Survival of commons? Institutions for robust forest social – ecological systems

In recent decades, human activities have moved beyond the range of natural variability and are approaching critical tipping points that may lead to irreversible changes to the Earth's systems. In particular, the diversity of actors and scales, and their power and interest in Earth system resources, increases natural – social interconnectivity and the vulnerability of these traditionally local resource systems to disturbances. Using a combination of design conditions and robustness analyses, we argue that institutional maturity and local knowledge of self-organised regimes are pre-conditions for the continuity of local forest socio-ecological systems as long-lasting institutions that survive global market disturbances. Vulnerability and robustness against external natural and social disturbances thus largely depend on institutional robustness, as well as socio-ecological dynamics.     

Moving out or living on a mound? Jointly planning a Dutch flood adaptation project

All over the world spatial flood risk management policies are on the rise. This paper analyses the planning process for the Overdiepse polder, a so-called “Room for the River” project in the Netherlands. After high water in the 1990s, the Dutch government changed its flood risk management policy. While before 2000 it leaned heavily on dikes to separate water from land, after that year spatial measures to “let the water flow” were introduced. This required the integration of two formerly separated policy domains: flood risk management and land use planning. In the densely populated and economically highly developed Netherlands, returning space to the river unavoidably impacts on the lives and livelihoods of those who live and work along the rivers. Therefore, such spatial measures to decrease flood risk have to be negotiated with various stakeholders. The planning process towards making the Overdiepse polder suitable for temporary water storage deserves more in-depth analysis. We describe and analyze the development of relationships between key actors in the planning process, with a focus on planning practices rather than on assumptions about the existence of certain types and qualities of relationships. We conclude, among others, that citizen involvement can, under specific socio-political and institutional conditions, build trust among stakeholders and increase local legitimacy for interventions by government agencies. However, it should not be idealized as “self-governance” or assumed to be part of a unidirectional change in water interventions towards new relationships between actors.     

New environmental policy instruments to realize forest expansion in Flanders (northern Belgium): A base for smart regulation?

This paper evaluates the current instrument mix, designs options for smart regulation and estimates the support base of new instruments for the forest expansion policy in Flanders (northern Belgium). The framework applied is a combination of theories on instrument choice (ICT), policy transfer and legitimacy. The ICT points out that there is a need for new environmental policy instruments (NEPI) oriented to private actors that inform them or create win–win situations for all involved parties. The need is especially high for farmers, who are key actors. The policy transfer analysis suggested instruments currently in use in the Netherlands, England and Denmark that can fulfill these needs. However, the acceptability – or legitimacy – of the suggested instruments in Flanders is only high for three of these, notably the carbon fund, flexible grant scheme and expert advice (especially by forest groups). This largely fills some smart regulation gaps, like the need for information (expert advice), the involvement of other institutional actors (certifiers, forest groups) and the higher involvement of the private sector (all). However, some gaps, such as flexible land purchase through cooperation with real estate agents or other private agents and opportunities for win–win outcomes with farmers, remain. Thus, it is not possible to fully optimize the instrument mix in accordance with the smart regulation requirements in Flanders’ forest expansion policy at this moment. However, as continuity or incremental change is characteristic of most public policy, this does not mean that the suggested changes will be impossible in the near future, especially with the changing character of the rural space.     

Implementation of the forest expansion policy in the Netherlands in the period 1986–2007: Decline in success?

The current study explains why Dutch forest expansion policy is at risk of failure. To study the forest expansion implementation process we have chosen to further operationalize Matland's policy type implementation model to an extended and comprehensive typology of relevant implementation characteristics. In addition, a case study methodology with mixed-method design was used to collect and analyze the data. The Dutch forest expansion policy is currently an example of symbolic implementation. The symbolic implementation is a consequence of the absence of central guidance, the legislative complexity, the low policy stability, the lack of supporting conditions for policy innovation, the lack of regulatory responsiveness and the latent policy at state level and in many provinces. Nevertheless, the transferable development rights method of the province of Limburg is a promising innovation and forest expansion still happens, which is mainly the result of a good internal and external communication, an effective actor network of forest expansion advocates and the willingness to realize negotiated project aims that lead to a win–win situation for all actors involved. Nonetheless, it is expected that the forest expansion targets will be not reached, unless most of the above shortcomings are solved.     

Institutional constraints on conservation auction: Organizational mandate,competencies and practices

Auctions appeal to analysts and policy designers because of their potential efficiency in recruiting new areas for nature conservation. The failure to develop genuine auctions and competitive tender processes is typically blamed on the design and the attractiveness of the instrument. However, the institutional constraints that a new competitive mechanism faces when placed in a real-world ecological-institutional setting are only partly anticipated by the theoretical and analytical approaches. This paper explores the theory-based principles of cost-effectiveness against a real-world auction instrument designed for forest biodiversity conservation in Finland. The instrument, called “Natural Values Trading”, specified that the tenders should be invited and compared on an annual basis but the competitive procedure was not operationalized. Instead, sites were evaluated on a first come – first serve basis, applying ecological criteria and pricing based on opportunity costs. The institutional constraints of the auction mechanism centred on the difficulty that public authorities geared toward implementing law and treating citizens equally faced with a competitive arrangement. The pressure to generate instant impact overrode experimenting with new mechanisms and exiting an administrative comfort zone. The findings conform to the institutional theories that identify challenges with matching organizational mandate, reallocating and developing organizational competencies as well as changing informal organizational and professional practices. The design of biodiversity conservation mechanisms will not go far by focusing solely on cost-effectiveness; instead, the institutional friction should be taken seriously and organizational mandates, competencies and practices should be addressed explicitly.     

制度逻辑、制度矛盾与合作社的“公司化”

为了回答合作社为什么会"公司化"这一问题,本文首先将合作社的"公司化"归为组织形式改变这一理论范畴,然后在组织分析的新制度主义范式下,建立制度逻辑导致合作社组织形式改变的理论模型,最后运用解释性案例研究方法予以实证。研究发现:第一,农业产业化逻辑和农业市场化逻辑是合作社走向"公司化"的重要制度原因;第二,上述两大制度逻辑同合作社的法定形式存在冲突并由此带来制度不兼容、组织非效率和利益错配三大制度矛盾;第三,三大制度矛盾分别提供内生驱动力、制度资源和自主的行动者,从而导致合作社的"公司化"。     

Credibility of institutions: Forestry, social conflict and titling in China

In the reform of a forestry sector governed by centralist, socialist principles towards a sector suited to the challenges of the market economy, the Chinese government needs to establish institutions that can be perceived as credible by social actors. In other words, the creation of institutions that rally sufficient social and political support in order to be effective. Against this backdrop, this article consciously opts to refer to institutional “credibility” instead of the more fashionable concept of institutional “trust”. Whereas scholarly discussions about trust focus more on the relation of trust between social actors, credibility puts more emphasis on the institution itself, and the role of government in its successful creation or failure. Failure to effectively undertake institutional reform might put the social acceptability or credibility of institutions at risk, and can lead to the emergence of “empty institutions” with little, or even, a negative effect on social and political actors. Applying this concept to China's forestry sector, this article identifies three critical areas that call for careful rethinking how to “get institutions right”: the titling of forest holdings; the restructuring of the forest administration; and the design of forest laws and policies with particular reference to lease and ownership.     

Participation in the implementation of Natura 2000: A comparative study of six EU member states

The establishment of Natura 2000, the European Union’s network of protected areas, has been a challenging process and has caused a variety of conflicts. These conflicts are related to contradictory stakeholder interests and perceptions, as well as to procedural issues and feelings of exclusion, especially by concerned local land user groups. To prevent further conflict, local participation has been stressed as an important tool to increase the inclusiveness of Natura 2000 and its acceptance among land users. In this paper, we present an analysis of participation practices related to the Natura 2000 implementation processes in six EU member states. Based on material collected from semi-structured interviews and document analysis, we describe the organisational settings of the participatory processes, focusing, among other things, on the type of participants involved, the level and intensity of their involvement, and the goal of participation. In addition, we also describe the local context in which the participation processes have been embedded. Finally, we assess the outcomes of the participatory processes in terms of their impact on forest and nature conservation management practices. Our results show that local participation practices were shaped not just by the Natura 2000 policy, but also by the history of the area, including, for example, earlier conflicts among the local actors. We also show that although the participation process leads to a greater acceptance of the Natura 2000 policy, this does not relate to significant changes in management practices among local actors. These findings, however, do not suggest that participation is irrelevant. Rather, we conclude that participation involves context-dependent, localised learning processes that can only be understood by taking the historical socio-economic and institutional context in which they are situated into account.     

Potential for co-management approaches to strengthen livelihoods of forest dependent communities: A Kenyan case

Many natural resource management researchers have focused either on institutional design and evaluation or on livelihood outcomes per se without explicitly acknowledging and rigorously examining linkages between the two. Thus, a major gap in the current literature on co-management institutional arrangements is the extent to which co-management has strengthened the livelihoods of poor forest-dependent communities. This gap is addressed in this paper by developing and testing an argument that well-designed co-management arrangements have strengthened the livelihood outcomes of poor forest-dependent communities in a Kenyan case study. The hybrid analytical framework developed for this analysis situates Ostrom's (1990) design criteria for co-management institutions in the broader context of the Sustainable Livelihood Framework. It then uses this analytical framework to evaluate the Arabuko-Sokoke Forest Reserve (ASFR) co-management initiative in Kenya, based on a three-step process. First, the paper provides an overview of current institutional arrangements for governance of the ASFR co-management regime. Second, it evaluates the extent to which these governance arrangements can be characterized as devolved collaborative governance, informed by Ostrom's (1990) design principles and; third, it evaluates the extent to which the livelihood outcomes of forest dependent communities that are participants in the co-management project have had their livelihoods strengthened as a result of the ASFR co-management governance arrangements. The paper demonstrates that the institutional arrangements for ASFR co-management are relatively nascent and emerging because the governance arrangements for the ASFR co-management project cannot be characterized as fully devolved de jure collaborative governance. Notwithstanding this, the findings reveal that participant forest-dependent communities in the co-management project had improved livelihoods compared to forest-dependent communities outside the co-management scheme. It is suggested that this is due to the de facto co-management arrangements.     

“The man,the administration and the counter-discourse”: An analysis of the sudden turn in Dutch nature conservation policy

The Netherlands were at the forefront of European nature conservation policy until recently. For years, a stable ‘social contract’ around Dutch nature conservation existed. To the surprise of many, this stability suddenly disappeared and Dutch nature policy has taken a dramatic shift with changing discourses on nature conservation, the halting of implementation of several key-policies and budget cuts up to 70%. This paper engages with discursive-institutionalism to understand such abrupt institutional changes through emerging ideas and discourses that reshape and undermine existing institutional arrangements. We show how the institutionalization of policy not only engendered but also restricted the impact of critical discourses in the 1990s and 2000s. However, critical discourses eventually played an important role in the sudden turn in nature conservation policy. The rise of a general populist discourse and the economic crisis contributed to the credibility of critical discourses and their translation into popular frames and storylines. Authoritative actors such as a new State Secretary opened up popular media for the critical discourses and contributed to their resonance among larger audiences. As such, the man and his new administration successfully used already existing counter-discourses to de-legitimise nature policy and break down important institutional arrangements at a pace unseen in Dutch politics. Adding a discursive element to institutionalism provides for analytical tools to understand change from both external as well as internal forces. In turn, enriching discourse theory with insights from neo-institutionalism helps to evaluate which ideas and discourses become materialized in policy and practice.     

The River agreement in Italy. Resilient planning for the co-evolution of communities and landscapes

According to the “evolutionary” approach (Davoudi & Al., 2012), urban resilience implies that urban systems have capacity to react to several external disturbances - economic, social, environmental - regarding all components of urban governance and transforming itself in a new development model.River basins are considered an interesting space for experimental workshop on resilience, as a driver of territorial policy, for ordinary communities and landscapes, where the relationship between the sustainable use of territorial resources could led to new territorial strategies, as well as “promote managements synergies” at different levels of regional and local planning.River Agreements (RA) appear as an innovative governance method which can help in the drafting of potential plans and practices for the development of resilience in fluvial territories. It is a form of negotiated planning, that helps to involve social actors in order to: improve people’s knowledge of current territorial conditions and the effects of human activities; increase social awareness; include society in the identification and implementation of solutions; to encourage innovative changes in planning objectives and urban and architectural design, starting with the legal and planning framework of an Action Plan. Starting from the ‘80 s, RA were experimentally tested in Belgium and France and currently widespread also in Italy. In Piedmont Region (Italy), it is recognized as a successful territorial governance tool used to define shared strategies, measures, rules and projects. We will present the case study of the Sangone River Agreement as the first participate planning and design experience in Piedmont signed by local actors.     

Building an Alliance for Biotechnology in Africa

Scholars and activists working from within a political economy perspective often fail to explore the distinct motives, interests and behaviours of powerful actors who appear to be working ‘as one’ on a common agenda. Such is the case in recent analyses of efforts to promote the use of biotechnology in Africa. While the critical literature largely focuses on the attempt to create what Peter Newell calls ‘bio‐hegemony’, the present paper explores the diverse interests and tensions that have to be worked out in order to build such pro‐biotechnology coalitions. I analyse the formation of an organization called the African Agricultural Technology Foundation to show how differences between two major pro‐biotech actors – the Rockefeller Foundation and the agricultural biotechnology industry – were negotiated, so that these actors could work together towards the goal of getting GM technologies used and accepted in Africa. In the process, I reveal the inward projection of power that occurred as the biotech companies effectively determined the structure and terms of this alliance.     

Driving forces and rates of landscape change as a promising combination for landscape change research—An application on the northern fringe of the Swiss Alps

Landscape change is driven by various actors and forces which trigger a specific rate of change. Today, many landscapes change in a direction and with a rate considered unsustainable. Historical insights on actors, driving forces and resulting changes can provide a valuable basis to efficiently control or direct changes. In this paper actors and driving forces of landscape change of the last 120 years are studied in five areas on the northern fringe of the Swiss Alps. Rates of landscape change were reconstructed based on maps. Expert interviews with farmers, politicians, planners and historians as well as historical documents helped in identifying actors and driving forces of the detected landscape change. The contributions of actors and driving forces to landscape change were analyzed by type of driving force (political, economic, cultural, technological and natural/structural). The analysis revealed some key forces, like technological innovations and attitudes and beliefs, operating on several institutional levels and influencing landscape change on a broad basis. Comparing the municipalities disclosed no significant differences regarding the relative contributions of different actors. However, a comparison of the time period before and after World War II revealed distinctive differences in relevant actors and driving forces. Thus, decision-making, policy, and planning must be aware of changing actors and driving forces over time.     

The dilemma of property rights and indigenous institutional arrangements for common resources governance in China

Traditionally, property rights have been seen as an efficient means of optimizing the allocation of common resources. The arrangement of property rights, however, has historically led to a number of social, economic and ecological issues. Herders living in China are currently exploring collective grazing partnerships as they seek to maintain balance between ecological protection and livelihood development in the process of grassland governance. For the purposes of this study, we conducted an in-depth analysis of the property rights dilemma, offering possible solutions for indigenous institutional arrangements as exemplified in six typical cases. We assert that (1) stakeholders should respect local culture by ensuring the participation of herders in policymaking, (2) the use of fences for the demarcation of property rights is ineffective and often serves as a catalyst for the destruction and degradation of grassland ecosystems, and (3) herders’ use of collective action techniques should be reinvented with the support of state policy.     

New institutional approach to collaborative forest planning on public land: Methods for analysis and lessons for policy

Collaborative planning has become an increasingly popular approach in environmental decision-making, particularly in situations where there are multiple actors with conflicting interests. In this paper, collaborative environmental planning is perceived as being embedded in an institutional environment that has an impact on the processes and outcomes of planning. Building on the theory of new institutionalism, the paper combines legal analysis of forest regulation with interviews and policy document data from two case studies on collaborative Natural Resource Planning in state-owned forests in Finland. These approaches will be used to analyse how formal regulations and informal norms are interpreted and implemented in the planning processes. The paper highlights the important role institutions can play in promoting or hindering successful collaborative planning, and makes recommendations for developing a forest governance system that is equipped to deal with the identified challenges.     

How do planners manage risk in alternative land development models? An institutional analysis of land development in the Netherlands

While risk is a key concern in property development, it tends to be discussed by planners only relative to the effects of regulatory planning on private sector risk. Yet planning encompasses a broad range of activities that go beyond its function of regulating private sector development. Despite active approaches to land development being commonly used across different planning contexts, frameworks for analysing public sector strategies to address risk are rarely discussed. We attempt to redress this deficit by investigating the actions of public sector development actors with regard to risk across three different land development models: public land development, land development by public-private partnership, and land readjustment. Using recent Dutch experience, we conduct an institutional analysis of each land development model in order to highlight the effects of alternative governance structures on risk as a particular transaction attribute, from the perspective of public sector planning. Our findings indicate the importance of highlighting the role of public risk in alternative models of land development where there may be a tendency to adopt institutional arrangements without due regard to this, and point to possible future applications of institutional analysis at the particular, rather than the general, level.     

Accelerated restructuring in rural China fueled by ‘increasing vs. decreasing balance’ land-use policy for dealing with hollowed villages

Rapid industrialization and urbanization in China has produced a unique phenomenon of ‘village-hollowing’, shaped by the dual-track structure of socio-economic development. This paper analyzes the phenomenon of ‘village-hollowing’, identifying the processes and influences that have driven their evolution, and highlighting the challenge that the locking-up of unused rural housing land in ‘hollowed villages’ presents for China in the context of concerns over urban development and food security. The paper examines the ‘increasing vs. decreasing balance’ land-use policy has been adopted by the Chinese government in response to the problem, which seeks to balance increases in urban construction land with a reduction in rural construction land. The implementation of the scheme is discussed through a case study of Huantai county in Shandong province, drawing attention to its contested and contingent nature. It is argued that the policy is a top-down approach to rural restructuring that necessarily requires the acquiescence of local actors. However, it is noted that failures to adequate engage with local actors has led to resistance to the policy, including violent protests against the demolition of housing. The paper suggests that lessons might be learned from Europe by incorporating elements of ‘bottom-up’ planning into the process. As such, the paper demonstrates that rural restructuring in China is a dynamic, multi-scalar and hybrid process that shares common elements and experiences with rural restructuring in Europe and elsewhere, but which is also strongly shaped by the distinctive political, economic, social and cultural context of China.     

乡村政策动员中的“权力——技术”及其影响

在基层治理现代化背景下,乡镇政权对村干部的政策动员,开始由激励机制、压力机制转向责任机制。乡镇政府面对财权与事权不匹配现实,渐次倚重对制度性资源的技术化调配,塑造乡村"责任共同体"关系,推进政策落地。乡村政策动员中体制性吸纳、组织化协调、技术性约束和伦理化调适等权力—技术支配机制,虽可借助组织内责任关联纽带提高政策动员与执行效率,但该"权力的技术支配网络"同时也容易带来乡村治理的悬浮化、去政治化与泛政治化等"行政消解治理"问题。由此,乡村政策动员应警惕过于强化制度的工具性价值,重新发掘其治理内涵与社会价值,实现乡村治理"治术"与"治道"的平衡。     

国土空间用途管制的演进历程、发展趋势与政策创新

研究目的:探究国土空间用途管制的历史沿革、发展趋势与政策创新。研究方法:文献分析法和比较分析法。研究结果:(1)国土空间用途管制的发展大致经历了4个阶段,即土地用途管制阶段、生态要素用途管制阶段、自然生态空间用途管制阶段、国土空间用途管制阶段;(2)国土空间用途管制的发展趋势主要包括:与行政体制改革的相契合、与国土空间规划相契合、与各类空间政策相契合、与信息融合相契合;(3)国土空间用途管制的实施机制要综合运用行政手段、经济手段、法律手段和技术手段,考虑不同层级政府的分工、不同部门的分工,建立指标+空间+清单的管理模式;创新生态产品价值的实现机制,完善生态补偿政策,探索建立可交易发展权的政策设计;(4)高度重视法律法规在空间用途管制中的作用,强化依法管制、依法治国、高效治理等要求,并做好国土空间用途管制的技术支撑。研究结论:从提高制度协同配合效率角度审视国土空间用途管制;把握国土空间用途管制中的机构改革、技术调整、空间规划和政策延续等关键内容;综合运用经济、行政、法律、技术等手段,共同提高国土空间用途管制水平。     

Limits to Ecological Modernisation as a framework for sustainable fresh water governance

An important point of debate in contemporary environmental governance literature is the design of institutional arrangements for natural resource governance in Western democracies in the face of long-term ecological challenges. Informed by this debate, we ask in this paper to what extent does Ecological Modernisation precepts provide a governance framework for resolving freshwater management conflicts in the context of New Zealand's political economy? The paper draws on the region of Canterbury whose water resources have become the site of intense political conflict due to the rapid growth of dairy farming. We firstly argue how the precepts of Ecological Modernisation are promoted in natural resource governance through the discourses of a variety of stakeholders at both the national and regional level and secondly, demonstrate how the adoption of these precepts in institutional design reflect a broadly techno-corporatist interpretation of Ecological Modernisation theory which struggles to sustain ecological carrying capacity of freshwater resources.