Adaptation in Collaborative Governance Regimes

Adaptation and the adaptive capacity of human and environmental systems have been of central concern to natural and social science scholars, many of whom characterize and promote the need for collaborative cross-boundary systems that are seen as flexible and adaptive by definition. Researchers who study collaborative governance systems in the public administration, planning and policy literature have paid less attention to adaptive capacity specifically and institutional adaptation in general. This paper bridges the two literatures and finds four common dimensions of capacity, including structural arrangements, leadership, knowledge and learning, and resources. In this paper, we focus on institutional adaptation in the context of collaborative governance regimes and try to clarify and distinguish collaborative capacity from adaptive capacity and their contributions to adaptive action. We posit further that collaborative capacities generate associated adaptive capacities thereby enabling institutional adaptation within collaborative governance regimes. We develop these distinctions and linkages between collaborative and adaptive capacities with the help of an illustrative case study in watershed management within the National Estuary Program.     

Participatory GIS for strengthening transboundary marine governance in SIDS

In this paper we explore the challenges involved in engaging the full range of stakeholders needed for effective marine resource management in the transboundary Grenadine Islands shared by the small island developing States (SIDS) of Saint Vincent and the Grenadines and Grenada. The study describes the ways stakeholders were engaged in the development of participatory geographic information systems (PGIS), both in terms of the research approach (process) and the final geodatabase (product); it illustrates how the approach provides a practical means to strengthen aspects of marine governance, particularly in a SIDS context. We found that PGIS can provide a foundation for ecosystem‐based transboundary marine governance. The advantages of this approach are two‐fold: it provides the fullest possible range of information as input for the management of marine resources and it engages the stakeholders. This engagement takes several forms: capacity to participate in research; ownership of information produced; increased stakeholder understanding; empowerment through access to information; capacity to interact with other stakeholders for information and problem‐solving; and competence to participate in actual governance processes. Lastly, we discuss considerations for other practitioners contemplating using PGIS, particularly those working in similar resource‐limited SIDS environments.     

From Forest Regulation to Participatory Facilitation: Forest Employee Perspectives on Organizational Change and Transformation in India

Despite the critical role of government agencies in decentralizing natural resource governance, little work to date has focused on the organizational aspects of the responsible government bureaucracies. Based on a qualitative investigation of the perspectives of Forest Department employees involved in India's Joint Forest Management (JFM) program, this paper aims to provide an understanding of these internal dynamics. Elaborating on why bureaucracies with a learning orientation are essential if participatory natural resource management is to succeed, the paper underlines the constraints to transforming forest agencies' hierarchical work cultures. Foresters describe JFM as a radical departure from traditional forest governance, but suggest that corresponding transformation within the Forest Department has not occurred. Foresters cite as reasons: (1) a target-based incentive system that leaves little room for establishing the relationships with local people needed for collaborative management; (2) rigid rules and regulations that prevent the flexibility needed for adaptive, site-specific problem-solving; (3) a hierarchical, top-down style of communication that prevents the upper administration from learning what is happening on the ground and stifles initiative by field staff; (4) the need for a committed leadership to reverse this hierarchical culture. They point to the few such team-oriented leaders as the key to transforming the Forest Department and enabling participatory forest management to succeed. The authors also recommend accompanying changes in training and reward systems.     

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.     

Measuring Biotechnology Employees’ Ethical Attitudes towards a Controversial Transgenic Cattle Project: The Ethical Valence Matrix

What is the relationship between biotechnology employees’ beliefs about the moral outcomes of a controversial transgenic research project and their attitudes of acceptance towards the project? To answer this question, employees (n=466) of a New Zealand company, AgResearch Ltd., were surveyed regarding a project to create transgenic cattle containing a synthetic copy of the human myelin basic protein gene (hMBP). Although diversity existed amongst employees’ attitudes of acceptance, they were generally: in favor of the project, believed that it should be allowed to proceed to completion, and that it is acceptable to use transgenic cattle to produce medicines for humans. These three items were aggregated to form a project acceptance score. Scales were developed to measure respondents’ beliefs about the moral outcomes of the project for identified stakeholders in terms of the four principles of common morality (benefit, non-harm, justice, and autonomy). These data were statistically aggregated into an Ethical Valence Matrix for the project. The respondents’ project Ethical Valence Scores correlated significantly with their project acceptance scores (r=0.64, p<0.001), accounting for 41% of the variance in respondents’ acceptance attitudes. Of the four principles, non-harm had the strongest correlation with attitude to the project (r=0.59), followed by benefit and justice (both r=0.54), then autonomy (r=0.44). These results indicate that beliefs about the moral outcomes of a research project, in terms of the four principles approach, are strongly related to, and may be significant determinants of, attitudes to the research project. This suggests that, for employees of a biotechnology organization, ethical reasoning could be a central mechanism for the evaluation of the acceptability of a project. We propose that the Ethical Valence Matrix may be used as a tool to measure ethical attitudes towards controversial issues, providing a metric for comparison of perceived ethical consequences for multiple stakeholder groups and for the evaluation and comparison of the ethical consequences of competing alternative issues or projects. The tool could be used to measure both public and special interest groups’ ethical attitudes and results used for the development of socially responsible policy or by science organizations as a democratizing decision aid to selection amongst projects competing for scarce research funds.     

Understanding the impact of democratic logics on participatory resource decision-making in New Zealand

This paper claims that participatory approaches to water resource management in New Zealand are highly influenced by how institutional and community actors understand and practise democracy, including indigenous Māori rights under the Treaty of Waitangi. Drawing on case study analysis from a six-year research programme in which the aim was to evaluate existing and new methods for participatory decision-making, we highlight how different but co-existing democratic beliefs and practices, referred to as democratic logics can shape relationships between governance/decision-making bodies and affected communities. One particular case is examined in detail to illustrate how the various “logics” were strengthened, extended and challenged through participatory research methodologies. Our key message is that revealing and articulating existing democratic logics for participation can help promote and facilitate new participatory approaches, as well as increase robustness and community buy-in to local government decision-making.     

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.     

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.     

Climate change adaptation in the urban planning and design research: missing links and research agenda

This paper investigates the extent and the nature of how the urban planning literature has addressed climate change adaptation. It presents a longitudinal study of 157 peer-reviewed articles published from 2000 to 2013 in the leading urban planning and design journals whose selection considered earlier empirical studies that ranked them these journals. The findings reveal that the years 2006–07 represent a turning point, after which climate change studies appear more prominently and consistently in the urban planning and design literature; however, the majority of these studies address climate change mitigation rather than adaptation. Most adaptation studies deal with governance, social learning, and vulnerability assessments, while paying little attention to physical planning and urban design interventions. This paper identifies four gaps that pertain to the lack of interdisciplinary linkages, the absence of knowledge transfer, the presence of scale conflict, and the dearth of participatory research methods. It then advocates for the advancement of participatory and collaborative action research to meet the multifaceted challenges of climate change.     

Assessment of the Enabling Rural Innovation (ERI) approach: Case studies from Malawi and Uganda

This paper presents lessons from applying an innovative action research approach for linking smallholder farmers to markets, in eastern and southern Africa. The Enabling Rural Innovation (ERI) approach aims to strengthen social organization and entrepreneurial capacity in rural communities. It focuses on fostering community‐based capacity for the inclusion of rural women and the poor in analyzing and accessing market opportunities. Using case studies from Malawi and Uganda the paper assesses the outcomes of ERI on rural communities with a focus on human capital, gender issues and investment in natural resource management. Results show that households are benefiting significantly from linkages to markets in terms of increasing household incomes, and accumulating assets. Skills in analyzing markets and in negotiating with traders have increased among smallholder farmers. The integration of gender in the approach has led to changes in gender decision making patterns at household and community level towards a more shared decision‐making process. The results however show a difference in skills between men and women, with women showing lower levels of skills acquisition. Farmer participatory research has increased investments in improved technologies such as fertilizer applications for soil fertility management.     

Participatory Model Calibration for Improving Resource Management Systems: Case Study of Rainwater Harvesting in an Indian Village

While planning resource management systems in rural areas, it is important to consider criteria that are specific to the local social conditions. Such criteria might change from one region to another and are hence best identified using a participatory approach. In this work, we propose a participatory framework to identify such criteria and derive their weights. These identified criteria and their weights are used as parameters to develop a quantitative model for evaluating efficiency of each system. Such a model can serve as a support tool for stakeholders to simulate and analyze “what‐if” scenarios, evaluate alternatives, and select one which best satisfies their requirements. We use existing systems to test the model by comparing efficiencies evaluated by the model to efficiencies perceived by the stakeholders. The model is calibrated by repeating the process until statistically significant correlation is achieved between evaluated and perceived efficiencies. The novelty of the proposed framework lies in treating efficiencies perceived by the stakeholders as the ground truth since they know these systems well and are their ultimate users. The framework is successfully demonstrated using case study of rainwater harvesting (RWH) systems in an Indian village. The resulting calibrated model can be used to plan new RWH systems in this region and similar regions elsewhere. The framework can be used to plan other resource management systems in various regions.     

Paradise lost already? A naturalist interpretation of the pelagic avian and marine mammal detection database of the IceAGE cruise off Iceland and Faroe Islands in fall 2011

We present naturalist sightings of seabirds and marine mammals made during a research cruise with the IceAGE project off Iceland and the Faroe Islands during September 2011. Our findings from the obtained pelagic database are in-line with many other, more in-depth studies, showing major declines for pelagic seabirds and likely sea mammals, thus revising the role that Iceland now plays for such species. Northern Fulmar (Fulmarus glacialis) was the most recorded species, followed by different gulls, Black-legged Kittiwake (Rissa tridactyla) and Northern Gannet (Morus bassanus). However, Atlantic Puffin (Fratercula arctica) and Common Murre (Uria aalge) were only seen very rarely, and no observations were made of Dovekie (Alle alle) or Thick-billed Murre (U. lomvia). These observations were surprising since Iceland is known, so far, to host globally relevant populations of these auk species. A surprising high number of thirteen species of passerines were also detected offshore, mostly Wheatear (Oenanthe oenanthe), Meadow Pipit (Anthus pratensis) and Reed Bunting (Emberiza schoeniclus). Only a few marine mammals (Balaenoptera and Megaptera sp.) were encountered. Our detections present underestimates but are discussed in relation to ongoing and recently reported but dramatic anthropogenic changes of Iceland and in the North Atlantic overall. These include the substantial decrease in bird populations, overfishing and subsequent trophic cascades, as well as climate change, Arctic shipping and more industrial development to come. In light of these dramatic ecological changes, we conclude with an urgent request for an improved effective conservation management for Iceland, the North Atlantic and its stakeholders for directly related global governance to handle problems proactively.     

Learning for sustainability: participatory resource management in Cambodian fishing villages

Considerable attention is now being given to the role and importance of education and learning implications of participatory resource and environmental governance. The contention is that such learning has the potential to transform behaviour, and in the case of resource management, may help change current patterns in resource use towards a more sustainable social-ecological system. Our purpose is to establish the opportunities for learning afforded to those participating in local level resource management committees in two Cambodian fishing communities and consider the learning outcomes from such opportunities. Our approach was qualitative and used a case study design. The findings establish a wide range of committee resource management activities that resulted in both instrumental (e.g., learning about administrative procedures) and communicative (e.g., insights into the need to conserve mangroves) learning. It was revealed that such learning can lead to changes in behaviour at the community level (e.g., managing local waste). Our findings also indicated a number of motivators and enablers of learning such as opportunities for dialogue, leadership and the presence of declining resources.     

From Management to Negotiation: Technical and Institutional Innovations for Integrated Water Resource Management in the Upper Comoé River Basin, Burkina Faso

This study focuses on the potential role of technical and institutional innovations for improving water management in a multi-user context in Burkina Faso. We focus on a system centered on three reservoirs that capture the waters of the Upper Comoé River Basin and servicing a diversity of users, including a sugar manufacturing company, a urban water supply utility, a farmer cooperative, and other downstream users. Due to variable and declining rainfall and expanding users’ needs, drastic fluctuations in water supply and demand occur during each dry season. A decision support tool was developed through participatory research to enable users to assess the impact of alternative release and diversion schedules on deficits faced by each user. The tool is meant to be applied in the context of consultative planning by a local user committee that has been created by a new national integrated water management policy. We contend that both solid science and good governance are instrumental in realizing efficient and equitable water management and adaptation to climate variability and change. But, while modeling tools and negotiation platforms may assist users in managing climate risk, they also introduce additional uncertainties into the deliberative process. It is therefore imperative to understand how these technological and institutional innovations frame water use issues and decisions to ensure that such framing is consistent with the goals of integrated water resource management.     

Collaborative environmental governance and transaction costs in partnerships: evidence from a social network approach to water management in France

Several studies attempt to explain how collaborative environmental governance processes operate, but the question of why collaboration relationships form has received much less attention. Motivated by this need, this paper provides insights to the broad question: why does collaborative river basin management in France depend so heavily on partnerships made up around a few actors? Accordingly, our analytical framework develops a transaction cost explanation for the extent to which participatory procedures help stakeholders to identify partners and initiate collaboration, and for the causal link between the attributes of these stakeholders and their partnerships. The p2 model is implemented to investigate partnership networks of the key actors that govern the management of the Gironde estuary, the study case. The results provide evidence that environmental institutions bring together heterogeneous actors who might not be ready for collaboration, thereby actors’ perceived power similarity; their geographical proximity and co-presence in formal fora limit transaction costs.     

The Ethics and Sustainability of Capture Fisheries and Aquaculture

The global seafood industry (capture fisheries and aquaculture) is a vital source of food, income, livelihoods, and culture. Seafood demand is steadily rising due to growth in the global human population, affluence, and per capita consumption. Seafood supply is also growing, despite declining wild fish stocks, with phenomenal advances in aquaculture, that is, the cultivation of aquatic organisms. Aquaculture supplied 42 % of the world’s fish in 2012 and is forecast to eclipse capture fisheries production by 2030. The balance between these two seafood production systems has profound implications for global food security, income distribution, and ecological sustainability. Here, a qualitative analysis of the ethics and sustainability of capture fisheries and aquaculture is presented. An innovative practical ethics approach is introduced which adapts the ethical matrix, a conceptual tool for analyzing the wellbeing, autonomy, and justice of different interest groups, and Rapfish, a rapid appraisal technique used to evaluate the sustainability of fisheries along six performance modalities, including ethics. Using case studies of global large- and small-scale capture fisheries and generalized carnivorous and omnivorous aquaculture systems, I show that human institutions and social actors interact in complex governance processes to influence seafood ethics and sustainability.     

Realization of participation and spatiality in participatory forest management – a policy–practice analysis from Zanzibar,Tanzania

The efforts in sustainable natural resource management have given rise to decentralization of forest governance in the developing world with hopes for better solutions and effective implementation. In this paper, we examine how spatially sensitive participation is realized from policy to practice in the process of establishing participatory forest management in Zanzibar, Tanzania. Our policy–practice analysis shows that the policies in Zanzibar strongly support decentralization and local level participation has in practice been realized. However, the policy does not emphasize participatory process design nor address the possibilities of using spatial information and technologies to ensure wider participation. Thus, the practices fall short in innovativeness of using site-sensitive information with available technologies. Reflecting the Zanzibari Community Forest Management Agreements (CoFMA) context with examples of participatory use of spatial information and technologies in other parts of the world, we discuss ways to improve the Zanzibari CoFMA process towards increased participation, communication, local sense of ownership and more sustainable land management decisions, and argue for the future implementation of CoFMA as a spatially sensitive participatory process.     

Reflexive governance: exploring the concept and assessing its critical potential for sustainable development. Introduction to the special issue

ABSTRACT

Elaborated in publications on transition management, sustainability governance and deliberative environmental governance, ‘reflexive governance’ addresses concerns about social-ecological vulnerabilities, flawed conceptualisations of human-nature relations fragmented governance regimes and conditions for a sustainability transition. Key barriers to reflexive government include unavoidable politics; the influence of broader discursive systems that shape actors’ strategic interests; and structural and deliberate limitations to the range of admitted epistemological understandings, normative perspectives and material practices. Against this background, the contributions to the special issue provide novel conceptual linkages between reflexive governance and boundary objects, intercultural dialogue, conflict management heuristics, discourse linguistics, theories of the policy cycle and reflexive law, network and learning theories, and Lasswell’s ‘developmental constructs’. Based on the contributions, we identify five inherent conceptual tensions of reflexive governance: between the openness of horizontal learning processes and the desired direction towards sustainable development; between reflexive governance as a normative or procedural concept; between expected learning orientations and other, strategic orientations; between governance as a precondition for reflexivity and reflexive learning as a precondition for reorganized governance structures; and between reflexivity as an open-ended, evolutionary process and the need to strategically defend the space for reflexivity against powerful groups with an interest in the status quo.     

The practice of participatory research and gender analysis in natural resource management

Stakeholder participation is expected to improve the efficiency, equity, and sustainability of natural resource management research and development (R&D) projects by ensuring that research reflects users’ priorities, needs, capabilities, and constraints. Use of participatory methods and tools is growing rapidly; however, there is little systematic evidence about what participation actually means in practice, or about what difference it makes. Based on an inventory of 59 self‐described participatory R&D projects in the area of natural resource management, this article characterizes the typical project and analyzes how stakeholders are selected, how they participate in the research process, and what their involvement means for project costs and impacts. The results suggest that, while projects are generating a range of direct and indirect benefits for participants, more careful attention needs to be paid to achieving equitable impacts. Current practices may lag behind best practices in key areas, such as power sharing and participant selection, and may therefore be missing important contributions from women and other marginalized groups.     

How to foster agroecological innovations? A comparison of participatory design methods

Facing contemporary environmental crisis implies fostering agroecological innovations that take into account local ecological regulations and rely on multiple stakeholders' innovation capacities. This paper draws on two fields of literature that remain unconnected so far: participatory approaches and design sciences. It proposes an analysis grid to support a reflexive analysis of cases of implementation of three participatory design methods: ComMod (Companion Modelling for concerted management of natural resources), Forage Rummy (simulation-based board game for designing farming systems) and KCP (collective design workshops to foster innovation). This analysis highlights key features of the methods in view of agroecological innovation challenges, focusing on knowledge management and organisation for exploration.