Building blocks of polycentric governance

Success or failure of a polycentric system is a function of complex political and social processes, such as coordination between actors and venues to solve specialized policy problems. Yet there is currently no accepted method for isolating distinct processes of coordination, nor to understand how their variance affects polycentric governance performance. We develop and test a building-blocks approach that uses different patterns or “motifs” for measuring and comparing coordination longitudinally on Australia's Great Barrier Reef. Our approach confirms that polycentric governance comprises an evolving substrate of interdependent venues and actors over time. However, while issue specialization and actor participation can be improved through the mobilization of venues, such a strategy can also fragment overall polycentric capacity to resolve conflict and adapt to new problems. A building-blocks approach advances understanding and practice of polycentric governance by enabling sharper diagnosis of internal dynamics in complex environmental governance systems.     

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.     

Polycentric Systems of Governance: A Theoretical Model for the Commons

Polycentricity is a fundamental concept in commons scholarship that connotes a complex form of governance with multiple centers of semiautonomous decision making. If the decision‐making centers take each other into account in competitive and cooperative relationships and have recourse to conflict resolution mechanisms, they may be regarded as a polycentric governance system. In the context of natural resource governance, commons scholars have ascribed a number of advantages to polycentric governance systems, most notably enhanced adaptive capacity, provision of good institutional fit for natural resource systems, and mitigation of risk on account of redundant governance actors and institutions. Despite the popularity of the concept, systematic development of polycentricity, including its posited advantages, is lacking in the commons literature. To build greater clarity and specificity around the concept, we develop a theoretical model of a polycentric governance system with a focus on the features necessary or conducive for achieving the functioning predicted by commons scholars. The model is comprised of attributes, which constitute the definitional elements, and enabling conditions, which specify additional institutional features for achieving functionality in the commons. The model we propose takes the concept a step further toward specificity without sacrificing the generality necessary for contextual application and further development.     

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.     

Participation and Political Influence in Complex Governance Systems

Public policy generally emerges from interactions among actors embedded within complex governance systems, composed of multiple actors and forums (issue‐based arenas where stakeholders repeatedly interact to resolve collective action problems). Such systems allow actors multiple forums wherein they can influence policy decisions. But actors do not value the decisions made in each forum equally, and it remains unclear how actors allocate resources across forums. This article links actor strategy to their influence within the forums the actors identify as most important (their primary forum). There is theoretical ambiguity about how actors invest their limited resources across the forums that affect their interests to maximize primary forum influence. Do they concentrate all their effort within the primary forum or participate more broadly? To answer this question, we offer two competing theories. First, broad participation may allow actors to develop political capital necessary to influence other actors and thus influence primary forum policies. The second approach notes the opportunity costs of broad participation—actors have fewer resources to invest in their primary forum. An analysis of stakeholder participation in the Sacramento–San Joaquin River Delta and Tampa Bay Watershed governance systems demonstrates that broader participation is associated with greater primary forum influence.     

The Impact of Forum Interdependence and Network Structure on Actor Performance in Complex Governance Systems

One of the main assumptions of the Ecology of Games Framework (EGF) is that governance processes are heavily affected by the interactions among policy actors that take place in multiple decision‐making forums, which often function interdependently. In this article, we use data collected in the Tampa Bay and California Delta water governance systems to examine how “biophysical interdependence”—the extent to which forums deal with interconnected policy problems—impacts the costs that actors face when they participate in forums, which in turn can affect their performance in them. Furthermore, we examine how the individual information exchange networks that actors have (i.e., their ego‐networks) can mediate the previous relationship. We find that actors with networks that have more closure are better able to mitigate the costs associated with participating in biophysically interdependent forums, thus leading to better in‐forum performance. Our findings shed new light on the relationship between structure and function in complex ecologies of games.     

The Ecology of Games as a Theory of Polycentricity: Recent Advances and Future Challenges

The Ecology of Games approach to examining complex governance systems in democratic societies has been recently refurbished to infuse renewed vitality in the analysis of institutions and collective action in polycentric governance systems. This opening article to the special issue on the Ecology of Games Theory (EGT) will discuss the main component elements of the theory, as well as recently produced empirical advances that test and extend it. The article is structured in three sections. The first section describes the EGT as a theory of polycentricity and explains why it is critical to study both the structure and function of polycentric governance systems, including collaboration among policy stakeholders, learning about problems, and equitably distributing the resources generated by policy interactions. The second section reviews empirical evidence that examine structure and function in polycentric systems, including their coevolution. Finally, the third section will provide insights on future research needs to strengthen this newly developed theory of polycentricity.     

Regional Design in the Context of Fragmented Territorial Governance: South Wing Studio

In the Netherlands, the formation of governance arrangements around planning issues that cross administrative boundaries has been assisted frequently by a design approach that is often referred to as “regional design”. This is a distinctive method of policy argumentation that makes use of spatial representations of the plausible future of regions. Such representations are intended not only to indicate physical changes, but also to stimulate debate on sharing responsibilities and resources for planning tasks among planning actors. This paper contributes to a better understanding of the performance of regional design in the context of fragmented regional governance through a case study in the southern part of the Randstad in the Netherlands. We argue that regional design has contributed to institutional capacity in a complex polycentric and, looking at the governance structure, pluricentric region like the Randstad South Wing, largely by allowing for multiple interpretations.     

Why Are Cross‐Sectoral Forums Important to Actors? Forum Contributions to Cooperation,Learning, and Resource Distribution

Actors within an ecology of games in a polycentric governance system have to choose from a large number of forums they could participate in. This article analyzes why given types of forums are important to actors, as compared to other forums. It shows that functions of an ecology of games, such as cooperation, learning, and resource distribution, influence the importance that actors attribute to forums. The empirical analysis focuses on cross‐sectoral forums, a particular type of forum that is specialized in coordination among actors from different societal sectors, such as government, private interest, or science. Analysis of survey data from eight cross‐sectoral forums in Swiss habitat and land use governance and their 159 members shows that cross‐sectoral forums are comparatively important to actors that perceive their forum to contribute to learning and resource distribution.     

Polycentric Transformation in Kenyan Water Governance: A Dynamic Analysis of Institutional and Social‐Ecological Change

Beginning in 2002, Kenyan water governance transitioned from a monocentric, top‐down system to one exhibiting traits of polycentricity. In this paper, we investigate the changes made to water policy following the 2002 reform, outcomes produced in a collection of community‐ and catchment‐level user groups in the Mount Kenya region, and the conformance of these changes and outcomes with principles of polycentricity. A new framework is used to capture the complex institutional arrangements and interactions existing before and after the polycentric transformation. Unlike many previous polycentricity studies, the present research focuses primarily on the outcomes of the polycentric shift and determines if these correspond to predictions from polycentricity theory. We utilize survey data collected in 2013 from water managers, as well as archival research to interrogate congruence with principles of polycentricity. This study contributes to the broader discussion on polycentricity in two fundamental ways: (i) It documents the functioning of a water management system following a top‐down imposed polycentric reform, and (ii) It empirically inspects whether these polycentric reforms have produced benefits predicted by polycentricity theorists, such as experimentation by local water users, increased collective action, and improved coordination between levels of management.     

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.     

The Rationale Determining Advocacy Coalitions: Examining Coordination Networks and Corresponding Beliefs

The contemporary trend within natural resource governance sees a strong increase in collaborative management. A successful turnout of these arrangements is, however, dependent upon the formation and characteristics of advocacy coalitions. Uncovering the rationale determining coalitions is therefore a key undertaking in policy analysis and the advocacy coalition framework (ACF) has been widely applied for this purpose. This article aspires to test several important hypotheses regarding the nature of coordination networks and the formation of coalitions, treating the ACF both as an inspiration and as a framework in need of further refinement. This is done in the context of a complex and conflict‐ridden policy subsystem: the Swedish carnivore‐management subsystem. The results indicate, firstly, that perceived belief correspondence, and not perceived influence, is the driving mechanism behind coordination; and, secondly, that the catalog of beliefs shared by actors within a coalition is composed by policy core beliefs, in particular, with a more normative content, while no connection between deep core beliefs and coordination is found.     

Collaborative Networks for Effective Ecosystem‐Based Management: A Set of Working Hypotheses

Ecosystem‐based management (EBM) represents a comprehensive approach to better govern the environment that also illustrates the collaborative trend in policy and public administration. The need for stakeholder involvement and collaboration is strongly articulated, yet how and for what purposes collaboration would be effective remains largely untested. We address this gap by developing and evaluating a set of hypotheses specifying how certain patterns of collaborations among actors affect their joint ability to accomplish EBM. Content analyses of management plans drawn from five EBM planning processes in Sweden are combined with analyses of the collaborative networks through which these plans have been developed. Our results indicate that system thinking and the ability to integrate across different management phases are favored by collaborations between different kinds of actors, and by project leaders being centrally located in the networks. We also find that dense substructures of collaboration increase the level of specificity in the plans in regards to explicating constraints on human activities. Having many collaborative ties does however not enhance the overall level of specificity. Our results also show that different network characteristics can give rise to similar EBM outcomes. This observed equifinality suggests there is no single blueprint for well‐performing collaborative networks.     

Mitigating conflict with collaboration: Reaching negotiated agreement amidst belief divergence in environmental governance

High levels of conflict among coalitions in a policy process are often attributed to belief divergence and may lead to policy gridlock. Thus, reducing belief divergence may facilitate negotiation and open the door for policy change. Beliefs are notoriously difficult to change, however, especially in high-conflict settings. Collaborative governance has been touted as one method for mitigating conflict to a level where negotiation is possible by means including but not limited to belief change. This study investigates the relationship between belief divergence as a driver of policy conflict and collaborative governance as a conflict mitigation tool by analyzing the beliefs of two opposing coalitions as they participate in a decade-long collaborative environmental governance process that ended in negotiated agreement. Using longitudinal survey and interview data, we find that coalitions' beliefs diverge more at a later point in the process, due primarily to the reinforcement and strengthening of one coalition's beliefs; however, we also identify aspects of the collaborative process that helped foster negotiated agreement amidst this growing belief divergence. These findings can inform scholarship on conflict mitigation in environmental governance as well as the design of more effective collaborative processes in high-conflict settings.     

Multiplex Network Analysis for Complex Governance Systems Using Surveys and Online Behavior

Text analysis, web scraping, and other computational techniques enable policy network researchers to efficiently obtain objective measures of network connections. However, the extent to which these observational methods differ from traditional survey instrument‐based measures remains an open question. Focusing on a large regional policy network of 221 organizations, this study compares a measure of collaboration generated via survey instrument to two different measures based upon internet hyperlinks and Twitter interactions between network actors. We address two questions: (1) To what extent do objective network measures based upon observed online interactions and subjective measures based upon self‐reported relationships reveal the same inter‐organizational partnerships and structural network dynamics? and (2) How useful are online network measures for supplementing survey‐based network measures? We find a significant, but substantively small, correlation between survey‐based measures and online interactions. Thus, online network measures may complement survey‐based measures, but likely reflect different aspects of the overall policy network. We conclude by discussing the potential for multiplex measures of policy networks that draw upon multiple measures to more fully understand policy network landscapes. These results bridge and help to contextualize prior work on policy network measures and virtual policy networks within the broader context of complex governance systems.     

Network Governance and Policy Integration—the Case of Regional Coastal Zone Planning in Norway

Integrated coastal zone management is characterized as a complex management situation, demanding integration across geographical borders, different policy sectors and levels of government. In Norway, the county municipalities are encouraged to take responsibility for achieving integration through regional coastal zone planning. Inspired by literature on network governance, the authors elaborate on how integration capacity might depend on an open and inclusive planning process and on the importance of conditions influencing the actors' perceived payoffs from participation. The result indicates that central actors benefiting from cooperation are more important in explaining the integration capacity, than the characteristics of the planning process itself. This illustrates the importance of the distribution of power and interdependencies among the actors in such processes.     

Bridging and Bonding Capital in Two‐Mode Collaboration Networks

Public management and policy scholars have empirically demonstrated that in complex policy arenas, governments depend on the collaboration of policy actors outside their direct control to produce needed goods and services. Government‐sponsored shared‐cost programs are one of the premier mechanisms to foster such cooperation, yet little is known about the inner patterns of participation in such programs and whether they are conditional on specific resource needs that partners may have. In this article, I study the participation of organizations in projects seeking funds from the Cooperative Funding Initiative, a program sponsored by the Southwest Florida Water Management District that finances projects dealing with the management of water resources. Through the estimation of a series of Exponential Random Graph Models in the networks that form when organizations participate in projects (two‐mode networks), I show that centralization around popular organizations results in greater bridging network capital, which facilitates the flow of nonoverlapping information from project to project. I analyze the implications of these findings and discuss how the formation of these bridging structures may enhance the capacity of the program to find innovative solutions to the problems the projects are designed to deal with.     

Scaling down or scaling up? Local actor decisions and the feasibility of decentralized environmental governance: a case of Páramo wetlands in Southern Ecuador

In Latin America and the Global South, policy-makers are adopting community-based natural resource management (CBNRM) principles for local governments. The idealized emphasis on ‘local’ collaborative approaches is known to neglect human geographic contexts and issues of capacity, power, and human drivers of change at larger scales. However, critiques lack empirical evidence of policy implementation decisions. How do local government and community actors choose to use decentralized environmental governance policies in relation to a threatened cultural and natural landscape across their jurisdictions? This question is explored in an ethnographic case of a high Andean wetland region in southern Ecuador by focusing on the context and micro-politics of two seemingly contradictory local government decisions: proposals to nationalize a local community protected area and to work with other local governments to construct a road across the wetlands that could threaten protected area status. When different sectors are devolved to different local actors without strong sub-state institutions for conflict management, decentralization may create incentives for conflict rather than conservation. Governance design depends on understanding how and why diverse local actors engage in boundary-spanning regional strategies, calling for additional contributions from political geographers.     

Redesigning collaborative governance for refugee settlement services

ABSTRACT

Processes of collaborative governance, also known as network structures or joined-up approaches, have been embraced increasingly by policy makers responding to complex and intractable problems. In 2015, a collaborative governance approach was applied in New South Wales to facilitate settlement of 12,000 additional refugees from Syria and Iraq, under the leadership of the Coordinator General for Refugee Resettlement, Peter Shergold. This article examines the success of the initiative, using criteria drawn from collaborative governance and meta-governance literature and evidence from interviews with people working in the refugee sector who were involved in the project. The article concludes that initiative has improved the experience of newly arrived refugees, and identifies some reasons for success, including the existence of a facilitative or collaborative leader. It argues that greater emphasis in collaborative theory be placed on individual capacity, given such a leader’s ability to influence both interpersonal and structural determinants of policy success.     

Social Networks and Policy Entrepreneurship: How Relationships Shape Municipal Decision Making about High‐Volume Hydraulic Fracturing

Well‐resourced and well‐connected individuals, or “policy entrepreneurs,” often play an important role in advocating and securing the adoption of policies. There is a striking lack of inquiry into the ways that social networks shape the ability of these actors to achieve their aims, including the ways in which network ties may channel policy conflict. To address these gaps, we analyze data from an original survey and an original database of policies to assess the success of policy entrepreneurs (PEs) active in a highly contentious arena: municipal policymaking concerning high‐volume hydraulic fracturing (HVHF) in New York. We use text‐mining to collect social network data from local newspaper archives, then use those data to construct municipal HVHF policy networks. Municipal anti‐HVHF PEs appear more successful when they operate in less cohesive networks, act as bridges to relative newcomers to the governance network, and have a larger number of network connections. Pro‐HVHF PEs appear more successful when they can forge high‐value connections to key decision makers. Policy entrepreneurs on both sides of the issue are more successful when they have a greater number of sympathetic coalition partners.