Masters Theses

Date of Award

12-2002

Degree Type

Thesis

Degree Name

Master of Science

Major

Forestry

Major Professor

David Ostermeier

Abstract

A new style of natural resource decision-making is under development in the United States that has evolved from the approach that dominated the last hundred years. The historical implementation of natural resource policy has been characterized as top down where a highly compartmentalized bureaucratic structure dominated the management of natural resources through policies focused on outputs and guided by scientific management. The historical implementation of natural resource policy frames the resolution of conflicting goals as mutually exclusive, which has led to fierce competition for the power necessary for one goal to dominate over another.

Collaboration and ecosystem management policy approaches were largely born out of the recognition that the historical implementation of natural resource policy has been ineffective at resolving conflict due to the narrow approaches available in the courts and administrative appeals. Collaborative policy processes have been characterized as bottom up, rather than top down, recognizing that no one group is the dominant decision maker in the current reality of a shared power world. Collaborative policy processes are comprehensive in addressing multiple natural resource values and interests, have socially defined goals and objectives, include more voluntary than regulatory policies, and rely on integrated holistic knowledge.

Given the monumental differences between the historical implementation of natural resource policy and the current shift to collaborative policy processes, this change is often referred to as a paradigm shift. The goal of this research was to more fully understand this new style of decision making, collaboration, through examining the growing literature base and case analysis of participants' experiences in collaboration. Collaborative process principles identified in the literature coupled with participant experiences of those principles in collaborative processes provided lessons learned to help inform our society on how to make the transition from our past adversarial, split the stakes processes and our future with collaborative processes.

The collaborative process principles identified in the literature focused on who was involved and how (process) people were involved in two specific areas of collaboration: how decisions are negotiated, and data and information management. Eleven principles to guide negotiations in collaborative policy processes were identified. Six principles to guide data and information management in collaborative policy processes were identified. Together these principles comprise a template to guide how an effective collaborative process needed to be managed, and provided a lens through which to analyze the cases. This template was compared to real life participant experiences in collaboration and several lessons learned were gleaned from the combination of theory and empirical evidence.

Perhaps the most important lesson learned in this research was the importance of process management. A rigorous application of the principles of the collaborative process was important to provide procedural due process and a legitimate process that was perceived as fair and just to all interests involved. Collaboration required the balancing of tensions of several inherent paradoxes, and to do this effectively required process management of the collaborative principles.

Involvement shaped real life collaboration, and while participants' perceived inclusive involvement as beneficial, it was no panacea for the complexities of involving the variety of interests engaged in natural resource issues. In real life, a productive role was the true measure of involvement and while this was difficult there were ways, such as the structured use of subgroups, to balance the tensions between inclusive involvement and role efficacy. The involvement of scientists in collaboration must be done carefully because the credibility of scientists in the cases analyzed in this research was compromised.

Collaboration required considerable time and skills, but as we continue to practice collaboration the time it takes may be reduced through the improved skills and relationships of participants. Relationships were improved and trust was built between very divided interests in the majority of the cases analyzed in this research and continued experimentation with collaboration may help to build a foundation that will make future collaborative efforts even more positive and successful. Facilitation can also help participants get through the unfamiliar process of collaboration and help develop the people skills necessary for effective collaborations.

The incentive to participate in collaboration appeared to be largely born from the conflicts created by the historical implementation of natural resource policy. Collaboration may not be so much of a paradigm shift as it is an evolution since it often depends upon a government role of fostering sustainable natural resource use by establishing standards and targets that result in being the incentive to collaborate. Even though this government role provided the biggest incentive to participate in collaboration, participants in all the cases analyzed in this research recognized the reality of a shared power world. Participants recognized that there were many legitimate and powerful interests that needed to be involved in order to achieve a successful collaboration.

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