2. Conceptual Framework

Question

1. What are the three main mechanisms or modes of coordination in public administration literature and how do they differ?

2. What is the main unit of analysis in the IAD Framework?

3. What are the key components of the conceptual framework for polycentric governance?

4. What are the contextual conditions influencing river basin governance?

Accepted Answer

According to Frances et al. (1991), the three main mechanisms or modes of coordination in public administration literature are hierarchy, market, and networks. Hierarchical coordination relies on authority and power, with a central decision-making center. Market coordination relies on competition and mutual adjustment of actors. Network coordination is based on acknowledgment of mutual interdependencies, trust, and responsibilities of each actor. These three forms of coordination are usually understood as ideal forms, but in practice, hybrids that combine different modes of coordination often emerge. These mechanisms provide a nuanced understanding of the process of coordination in public administration.

Accepted Answer

The main unit of analysis in the IAD Framework is Action Situations, defined as 'social space where participants with diverse preferences interact, exchange goods and services, solve problems, dominate one another, or fight' (E. Ostrom 2005: 14). The IAD Framework focuses on the role of institutions in processes of collective action, where humans interact with each other and with the environment, producing joint outcomes. It has been developed to study collective action problems of natural resource uses at the local level and has been applied to case studies worldwide. The Network of Adjacent Action Situations expands the IAD Framework to study complex policy settings where decision-making processes at different levels occur sequentially or simultaneously and interact with each other. The IAD Framework is applicable at various analytical levels, including policy analysis, polycentric governance, and coordination between sectors like water, energy, and food.

Accepted Answer

The conceptual framework for polycentric governance consists of three main components: structure, process, and performance. These components are clustered together to understand the coordination of polycentric governance. The framework is based on the assumption that the broader context, institutions, and characteristics of actors affect human interaction and outcomes. It brings together different concepts and theories to understand a particular phenomenon and establishes general relationships among these elements. The framework includes variables such as institutions, rules, and actors, which are expected to mutually influence each other and interact or be configural. The selection of variables is inductive and deductive, ensuring empirical relevance for the case studies. The framework is based on assumptions such as bounded rationality, methodological individualism, and the influence of institutions on actors' behavior. The variables are defined within the broader theoretical literature, and expectations are formulated on how they influence coordination and polycentric governance performance. However, the framework does not address hybrids and gaps of interaction due to their complexity and research gaps. The empirical analysis focuses on the effect of variables on hierarchy, competition, and cooperation, which are core forms of coordination in polycentric governance.

Accepted Answer

Contextual conditions refer to the external environment in which river basin governance is embedded, and which are assumed to be stable over a relatively long period. These conditions include geographic and hydrological characteristics of the River Basin District, socio-economic role of irrigated agriculture, water supply and demand, and the amount of water resources available for consumption. Geographical and hydrological characteristics determine the involved actors and their coordination, while the socio-economic role of irrigated agriculture shapes the interests and interactions of actors. Water supply and demand, including the type and amount of water resources, influence the governance process and the required institutional arrangements. The amount of water resources available for consumption is crucial for the interaction of actors, with closed river basins potentially leading to competition and conflicts among water users and sectors. Overall, contextual conditions play a significant role in shaping river basin governance and the associated institutional arrangements.

Accepted Answer

The characteristics of heterogeneous actors in water management narratives include financial and human resources, causal and explanatory beliefs, and narratives on water management. Financial and human resources influence actors' capacity to participate in governance processes and coordinate with other actors. Differences in resource endowments may affect power dynamics and policy outcomes. Causal and explanatory beliefs shape actors' narratives, which are simplified visions of reality that influence policy formation, implementation, and outcomes. Narratives are influenced by actors' interests, values, and perceptions of water management problems and solutions. Differences in narratives can lead to competitive interaction patterns or initiatives to build joint understanding and overcome differences.

Accepted Answer

The three second-tier variables included in overarching rules for polycentric governance are the governance structure of the river basin district (intra- and inter-regional basins), de jure autonomy of actors (formal rights and competencies), and formal rules for coordination (institutions creating the formal structure for actors to interact).

Accepted Answer

The three pure forms of coordination in polycentric governance are hierarchy, competition, and cooperation. Hierarchy refers to a top-down approach where decisions are made by higher authorities and implemented by lower levels. Competition involves actors pursuing their own interests, often through market mechanisms. Cooperation represents a collaborative approach where actors work together towards common goals. These pure forms of coordination are ideal types and do not represent definite forms of organizations. In reality, they often overlap and form hybrids, reflecting the complexity of governance processes. The study of hierarchy and competition is rooted in longstanding scientific and political debates, while cooperation has been emphasized as an alternative to hierarchical governance. However, the binary worldview of markets versus hierarchies has been challenged, and scholars have proposed the concept of governance modes and co-governance to better capture the diversity of coordination processes. The choice of coordination modes and their performance depend on empirical conditions and institutional settings.

Accepted Answer

The three additional categories of interaction in the empirical analysis are information exchange, conflicts, and gaps in interaction. Information exchange refers to the one-way or two-way exchange of information among actors, while conflicts are defined as disagreements of actors that are not solved through any of the three pure forms of coordination. Gaps in interaction are situations where actors intentionally or unintentionally do not coordinate with each other, neither exchanging information nor aligning their behavior. These categories help to understand the interaction of actors beyond pure forms of coordination and provide insights into the dynamics of policy-making processes.

Accepted Answer

Performance assessment in environmental governance can be undertaken at three analytical levels: governance process, governance output, and outcome level. The governance process refers to the quality of the process, governance output refers to the decisions made in a decision-making process, and outcome level refers to changes on the ground induced by the process or output. These levels help evaluate the effectiveness and impact of environmental governance policies.

Accepted Answer

Policy output performance is assessed at two levels: Action Situations and overarching governance process level. At the Action Situations level, implementation of measures is used as a first approximation to gauge environmental outcomes. Intermediate output performance is operationalized differently for each Action Situation, depending on the respective empirical output. For example, the policy output of the Action Situation RBMP Development is measured through the second-tier variable RBMP effectiveness, which refers to the degree to which desired goals have been attained through the process. RBMP effectiveness is defined as the extent to which the RBMP is likely to achieve a reduction of agricultural water consumption, while being aware that other well-justified goals are disregarded. At the overarching governance process level, output performance is operationalized as RBMP implemented, referring to the status of implementation of measures included in the RBMP that relate to the management of agricultural water consumption. The status of implementation is assessed in relative terms compared to what has been prescribed in the RBMP. This approach allows for a comprehensive evaluation of policy output performance and its impact on environmental outcomes.

Accepted Answer

Environmental outcome performance refers to the achievement of goals related to agricultural water use. It remains understudied, as shown in a broad meta-analysis on collaborative governance literature by Koontz et al. (2020). Similarly, Boeuf and Fritsch (2016) find that ecological outcomes are often neglected in scholarship on the WFD implementation. However, an exception is a study on WFD implementation in different countries by Kochskamper et al. (2017), who compare water status of the first and second planning cycle to trace improved water quality. The WFD requirements to assess water status every six years offer a good data basis to approximate environmental change over time. However, establishing causal relationships between governance processes and environmental outcomes is challenging due to the complex nature of environmental systems, which are influenced by various factors and unfold over long periods. Ulibarri (2015) analyzes the quality of governance outputs to approximate environmental outcomes, assuming that the implementation of these outputs would produce changes in the environment. In this study, environmental outcome performance is assessed at the level of the river basin district through three second-tier variables: the development of agricultural water use, the change in irrigated area, and the change in water body status according to the WFD assessment. These variables relate to the main empirical interests of the work, including the reduction of agricultural water consumption and the improvement of water status. However, there are limitations to this approach, such as data inconsistencies, time lags, and changes in river basin district and water body delineation. The next chapter will present the research design and methodology, building on the theoretical framework developed in this chapter.

2. Conceptual Framework

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Most frequently asked questions

1. What are the three main mechanisms or modes of coordination in public administration literature and how do they differ?

2. What is the main unit of analysis in the IAD Framework?

3. What are the key components of the conceptual framework for polycentric governance?

4. What are the contextual conditions influencing river basin governance?

5. What are the characteristics of heterogeneous actors in water management narratives?

6. What are the three second-tier variables included in overarching rules for polycentric governance?

7. What are the three pure forms of coordination in polycentric governance?

8. What are the three additional categories of interaction in the empirical analysis?

9. What are the analytical levels for performance assessment in environmental governance?

10. How is policy output performance assessed?

11. What is environmental outcome performance in the context of agricultural water use?

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