Climate change in mountain regions: how local communities adapt to extreme events

This paper examines how local communities adapt to climate change and how governance structures can foster or undermine adaptive capacity. Climate change policies, in general, and disaster risk management in mountain regions, in particular, are characterised by their multi-level and multi-sectoral nature during formulation and implementation. The involvement of numerous state and non-state actors at local to national levels produces a variety of networks of interaction and communication. The paper argues that the structure of these relational patterns is critical for understanding adaptive capacity. It thus proposes an expanded concept of adaptive capacity that incorporates (horizontal and vertical) actor integration and communication flow between these actors. The paper further advocates the use of formal social network analysis to assess these relational patterns. Preliminary results from research on adaptation to climate change in a Swiss mountain region vulnerable to floods and other natural hazards illustrate the conceptual and empirical significance of the main arguments.     

Exploring the origins of ‘social license to operate’ in the mining sector: Perspectives from governance and sustainability theories

In the mining sector, local communities have emerged as particularly important governance actors. Conventional approaches to mineral development no longer suffice for these communities, which have demanded a greater share of benefits and increased involvement in decision making. These trends have been spurred by the growth of the sustainable development paradigm and governance shifts that have increasingly transferred governing authority towards non-state actors. Accordingly, there is now widespread recognition that mineral developers need to gain a ‘social license to operate’ (SLO) from local communities in order to avoid potentially costly conflict and exposure to social risks. A social license can be considered to exist when a mining project is seen as having the ongoing approval and broad acceptance of society to conduct its activities. Due to the concept's relatively recent emergence, however, only a limited body of scholarship has developed around SLO. Drawing on examples from northern Canada, this paper uses governance and sustainability theories to conceptualize the origins of SLO in the mining sector and describe some of the associated implications. Further research is needed to determine governance arrangements which help facilitate establishment of SLO in different mineral development contexts.     

Emerging Governance Approaches for Tourism in the Protected Areas of China

This paper examines the recent evolution in the governance of protected area tourism in China. China now sees cooperation in the form of public-private partnerships occurring between authorized private tourism enterprises in various organizational forms and the public managers from specific portfolio departments of governments at different levels. Three types of governance models are visible: the Leasing Model, the Non-listed Share-holding Model, and the Public-listed Share-holding Model. Theories of corporate governance were applied to these models to analyze the internal and external mechanisms of supervision and incentives for both the government agencies and the authorized tourism enterprises for nature-based tourism operations. The Principal-Agent problem and the supervision mechanism are the focus of the analysis. The emerging governance approaches for tourism in protected areas of China are all theoretically viable, as explained by the theory of property rights and corporate governance, and practically viable as elaborated in the cases of the three types of governance models summarized in this paper.     

Interactions Between Spatially Explicit Conservation and Management Measures: Implications for the Governance of Marine Protected Areas

Marine protected areas are not established in an institutional and governance vacuum and managers should pay attention to the wider social–ecological system in which they are immersed. This article examines Islas Choros-Damas Marine Reserve, a small marine protected area located in a highly productive and biologically diverse coastal marine ecosystem in northern Chile, and the interactions between human, institutional, and ecological dimensions beyond those existing within its boundaries. Through documents analysis, surveys, and interviews, we described marine reserve implementation (governing system) and the social and natural ecosystem-to-be-governed. We analyzed the interactions and the connections between the marine reserve and other spatially explicit conservation and/or management measures existing in the area and influencing management outcomes and governance. A top-down approach with poor stakeholder involvement characterized the implementation process. The marine reserve is highly connected with other spatially explicit measures and with a wider social–ecological system through various ecological processes and socio-economic interactions. Current institutional interactions with positive effects on the management and governance are scarce, although several potential interactions may be developed. For the study area, any management action must recognize interferences from outside conditions and consider some of them (e.g., ecotourism management) as cross-cutting actions for the entire social–ecological system. We consider that institutional interactions and the development of social networks are opportunities to any collective effort aiming to improve governance of Islas Choros-Damas marine reserve. Communication of connections and interactions between marine protected areas and the wider social–ecological system (as described in this study) is proposed as a strategy to improve stakeholder participation in Chilean marine protected areas.     

The role of participation in the planning process: examples from Sweden

Participation in decision-making has successively developed into a guiding principle at both EU and national level. However, diverse perspectives exist on what the role of different interests in participative processes should be, and the legal rules regarding participation varies between different sectors; from clearly defined to virtually non-existent requirements. This may have adverse effects on the legitimacy of decisions and decision-making. This paper reviews the role of participation in the planning process in relation to natural resource development in Sweden, as guided by EU and international law. Based on the notion of effective participation, the study illustrates the potential clashes that may result from different conceptions of participation, for instance, at various levels of governance, as well as from disparate principles for implementation in different sectors.     

农村生活污水与小流域水环境协同治理的规则型构——基于临沂“兰山模式”的实践样本

如何对农村地区的流域水环境进行高效而低成本的治理,是当前农村资源环境治理面临的挑战之一。本文以山东临沂市兰山区柳青河水环境污染治理作为典型案例,从规则型构视角剖析行动规则对"兰山模式"的作用机制。其中,边界规则打破了农村生活污水与小流域水环境资源治理的边界,企业等新行动主体的资金、技术的溢出效应提高了治理效率;身份规则改变了行动主体的参与动机,加强了多方主体间的交互作用;选择规则减少了多方治理主体的责任冲突;聚合规则弥补了农户在环境治理中的缺位。在四项行动规则的共同作用下,"兰山模式"实现了农村生活污水与小流域水环境的协同治理,是农村水环境治理的实践样本。     

Administrative Co-management: The Case of Special-Use Forest Conservation in Vietnam

Special-use forests (SUFs) are nature protected areas in Vietnam used to conserve nature and its biodiversity. While the Vietnamese government has managed to increase the size and number of SUFs, biodiversity within these areas continues to decline. To improve protection of these SUFs, co-management has been advocated in Vietnam. Successfully implementing co-management requires decentralization of authority and a certain extent of public involvement in management activities. This paper assesses how and to what extent the governance of Vietnam’s SUFs have taken up the challenge of shifting from conventional government-based management to co-management. Current practices of (co-) management were investigated in 105 of the 143 SUFs. The results show that the type of co-management varies little between different categories of SUFs. Nevertheless, a national ‘style’ of Vietnamese co-management could be identified, labelled ‘administrative’ co-management; fostering interaction between a variety of actors, but final decision-making power on management remaining strongly in the hands of the provincial government.     

Local governments in the driving seat? A comparative analysis of public and private responsibilities for adaptation to climate change in European and North-American cities

The division of responsibilities between public and private actors has become a key governance issue for adaptation to climate change in urban areas. This paper offers a systematic, comparative analysis of three empirical studies which analysed how and why responsibilities were divided between public and private actors for the governance of local urban climate adaptation. For 20 governance arrangements in European and North-American cities, the divisions of responsibilities and the underlying rationales of actors for those divisions were analysed and compared. Data were gathered through content analysis of over 100 policy documents, 97 in-depth interviews and 2 multi-stakeholder workshops. The comparative analysis reveals that local public authorities are the key actors, as they bear the majority of responsibilities for climate proofing their cities. In this stage of policy emergence, local authorities are clearly in the driving seat. It is envisaged that local public authorities need to more actively engage the different private actors such as citizens, civil society and businesses through governance networks along with the maturation of the policy field and the expected acceleration of climate impacts in the coming decades.     

The Establishment of Marine Protected Areas in Senegal: Untangling the Interactions Between International Institutions and National Actors

International institutions, understood as sets of rules contained in international agreements, are aimed at orienting national governments towards specific policy options. Nevertheless, they can determine a change in national policies and practices only if states are willing and capable of incorporating international obligations into their national legislations and ensuring their application and enforcement in areas that follow completely under national jurisdiction. The establishment of marine protected areas promoted by international agreements as a tool for the protection of marine resources represents an interesting case for revealing the complex interactions between international institutions and national actors. Particularly, the establishment of these areas in Senegal shows the salience of domestic constellations of actors who may support or undercut national commitments to international regimes: political elites, bureaucracies, the general public and target groups. By anchoring the empirical analysis to an actor-centred institutionalist perspective, the article explains how dynamic constellations of actors can distort the penetration of international objectives in the national policy framework. Different constellations of national actors can indeed bend international institutions at different moments: during the formulation of a new law in line with international obligations; in the definition of its implementation framework; and in the enforcement of national policies.     

Good governance for terrestrial protected areas: A framework,principles and performance outcomes

Governing norms by which to steer traditional government functions are well established and understood; however, this is not the case for the new multi-level and collaborative approaches that characterize protected area governance. This is largely new territory that makes novel demands on governance institutions and policy. In this context, establishing and maintaining good governance across the diversity of ownership and responsibility arrangements is critical for the future effectiveness and acceptability of protected areas. Fulfilling the promise and avoiding the pitfalls inherent in contemporary protected area governance will require an understanding of what is meant by ’good governance’ and development of associated mechanisms to assess performance and provide a basis for improvement. This paper’s contribution lies in the guidance it provides for the hitherto under-developed area of governance quality assessment. I first present a framework that positions governance quality in relation to governance and management effectiveness. I then characterize good protected area governance according to a set of seven principles – legitimacy, transparency, accountability, inclusiveness, fairness, connectivity and resilience. Together, the framework, governance principles and related performance outcomes provide a platform for assessment of governance quality for an individual terrestrial protected area, a network of several protected areas, or a national protected area system.     

Closing the Incentive Gap: The Role of Public and Private Actors in Governing Indonesia's Tuna Fisheries

Indonesia is one of the world's largest tuna producing countries, yet regulatory oversight remains weak and management is poor. Incentive-based approaches are a way to improve state-based resource management, but they often require strong government regulation. In this paper, we use principal–agent theory and the notion of the ‘incentive gap’ to explore how incentives could be brought to bear in Indonesia through a combination of private and public actors. With a shared fish stock like tuna, we argue that a double principal–agent problem emerges, where information, asymmetries between various players complicate management. We focus on the problems of adverse selection and moral hazard in three different tuna fisheries in Indonesia to identify the nature of the incentive gap, and comment on the mix of public and private actors currently engaged in tuna fishery governance towards reducing the gap. The double principal–agent problem is a useful yet underutilized framework to understand the dynamics of shared stocks management. In this first application to a developing country fishery, we conclude that information asymmetries cannot be overcome without the involvement of private actors, who are increasingly becoming important in aligning regional and global objectives with those of fishers themselves.     

Balancing local interests and national conservation obligations in nature protection. The case of local management boards in Norway

In 2010, Norway introduced local management of national parks and other large protected areas. Boards comprised of local politicians are delegated extended powers in the management of the protected areas. This paper examines how this system of local management deals with the conflicting dimensions of local interests versus national obligations, and conservation versus use. The study is based on data from surveys to protected area board members and other actors involved, and on case studies in two protected areas. The main finding is that the boards, accountable to central government but comprised of politicians accountable to the local voters, aim to balance local interests and national obligations, and conservation and use. Popular involvement and anchorage is, however, weak due to lack of mobilization and transparency. Furthermore, formal restrictions hindering the boards from dealing with local economic development could make the boards less attractive for the local political leadership.     

Management of mountain areas in Norway and the persistence of local–national conflicts

We have investigated why conflicts linked to the distribution of power between governments and actors at the national and local levels concerning environmental management of mountain areas in Norway persist despite political intentions to strengthen local powers. We seek to explain this by analysing changes in policies, institutional frameworks, and regional contexts, and the local perceptions of these changes. Paradoxically, the national government's power has apparently been strengthened by new sectoral regulations and more stringent enforcement of the existing ones, increases in the number and extent of protected areas, and failures to act on intentions to devolve power. An additional factor spurring conflicts is the increased importance of tourism to mountain communities. To become more relevant to policies and development in mountain areas, future studies on multilevel governance must address multilevel politics, entire mountain areas, and the context of their development, rather than focusing on minor projects and protected areas.     

The Commons in Transition: Agrarian and Environmental Change in Central and Eastern Europe

This paper analyzes institutional dynamics surrounding common-pool resources in postsocialist Central and Eastern Europe. It is conceived in close conjunction with the case studies by Penov, Schleyer, and Wasilewski and Krukowski (this issue). The purpose of this paper is to frame the individual case inquiries, compare their findings, and relate those to broader agrarian and environmental changes in the region.The case studies report a broad shift in resource governance from the previously dominant legal and administrative state hierarchies towards markets. In addition, state power has moved from central towards local authorities. The waning and decentralization of state power has caused the emergence of significant gaps between property legislation and rights-in-practice, which have been particularly stark in fragmented political systems. The discrepancy between legal texts and rights-in-practice leads to the exclusion of wider interests in favor of individual interests in the management of common-pool resources, resulting in resource deterioration and dwindling resource stocks. Thus, the comparative assessment suggests a tentative framework for understanding the effects of postsocialist transformations on governance of the commons and environmental change in Central and Eastern Europe. Its findings indicate an additional dimension to the diversity and distributive conflicts characterizing postsocialist privatization: the distribution of various rights to a resource among different actors. The findings also suggest the need for postsocialist states to take an active role in the governance of common-pool resources, particularly in the enforcement of legal rights. Note: This version was published online in June 2005 with the cover date of August 2004.     

Politicisation and professional expertise in the policy of nature conservation

In this paper, the policy of nature conservation in Norway is analysed, with a particular focus on policy development during the last decade moving in the direction of multi-level governance. It is argued that the logic of policy making has shifted from what can be described as 'the politics of expertise' to a process of 'politicisation'. A process of politicisation can be observed both in terms of the nature of arguments being used, and in terms of who the dominant actors are. The subjects of analysis are issues taken up by the political parties in the Parliament, and the paper focuses on two controversial questions. One is about the localisation of conservation areas on private land and the state's liability for compensation. The other is the question of whether the management of conservation areas, and in particular national parks, should be under the control of local government or the state environmental bureaucracy. The analysis documents a process moving in the direction of more complex governance structure involving more actors and broader local participation challenging the role of the professional bureaucracy.     

Political Modernization in China's Forest Governance? Payment Schemes for Forest Ecological Services in Liaoning

Payment for environmental services (PES) schemes are increasingly being introduced in developed and developing countries for the ecological conservation of forests also. Such payment schemes resemble a new mode of forest governance labelled political modernization, in which centralized and state-based command-and-control policies make room for market dynamics, non-state actors, and decentralization. In entering the new Millennium, China has massively started using payment schemes to conserve its forests. An analysis of the implementation of the Forest Ecological Benefit Compensation Fund Programme in Liaoning Province is used to investigate whether China's PES schemes resemble notions of political modernization. It is concluded that Liaoning Province introduced market dynamics and farmer participation in the implementation of its PES scheme, but in a way different from that theorized by political modernization scholars. Hence, it should rather be seen as a ‘Chinese style’ political modernization process.     

From policy mix to policy networks: assessing climate and land use policy interactions in Mato Grosso,Brazil

ABSTRACT

In the climate and land use fields, policy mixes are complex in terms of the levels of governance, actors, and roles. They consist of policy instruments that target different actors and address multiple goals across several policy sectors and levels. The analysis of these complex arrangements extends beyond purely technical efficiency criteria, as several sources of tension between instruments may be identified, such as conflicting interests, goals, and approaches to implementation. The proliferation of governance networks complicates the understanding of actors’ interactions, the types of authority influencing the outcomes of policy mixes, and importance of different levels of governance. This article provides a framework to address these analytical challenges, particularly the interconnected networks of policy actors and policy instruments. It draws on polycentric governance literature to analyse how power matters in policy networks. This includes identifying distinct types of power, actors’ position, and variables that explain patterns of conflict, competition, convergence, and divergence in policy choices and outcomes. The framework is applied to the climate and land use policies implemented in the state of Mato Grosso, Brazil. Several methods were used to clarify these variables and to characterise policy mixes being implemented in the region, including social network analysis.     

The ‘green’ and ‘self’ in green self-governance – a study of 264 green space initiatives by citizens

Scholars observe an increased involvement of citizens in green space governance. This paper focuses on green self-governance, in which citizens play a major role in realizing, protecting and/or managing green space. While existing research on green self-governance focuses mostly on specific cases, we aim to contribute towards a large overview via an inventory of 264 green self-governance practices across The Netherlands. With this, we discuss the relevance of green self-governance for nature conservation and its relationship with authorities. In our analysis, we show that green self-governance practices are very diverse: they pursue a wide variety of physical and social objectives; employ a multitude of physical and political activities; involve different actors besides citizens; mobilize different internal and external funding sources; and are active within and outside of protected areas. While green self-governance can contribute towards protection and management of green space and towards social values, we highlight that this contribution is mostly of a local relevance. Most practices are small scale and objectives do not always match those of authorities. Although we speak of self-governance, authorities play an important role in many practices, for example, as financial donor, landowner or regulatory authority. In this, self-governance is often not completely ‘self’.

Abbreviations: PAA: Policy Arrangement Approach; NNN: National Nature Network; N2000: Natura 2000; NCOs: Nature Conservation Organizations; NGOs: Non-governmental organizations     

Politicisation and professional expertise in the policy of nature conservation

In this paper, the policy of nature conservation in Norway is analysed, with a particular focus on policy development during the last decade moving in the direction of multi-level governance. It is argued that the logic of policy making has shifted from what can be described as 'the politics of expertise' to a process of 'politicisation'. A process of politicisation can be observed both in terms of the nature of arguments being used, and in terms of who the dominant actors are. The subjects of analysis are issues taken up by the political parties in the Parliament, and the paper focuses on two controversial questions. One is about the localisation of conservation areas on private land and the state's liability for compensation. The other is the question of whether the management of conservation areas, and in particular national parks, should be under the control of local government or the state environmental bureaucracy. The analysis documents a process moving in the direction of more complex governance structure involving more actors and broader local participation challenging the role of the professional bureaucracy.     

A “patchwork” for peace: institutions and activities in Kenya’s northern drylands

Despite the plethora of peacebuilding and conflict management institutions operating in Kenya, peace is often elusive in the northern drylands. With a lack of strong conflict management and peacebuilding processes in place from government, despite an active framework for such processes, non-state actors have filled this conflict management space. In this article, we draw on the institutional bricolage and sustainable peace literatures to understand peacebuilding through the frame of legitimacy. Using Laikipia County, Kenya as a case study, we draw on empirical findings which show that different institutions are attributed legitimacy differently. We find that while the Laikipia Professional Peace Caravan was seen as legitimate to pastoralists in conflict areas, its legitimacy was challenged by other practitioners. Similarly, while pastoralists viewed homeguards as legitimate, practitioners did not. The analysis links to discussions of the “business of peace” within the literature to consider why long-term peace has been elusive in Kenya’s northern drylands.