Tracing Process to Performance of Collaborative Governance: A Comparative Case Study of Federal Hydropower Licensing

Despite collaborative governance's popularity, whether collaboration improves policy performance remains uncertain. This study assesses the link between collaborative decision making and licensed environmental management protocols in the Federal Energy Regulatory Commission's (FERC's) process for licensing hydropower facilities in the United States. Using results from a previous study of FERC relicensing (Ulibarri, forthcoming), one high‐, one medium‐, and one low‐collaboration case were selected. Using documents including meeting minutes, public comments, and issued licenses, I assessed collaboration and license outputs, then conducted process tracing to examine whether and how differences in collaboration produced differences in license quality. High collaboration resulted in jointly developed and highly implementable operating regimes designed to improve numerous resources, while low collaboration resulted in operating requirements that ignored environmental concerns raised by stakeholders and lacked implementation provisions. These results support the hypothesis that collaboration can improve environmental outcomes, revealing the pragmatic value of collaboration. [Correction added on 13 January 2015, after first online publication: the occurrences of ‘0’ in the abstract were erroneous and have now been corrected.]     

Not Learning from the Past: Adaptive Governance Challenges for Australian Natural Resource Management

Australia's governance arrangements for natural resource management (NRM) have evolved considerably over the last 30 years. The impact of changes in governance on NRM planning and delivery requires assessment. We undertake a multi‐method programme evaluation using adaptive governance principles as an analytical frame and apply this to Queensland to assess the impacts of governance change on NRM planning and governance outcomes. Data to inform our analysis includes: (1) a systematic review of 16 audits/evaluations of Australian NRM over a 15‐year period; (2) a review of Queensland's first‐generation NRM plans; and (3) outputs from a Queensland workshop on NRM planning. NRM has progressed from a bottom‐up grassroots movement into a collaborative regional NRM model that has been centralised by the Australian government. We found that while some adaptive governance challenges have been addressed, others remained unresolved. Results show that collaboration and elements of multi‐level governance under the regional model were positive moves, but also that NRM arrangements contained structural deficiencies across multiple governance levels in relation to public involvement in decision‐making and knowledge production for problem responsiveness. These problems for adaptive governance have been exacerbated since 2008. We conclude that the adaptive governance framework for NRM needs urgent attention so that important environmental management problems can be addressed.     

Collaborative Governance of Climate Change Adaptation Across Spatial and Institutional Scales

We examine two related questions that are key for understanding collaborative outcomes in complex governance systems. The first is the extent to which collaboration among policy actors depends upon their joint participation in policy forums. The second is how the scales at which these forums operate conditionally affect the likelihood of collaboration. We address these questions using data from a recent survey on actors’ collaborative interactions as well as their participation in climate change adaptation policy forums in the Lake Victoria region in East Africa. Exponential random graph models show that actors are more likely to collaborate if they jointly participate in policy forums. However, this effect weakens at progressively higher spatial levels at which forums operate. Similarly, collaboration is less likely among actors jointly participating in forums that sponsor decision making at the higher collective choice level rather than lower operational choice level. While policy forums may catalyze collaboration, our findings suggest that their capacity to do so may be subject to scale‐dependent transaction costs of political contracting.     

We Finished the Plan,So Now What? Impacts of Collaborative Stakeholder Participation on Land Use Policy

There is a growing movement toward collaborative stakeholder participation in environmental policy. Rather than calling for a reliance on government officials to solve environmental problems, this approach calls for empowering a community of stakeholders to contribute meaningfully. Scholars examining citizen participation have investigated the performance of such efforts. This study examines one important aspect of performance, the impact of stakeholder participation on policymaking at the local level. A multiple‐case analysis of county‐level, community‐based task forces working on farmland preservation planning in Ohio, U.S., reveals patterns of policymaking processes and the near‐term impacts of collaborative planning. These patterns are linked to scholarship using prior empirical studies as well as the Institutional Analysis and Development framework, which integrates physical, social, and institutional variables to examine collective decision‐making related to natural resources. Results indicate that the degree of policy change is associated closely with local contextual factors, rather than internal group factors often emphasized in studies of citizen advisory committees and collaborative groups.     

Cross-Coalition Coordination in Collaborative Environmental Governance Processes

Collaborative governance processes seek to engage diverse policy actors in the development and implementation of consensus-oriented policy and management actions. Whether this is achieved, however, largely depends on the degree to which actors with different beliefs coordinate their actions to achieve common policy goals—a behavior known as cross-coalition coordination. Drawing on the Advocacy Coalition Framework and collaborative governance literatures, this study analyzes cross-coalition coordination in three collaborative environmental governance processes that seek to manage water in the Colorado River Basin. Through comparative analysis, it highlights the complex relationship among the institutional design of a collaborative governance process, how and why actors choose to engage in cross-coalition coordination, and the consequent policy outputs they produce. The findings advance policy scholars’ nascent understanding of cross-coalition coordination and its potential to affect policymaking dynamics.     

Community‐Based Resource Management in Turkey: ‘Je Participe,Tu Participes,Il Participe… Ils Profitent’1

The current discourse and practice of natural resource management rest on the assumption that participatory decision‐making mechanisms offer efficient and equitable policy solutions. There is increasing recognition, however, that such mechanisms might fail in ensuring effective participation of all stakeholders and, consequently, be prone to (re)producing inequalities and remaining ineffective in environmental protection. Taking this observation as a backdrop, this study addresses the under‐investigated implications of state–society relationships on the operation of participatory processes. By employing a unique combination of data provided by focus groups, in‐depth interviews, and a survey administered to 377 individuals, it analyses the ‘failure’ of participatory decision making within the context of an internationally‐funded environmental conservation project in Sultan Sazl???, Turkey. The article argues that the specific manifestations of state–society relationships and the political economy dynamics at the local level account for this failure. It shows that local materializations of state behaviour, interacting with local inequalities and perceptions of the decision‐making process, impinge on effective participation. In emphasizing that the capability of different groups to participate is shaped by the state in important ways, this article calls for more research on the political economy of state–society relationships and community‐based resource management.     

Indigenous sovereignties: relational ontologies and environmental management

Indigenous nations have always and continue to assert their sovereignties to resist colonialism. This paper makes explicit the ways in which environmental management has been and continues to act as a tool of colonialism, particularly by privileging Western science, institutions, and administrative procedures. We argue that to decolonise environmental management, it is crucial to understand and challenge the power relations that underlie it—asking who makes decisions and on what worldview those decisions are based. Indigenous ways of being deeply challenge the foundations of environmental management and the colonising power structures that underlie it, and invite further thought about posthuman and relational ontologies. We provide a range of case studies that showcase the role of Indigenous nations in redefining and reimagining environmental management based on Indigenous sovereignties, knowledges, and ways of being. The case studies emphasise the crucial connection between Indigenous decision‐making authority and self‐governance for the enhanced protection and health of the environment. We argue that Indigenous agency, grounded in Indigenous governance and sovereignties, is driving innovation and decolonising environmental management by making space for new ways of thinking and being “in place”.     

Participation in Multiple Decision Making Water Governance Forums in Brazil Enhances Actors’ Perceived Level of Influence

The Ecology of Games Framework (EGF) draws attention to the intertwined nature of different forums in a given policy setting and how this affects governance outcomes. In this article, we associate the EGF with the literature on power asymmetries, in order to investigate hypotheses of actors’ perceived level of influence in a forum. Focusing on the Paraíba do Sul river basin committee in Brazil, we specifically explore actors’ participation in multiple forums, time spent participating in the basin committee, and actors’ degree of involvement in the committee as factors that might explain actors’ level of perceived influence in the forum. The findings suggest participation in multiple forums is a key driver of perceived influence and thus highlight a way to challenge traditional power asymmetries. More research, however, is needed to determine to what extent perceived influence is affecting decision‐making processes and governance outcomes in the Paraíba do Sul river basin committee.     

Toward a Theory of Collaborative Policy Networks: Identifying Structural Tendencies

Support for the "democratization of the policy sciences" has led to the development of a number of frameworks and theories to enhance the normative, multidisciplinary approach to policy analysis. However, this approach has been challenged for failing to produce the objective empirical and normative standards implied by its scientific aspirations. One consideration that has been advanced under a variety of rubrics is "participatory policy analysis." This is a methodological proposal that expands the range of actors/stakeholders involved in the making and execution of public policy in a discursive or deliberative mode. While much of the research on policy networks is focused on the management and coordination of such networks (i.e., collaborative management), there is little attention on analysis of networks as a participatory policy analytical approach. We propose a theory of "collaborative policy networks" that examines not only the stakeholder composition of a group or the partnerships between any two stakeholders but also the way these stakeholders are embedded in various degrees of institutionalized structure and the discursive tendencies of exchange among them that leads to policy initiative, implementation, evaluation, and possibly termination. Collaborative policy networks are characterized by discursive properties, specifically reciprocity, representation, equality, participatory decision making, and collaborative leadership. We suggest that the results of such research can identify structural signatures of collaborative policy networks that serve as "stamps" of the common nature of such networks that, if fostered, can inform and improve the attempt of networks of partners to achieve policy goals.     

Citizen Participation and Government Choice in Local Environmental Controversies

This article uses a single, critical case to assess the plausibility of hypotheses that emerge from the literature on civic environmentalism. In particular, scholars have argued that local, collaborative environmental decision making is likely to yield solutions that are both more durable and environmentally superior to those generated by more conventional policymahing processes. The analysis suggests, however, that such outcomes are unlikely in the absence of stringent regulatory requirements established at the federal or state level. This is because local officials face fiscal constraints that exacerbate the already substantial disparity in political resources between citizens and development interests.     

Imposition to agonism: Voluntary poverty alleviation resettlement in rural China

Implementation of voluntary Poverty Alleviation Resettlement (PAR) in Shanxi Province, rural China is a function of the democratic processes of village governance under the Organic Law of Villages Committees and Assemblies. Villages consult with their constituent households on the decision to resettle and aspects of the process of rebuilding homes and livelihood adaptations. This article analyses the participatory process through an analytic of government that exposes the contingency of local governance as liberal techniques are negotiated amongst historical illiberal governance norms. Processes of subjection during resettlement decision making and implementation defy a liberal/illiberal binary as the effects of power during governance can have a duel nature. These effects produce dialectical tensions that the local Party-state draws on to smooth consent for their political economic goals. Villagers in response draw on multiple political and economic subjectivities to reposition themselves and contest intersubjective norms that define relations between governor and governed. Contestation is most aptly defined as agonism which represents the permanent provocation (Foucault, 1982) between liberal and illiberal governance and the potential for equitable resettlement outcomes.     

Triggers for Late Twentieth Century Reform of Australian Coastal Management

This paper identifies four triggers that underpinned the late 20th century reform of coastal management in Australia. These have operated across federal, state and local levels of government. The triggers are global environmental change, sustainable development, integrated resource management, and community awareness of management issues and participation in decision making. This reform has been driven by international and national forces. A number of inquiries into coastal management in Australia culminated in the production of a national coastal policy in 1995. This has led to fundamental changes in coastal management and to the recognition of the inevitability of changes in coastal systems. Federal policies and programs are being translated into action at the state and local government levels through a variety of funding mechanisms and programs. These involve capacity building, a memorandum of understanding between all levels of government, an enhanced role for state advisory or co‐ordinating bodies, and an increased role for public participation.     

Identifying institutional configurations for policy outcomes: A comparison of ecosystem services delivery

This paper employs the Institutional Analysis and Development framework across six ecosystem delivery measures in the European Union to develop a configurational explanation of (un)successful outcomes. By undertaking comparative institutional analysis, we systematically examine the effect of variation across rule types and generate insights on how different institutional configurations result in varying degrees of successful implementation of ecosystem delivery measures. We apply explanatory typology methods to identify the institutional features that best explain variation in implementation success across a number of cases. We argue that institutional rules shape outcomes in conjunction rather than in isolation. The findings show that differences in implementation success across cases can be explained by the interplay of differences in knowledge exchange, flexibility in implementation, and participation in the policy design process.     

Spaces of power for action: Governance of the Everglades Restudy process (1992–2000)

This analysis of the collaborative environmental governance regime of the Florida Everglades Restudy process (1992–2000) identifies the benefits of including multiple, complementary ad hoc organizations focused on different types of knowledge (science, policy, and local) and the importance of powerful key actors to developing a multi-purpose water management plan in the politicized space of a highly contested watershed. The multiple complementary organizations enabled participation by a wide range of stakeholder groups in the collaborative environmental governance regime, which consisted of a cooperative network of specialized spaces of power for action. Actors who inhabited organizations of multiple knowledge spaces and served in a leadership role proved to be particularly powerful in shaping the process. Through this analysis that considers the roles of both actors and institutions in shaping the Restudy's policy-making process, this case contributes to understandings of how collaborative environmental governance can be deployed to achieve an agreed policy outcome for contested common-pool resources.     

Towards relational geometries of public participation and hydropower governance in the Lower Mekong River Basin

The Lao People's Democratic Republic's aspirations to become the ‘battery’ of Southeast Asia has involved plans for a cascade of hydropower dams on the mainstream of the transboundary Mekong River. This has triggered the unprecedented undertaking of public stakeholder consultations under the Mekong River Commission's Procedures for Notification, Prior Consultation and Agreement (PNPCA). This paper focuses on PNPCA stakeholder consultations organized in Thailand and Cambodia, and seeks to understand how these stakeholder consultations, despite their merits in information sharing, have come to be criticized by civil society as a ‘rubber stamp’ for ‘participation’ in Lao hydropower development. Building upon the literature on public participation in development, critical hydropolitics, and stakeholder engagement in Mekong water governance, we seek to conceptualize a critical politics of public participation by adopting a relational approach towards identifying the key challenges relating to participation. We suggest that a relational approach must consider how the interrelations between the multiple formal and informal tracks of stakeholder engagement shape one another and overall opportunities for participation, and how power relations within these spaces impact on perceptions towards public participation. Distrust towards state-organized participatory spaces can be traced from the state-organized participatory spaces to another key interrelation: the power relations between state and nonstate actors in the multi-scalar political spaces that extend beyond participatory spaces. This paper examines how anti-participatory forces pose a challenge to the emergence of both state and nonstate participatory spaces, providing additional insights into the state-society dynamics that influence environmental outcomes around large-scale infrastructural development.     

Governance Structures: Using IAD to Understand Variation in Service Delivery for Club Goods with Information Asymmetry

Club goods with information asymmetry are frequently provided through mixed economies of for‐profit, nonprofit, and public providers. Theory explaining mixed economies relies on sector to classify providers based on assumptions that sector‐level differences in how organizations either distribute or reinvest profit will affect behavior. However, this classification is overly broad and is not able to adequately capture the diversity of providers of these types of goods. The author utilizes the Institutional Analysis and Development framework to identify six “governance structures” in the for‐profit and nonprofit sectors. Governance structures are constitutional‐choice level rule variations in who has the power to make rules. I argue that there are two types of power that affect rules: (1) concentration of constitutional‐choice level decision‐making power (i.e., how many principals) and (2) proximity of monitoring and enforcement of those rules. The extent to which the constitutional rules actually guide service delivery outcomes depends on a nested rule environment. Only if there is consistency across three level of rules (constitutional, collective, and operational) can we connect sector to outcomes. The empirical reality of service delivery, particularly for club goods with information asymmetry, is far too complex for simplistic assumptions linking profit distribution or its reinvestment to outcomes. This article directs further research toward building contingent theory, with if/then conditions, based on empirical research.     

Rules for Collaboration: Institutional Analysis of Group Membership and Levels of Action in Watershed Partnerships

This study employs the Institutional Analysis and Development framework across three collaborative watershed partnerships with differing membership profiles (government centered, citizen centered, or mixed) to determine how rules at varying levels of action (operational rules, collective-choice rules, and constitutional rules) affect the formation and implementation of rules-in-use at different levels. Examining trends across group types at varying levels of action helps illuminate how the operational rules produced by different types of partnerships result in outputs that impact watershed management. Results show that the source of rules and their impact on subsequent levels of action vary by group type, with federal and state policies playing a larger role in government-centered and mixed-membership groups than in citizen-centered groups.     

Four Perspectives on Public Participation Process in Environmental Assessment and Decision Making: Combined Results from 10 Case Studies

Knowing how people think about public participation processes and knowing what people want from these processes is essential to crafting a legitimate and effective process and delivering a program that is widely viewed as meaningful and successful. This article reports on research to investigate the nature of diversity among participants' perceptions of what is the most appropriate public participation process for environmental assessment and decision making in 10 different cases. Results show that there are clearly distinct perspectives on what an appropriate public participation process should be. We identified four perspectives: Science‐Centered Stakeholder Consultation, Egalitarian Deliberation, Efficient Cooperation, and Informed Collaboration. The literature on public participation tends to presume that there are clear and universal criteria on how to “do” public participation correctly or that context is the critical factor. This study has revealed that even within a specific assessment or decision‐making effort, there may be different perspectives about what is viewed as appropriate, which poses a challenge for both theorists and practitioners. Among the active participants in these 10 case studies, we found limited agreement and strong differences of opinions for what is a good process. Points of consensus across these cases are that good processes reach out to all stakeholders, share information openly and readily, engage people in meaningful interaction, and attempt to satisfy multiple interest positions. Differences appeared about how strongly to emphasize science and information, how much leadership and direction the process needs, what is the proper behavior of participants, how to tackle issues of power and trust, and what are the outcome‐related goals of the process. These results challenge researchers and practitioners to consider the diversity of participant needs in addition to the broad context when conceptualizing or carrying out participatory processes.     

Organisational responses to climate change: do collaborative forums make a difference?

Innovative and effective responses to climate change require that we move beyond reliance on government to include organisations spanning different sectors, such as not‐for‐profit, private, and community groups. Interactions among these organisations in collaborative networks—or “forums”—may provide important mechanisms to successfully address climate change impacts. This paper investigates the relationships between organisational participation and involvement in forums and responses to climate change. Survey data show that people from many organisations are participating in forums and using these meeting points to discuss climate change, even when forums are intended to serve other purposes. The data suggest that participation in any type of forum is related to organisational responses to climate change. Attributes such as type of organisation and knowledge of climate change issues were also found to be related to organisational responses to climate change but these became less important when climate change was discussed in forums. The results of the research suggest that a practical way to increase the volume and variety of organisational responses to climate change may be to encourage participation in forums and/or to influence existing networks to incorporate more discussions of climate change issues.     

Analyzing Policy Networks Using Valued Exponential Random Graph Models: Do Government‐Sponsored Collaborative Groups Enhance Organizational Networks?

This paper examines collaborative management groups from the perspective of policymakers seeking to increase coordination within a policy network. While governments often support collaborative groups as a tool to address perceived network failures such as a lack of coordination, the net impact groups have is unclear. I use valued exponential random graph models (ERGMs) to model relationships of varying strength among a regional network of organizations involved in 57 collaborative groups. This provides a unique opportunity to study the interplay between numerous groups and organizations within a large‐scale network. Valued ERGMs are a recently developed extension of standard ERGMs that model valued instead of binary ties; thus, this paper also makes a methodological contribution to the policy literature. Findings suggest that participation in collaborative groups does motivate coordination and cooperation amongst individual network organizations; however, this effect is strongest for: (i) organizations that are not already members of another group and (ii) organizations that do not have a preexisting tie. These results support a transaction‐cost–based perspective of how government‐sponsored collaborative groups can influence network coordination; further, they also provide an empirical example of the Ecology of Games, in which multiple collaborative institutions have interactive effects on one another within a policy network.