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.

“Se querem que façamos algo pela floresta tem que nos pagar”: As lógicas da participação dos camponeses nos Comités de Gestão dos Recursos Naturais nos distritos de Palma e Mocimboa da Praia em 2009: Relatório do trabalho de campo em Namiune, Nkonga e 5º Congresso, Maputo, Dezembro de 2010

Our study considers the natural resources of the Miombo forests in Cabo Delgado from a broad ecosystems perspective. Thus, our view goes beyond the disciplinary approaches of forestry, agronomy, biology or zoology, and also of the social sciences, namely anthropology, history, sociology, political science or economics. The present study aims to establish a dialogue and create synergies between Miti Ltd. – the logging company and owner of the forest concessions – as well as government and state structures at the various levels and the communities – through the Committees on Natural Resources – in order to promote the sustainable use of resources and ecosystems. The research methodology we used can broadly be described as moderated transdisciplinary interaction for action-research based on the approach known as Learning for Sustainability (LforS, http://www.cde.unibe.ch/Pages/Project/2/14/Learning-for-Sustainability-Extension-Approach.aspx). The research methods used include: LforS seminars; field work; forests observations focusing, among others, on ecosystems, trees, wildlife, and burned areas; visits to farms; and interviews. We conducted both collective interviews and individual interviews, including with key informants. The main results indicate that members of the Committee on Natural Resources have a dual attitude: their statements defend the paradigm of sustainable use of natural resources as well as their own immediate monetary gain. They are willing to apply the values, concepts and theories of sustainable development that underpin the establishment of Committees on Natural Resources if they are paid for their work or if they can derive direct benefits from it, i.e. if they can earn a salary or allowance. If this does not happen, however, they are willing to allow actors to engage in illegal hunting or logging activities. This dual attitude also exists in relation to forestry operators. If the concession workers pay the committee members in cash or provide goods, they can run their business even if they violate the law. Natural forest regeneration in Nkonga and Namiune already shows the impact of such use. Although there are many saplings that could basically ensure continuous regeneration under sustainable management, repeated burning is damaging the young trees, deforming them and killing a great number of them. Campaigns against uncontrolled fires are ineffective because the administrative and political authorities have a dual attitude as well and are also part of the group that uses resources to their own profit and benefit. There are institutional structures within the administration, populations, and communities to perform regulating functions, create and implement rules, punish offenders, and oversee resource use. However, they feel that since they are not paid for performing these functions, they do not have to do so. This attitude shows a lack of awareness, but also indicates a situation where everyone seeks to derive maximum benefits from existing resource use patterns. Anything goes.

Alpine Common Property Institutions under Change: Conditions for Successful and Unsuccessful Collective Action by Alpine Farmers in the Canton of Grisons, Switzerland

The protection and sustainable management of alpine summer pastures has been stated as a goal in Swiss national law since 1996, and direct payments from the state for summer pasturing have been tied to sustainability criteria since 2000. This reflects the increasing value of the alpine cultural landscape as a public good. However, provision of this public good remains in the hands of local farmers and their local common pool resource (CPR) institutions for managing alpine pastures. These institutions are increasingly struggling to maintain their institutional arrangements, particularly regarding the work needed to maintain the pastures. This paper examines two cases of local CPR institutions for managing alpine pastures in the Swiss Canton of Grisons that manifest different institutional developments in light of changing conditions. The differences in how these institutions reacted to change and the impacts this has had on the provision of the CPR are explained by focusing on relative prices, bargaining power, and ideology as drivers of institutional change that are often neglected within common property research. Key words: summer pasture management, institutional change, bargaining power, ideology

Endogenous Development as a Social Learning Process

The author perceives endogenous development as a social learning process, which is constructed by all actors involved. To enhance social learning, a methodology called Autodidactic Learning for sustainability is used, in which the perception of both local actors and external actors are highlighted. Reflecting on differences, conflicts and common interests leads to highly motivated debate and shared reflection, which is almost identical with social learning, and flattens the usual hierarchy between local and external actors. The article shows that the energies generated through collective learning can trigger important technical, social and political changes, which take into account the multiple dimensions of local reality.

Extending private-collective innovation: a case study

The private-collective innovation model proposes incentives for individuals and firms to privately invest resources to create public goods innovations. Such innovations are characterized by non-rivalry and non-exclusivity in consumption. Examples include open source software, user-generated media products, drug formulas, and sport equipment designs. There is still limited empirical research on private-collective innovation. We present a case study to (1) provide empirical evidence of a case of private-collective innovation, showing specific benefits, and (2) to extend the private-collective innovation model by analyzing the hidden costs for the company involved. We examine the development of the Nokia Internet Tablet, which builds on both proprietary and open source software development, and that involves both Nokia developers and volunteers who are not employed by the company. Seven benefits for Nokia are identified, as are five hidden costs: difficulty to differentiate, guarding business secrets, reducing community entry barriers, giving up control, and organizational inertia. We examine the actions taken by the management to mitigate these costs throughout the development period.

How Firms Make Friends: Communities in Private-Collective Innovation

When firms contribute to open source projects, they in fact invest into public goods which may be used by everyone, even by their competitors. This seemingly paradoxical behavior can be explained by the model of private-collective innovation where private investors participate in collective action. Previous literature has shown that companies benefit through the production process providing them with unique incentives such as learning and reputation effects. By contributing to open source projects firms are able to build a network of external individuals and organizations participating in the creation and development of the software. As will be shown in this doctoral dissertation firm-sponsored communities involve the formation of interorganizational relationships which eventually may lead to a source of sustained competitive advantage. However, managing a largely independent open source community is a challenging balancing act between exertion of control to appropriate value creation, and openness in order to gain and preserve credibility and motivate external contributions. Therefore, this dissertation consisting of an introductory chapter and three separate research papers analyzes characteristics of firm-driven open source communities, finds reasons why and mechanisms by which companies facilitate the creation of such networks, and shows how firms can benefit most from their communities.

Beyond belief : Strategic taboos and organizational identity in strategic agenda setting

A comprehensive strategic agenda matters for fundamental strategic change. Our study seeks to explore and theorize how organizational identity beliefs influence the judgment of strategic actors when setting an organization's strategic agenda. We offer the notion of "strategic taboo" as those strategic options initially disqualified and deemed inconsistent with the organizational identity beliefs of strategic actors. Our study is concerned with how strategic actors confront strategic taboos in the process of setting an organization's strategic agenda. Based on a revelatory inductive case study, we find that strategic actors engage in assessing the concordance of the strategic taboos with organizational identity beliefs and, more specifically, that they focus on key identity elements (philosophy; priorities; practices) when doing so. We develop a typology of three reinterpretation practices that are each concerned with a key identity element. While contextualizing assesses the potential concordance of a strategic taboo with an organization's overall philosophy and purpose, instrumentalizing assesses such concordance with respect to what actors deem an organization's priorities to be. Finally, normalizing explores concordance with respect to compatibility and fit with the organization's practices. We suggest that assessing concordance of a strategic taboo with identity elements consists in reinterpreting collective identity beliefs in ways that make them consistent with what organizational actors deem the right course of action. This article discusses the implications for theory and research on strategic agenda setting, strategic change, a practice-based perspective on strategy, and on organizational identity.

Coalition Formation in Parliament and during the Policy Process

In modern democratic systems, usually no single collective actor is able to decisively influence political decision-making. Instead, actors with similar preferences form coalitions in order to gain more influence in the policy process. In the Swiss political system in particular, institutional veto points and the consensual culture of policy-making provide strong incentives for actors to form large coalitions. Coalitions are thus especially important in political decision-making in Switzerland, and are accordingly a central focus of this book. According to one of our core claims - to understand the actual functioning of Swiss consensus democracy - one needs to extend the analysis beyond formal institutions to also include informal procedures and practices. Coalitions of actors play a crucial role in this respect. They are a cornerstone of decision-making structures, and they inform us about patterns of conflict, collaboration and power among actors. Looking at coalitions is all the more interesting in the Swiss political system, since the coalition structure is supposed to vary across policy processes. Given the absence of a fixed government coalition, actors need to form new coalitions in each policy process.

Europeanization and the inclusive strategies of executive actors

In Europeanized policy domains, executive actors are considered especially powerful because they are directly responsible for international negotiations. However, in order to avoid failing in the ratification process, they are also highly dependent on the support of domestic, non-state actors. We argue that in Europeanized decision-making processes, state actors are not passively lobbied, but actively seek collaboration with - and support from - domestic actors. We apply stochastic actor-based modelling for network dynamics to collaboration data on two successive bilateral agreements on the free movement of persons between Switzerland and the European Union (EU). Results confirm our hypotheses that state actors are not passively lobbied, but actively look for collaboration with other actors, and especially with potential veto players and euro-sceptical actors from both the conservative Right and the Left.

Unpacking reputational power: Intended and unintended determinants of the assessment of actors' power

The idea behind the reputational measure for assessing power of political actors is that actors involved in a decision-making process have the best view of their fellows' power. There has been, however, no systematic examination of why actors consider other actors as powerful. Consequently, it is unclear whether reputational power measures what it ought to. The paper analyzes the determinants of power attribution and distinguishes intended from unintended determinants in a data-set of power assessment covering 10 political decision-making processes in Switzerland. Results are overall reassuring, but nevertheless point toward self-promotion or misperception biases, as informants systematically attribute more power to actors with whom they collaborate.