Investigating policy processes: The Governance Analytical Frame-work (GAF)

Societies develop ways of making decisions regarding collective problems, thereby creating norms, rules, and institutions; this is what governance is about. In policy research, governance has become an important focus of attention; but debates show a lack of clarity at the conceptual level and a confusion between the use of the concept for prescriptive and analytical purposes. The present article is based on the hypothesis that using a clarified, non-normative governance perspective in policy research can contribute to an improved understanding of political processes, including formal and unrecognised ones, those embedded in larger and smaller social systems, as well as both vertical and horizontal political arrangements. The paper is the result of a collaborative engagement with the concept of governance within several networks, leading to the development of the Governance Analytical Framework (GAF). The GAF is a practical methodology for investigating governance processes, based on five analytical tools: problems, actors, social norms, processes, and nodal points. Besides describing the conceptual sources and analytical purpose of these five tools, the paper presents examples of how the GAF can be operationalised.

Strategy and Action Plan for Sustainable Land Management in the High Pamir and Pamir-Alai Mountains

This Strategy and Action Plan was written within the framework of the project on Sustainable Land Management in the High Pamir and Pamir-Alai Mountains (PALM). PALM is an integrated transboundary initiative of the governments of the Kyrgyz Republic and the Republic of Tajikistan. It aims to address the interlinked problems of land degradation and poverty within a region that is one of Central Asia’s crucial sources of freshwater and a location of biodiversity hotspots. The project is executed by the Committee on Environment Protection in Tajikistan and the National Center for Mountain Regions Development in Kyrgyzstan, with fi nancial support from the Global Environment Facility (GEF) and other donors. The United Nations Environment Programme (UNEP) is the GEF Implementing Agency for the project, and the United Nations University (UNU) is the International Executing Agency. This Strategy and Action Plan integrates the work of three main teams of experts, namely the Pamir-Alai Transboundary Strategy and Action Plan (PATSAP) team, the Legal Task Forces, and a team of Natural Disaster Risk specialists. The PATSAP team was coordinated by the Centre for Development and Environment (CDE), University of Bern, Switzerland. The Legal Task Force was led by the Australian Centre for Agriculture and Law of the University of New England (UNE), and responsibility for the Natural Disaster Risk assessment was with the Central- Asian Institute of Applied Geosciences (CAIAG) in Bishkek, Kyrgyzstan. The development of the strategy took place from June 2009 to October 2010. The activities included fi eld study tours for updating the information base with fi rst-hand information from the local level, coordination meetings with actors from the region, and two multi-level stakeholder forums conducted in Khorog and Osh to identify priorities and to collect ideas for concrete action plans. The baseline information collected for the Strategy and Action Plan has been compiled by the experts and made available as reports1. A joint multi-level stakeholder forum was conducted in Jirgitol, Tajikistan, for in-depth discussion of the transboundary aspects. In August 2010, the draft Strategy and Action Plan was distributed among local, national, and international actors for consultation, and their comments were discussed at feedback forums in Khorog and Bishkek. This Strategy and Action Plan is intended as a recommendation. Nevertheless, it proposes concrete mechanisms for implementing the proposed sustainable land management (SLM) activities: The Regional Natural Resources Governance Framework provides the legal and policy concepts, principles, and regulatory requirements needed to create an enabling environment for SLM in the High Pamir and Pamir-Alai region at the transboundary, national, and local levels. The priority directions outlined provide a framework for the elaboration of rayon-level strategies and for strategies on specifi c topics (forestry, livestock, etc.), as well as for further development of government programmes and international projects. The action plans may serve as a pool of concrete ideas, which can be taken up by diff erent institutions and in smaller or larger projects. Finally, this document provides a basis for the elaboration and signing of targeted cooperation agreements on land use and management between the leaders of Osh oblast (Kyrgyz Republic), Gorno Badakhshan Autonomous Oblast, and Jirgitol rayon (Republic of Tajikistan).

Institutions for sustainable governance of forests: Equity, robustness and cross-level interactions in Mawlyngbna, Meghalaya, India

This study adopts Ostrom’s Social-Ecological Systems (SES) framework in empirical fieldwork to explain how local forestry institutions affect forest ecosystems and social equity in the community of Mawlyngbna in North-East India. Data was collected through 26 semi-structured interviews, participatory timeline development, policy documents, direct observation, periodicals, transect walks, and a concurrent forest-ecological study in the village. Results show that Mawlyngbna's forests provide important sources of livelihood benefits for the villagers. However, ecological disturbance and diversity varies among the different forest ownership types and forest-based livelihood benefits are inequitably distributed. Based on a bounded rationality approach, our analysis proposes a set of causal mechanisms that trace these observed social-ecological outcomes to the attributes of the resource system, resource units, actors and governance system. We analyse opportunities and constraints of interactions between the village, regional, and state levels. We discuss how Ostrom’s design principles for community-based resource governance inform the explanation of robustness but have a blind spot in explaining social equity. We report experiences made using the SES framework in empirical fieldwork. We conclude that mapping cross-level interactions in the SES framework needs conceptual refinement and that explaining social equity of forest governance needs theoretical advances.

Pastoral-Farmer conflicts over natural resources in the Lake Rukwa basin : Challenges facing policy makers in Tanzania

Despite the important role that pastoralism plays in supporting rural livelihoods, national economy and diverse ecological services, its capacity to adapt to change is facing many challenges including adverse policy, pastoral-farmer conflicts and recently, adverse climate change. The recurring conflicts between the two groupings are rather a result of a reaction by a community which has been marginalized over the years. A survey to analyze conflicts, institutional frameworks, policies, laws and regulations governing NRs utilization by pastoral and farmers was conducted in the Lake Rukwa Basin in 2008. The study noted violent conflicts and their causes, including the scarcity of NRs, poor local institutional frameworks and deeper socio-cultural aspects among pastoralists and farmers. The conflicts have become major impediments to the developmental activities in the study areas, to a degree that requires intervention. This, therefore, calls for reorganization of local institutional framework, policies, laws and regulations and participatory planning and co-management of NRs as part of conflicts management and sustainable utilization of them. Key words: Policies, Natural Resources, Conflicts, Pastoralism, Institutional frameworks

CDE links regional research and global efforts for sustainable mountain development

The Centre for Development and Environment (CDE) at the University of Bern has long-standing experience in conducting research in mountain regions around the world. CDE considers mountain regions to be a crucial context for sustainable development. Together with its partners, CDE aims to generate in-depth contextual knowledge about the dynamic social, economic, and ecological processes in mountain regions and elsewhere, with a view to informing development practices, while at the global level it engages in activities that help bring together these regional insights with the goal of informing policy-making. In doing so, CDE addresses the specific challenges of sustainable development—in mountains and elsewhere.

International Frameworks for Disaster Risk Reduction: Useful Guidance for Sustainable Mountain Development?

In recent decades, a number of global frameworks have been developed for disaster risk reduction (DRR). The Hyogo Framework for Action 2005–2015 and its successor document, the Sendai Framework for Disaster Risk Reduction, adopted in Japan in March 2015, provide general guidance for reducing risks from natural hazards. This is particularly important for mountainous areas, but DRR for mountain areas and sustainable mountain development received little attention in the recent policy debate. The question remains whether the Hyogo and Sendai frameworks can provide guidance for sustainable mountain development. This article evaluates the 2 frameworks in light of the special challenges of DRR in mountain areas and argues that, while the frameworks offer valuable guidance, they need to be further adapted for local contexts—particularly for mountain areas, which require special attention because of changing risk patterns like the effects of climate change and high land-use pressure.

Where the land is greener - experiences contributing to sustainable land management

There are numerous positive experiences that contribute to sustainable land management – but this wealth of information is often not tapped, and commonly not even recognised. The World Overview of Conservation Approaches and Technologies (WOCAT) is a network and a methodology with the aim of sharing this valuable knowledge to improve livelihoods and the environment. Forty-two promising case studies were recently documented and analysed in a global overview book entitled ‘where the land is greener’ (WOCAT 2007), from which a consolidated list of policy points were drawn. This paper highlights some of these conclusions and policy points.

Capitalisation of Experiences of the Swiss Support to Sustainable Management of Natural Resources (SMNR) in Bulgaria

Following the collapse of the communist regime in 1989, Bulgaria has undergone dramatic political, economic and social transformations. The transition process of the past two decades was characterized by several reforms to support democratisation of the political system and the functioning of a free-market economy. Since 1992, Switzerland has been active in Bulgaria providing assistance to the transition process, with support to Sustainable Management of Natural Resources (SMNR) starting in 1995. The SMNR Capitalisation of Experiences (CapEx) took place between March and September 2007, in the context of SDC phasing out its programmes in Bulgaria by the end of 2007 due to the country’s accession to the European Union. The CapEx exercise has culminated in the identification of 17 lessons learned. In the view of the CapEx team, many of these lessons are relevant for countries that are in the process of joining the EU, facing similar democratisation challenges as Bulgaria. Overall, the Swiss SMNR projects have been effective entry points to support areas that are crucial to democratic transitions, namely participation in public goods management, decentralisation, human capacity development in research and management, and preparation for EU membership. The specificity of the Swiss support stems from an approach that combines a long-term commitment with a clear thematic focus (forestry, biodiversity conservation and organic agriculture). The multistakeholder approach and diversification of support between local, regional and national levels are also important elements that contributed to make a difference in relation to other donors supporting the Bulgarian transition. At the institutional level, there are a number of challenges where the contribution of SMNR activities was only modest, namely improving the legal framework and creating more transparency and accountability, both of which are time and resource-consuming processes. In addition, the emergence of competent and sustainable non-government organisations (NGOs) is a complex process that requires support to membership based organisations, a challenge that was hardly met in the case of SMNR. Finally, reform of government institutions involved in management of natural resources is difficult to achieve via project support only, as it requires leverage and commitment at the level of policy dialogue. At the programme management level, the CapEx team notes that corruption was not systematically addressed in SMNR projects, indicating that more attention should be given to this issue at the outset of any new project.

Saving soils at degradation frontlines: Sustainable land management in drylands

Healthy soils are fundamental to life. They grow the food we eat and the wood we use for shelter and fuel, purify the water we drink, and hold fast to the roots of the natural world we cherish. They are the ground beneath our feet and beneath our homes. But they are under threat, especially from human overuse and climate change. Nowhere is this more evident than in dryland areas, where soil degradation – or desertification – wears away at this essential resource, sometimes with sudden rapidity when a tipping point is crossed. Though it is a challenge, preserving and restoring healthy soils in drylands is possible, and it concerns all of us. Sustainable land management points the way.

Sustainable investment in land in the Global South: What would it require from a coherence perspective? The case of Sierra Leone

Large scale acquisitions of land in the Global South have signifi-cantly increased since the millennium. It is often the case that foreign investors are involved in such acquisitions, which are commonly aimed at facilitating the export of commodities. These investments in land tend to transform conventional, rather small scale agricultural systems into large scale, industrial agricultural systems. While investment in ag-riculture in the Global South is much needed, large-scale investments in land often goes hand-in-hand with environmental and human rights re-lated challenges. As a consequence, lawyers need to address questions of sovereignty over natural resources (this paper focuses in particular on land resources), to peoples’ right to self-determination, to the responsi-bilities of the home and host states of the investors, including public-private relationships, and the role of international institutions who are involved, as well as relevant jurisprudence. This paper approaches these questions from the perspective of a theory on policy coherence for sus-tainable development.

Sustainable livestock production? Industrial agriculture versus pastoralism

Feeding our growing world population and preserving our natural resource base is a major agricultural challenge set to get harder. Despite agricultural productivity gains in many areas, roughly a billion people continue to suffer from chronic hunger.1 Meanwhile, we will likely add about 2.5 billion people to the planet by 2050.2 Yet providing enough nutrition for current and future generations is entirely possible, if we make the best use of Earth’s finite natural resources, especially arable land. Notably, one agricultural sector – livestock – places excessive demands on our resource base. But this is mainly due to globalized, industrial meat production methods. Tragically, the most sustainable livestock producers – herders and other mobile, smaller-scale livestock keepers – have been marginalized by mainstream agricultural policy for decades. It is high time for a course correction.

Making the most of world natural heritage - linking conservation and sustainable regional development?

Today, more than 1000 World Heritage (WH) sites are inscribed on UNESCO’s list, 228 of which are natural and mixed heritage sites. Once focused primarily on conservation, World Natural Heritage (WNH) sites are increasingly seen as promoters of sustainable regional development. Sustainability-oriented regions, it is assumed, are safeguards for conservation and positively influence local conservation goals. Within UNESCO, discussions regarding the integration of sustainable development in official policies have recently gained momentum. In this article, we investigate the extent to which WNH sites trigger sustainability-oriented approaches in surrounding regions, and how such approaches in turn influence the WNH site and its protection. The results of the study are on the one hand based on a global survey with more than 60% of the WNH sites listed in 2011, and on the other hand on a complementary literature research. Furthermore, we analyze the policy framework necessary to support WNH sites in this endeavor. We conclude that a regional approach to WNH management is necessary to ensure that WNH sites support sustainable regional development effectively, but that the core focus of WNH status must remain environmental conservation.

Mountains of the world - Sustainable development in mountain areas: The need for adequate policies and instruments

This brochure deals with policies and policy instruments needed to promote sustainable development in mountain areas. The first part presents an overview of key issues in mountain development, and principles and strategies that should be adopted. Each principle contains a checklist for policy-makers. The second part presents national and regional case studies of successful approaches and initiatives relating to mountain policy from all over the world. The brochure concludes with a call for multi-level initiatives and partnerships. This full-colour publication is part of the Mountains of the World series. It was prepared for the 2002 World Summit on Sustainable Development in Johannesburg by an international panel of experts coordinated by CDE. It was commissioned and funded by the Swiss Agency for Development and Cooperation (SDC).