Collaborative approaches to local climate change and clean energy initiatives in the USA and England

This paper analyses how 10 localities in the USA and England, recognised as leaders in clean energy and climate action, have used collaborative approaches to develop local climate change plans and energy conservation, efficiency, and renewable energy initiatives. It examines these planning and policy-making processes in the context of Margerum's [2008. A typology of collaboration efforts in environmental management. Environmental Management, 41 (4), 487–500] typology of “action”, “organizational”, and “policy-level” collaborations, as well as Gray's [1989. Collaborating: finding common ground for multiparty problems. San Francisco: Jossey-Bass] classification of collaboration in the “problem-setting”, “direction-setting”, and “implementation” phases. We conducted interviews with local elected officials, municipal staff, energy professionals, and citizen volunteers in each community, supplemented with an analysis of their adopted energy, climate change, and land-use plans. We find that despite the different government structures and political contexts between the two countries, there was a surprising amount of commonality in how the case study localities used collaborative planning to develop local climate plans and clean energy initiatives. These processes were most often initiated by local elected officials and/or high-level staff members, and then carried out in collaboration with local third-sector organisations and other community stakeholders. In the USA, collaboration was strongest at the policy level and in the direction-setting phase, with the distinguishing feature that citizen advisory boards or stakeholder working groups often took a more active role in shaping local plans and policies. The English localities had some of those same types of collaborations, but were more likely to also employ action collaboration, in the implementation phase, in which third-sector organisations coordinated with the locality to directly provide clean energy services.     

Social learning in a policy-mandated collaboration: community wildfire protection planning in the eastern United States

Policies such as the US Healthy Forests Restoration Act (HFRA) mandate collaboration in planning to create benefits such as social learning and shared understanding among partners. However, some question the ability of top-down policy to foster successful local collaboration. Through in-depth interviews and document analysis, this paper investigates social learning and transformative learning in three case studies of Community Wildfire Protection Planning (CWPP), a policy-mandated collaboration under HFRA. Not all CWPP groups engaged in social learning. Those that did learned most about organisational priorities and values through communicative learning. Few participants gained new skills or knowledge through instrumental learning. CWPP groups had to commit to learning, but the design of the collaborative-mandate influenced the type of learning that was most likely to occur. This research suggests a potential role for top-down policy in setting the structural context for learning at the local level, but also confirms the importance of collaborative context and process in fostering social learning.     

Intergovernmental relationships after disaster: state and local government learning during flood recovery in Colorado

ABSTRACT

When communities experience disaster, emergency response and recovery are led internally, based on local-level policy decisions and priorities. Decisions about how or whether to rebuild are made by local governments. Higher governmental authorities such as states and provinces may institute their own disaster recovery processes and policies in addition to or in competition with local governments. Greater intergovernmental engagement could increase resources and knowledge, which would yield higher levels of learning and result in superior disaster recovery policy outcomes. The role of higher authorities, then, can have important implications for policy processes and outcomes. The learning literature includes a dearth of studies that analyze the relationships between state and local governments during disaster recovery. We move the learning literature forward by analyzing intergovernmental relationships during disaster recovery. We find that learning within local governments is associated with higher levels of resource flows from state agencies as well as more collaborative intergovernmental relationships. We also find that state governments can improve processes for disaster recovery assistance and bring together disaster-affected local governments to promote learning during the recovery process. While this study focused on relationships constrained by U.S. federal dynamics, the lessons are useful to other multilevel governance systems.     

Assessment practices in the policy and politics cycles: a contribution to reflexive governance for sustainable development?

ABSTRACT

This article examines systematic assessment practices linked to sustainable development policies. We consider five types of assessment—monitoring, policy evaluation, formal audit, peer review, and specialist reporting—and explore their fate in the policy and electoral politics cycles. In contrast to traditional views of the policy cycle, we note that systematic assessments provide complementary feedback around the entire policy cycle. However, despite this omnipresence, their policy relevance is usually severely limited, inter alia because the policy cycle captures only parts of the political reality. A major concern for politicians (but not necessarily for policy or governance scholars) that goes far beyond the formulation and implementation of policies is the broader cycle of electoral politics that determines the state's political personnel as well as government priorities. Here, we highlight that the findings of systematic assessments are often lost in a cacophony of voices to which politicians are more carefully attuned, such as media responses and opinion polls, implying that scientific evidence is simply ‘overwritten’ with other kinds of evidence representing alternative rationalities and priorities. Despite numerous shortcomings, the true value of systematic assessment practices lies in their potential to furnish ammunition to state and non-state actors interested in securing change.     

Learning for social-ecological change: a qualitative review of outcomes across empirical literature in natural resource management

Learning is considered as a promising mechanism to cope with rapid environmental change. The implications of learning for natural resource management (NRM) have not been explored in-depth and the evidence on the topic is scattered across multiple sources. We provide a qualitative review of types of learning outcomes and consider their manifestations in NRM across selected empirical literature. We conducted a systematic search of the peer-reviewed literature (N = 1,223) and a qualitative meta-synthesis of included articles, with an explicit focus on learning outcomes and NRM changes (N = 53). Besides social learning, we found several learning concepts used, including policy and transformative learning, and multiple links between learning and NRM reported. We observe that the development of skills, together with a system approach involving multi-level capacities, is decisive for implications of learning for NRM. Future reviews could systematically compare how primary research applies different learning concepts and discusses links between learning and NRM changes.     

Diversifying forest expertise: forest journals narrating policy change

ABSTRACT

During policy change, the role of the actors communicating the change to different audiences is accentuated. The media plays an increasing role, either as an actor or by providing a stage for other actors. In particular, specialised journals represent an influential, albeit understudied, sphere of policy studies. We use the narrative policy framework complemented with frame analysis to trace how specialised media can affect policy implementation through implicit suggestions for action. Using this combined approach, we analyse how specialised forest journals, which are the most important forest information source for Finnish forest owners, have conveyed the renewal of forest legislation in Finland. The core message of the journals is that forest owners should, despite their new freedom granted by the reform, rely on experts rather than experimenting when managing their forests. This suggests that the media contributes to a path-dependent continuation of a forest policy that is based on a rationalistic exploitation ethos. The innovative potential, which the policy change aimed at encouraging, is thereby partially undermined. However, the analysis of the narratives also reveals that forest expertise and professionalism are diversifying. This notion is important as diversity can eventually lead to narratives supporting more fundamental change in forests management.     

Mediated Modeling in Water Resource Dialogues Connecting Multiple Scales

We observe a paradigm shift toward collaborative, multi‐level (from local to global) water management and suggestions for scale‐related design principles in the literature. Decision‐support tools are needed that can help achieve scale design principles. Mediated modeling (MM) refers to model building with people, rather than for people. This tool belongs to a family of participatory, systems oriented tools. This article explores their suitability for addressing challenges and principles that arise at multiple‐scales. MM can promote the understanding of cross‐level and cross‐scale links, creating salient, credible, and legitimate knowledge and encouraging boundary functions. Prerequisites for successful MM processes include an openness and willingness to collaborative learning. As new “meso‐level” institutions emerge to address complex challenges in water management collaboratively, tools like MM may play an important role in structuring dialogues, developing adaptive management capacity and advance an ecosystem services approach.     

POLICY RELEVANT INFORMATION AND PUBLIC ATTITUDES: IS PUBLIC IGNORANCE A BARRIER TO NONPOINT POLLUTION MANAGEMENT?1

ABSTRACT: This study examines the extent to which knowledge deficits pose a significant barrier to public support for nonpoint pollution management strategies. Such barriers would obtain if all of the following conditions are present: (1) many in the public lack knowledge relevant to those strategies; (2) variations in knowledge are linked only to relatively unchanging personal attributes; and (3) individuals with more knowledge are more likely to support the implementation of management strategies. Each of these conditions is subjected to empirical analysis in this study. The findings reported here derive from a survey of citizens in Spokane, Washington, the site of a major 208 Water Quality Management Program study. The results of the survey indicate that: portions of the public have enough knowledge to evaluate technically based management strategies; sources of public knowledge are sufficiently elastic that both policy area concern and policy relevant knowledge can be elevated in the short run; and both knowledge levels and general attitudes are related to the public's specific water policy preferences. The study concludes that the apparent lack of knowledge among the public is not necessarily a significant barrier to policy implementation, and that support for implementation may be generated through both knowledge enhancement and the tapping of existing political orientations through the placement of emphasis upon the seriousness of water resource problems.     

The shadow of the past: environmental issues and institutional learning in EU enlargement processes

This paper compares the role of environmental issues in negotiating Spanish membership of the European Union (EU) with the ongoing enlargement talks with Central and Eastern European countries. The paper first argues that the EU has recognized a need to change the way in which it has traditionally managed environmental issues in enlargement processes. Second, the paper provides evidence of learning processes at the Community level that could have effected a change in Community approaches to enlargement in the environmental field. However, the paper shows that the fundamental principles and procedures applied in preparing for eastern enlargement match those used in previous enlargement rounds, resembling a largely technical exercise with exclusive focus on the applicants' ability to align with the acquis communautaire and the length of transition periods. The lack of sufficient adaptation or reform suggests that path dependence and institutional inertia have constrained the scope for innovations at the level of policy strategy and institutions, for which the shadow of the past has reinforced established patterns of institutional behaviour and practices. Copyright © 2002 John Wiley & Sons, Ltd.     

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.     

The interpretation of planning appeals

The extent to which aggrieved applicants appeal against planning refusals varies between types of development, between regions and over time. So, too, though in lesser degree, does the extent to which appeals are successful. The paper seeks to explain these variations. It does so by arguing that the appeal rate varies with the support that central government ministers and their inspectors (the Central Planning Authority, CPA) give to the local planning authorities (LPAs), with appeal costs and with applicant and LPA willingness to renegotiate over refused applications. The appeal success rate is seen to be largely independent of the appeal rate and varies with potential appellants’ awareness of CPA policy and with their rationality.

It is concluded that appeal rate differences are best explained in terms of the CPA's support for the LPAs whether consideration is given to applications submitted nationally for different development types, to applications submitted in the eight English regions or to applications submitted in England and Wales over the period since 1974. Thus, CPA support for the LPAs is high in relation to change of use and householder developments but low in relation to development of the other major type; the CPA is less supportive of LPA policy in Yorkshire and Humberside and in East Anglia than in the other English regions, at least in the mid 1980s; and the CPA markedly reduced its support for the LPAs in England and Wales in the early 1980s.

It is also concluded that the low appeal success rate for minor residential development is the result of low appellant rationality, potential appellants being particularly determined to press their proposals against the odds. Appellant awareness of CPA policy and rationality may be comparable for the remaining development types since the appeal success rate shows little variation. Similarly, appellant awareness and rationality may be comparable in the eight English regions. In contrast, the appeal success rate in England and Wales as a whole has increased since 1974 perhaps because potential appellants are now more aware of CPA policy.     

Towards sustainable development? The evolution of environmental policy in Malaysia

Over the last five decades, Malaysia has undergone rapid economic, social and environmental change, a process which is still continuing. The pursuit of socio‐economic progress has been accompanied by an unprecedented rate of change in the natural environment. In parallel to this development, governmental responses have also adapted over time to address emerging environmental situations. This article views the recent history of Malaysia's evolving policy response to development needs and environmental change as consisting of four distinct stages. Despite an impressive array of policy statements and strategies to implement sustainable development, many challenges remain today. A clear articulation of normative principles of sustainable development is of paramount importance, as is the monumental task of policy implementation. The article argues that the trajectory of Malaysia's policy on natural resources and environmental issues bears the characteristics of path‐dependent evolution.     

Restoring Forest Landscapes: Important Lessons Learnt

Forest restoration at large scales, or landscapes, is an approach that is increasingly relevant to the practice of environmental conservation. However, implementation remains a challenge; poor monitoring and lesson learning lead to similar mistakes being repeated. The World Wildlife Fund (WWF), the global conservation organization, recently took stock of its 10 years of implementation of forest landscape restoration. A significant body of knowledge has emerged from the work of the WWF and its partners in the different countries, which can be of use to the wider conservation community, but for this to happen, lessons need to be systematically collected and disseminated in a coherent manner to the broader conservation and development communities and, importantly, to policy makers. We use this review of the WWF’s experiences and compare and contrast it with other relevant and recent literature to highlight 11 important lessons for future large-scale forest restoration interventions. These lessons are presented using a stepwise approach to the restoration of forested landscapes. We identify the need for long-term commitment and funding, and a concerted and collaborative effort for successful forest landscape restoration. Our review highlights that monitoring impact within landscape-scale forest restoration remains inadequate. We conclude that forest restoration within landscapes is a challenging yet important proposition that has a real but undervalued place in environmental conservation in the twenty-first century.     

Maintenance of Forest Biodiversity in a Post-Soviet Governance Model: Perceptions by Local Actors in Lithuania

Successful biodiversity conservation does not depend on ecologic knowledge alone. Good conservation policies and policy implementation tools are equally important. Moreover, the knowledge, skills, and attitudes of local actors, directly in charge of operations in the field, are a key to successful policy implementation. The connections between policy objectives and their implementation as well as the involvement of local actors’ efforts in implementing policy objectives largely depend on the governance model in use. This article assesses the knowledge of local actors in relation to the biodiversity conservation objectives and tools in Lithuanian forest management. As a main framework for this study, the needs assessment approach was applied. The study used both in-depth open-ended interviews and follow-up telephone interviews. Two state forest enterprises in Lithuania were selected as the study sites. The findings indicate that policy objectives in the field of forest biodiversity conservation and the related tools are well known but not well understood by those in charge of forest biodiversity policy implementation. To improve the situation, a transition toward adaptive learning and participatory governance as a means of facilitating conservation efforts is proposed.     

Contrasting the core beliefs regarding the effective implementation of wind power. An international study of stakeholder perspectives

This paper analyses patterns in beliefs about the implementation of wind power as part of a geographical comparison of onshore wind power developments in the Netherlands, North-Rhine Westphalia and England. Q methodology is applied, in order to systematically compare the patterns in stakeholder views on the institutional conditions and changes in the domains of energy policy, spatial planning and environmental policy. Three factors represent support for wind power implementation from fundamentally different perspectives. The fourth perspective is critical opposed to wind power developments as well as critical to the manner in which wind projects are proposed, planned and implemented. These four perspectives exist across the geographical cases; however, some perspectives are prominent in one case and marginal in another. This relates to different legacies and varying implementation achievements in the three cases. The analysis shows that an approach that focuses on implementing as much wind power as possible, relying on technocratic reasoning and hierarchical policies is in practice the least successful, whereas collaborative perspectives with more emphasis on local issues and less on the interests of the conventional energy sector were particularly dominant in the most successful case, North-Rhine Westphalia.     

“Liberating” social knowledges for water management,and more broadly environmental management,through “place-change planning”

In response to the big policy problem of increasing failures of traditional, largely technical, policy approaches to constructively address transformational or radical socio-environmental problems from major facility siting, landscape modification, and/or new environmental management at the local level, this paper introduces “place-change planning”. This concept is applied to recent calls by Australian water scientists and policy-makers “to liberate the knowledge, skills and individual leadership and collaboration of all stakeholders to reflect a more decentralised, disaggregated and localised water world”. Local community stakeholders appear the most neglected stakeholder currently in such water management, despite increasing international recognition of their importance for constructive change in transitional sustainability contexts. As such, place-change policy design focuses on the importance of collaborative participatory approaches for better understanding of the underlying rationalities, and, by association, of better liberating the social knowledges, of place-based local communities for better policy input to realise new visions of sustainable water management, and beyond.     

Organizational learning during policy implementation: lessons from U.S. forest planning

ABSTRACT

Learning is critical for land management agencies implementing new policies in the face of rapid social and ecological change. We investigated learning in the U.S. Forest Service as it implemented new planning regulations. Our research objectives were to: (1) identify collective learning processes and outcomes during this time, and (2) understand factors within the organization supporting or impeding learning. Based on participant observation and 25 interviews with planning personnel, we found evidence of collective learning on individual national forests and across the organization. Several factors helped the agency act as a ‘learning organization,’ including internal networks and tools for information sharing, and meetings for staff to exchange lessons learned. Learning was compromised by limited time and capacity, and lack of internal clarity about balancing the desire for innovation with the need to ensure legal compliance and meet deadlines. This work contributes to the empirical foundations of collective learning theory, allowing us to identify learning processes and outcomes at multiple levels in a public organization, and identifying topics for future research. Based on our exploration of organizational learning, we offer suggestions for how to effectively support learning during times of new policy implementation.     

Multilevel assessment of a large-scale programme for poverty alleviation and wetland conservation: lessons from South Africa

The implementation of large-scale programmes for environment and development presents two main challenges: the tensions between both goals and the disconnect across policy levels. To contribute to overcoming these challenges, we assess a national multi-partnership programme for poverty alleviation and wetland restoration in South Africa: Working for Wetlands. We analyse this innovative polycentric programme at the macro and micro levels. At the national level, we assess the policy development and implementation model. At the local level, we analyse its impact on livelihoods and on opinions about development and the environment at a specific location. We use data from in-depth interviews across scales, household surveys (n = 47) and focus group discussions. The strengths of this programme can inform more effective design of further large-scale environment and development policies. However, critical issues originated at the national scale are likely to hinder the permanence of improvements at the micro level.     

Beyond the regime: can Integrated Sustainability Assessment address the barriers to effective sustainable passenger mobility policy?

Sustainability policy making is hampered by a tendency towards sector-based, short-term and often techno-fix perspectives. This paper describes a novel policy development and assessment framework – Integrated Sustainability Assessment (ISA) – that may help address problems of unsustainability in a more integrated and strategic manner. ISA involves two primary methods: transition analysis and stakeholder engagement. The ISA case study on sustainable passenger mobility suggests ISA is well equipped to produce a holistic analysis of mobility systems, illustrate radical alternatives to the status quo and foster social learning. Further research should explore its potential to induce long-term behavioural or institutional change.     

A systems approach to the evaluation of natural resource management initiatives

Adopting a new paradigm for natural resource and environmental policy that emphasises continuous change, adaptation and learning demands a new approach to evaluation to enable improvements in the way these initiatives contribute to sustainable resource use. Evaluation is fundamental to identifying change, supporting an adaptive approach that is flexible enough to meet the challenge of change, and enabling learning at individual, community, institutional and policy levels. Based on a consideration of changing approaches to natural resource management (NRM) policy and observations and experiences in the practical assessment of on-the-ground initiatives, the authors develop a set of principles for evaluation in NRM that: (a) addresses evaluation from a systems perspective, (b) links objective to consequence, (c) considers the fundamental assumptions and hypotheses that underpin core policy or program objectives, (d) is grounded in the natural resource, policy/institutional, economic, socio-cultural and technological contexts of implementation in practice, (e) establishes practical and valid evaluation criteria by which change can be monitored and assessed, (f) involves methodological pluralism including both quantitative and qualitative methods to ensure rigour and comprehensiveness in assessment, and (g) integrates different disciplinary perspectives (i.e. social, economic, environmental, policy and technological). The paper develops a systems-based evaluation framework that incorporates these principles and also recognises the multiple levels and nested nature of NRM policy, namely: problem characterisation, policy formulation and intent, program logic, and on-ground implementation. Finally, we demonstrate its utility through application to three contrasting Australian case studies: a community-based Integrated Catchment Management policy implementation; a resource information delivery system; and the development of a Decision Support System.