Decentralization, forests and livelihoods: Theory and narrative

This paper discusses the theory of decentralized forest management, the associated narrative and the underlying hypotheses. That discussion informs the assessment of whether decentralization can lead to forest conservation. The paper argues that the ideal model of democratic decentralization described in the literature is unlikely to be implemented given the governance constraints present in many tropical forest countries. Even if that model could be implemented, it is shown that decentralization cannot be expected to necessarily lead to forest conservation. The policies required to complement the current decentralization model are discussed, including financial incentives and monitoring and evaluation mechanisms.     

Transitions toward co-management: The process of marine resource management devolution in three east African countries

Communities are increasingly empowered with the ability and responsibility of working with national governments to make decisions about marine resources in decentralized co-management arrangements. This transition toward decentralized management represents a changing governance landscape. This paper explores the transition to decentralisation in marine resource management systems in three East African countries. The paper draws upon expert opinion and literature from both political science and linked social-ecological systems fields to guide exploration of five key governance transition concepts in each country: (1) drivers of change; (2) institutional arrangements; (3) institutional fit; (4) actor interactions; and (5) adaptive management. Key findings are that decentralized management in the region was largely donor-driven and only partly transferred power to local stakeholders. However, increased accountability created a degree of democracy in regards to natural resource governance that was not previously present. Additionally, increased local-level adaptive management has emerged in most systems and, to date, this experimental management has helped to change resource user's views from metaphysical to more scientific cause-and-effect attribution of changes to resource conditions.     

Varieties of flood risk governance in Europe: How do countries respond to driving forces and what explains institutional change?

Floods are challenging the resilience of societies all over the world. In many countries there are discussions on diversifying the strategies for flood risk management, which implies some sort of policy change. To understand the possibilities of such change, a thorough understanding of the forces of stability and change of underlying governance arrangements is required. It follows from the path dependency literature that countries which rely strongly on flood infrastructures, as part of flood defense strategies, would be more path dependent. Consequently there is a higher chance to find more incremental change in these countries than in countries that have a more diversified set of strategies. However, comparative and detailed empirical studies that may help scrutinize this assumption are lacking.To address this knowledge gap, this paper investigates how six European countries (Belgium, England, France, The Netherlands, Poland and Sweden) essentially differ with regard to their governance of flood risks. To analyze stability and change, we focus on how countries are responding to certain societal and ecological driving forces (ecological turn; climate change discourses; European policies; and the increasing prevalence of economic rationalizations) that potentially affect the institutional arrangements for flood risk governance. Taking both the variety of flood risk governance in countries and their responses to driving forces into account, we can clarify the conditions of stability or change of flood risk governance arrangements more generally. The analysis shows that the national-level impact of driving forces is strongly influenced by the flood risk governance arrangements in the six countries. Path dependencies are indeed visible in countries with high investments in flood infrastructure accompanied by strongly institutionalized governance arrangements (Poland, the Netherlands) but not only there. Also more diversified countries that are less dependent on flood infrastructure and flood defense only (England) show path dependencies and mostly incremental change. More substantial changes are visible in countries that show moderate diversification of strategies (Belgium, France) or countries that ‘have no strong path yet’ in comprehensive flood risk governance (Sweden). This suggests that policy change can be expected when there is both the internal need and will to change and a barrage of (external) driving forces pushing for change.     

CDM potential in the power-generation and energy-intensive industries of China

Reducing emissions from deforestation and forest degradation (REDD+) has emerged as an important carbon governance mechanism. However, forest governance is weak in most REDD+ countries, which undermines efforts to establish REDD+. This study analyses the factors that enable national REDD+ processes in the context of weak governance using a two-step ‘qualitative comparative analysis’ (QCA) of 12 REDD+ countries. Assuming that actor-related factors can be effective only if certain institutional preconditions are met, six factors were divided into two categories that were analysed separately: institutional setting (pressure from forest-resource shortage; forest legislation, policy, and governance; already initiated policy change) and the policy arena (national ownership; transformational coalitions; inclusiveness of the policy process). The factors were analysed to determine their role in efforts to establish comprehensive REDD+ policies that target transformational change. The results reveal path dependencies and institutional stickiness in all the study countries. Only countries already undertaking institutional change have been able to establish REDD+ policies in a relatively short period – but only in the presence of either high pressure from forest-resource shortages or key features of effective forest legislation, policy, and governance. Furthermore, where an enabling institutional setting is in place, the policy arena conditions of national ownership and transformational coalitions are crucial.Policy relevance Although the aim of REDD+ is to provide performance-based payments for emissions reductions, the outcomes in terms of actual emission reductions or co-benefits are not yet observable. Most REDD+ countries are still at the design and implementation stage for policies and measures. Indicators and criteria to measure progress in this phase are required to identify which factors enable or hinder countries' performance in delivering necessary policy change to provide targeted financial incentives to support countries' efforts. This study analyses the factors that shape national REDD+ processes in the context of weak governance using a two-step QCA of 12 REDD+ countries. The results show a set of enabling conditions and characteristics of the policy process under which REDD+ policies can be established. These findings may help guide other countries seeking to formulate REDD+ policies that are likely to deliver efficient, effective, and equitable outcomes.     

Centralization in the global avoided deforestation collaboration network

Reducing Emissions from Deforestation and Forest Degradation projects currently cover an area approximately twice the size of Germany and challenge traditional concepts of centralization and decentralization in studies of environmental governance. Emerging from the interactions of a complex network of actors, Reducing Emissions from Deforestation and Forest Degradation demonstrates that transnational governance networks of organizations can become spatially centralized. Using a historical analysis of the development of Reducing Emissions from Deforestation and Forest Degradation, we argue that the evolution of Reducing Emissions from Deforestation and Forest Degradation policy has been directed primarily from donor countries, especially in North America and Europe. Adopting a social network analysis approach, we present findings from a new dataset of collaboration on 276 Reducing Emissions from Deforestation and Degradation, avoided deforestation, and sustainable forest management projects that began some on-the-ground operations between 1989 and June 2012, finding that organizations in donor countries have from the beginning been the central actors in the Reducing Emissions from Deforestation and Forest Degradation network. We conclude that Reducing Emissions from Deforestation and Forest Degradation exhibits spatial centralization within transnational governance architectures despite institutional fragmentation, raising important normative questions about participation in transnational forest governance.     

Alleviating barriers to urban climate change adaptation through international cooperation

International cooperation on climate change adaptation is regarded as one of the major avenues to reduce vulnerability in developing countries. Nevertheless, it remains unclear which design properties of international arrangements match with specific problems in local adaptation processes. This paper analyses conditions and institutional design options under which international cooperation can facilitate climate adaptation in urban areas in developing countries. We conduct a qualitative meta-analysis of empirical evidence from 23 cases. Using the archetype approach, we identify re-appearing barriers and change factors in urban squatter settlements and municipal public sectors in developing countries. We characterise five generic modes of international cooperation for climate adaptation based on UNFCCC documents, process observation, and literature review. Combining these analyses, we develop testable propositions that explain how specific design options of international arrangements can alleviate barriers and make use of change factors for urban adaptation in developing countries. We find, first, that international cooperation has the most potential to tackle adaptation barriers in squatter settlements if its institutional mechanisms support improvements of procedures and rights in localised state–society interactions. Second, national or regional centres of competence may foster endogenous dynamics in municipal public sectors. Third, national adaptation policies can enable and incentivise municipal adaptation. Fourth, flexible indicators of adaptation benefits are instruments to tailor international decision making and monitoring systems to local needs. We conclude that these insights, the archetypes approach, and a multi-level study design can be used to advance research on international cooperation, barriers, and success factors for climate change adaptation.     

Hierarchical livelihood outcomes among co-managed fisheries

Collaborative management arrangements are increasingly being used in fisheries, yet critical questions remain about the conditions under which these are most successful. Here, we conduct one of the first comprehensive tests of Elinor Ostrom's diagnostic framework for analyzing social–ecological systems to examine how 16 socioeconomic and institutional conditions are related the livelihood outcomes in 42 co-management arrangements in five countries across the Indo-Pacific. We combine recent developments in both theory and modeling to address three key challenges among comparative studies of social–ecological systems: the presence of a large number of explanatory mechanisms, variables operating at multiple scales, and the potential for interactions among socio-economic and institutional factors. We find that resource users were more likely to perceive benefits from co-management when they are more involved in decisions, were aware that humans are causal agents of change in marine systems, were wealthier, were not migrants, were in villages with smaller populations and older co-management arrangements, and had clearly established boundaries. Critically, we quantify a number of key interactions between: wealth, dependence on marine resources, involvement in decision-making, and population size that have strong implications for co-management success in terms of livelihood benefits. This study demonstrates that context plays a critical but identifiable role in co-management success.     

Measuring good governance for complex ecosystems: Perceptions of coral reef-dependent communities in the Caribbean

Good governance is widely seen as a prerequisite for effective natural resources management in the context of environmental decline and increasing anthropogenic pressures. Few studies quantitatively examine governance principles, or explore links between perceptions of community members and the governance that shapes their behaviour. Comparative work, spanning multiple sites and contexts, is rare. This paper measures community members’ perceptions of governance in twelve coral reef-dependent communities across four countries in the Wider Caribbean Region. In relation to established principles of ‘good governance’, multiple correspondence analysis indicates that perceptions can be reliably described using two themes, institutional acceptance and engagement. These explain over 50% of variation in individual perceptions. These measurable themes provide an indication of the social fit of governance arrangements, and have implications for expected outcomes, including support for management and compliance with regulations. Cluster analysis provides unique empirical evidence linking structural characteristics of governance to community perceptions; four of five good governance indicators were present in communities with positive perceptions. Results suggest a combination of supportive structures and processes are necessary to achieve governance systems positively perceived by community members. Findings are relevant to those seeking to design management systems and governance structures that are appropriate to local circumstances and will engender stakeholder support.     

Institutional dimensions of the developing REDD+ process in Cameroon

The reducing emissions from deforestation and forest degradation (REDD+) initiative has emerged in recent years as a mechanism to simultaneously address climate change, biodiversity, and poverty reduction challenges at the margins of tropical forests. Congo Basin countries, including Cameroon, have embraced the opportunities that REDD+ provides, with great expectations. Yet, it needs to be investigated whether the enabling institutional environment, which is required for implementing REDD+, is present. Understanding is still limited on how to build adequate and strong institutional relations that could shape the reforms towards the establishment of efficient emissions reductions schemes. Furthermore, uncertainty remains on the operational mechanisms of REDD+, suggesting that, to catalyse effectiveness, there is a need to come up with a governance model nested in relevant policy frameworks. This study builds on a modified ‘4Is’ framework – Institutions, Interests, Ideas and Information – to analyse REDD+ and explore stakeholders' perceptions on the local forest governance potential. A structural implementation model to optimize the effectiveness of REDD+ is developed. Findings suggest that governments need to review existing policies to take into account participation, local people rights, and information access as a way to stimulate actors' willingness to contribute to emissions reductions and carbon stock increases under REDD+ regimes.     

Emergence of co-management governance for Hawai‘i coral reef fisheries

Governance failures associated with top-down management have spawned a myriad of institutional arrangements to engage resource users in decision-making through co-management. Although co-management can take many forms and may not always lead to positive outcomes, it has emerged as a promising governance option available to meet social and ecological goals. Recent research on co-management of small-scale fisheries has used comparative approaches to test factors associated with social and ecological success. Less is known however, about how co-management institutional arrangements emerge and persist in the face of socioeconomic and environmental change. Here, we examine the emergence of co-management governance using a case study from coral reef fisheries in the Hawaiian Islands. We used a mixed methods approach, combining a robust policy analysis and a set of key respondent interviews to trace the evolution of this co-management arrangement. Our research uncovers a set of linked drivers and social responses, which together comprise the emergence phase for the evolution of co-management in this case study. Drivers include resource depletion and conflict, and social responses comprise self-organization, consensus building, and collective action. We share insights on key factors that affect these phases of emergence, drawing on empirical findings from our policy review and key respondent interviews. We conclude by describing ways that our findings can directly inform policy and planning in practice, including the importance of documenting the ‘creation story’ that spawned the new institutional arrangement, ensuring that enabling conditions are present, the complexity of defining community, the connection between process legitimacy and outcomes, and understanding the costs and timelines associated with co-management governance transitions.     

Linking multi-level governance to local common-pool resource theory using fuzzy-set qualitative comparative analysis: Insights from twenty years of biodiversity conservation in Costa Rica

Understanding the relationship between multi-level institutional linkages and conditions influencing the likelihood of successful collective action has practical and theoretical relevance to sustainable local resource governance. This paper studies the relationship between multi-level linkages and local autonomy, a facilitating condition found to increase the likelihood of local successful collective action. A technique known as fuzzy-set qualitative comparative analysis (fsQCA) was applied to a longitudinal comparative data set. In the context of the decentralization of a protected area system in Costa Rica (1986–2006), it traced the emergence and endurance of autonomy among local institutions for biodiversity conservation. The technique illustrates which set of multi-level linkages combined in different ways, and at different points in time, to reach the same outcome (local autonomy). The findings show that a unique set of combinations of multi-level linkages led to the emergence of local autonomy among institutions for biodiversity conservation governance. In contrast, a more diverse set was associated with the endurance of local autonomy over time, suggesting that institutional diversity may play a more prominent role in the maintenance of institutional robustness than in processes of institutional emergence.     

适应性治理与气候变化：内蒙古草原案例分析与对策探讨

适应性治理通过边学边做,针对各地方的社会经济条件、自然生态系统、地方知识文化等基本特征,基于一个动态、自下而上和自组织的过程不断测试和修正制度安排与知识体系,形成一个旨在解决实际问题的循环过程。通过内蒙古3个地区案例的对比分析研究,基于对其气候变化风险和社会脆弱性的评估,发现其在气候变化影响下形成的不同程度的社会脆弱性正是源于不同的草原利用机制和基于此的社会合作机制。正是因为3个案例地的牧民有着不同的社会资本和社会记忆,所以他们面对极端天气导致的自然灾害时,采取了不同的应对方式,有的牧户可以依赖于社会资本移动牲畜来渡过难关,有的牧户则可以在嘎查范围内重启社会记忆,通过合理安排草场利用和移动牲畜提高自身的抗灾能力,而有的牧户则只能通过买草料独立抗灾。这样不同的结果有力证明了适应性治理在提升这些地区气候变化应对能力方面的必要性和可行性。在地区层面引入适应性治理,可以满足各利益相关方的需求,有利于自然、社会及管理的多学科协同,与“未来地球计划”的协同设计、协同实施和协同推广理念不谋而合,是“未来地球”思想在气候变化适应研究中的实践。     

Institutional design propositions for the governance of adaptation to climate change in the water sector

This paper provides an evidence-based contribution to understanding processes of climate change adaptation in water governance systems in the Netherlands, Australia and South Africa. It builds upon the work of Ostrom on institutional design principles for local common pool resources systems. We argue that for dealing with complexities and uncertainties related to climate change impacts (e.g. increased frequency and intensity of floods or droughts) additional or adjusted institutional design propositions are necessary that facilitate learning processes. This is especially the case for dealing with complex, cross-boundary and large-scale resource systems, such as river basins and delta areas in the Netherlands and South Africa or groundwater systems in Western Australia. In this paper we provide empirical support for a set of eight refined and extended institutional design propositions for the governance of adaptation to climate change in the water sector. Together they capture structural, agency and learning dimensions of the adaptation challenge and they provide a strong initial framework to explore key institutional issues in the governance of adaptation to climate change. These institutional design propositions support a “management as learning” approach to dealing with complexity and uncertainty. They do not specify blueprints, but encourage adaptation tuned to the specific features of local geography, ecology, economies and cultures.     

Experiences of host communities with carbon market projects: towards multi-level climate justice

The literature on equity and justice in climate change mitigation has largely focused on North–South relations and equity between states. However, some initiatives (e.g. the Clean Development Mechanism (CDM), the Reducing Emissions from Deforestation and Forest Degradation programme (REDD), and voluntary carbon markets (VCMs)) are already establishing multi-level governance structures that involve communities from developing countries in global mitigation efforts. This poses new equity and justice dilemmas: how the burdens and benefits of mitigation are shared across various levels and how host communities are positioned in multi-level governance structures. A review of the existing literature is used to distill a framework for distinguishing between four axes of climate justice from the perspective of communities. Empirical evidence from African and Asian carbon market projects is used to assess the distributive and procedural justice implications for host communities. The evidence suggests that host communities often benefit little from carbon market projects and find it difficult to protect their interests. Capacity building, attention to local power relations, supervision of business practices, promotion of projects with primarily development aims and an active involvement of non-state actors as bridges between local communities and the national/international levels could potentially contribute towards addressing some of the key justice concerns.Policy relevance International negotiations on the institutional frameworks that are envisaged to govern carbon markets are proceeding at a rather slow pace. As a consequence, host countries and private-sector actors are making their own arrangements to safeguard the interests of local communities. While several standards have emerged to guide carbon market activity on the ground, distributive as well as procedural justice concerns nevertheless remain salient. Four empirical case studies across Asia and Africa show that within the multi-scale and multi-actor carbon market governance, local-level actors often lack sufficient agency to advance their claims and protect their interests. This evidence suggests that ameliorating policy reforms are needed to enhance the positioning of local communities. Doing so is important to ensure future acceptability of carbon market activity in potential host communities as well as for ensuring their broader legitimacy.     

Analyzing the (mis)fit between the institutional and ecological networks of the Indo-West Pacific

Critical to improving environmental governance is understanding the fit (alignment) between institutional arrangements and key ecological processes. This is particularly true for biodiversity hotpots and ecologically sensitive areas that are subject to significant impacts from human activities. Here, we have developed an innovative approach to quantify ecological-institutional alignment across an environmentally and politically complex large-scale marine social-ecological system. We mapped the trans-boundary networks of marine population dispersal corridors, and intersected these with estimates of cross-country institutional linkages related to marine management and conservation. In integrating large-scale ecological-institutional networks, we identify geopolitical fit and misfit between a region's ecological processes and its governance. We have demonstrated this approach in the Indo-West Pacific region, a global marine biodiversity hotpot in the Indo-West Pacific. We present region-specific institutional and ecological networks, highlight current challenges, and suggest future directions to refine the proposed approach to quantify alignment between ecological processes and governance arrangements. Ultimately, our method has the potential to assist management efforts in prioritizing and strengthening governance to effectively safeguard ecological processes across multiple jurisdictions.     

Scalar capital as ingredient of success in conservation governance: evidence from Melanesia

Problems of scale abound in the governance of complex social-ecological systems. Conservation governance, for example, typically occurs at a single scale, but needs to inform governance and action at other scales to be truly effective at achieving social and ecological outcomes. This process is conventionally conceived as unidirectional – either scaling down or scaling up – in the way it both exploits and creates the natural, social, human, institutional, and financial resources and benefits that are collectively known as conservation ‘capital’. Here we analyse multiscale conservation governance and the different types of capital that impede or facilitate its effectiveness. Comparative analysis of conservation planning in Papua New Guinea and the Solomon Islands, through in-depth document review, key informant interview, and participant observation, reveals limited evidence of unidirectional processes. Instead, we observe multidirectional scaling pathways, cultivated by the following six scale-explicit characteristics of effective conservation governance: 1) multiscale understanding, 2) scale jumping, 3) scaled leadership characteristics, 4) scaled stakeholder engagement, 5) scaled policy frameworks, and 6) scaled institutional settings. While the latter four are familiar concepts, though not always recognised as explicitly scalar, we know little about the first two attributes of conservation governance. Based on this novelty and relevance, we propose a new form of capital – ‘scalar capital’ – to complement natural, social, human, institutional, and financial capitals as both input and outcome of effective conservation governance. We find that scalar capital facilitates flows of different resources (data, conservation objectives, practitioner experience, institutional support, and funding) in multiple directions. Critically, we present empirical evidence that conservation governance can foster scalar capital to improve outcomes across multiple scales.     

Enhancing the sustainability of commodity supply chains in tropical forest and agricultural landscapes

The rapid expansion of the production of agricultural commodities such as beef, cocoa, palm oil, rubber and soybean is associated with high rates of deforestation in tropical forest landscapes. Many state, civil society and market sector actors are engaged in developing and implementing innovative interventions that aim to enhance the sustainability of commodity supply chains by affecting where and how agricultural production occurs, particularly in relation to forests. These interventions – in the form of novel or moderated institutions and policies, incentives, or information and technology – can influence producers directly or achieve their impacts indirectly by influencing consumer, retailer and processor decisions. However, the evidence base for assessing the impacts of these interventions in reducing the negative impacts of commodity agriculture production in tropical forest landscapes remains limited, and there has been little comparative analysis across commodities, cases, and countries. Further, there is little consensus of the governance mechanisms and institutional arrangements that best support such interventions. We develop a framework for analyzing commodity supply chain interventions by different actors across multiple contexts. The framework can be used to comparatively analyze interventions and their impacts on commodity production with respect to the spatial and temporal scales over which they operate, the groups of supply chain actors they affect, and the combinations of mechanisms upon which they depend. We find that the roles of actors in influencing agricultural production depends on their position and influence within the supply chain; that complementary institutions, incentives and information are often combined; and that multi-stakeholder collaborations between different groups of actors are common. We discuss how the framework can be used to characterize different interventions using a common language and structure, to aid planning and analysis of interventions, and to facilitate the evaluation of interventions with respect to their structure and outcomes. Studying the collective experience of multiple interventions across commodities and spatial contexts is necessary to generate more systematic understandings of the impacts of commodity supply chain interventions in forest-agriculture landscapes.     

Transforming local natural resource conflicts to cooperation in a changing climate: Bangladesh and Nepal lessons

ABSTRACT

Since the 1990s, climate change impact discourse has highlighted potential for large scale violent conflicts. However, the role of climate stresses on local conflicts over natural resources, the role of policies and adaptation in these conflicts, and opportunities to enhance cooperation have been neglected. These gaps are addressed in this paper using evidence from participatory action research on 79 cases of local collective action over natural resources that experience conflicts in Bangladesh and Nepal. Climate trends and stresses contributed to just under half of these conflict cases. Nine factors that enable greater cooperation and transformation of conflict are identified. Participatory dialogue and negotiation processes, while not sufficient, changed understanding, attitudes and positions of actors. Many of the communities innovated physical measures to overcome natural resource constraints, underlying conflict, and/or institutional reforms. These changes were informed by improving understanding of resource limitations and indigenous knowledge. Learning networks among community organizations encouraged collective action by sharing successes and creating peer pressure. Incentives for cooperation were important. For example, when community organizations formally permitted excluded traditional resource users to access resources, those actors complied with rules and paid towards management costs. However, elites were able to use policy gaps to capture resources with changed characteristics due to climate change. In most of the cases where conflict persisted, power, policy and institutional barriers prevented community-based organizations from taking up potential adaptations and innovations. Policy frameworks recognizing collective action and supporting flexible innovation in governance and adaptation would enable wider transformation of natural resource conflicts into cooperation.

Key policy insights

• Climate stresses, policy gaps and interventions can all worsen local natural resource conflicts.

• Sectoral knowledge and technical approaches to adaptation are open to elite capture and can foster conflicts.

• Many local natural resource conflicts can be resolved but this requires an enabling environment for participatory dialogue, external facilitation, flexible responses to context, and recognition of disadvantaged stakeholder interests.

• Transforming conflict to greater cooperation mostly involves social and institutional changes, so adaptation policies should focus less on physical works and more on enabling factors such as negotiation, local institutions, knowledge, and incentives.

     

Inequalities, institutions, and forest commons

This paper contributes to a growing literature on the commons that examines the relationship between inequality and commons outcomes. Our analysis of evidence on forest commons outcomes in 228 cases from South Asia (India and Nepal), East Africa (Kenya and Uganda) and Latin America (Mexico and Bolivia) suggests that local governance and collective action matter in shaping how socioeconomic inequalities affect forest conditions. In particular, we find that both inter-group and intra-group economic inequalities have consistently negative effects on forest outcomes, but that effectively functioning local institutions for collective action dampen the negative effect of inter-group inequality on forest outcomes.