising and eliciting values for environmental risk in the context of heterogeneous expert knowledge. Drawing on the experience of a recent research project examining the relationship between livestock farming systems and microbial watercourse pollution the paper reflects critically upon efforts to develop an interdisciplinary assessment of the factors that may affect the loss of potential pathogens from agricultural land to water courses as the basis for targeting high risk fields and farms. The paper describes the procedures for designing the natural and cultural parameters that surround microbial risks and the issues that are raised for making whole system assessments workable based on contrasting and unstable systems of disciplinary insight. Situated within claims about the need for generating reliable and widely applicable assessments of environmental risk the paper suggests that interdisciplinary working raises important issues about the role of ‘uncertain’ knowledge in the management of ‘known’ risks.     

Negotiated environmental and occupational health and safety agreements in the United States: lessons for policy

The interest in so-called voluntary approaches to supplement or replace formal environmental, or occupational health and safety regulation has taken on new importance in both Europe and the United States. These approaches fall into two sharp divisions: (1) industry-initiated codes of good practice focusing on environmental management systems or performance goals, and (2) negotiated agreements between government and individual firms or industry sector trade associations focusing on regulation or compliance. This paper addresses the latter.In the United States, the motivations behind negotiated agreements are manifold and sometimes contradictory including desires (1) to facilitate the achievement of legislated or mandatory environmental goals by introducing flexibility and cost-effective compliance measures, (2) to negotiate levels of compliance (standards) fulfilling legislative mandates, (3) to negotiate legal definitions of Best Available Technology and other technology-based requirements, and (4) to weaken environmental initiatives. Efforts in furtherance of negotiated agreements have thus been greeted with mixed results by the various stakeholders. In the context of an anti-regulatory climate in the United States, the Administrative Procedures Act has been amended to allow “negotiated rulemaking” in achieving regulatory agency mandates. However, even before this legal innovation, regulatory agencies have been negotiating regulations. Independent of this legal avenue, negotiated compliance with industry associations is being fostered through the Environmental Protection Agency's (EPA's) “Commonsense Initiative” and with individual firms through “EPA's Project XL”, again with mixed reception.The proposed paper describes and analyses negotiated agreements in the United States in the context of (1) EPA efforts to ensure environmental protection and (2) the Occupational Safety and Health Administration efforts to ensure worker health and safety. These agreements can be described according to the following taxonomy: (a) Negotiated regulation (either preceding formal regulation or as a substitute for formal regulation); (b) Negotiated compliance (implementing regulation or informal agreements) (i) the means and timetable for coming into compliance with emission, effluent, or concentration requirements (ii) negotiation in the context of an enforcement action in which the firm is out of legal compliance (for example, encouraging cleaner production through the leveraging of penalty reductions).The criteria for evaluation include: environmental or health and safety outcomes, effects on stimulating technological change, time for development (time to completion)/implementation (likelihood of court challenge), stakeholder influence (ability of large firms to dominate outcome, environmentalists–industry, or labour–management balance of power),and administrative features.