Cross-level information and influence in mandated participatory planning: Alternative pathways to sustainable water management in Germany's implementation of the EU Water Framework Directive

State and non-state actors increasingly work across scales to address complex environmental problems. Prior studies of stakeholder participation have not fully examined how collaborative processes play out in multi-level policymaking. At the same time, multi-level governance studies do not adequately investigate the impacts of stakeholder participation. This study examines the cross-level interactions of influence and information in the participatory implementation of the European Union's Water Framework Directive. This directive is an example of mandated participatory planning, a relatively new approach that engages grassroots collaboration through a top-down structure with nested policy cycles. A case analysis of three collaborative planning units in the Land of Lower Saxony, within the federal governance structure of Germany, finds limited influence and information transmission across levels via formal planning and implementation processes. However, the collaborative efforts did yield alternative pathways for achieving substantive progress toward the directive's aims via learning, coordination, and buy-in among participants.     

Learning from Doing Participatory Rural Research: Lessons from the Peak District National Park

Understanding the socio‐economic and environmental implications of rural change requires the active participation of many research disciplines and stakeholders. However, it remains unclear how to best integrate participatory and biophysical research to provide information useful to land managers and policy makers. This paper presents findings of a RELU scoping study that has formulated and applied a research framework based on stakeholder participation and adaptive learning to model rural change in the Peak District National Park in the north of England. The paper describes a learning process that integrates different types of knowledge to produce future scenarios that describe possible economic and environmental changes due to a national review of burning practices on heather moorland and blanket bogs. We stress the need for using social network analysis to structure stakeholder engagement and outline how a range of participatory approaches can facilitate more inclusive environmental planning and policy development.     

The transformative and emancipatory potential of participatory evaluation: reflections from a participatory action research study with war-affected young mothers

The Participatory Action Research (PAR) study with Young Mothers in Liberia, Sierra Leone and northern Uganda which took place from 2006 to 2009 aimed to understand what ‘reintegration’ meant to young mothers formerly associated with armed groups. It also implemented social action initiatives designed by study participants to promote their wellbeing and achieve reintegration. We evaluated the study using multiple participatory evaluation methods, situating evaluation as part of the cycle of research and action. This approach facilitated young mothers’ participation in developing the criteria by which the study and its reintegration outcomes would be judged. We describe each method and what we uniquely learned from using a participatory evaluation approach. We discuss how this approach is well-suited for complex studies, can enhance data quality, increases capacity of all involved in the evaluation and supports the critical reflexivity necessary for participatory studies to succeed.     

An assessment of stakeholders’ participation in land use planning process of Luapula Province Planning Authority

The legal framework of Zambia has laws that support participatory land use planning process but there are no guidelines on how it should be done. Thus, the research aims at assessing if the Luapula Province Planning Authority (LPPA) has a land use planning process that incorporates effective stakeholders’ participation.The research is based on secondary data, especially the land use planning process in the Urban and Regional Planning (URP) Act No. 3 of 2015 of the Laws of Zambia and the participatory land use planning process of Kilimanjaro Region.The data analysed show that there is lack of effective stakeholders’ participation in the LPPA land use planning process; the LPPA land use planning process does not have the provision to capacity build stakeholders during the land use planning process; lack of participatory land use planning guidelines; the institutional framework under customary authority is not part of the land use planning process and the LPPA land use planning process is a top-down approach.The conclusions state that the legal and institutional frameworks in existence are inadequate for effective stakeholders’ participation in land use planning process of LPPA. In addition, the stakeholders are not incorporated in the LPPA land use planning process in terms of decision making but incorporated as reactants to the decisions made by the public authorities.The recommendations are that a National Land Use Planning Commission composed of representatives from stakeholder groups needs to be established. In addition, some sections of the URP Act No. 3 of 2015 of the Laws of Zambia need amendment inorder to have continuous feedback between the land use plan makers (planning firm(s) and planning authority) and the stakeholders. Furthermore, Village Councils must be given power to make decision by establishing them as Village Planning Authorities.     

How to overcome the implementation gap in ecosystem services? A user-friendly and inclusive tool for improved urban management

One of the main issues with the concept of ecosystem services is its absence on the ground in concrete operational decision-making contexts; that is, an implementation gap. In this study, we investigated if this gap could be overcome through the use of open-source data and free tools, and the adoption of a short-term participatory process. We tested these methods in the context of a project in the urban metropolitan area of Bordeaux (Communauté urbaine de Bordeaux: CUB) in France. The ecosystem services were defined using a participatory approach involving local stakeholders, and then selected scenarios were simulated to test the impact of various development or conservation plans. The study addressed three main questions: (1) Is it possible to adopt a simple methodological approach that overcomes the implementation gap through the development of a user-friendly and inclusive method? (2) What is the added value of a participatory approach? (3) With regards to four scenarios in this territory, what are the ES trends in the selected biophysical and monetary indicators, and will knowledge of these trends help planners to shape a sustainable trajectory for the territory?     

Deliberation or doctrine? Land use and spatial planning for sustainable development in Sweden

Spatial planning has been earmarked as an important tool for achieving sustainable development. In Sweden the important task of planning for sustainable spatial development and land use falls largely to the local authorities, since there is no official institute for spatial planning at a national or regional level. This article investigates local planning for sustainable development by analysing recent municipal comprehensive plans, which it is argued are a major instrument for this purpose. Although comprehensive plans are statutory, their design and content is very much at local discretion, and for the most part, not a rigid process governed from above. For this reason, a template analysis was used, where the template was built from the contents of the comprehensive plans, and not from a predefined understanding of what sustainability is or how planning for sustainable development should be done. What the findings reveal, however, is that there is not much deliberation concerning the meaning(s) of sustainable development, and, further, that the planning principles considered necessary to bring about sustainable development were not exclusively regarded as sustainable as such, but rather as part of a general ‘belief system’ about prudent planning—sustainable or not. It is suggested that, rather than rethinking planning, planners have internalized the concept of sustainable planning into the existing ‘belief system,’ and thus, the planning principles have become ‘sustainable’ by default.     

“This is what we did last time”. Uncertainty over landscape analysis and its procurement in the Swedish road planning process

In some European countries, landscape analysis has long been used in support of large-scale planning or major projects such as new trunk roads and mainline rail routes, in line with both the UN's Convention on Environmental Impact Assessment and the European Landscape Convention. Some countries, however, lack a regulatory framework for what should be analysed, how a landscape analysis should be conducted, or even how it should be procured. Sweden is one such country. The research project on which this article is based uses in-depth interviews with twelve key Swedish officials to consider landscape analysis issues in the planning and procurement of road and railway infrastructure. The findings point to the fact that skilled transport planners are not entirely comfortable with the current situation, and the way landscape analysis is handled in daily planning practice varies enormously. For example, nearly all the respondents believe that the way formal landscape analyses are procured is important, not least to ensure quality, yet at the same time they are rarely commissioned separately, even when this is explicitly stipulated by the regulations. There is no generally accepted notion of what ‘landscape’ might be, and the terms in which respondents describe the landscape do not correspond to the official landscape terminology as set down in the ELC.     

土地利用总体规划公众认知程度分析——以北京市顺义区为例

研究目的:针对不同社会主体对规划认知及参与程度的调查与分析,提出提高规划认知程度的技术方法与管理措施,为新一轮规划修编提供建议。研究方法:参与式研究方法。研究结果:(1)顺义区公众对"土地利用规划"广义认知程度总体较低,明显低于城市总体规划;但是对土地利用规划实施的相关措施认知度却较高;(2)土地利用规划的权威性、统筹能力都有待提高;(3)公众的参与程度直接影响了规划的实施;(4)不同特征的社会主体对自身参与土地利用总体规划的认知程度差异明显。研究结论:政府应在规划各个环节中加强宣传,尤其强化对国家工作人员的教育,促进部门之间紧密合作,培育公众的规划参与意识,提高规划的公众认知度,加快建立以人为本的规划编制和实施的公众参与机制。     

Building resilience: Mainstreaming community participation into integrated assessment of resilience to climatic hazards in metropolitan land use management

Building resilience is critical for metropolitan land use planning to strengthen the ability to cope with and minimize climatic disaster risks. Challenges still remain for metropolitan agencies in identifying the components or metrics for measuring resilience. Particularly, uncertainties in climate change and diversification in local contexts compel urban planners to mainstream community participation, indigenous knowledge and local attributes into the resilience assessment. This article aims to propose a novel methodology for assessing resilience, which can encourage stakeholder participation and communicate planners in shaping metropolitan land use policies. Using the Taichung metropolis, Taiwan as the study area, this article created a resilience metric called the Climatic Hazard Resilience Indicators for Localities (CHRIL) that is appropriate for use in a policy context. Then, this metric combined a fuzzy multicriteria decision analysis with a participatory geographic information system approach to measure and map resilience to climatic hazards. Through the participation of experts, local officers and community members, a multivariate analysis was applied to explain why low resilience areas occur in specific locations. Moreover, we performed a cluster analysis to group the areas into several types of resilience and revealed the relationship between the resilience factors and overall local development patterns. Results show that conflicts and tradeoffs may exist between some resilience factors, especially socioeconomic vulnerability and adaptive capacity. The findings provide stakeholders and policy-makers with a better governance structure to design and synthesize appropriate patchworks of planning measures for different types of resilience areas to reduce climatic hazard risks.     

Using scenario-based influence mapping to examine farmers’ biosecurity behaviour

Understanding of farmers’ influences relating to biosecurity is surprisingly weak, beyond general remarks that farmers tend to trust their private vet. Previous studies have explored influences in relation to single issue events. There is a need for better methodologies to fully appreciate how farmers’ biosecurity practices are shaped. Using bovine Tuberculosis as a case study, this paper uses stakeholder mapping methods applied across different scenarios. The aim is to identify how farmers’ responses to animal disease policy are shaped by their relationships with different actors. Interviews were conducted with 50 farmers in three areas in England. Farmers were presented with four scenarios to control bovine Tuberculosis: 1) a badger cull, 2) an oral badger vaccine, 3) a cattle vaccine and 4) a range of control measures. The results show that as things get more uncertain, government institutions become more influential. Government institutions and government vets are also important in situations where farmers do not consider themselves ‘experts’ i.e. vaccination as opposed to culling. The influence of other farmers was not universal; it differed between scenarios. These data show the value of scenario-based stakeholder mapping as a methodology that can enable biosecurity researchers to: more accurately and systematically determine stakeholder influence and understand how these influences change and evolve; understand the role of farmer biosecurity practices, the self-concept and ‘good farming’; and identify broader logics of biosecurity that influence and potentially frustrate animal disease policy goals.     

Stakeholder engagement in water policy: Lessons from peri-urban irrigation

In highly urbanised Australia many cities and towns demand may have exceeded existing water supply. In peri-urban areas this can lead to conflict over access to supplies with priority often given to urban users. In an effort to resolve potential conflicts, water management planning often seeks to engage ‘community stakeholders’ in an attempt to produce a ‘harmonised’ strategic plan. In this paper we focus on the process of developing one such plan for sustainable water management in a peri-urban area with complex and conflicting stakeholder interests. We subject data from a series of planning meetings and ‘stakeholder’ workshops to a critical review and analysis against the project's stated aims for this stage of the process of: engaging key stakeholders, developing a common vision, and deciding research priorities. We conclude that the approach was unable to achieve these strategic outcomes. In discussion we explore how this analysis reflects barriers in the engagement process, which highlight more general concerns about this widely accepted model for stakeholder engagement in resource issues.     

The struggle to achieve holistic landscape planning: Lessons from planning the E6 road route through Tanum World Heritage Site,Sweden

Since the EU introduced the European Landscape Convention (ELC) in 2000, the landscape has received growing attention in spatial planning and environmental impact assessments. To promote implementation of the ELC, the Swedish National Heritage Board proposed its Landscape Vision 2020, which addresses the goal of a ‘holistic landscape policy’. This study examined challenges and benefits brought by such a holistic approach to handling landscape protection/management within four issues in planning practice, namely cross-sector cooperation, local participation, integrating culture and nature, and bridging past and future. The analysis focused on a controversial road project passing through a World Heritage Site in Sweden. The results showed that the four issues were closely interlinked. In the case study, a new wave of cross-sector cooperation at authority level was observed, but it was also found to dominate the entire planning process and eventually limit the achievement of the other three issues. In conclusion, this study identified institutional culture and political context as key explanatory factors for understanding how the ELC and a holistic landscape view can be implemented in national practice.     

Experts’ perceptions of the sloping land conversion program in the Loess Plateau,China

China’s Sloping Land Conversion Program (SLCP) is the world’s largest payment for ecosystem services program for improving ecological conditions and farmers’ livelihood. Communicating the SLCP outcomes across diverse stakeholder groups in ecological, socio-economic, political and institutional contexts can facilitate the effective implementation of the new round of the SLCP. Experts from various fields involved in the SLCP have developed good connections with governments, agencies, and farmers; therefore they can play an invaluable role in informing urgent policy changes. This study is based upon 24 interviews with the SLCP experts with the aims of assessing their perceptions of ecological, economic, political and social impacts of the SLCP on the Loess Plateau of China, and then gathering their policy recommendations to ensure that the new round of the SLCP would be implemented efficiently. Content analysis based on the grounded theory is used in present study. Judging from expert-based consensual statements from this study’s interviews, the main concerns about the first round of the SLCP on the Loess Plateau are that the dramatic increase in the farmer’s income and livelihood is mainly from off-farm sources rather than the SLCP subsidy, that equitable government compensation is dependent on the outcome of the SLCP, that the aggressive SLCP causes soil drought which have negative effects on ecological restoration, and that the stakeholders’ interaction could be improved. Based on the analyses of the experts’ interviews, the recommendations are summarised as follows: strengthening the farmers’ environmental awareness and vocational skills, establishing multi-source financial supports and flexible compensation mechanisms, establishing participatory planning that requires stakeholder involvement especially farmers and insisting that scientific studies on the ecological restoration of the Loess Plateau must be shared with local governments and farmers.     

Towards understanding and resolving the conflict related to the Eastern Imperial Eagle (Aquila heliaca) conservation with participatory management planning

Conflicts often arise in relation to the conservation of protected predator species. If stakeholders are well defined and involved in participatory processes, their views and perceptions can be incorporated and steps can be made towards resolving such conflicts. In this paper, a case from Hungary is presented. In this case, a participatory management planning process was initiated in the Jászság Special Protection Area of European importance (SPA), within the frame of a LIFE+ project focusing on the conservation of the Eastern Imperial Eagle (Aquila heliaca). It provided a good opportunity to address a complex conflict situation between nature conservationists, game managers and farmers. We identified structural conflicts such as contradictions between direct agricultural payments and nature conservation goals, conflicts related to different views of the main influencing factors, relational problems between various stakeholders, and even differences in value orientation. The participatory management planning process was successful in clarifying the conflict situation and making productive steps toward a common understanding and resolution. Besides the mutually agreed conservation measures, the establishment of an administrative and financial incentive such as the high nature value area (HNVA) scheme proved to be an especially important factor for mitigating the conflict. It also contributed to a more successful realisation of nature conservation objectives in an area dominated by private land owners. However, continued interaction and cooperation are needed to stabilise this progress. Our paper also shows that stakeholder involvement in conservation management planning can transcend the strategic dimension of participation, and address broader common values besides the interests of land user groups.     

Impact of the European Water Framework Directive on local-level water management: Case study Oxunda Catchment, Sweden

The Water Framework Directive (WFD) of the European Union provides a common framework for water policy that focuses on holistic and integrated water management in river basins. In many member states, implementation of the WFD has shifted the main responsibility for local water issues from the municipal level to the regional or supra-regional levels. In this study, we investigated how the implementation of the WFD has influenced local-level water management including the interpretation of the new environmental quality standards. Specifically, we considered Sweden, which has traditionally had relatively strong governance at the municipal level. Because a sufficient amount of time has now passed for evaluation of WFD-related effects on operational water handling, we interviewed individuals directly involved in water planning and land use planning at the municipal level in one sub catchment in the Northern Baltic Sea River Basin District of Sweden, as well as representatives for superior levels and associations. Despite divergent views regarding the priority of water issues in physical planning among the local-level planners interviewed, they had all participated in successful inter-municipal pre-WFD collaboration projects. Although such collaborations could help increase the understanding and acceptance of WFD-related goals and costs, as well as facilitate conflict solving, as shown in the Oxunda Catchment, they have not gained much attention in the WFD implementation process. Additionally, physical planners have generally been reluctant to accept new environmental quality standards resulting from WFD implementation, in part because they lack precise definitions, but also because they could challenge the municipal routine of weighing various objectives against each other. Furthermore, despite WFD-related increases in ambition levels, lack of resource improvements at the municipal level were identified as potential problems by local environmental planners.     

Bringing the sharing-sparing debate down to the ground—Lessons learnt for participatory scenario development

The concepts of Land Sharing (LSH) and Land Sparing (LSP) shall help to manage trade-offs between land use and biodiversity conservation but applications in real world contexts are scarce. We review the literature on scenario and stakeholder processes and present a participatory approach to translate the LSH/LSP concept into practice. It is based on a scenario definition process harmonized across five case studies in Europe and resulted in semi-quantitative participative LSH and LSP scenarios. Harmonization eases comparability among case studies despite fundamentally different scenarios due to heterogeneous conditions across the regions. A key challenge was the right level of standardization for the scenario process to reach a common understanding across case study regions while acknowledging regional peculiarities. The resulting scenarios support for regional specific planning recommendations and can be input to quantitative ecosystem service and biodiversity models.     

Hybrid knowledge for understanding complex agri-environmental issues: nitrate pollution in Italy

Although agri-environmental policies have been launched by the European Union to mitigate environmental pollution and sustain agricultural development, there is not much understanding of how to manage the asymmetries between the objectives and the effectiveness of the implementation of the policies on local scale. The nitrate directive (ND) is an emblematic case in this context. This research focused on the role of ‘hybrid knowledge’ (scientific and local) and the process of knowledge integration in understanding the nitrate problem as an agri-environmental issue emerging from a complex set of biophysical and social factors. We conducted an integrated analysis of a case study on nitrate pollution in an intensive dairy district under Mediterranean conditions. A participatory action research approach was applied to elicit stakeholders’ knowledge and perspectives and to create new learning spaces among farmers, researchers and policy makers at case study scale. We explored the effectiveness of social learning triggered due to participatory field experiments, by bringing together stakeholders to generate new ‘hybrid knowledge’ for agri-environmental sustainability. The dramatic shift from the initial defensive position of farmers to an agreement on concerted actions proved that the integration between local and scientific knowledge may contribute to an increase in the effectiveness of the ND.     

Is spatial planning a collaborative learning process? A case study from a rural–urban gradient in Sweden

International and national policies stress the importance of spatial planning for the long-term sustainability of regions. This paper identifies the extent to which the spatial planning in a Swedish region can be characterised as a collaborative learning process. By combining qualitative interviews and systems thinking methods we analysed the main attributes of public-led spatial (i.e. comprehensive) planning in nine municipalities representing a steep urban–rural gradient in the Bergslagen region of Central Sweden. We show that the attributes of strategic spatial planning needed for collaborative learning were absent or undeveloped. All studied municipalities experienced challenges in coordinating complex issues regarding long-term planning to steer territorial development and help to solve conflicts among competing interests. Stakeholder participation was identified as a basic condition for social learning in planning. Together with stakeholders we identified the causal structure behind stakeholder participation in municipal planning processes, including main drivers and feedback loops. We conclude that there is a need for arenas allowing and promoting stakeholder activity, participation and inclusion that combines both bottom-up and top-down approaches, and where evidence-based collaborative learning can occur.     

新一轮土地利用总体规划修编中参与式方法的应用

研究目的:为全国即将展开的新一轮土地利用总体规划修编,尤其是县乡两级土地利用总体规划提供新的技术方法.研究方法:参与式规划方法.研究结果:以参与式规划方法在江西省黄岭小流域的应用为例,探讨了参与式规划方法在土地利用总体规划,尤其是县乡两级规划中的应用.研究结论:参与式规划方法有利于规划方案编制的科学、合理和易被公众接受,也有利于规划的实施监督.     

The making of urban financialization? An exploration of brazilian urban partnership operations with building certificates

This paper provides two contributions to the research on urban planning and the financialization of land use. Instead of stressing the consequences of finance on others, it prioritizes the analysis of the social-technical constitution of finance itself within urban planning, and does so in an emerging country setting, which is still relatively understudied in the existing literature. We analyse a specific Brazilian planning instrument, i.e., the sale of securitized building certificates (CEPACs) in large urban (re)development projects (UDPs), as a potential constituent space of urban financialization. The paper explores how planners, financial consultants, contractors and builders/developers effectively shape the contradictory financial and physical design and implementation of UDPs with CEPACs. Although the initial evidence shows that there are still clear limits to the penetration of financial logics into land use planning, continuing regulatory rollout and the increasing activism of foreign investors suggest the instrument’s open-ended trajectory, with a potentially more significant role for financial actors in constituting urban financialization through CEPACs.