Skip to main content

Theory and Research to Study the Legal and Institutional Foundations of Adaptive Governance

  • Chapter
  • First Online:
Practical Panarchy for Adaptive Water Governance

Abstract

Adaptation to major social and ecological changes requires the participation, innovation, social learning, and political deliberation of many stakeholders, doing many different governance activities at different scales. Legal and institutional systems set the ground rules for this governance activity, establishing boundaries and opportunities for widespread innovation and cooperation. However, the enabling conditions for adaptive governance are poorly understood, making it difficult to facilitate. Candidate design principles that describe enabling conditions for adaptive environmental governance are proposed. Research opportunities are outlined to study the effects of these factors in different social-ecological systems and to further refine the principles.

This is a preview of subscription content, log in via an institution to check access.

Access this chapter

Chapter
USD 29.95
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
eBook
USD 149.00
Price excludes VAT (USA)
  • Available as EPUB and PDF
  • Read on any device
  • Instant download
  • Own it forever
Softcover Book
USD 199.99
Price excludes VAT (USA)
  • Compact, lightweight edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info
Hardcover Book
USD 199.99
Price excludes VAT (USA)
  • Durable hardcover edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info

Tax calculation will be finalised at checkout

Purchases are for personal use only

Institutional subscriptions

References

  • Allen CR, Garmestani AS (2015) Adaptive management of social-ecological systems. Springer, Dordrecht

    Book  Google Scholar 

  • Armitage D (2007) Governance and the commons in a multi-level world. Int J Commons 2(1):7–32

    Article  Google Scholar 

  • Arnold CA, Gunderson LH (2013) Adaptive law and resilience. Environ Law Report 43:10426–10443

    Google Scholar 

  • Arnold CA, Green OO, DeCaro DA, Chase A, Ewa JG (2014) The social-ecological resilience of an eastern urban-suburban watershed: the Anacostia River Basin Idaho Law Rev 51(1):29–90

    Google Scholar 

  • Arnstein SR (1969) A ladder of citizen participation. J Am Inst Plann 35:216–224

    Article  Google Scholar 

  • Berkes F (2007) Community-based conservation in a globalized world. Proc Natl Acad Sci U S A 104(39):15188–15193

    Article  CAS  Google Scholar 

  • Bingham LB (2009) Collaborative governance: emerging practices and the incomplete legal framework for public and stakeholder voice. J Disput Resolut 2(2):1–58

    Google Scholar 

  • Bingham LB (2010) The next generation of administrative law: building the legal infrastructure for collaborative governance. Wisconsin Law Rev 10(2):297–356

    Google Scholar 

  • Bingham LB, Nabatchi T, O’Leary R (2005) The new governance: practices and processes for stakeholder and citizen participation in the work of government. Public Adm Rev 65(5):547–558

    Article  Google Scholar 

  • Birge HE, Allen CR, Craig RK, Garmestani AS, Hamm JA, Babbitt C, Nemec K, Schlager E (2014) Social-ecological resilience and law in the Platte River Basin Idaho Law Rev 51(1):229–327

    Google Scholar 

  • Chaffin BC, Gunderson LH (2016) Emergence, institutionalization and renewal: rhythms of adaptive governance in complex social-ecological systems. J Environ Manag 165:81–87

    Article  Google Scholar 

  • Chaffin BC, Craig RK, Gosnell H (2014a) Resilience, adaptation, and transformation in the Klamath River Basin social-ecological system. Idaho Law Rev 51(1):157–183

    Google Scholar 

  • Chaffin BC, Gosnell H, Cosens BA (2014b) A decade of adaptive governance scholarship: synthesis and future directions. Ecol Soc 19(3):56. https://doi.org/10.5751/ES-06824-190356

    Article  Google Scholar 

  • Chaffin BC, Garmestani AS, Gunderson LH, Benson MH, Angeler DG, Arnold CA, Cosens BA, Craig RK, Ruhl JB Allen CR (2016) Transformative environmental governance. Annu Rev Environ Resour 41:399–423

    Google Scholar 

  • Clarvis MH, Allan A, Hannah DM (2014a) Water, resilience and the law: from general concepts and governance design principles to actionable mechanisms. Environ Sci Pol 43:98–110. https://doi.org/10.1016/j.envsci.2013.10.005

    Article  Google Scholar 

  • Clarvis MH, Fatichi S, Allan A, Fuhrer J, Stoffel M, Romerio F, Gaudard L, Burlando P, Beniston M, Xoplaki E, Toreti A (2014b) Governing and managing water resources under changing hydro-climatic contexts: the case of the upper Rhone basin. Environ Sci Pol 43:56–67

    Article  Google Scholar 

  • Clean Water Fund (2010) Everglades for all? An in-depth look at public perception and public participation in the world largest ecosystem restoration project. http://www.cleanwater.org/files/publications/fl/everglades-for-all_survey_final_201003.pdf. Accessed 15 July 2017

  • Clement F (2010) Analysing decentralised natural resource governance: proposition for a “politicised” institutional analysis and development framework. Policy Sci 43(2):129–156

    Article  Google Scholar 

  • Cole DH, McGinnis MD (eds) (2015) Elinor Ostrom and the Bloomington school of political economy, Polycentricity in public administration and political science, vol 1. Lexington Books, Lexington

    Google Scholar 

  • Cosens BA (2013) Legitimacy, adaptation, and resilience in ecosystem management. Ecol Soc 18(1):3. https://doi.org/10.5751/es-05093-180103

    Article  Google Scholar 

  • Cosens B, Fremier A (2014) Assessing system resilience and ecosystem services in large river basins: a case study of the Columbia River Basin. Idaho Law Rev 51(1):91–125

    Google Scholar 

  • Cosens BA, Williams MK (2012) Resilience and water governance: adaptive governance in the Columbia River Basin. Ecol Soc 17(4):3. https://doi.org/10.5751/es-04986-170403

    Article  Google Scholar 

  • Cosens BA, Gunderson L, Chaffin B (2014) The Adaptive Water Governance Project: assessing law, resilience and governance in regional social-ecological water systems facing changing climate. Idaho Law Rev 51(1):1–27

    Google Scholar 

  • Cosens BA, Craig RK, Hirsch S, Arnold CA, Benson MH, DeCaro DA, Garmestani AS, Gosnell H, Ruhl JB, Schlager E (2017) The role of law in adaptive governance. Ecol Soc 22(1):30. https://doi.org/10.5751/es-08731-22130

  • Cox M (2014) Applying a social-ecological system framework to the study of the Taos Valley irrigation system. Hum Ecol 42(2):311–324

    Article  Google Scholar 

  • Cox M, Arnold G, Tomás SV (2010) A review of design principles for community-based natural resource management. Ecol Soc 15(4):38. http://www.ecologyandsociety.org/vol15/iss4/art38/. Accessed 31 July 2017

  • Craig RK (2010) Stationarity is dead: long live transformation: five principles for climate change adaptation law. Harv Environ Law Rev 31:9–75

    Google Scholar 

  • Craig RK, Ruhl JB (2014) Designing administrative law for adaptive management. Vanderbilt Law Rev 67(1):1–87

    Google Scholar 

  • Craig RK, Garmestani AS, Allen CR, Arnold CA, Birgé H, DeCaro DH, Fremier AK, Gosnell H, aSchlager E. (2017) Balancing stability and flexibility in adaptive governance: an analysis of tools available in U.S. environmental law. Ecol Soc 22(2):3. https://doi.org/10.5751/ES-08983-220203

  • Craik AN, DiMento JF (2008) Environmental cooperation in the (partially) disaggregated state: lessons from the Security and Prosperity Partnership of North America. Chicago J Int Law 8:479

    Google Scholar 

  • DeCaro DA, Stokes MK (2013) Public participation and institutional fit: a social–psychological perspective. Ecol Soc 18(4):40. https://doi.org/10.5751/es-05837-180440

    Article  Google Scholar 

  • DeCaro DA, Arnold CA, Boamah EF, Garmestani AS (2017a) Understanding and applying principles of social cognition and decision making in adaptive environmental governance. Ecol Soc 22(1):33. https://doi.org/10.5751/ES-09154-220133

  • DeCaro DA, Chaffin BC, Schlager E, Garmestani AS, Ruhl JB (2017b) Legal and institutional foundations of adaptive environmental governance. Ecol Soc 22(1):32. https://doi.org/10.5751/ES-09036-220132

  • Dietz T, Ostrom E, Stern PC (2003) The struggle to govern the commons. Science 302:1907–1912

    Article  CAS  Google Scholar 

  • Doremus H, Hanemann M (2008) The challenges of dynamic water management in the American West. UCLA J Environ Law & Policy 26(2):55–75

    Google Scholar 

  • Engel KH (2006) Harnessing the benefits of dynamic federalism in environmental law. Emory Law J 56:159

    Google Scholar 

  • Folke C, Hahn T, Olsson P, Norberg J (2005) Adaptive governance of social–ecological systems. Annu Rev Environ Resour 30:441–473

    Article  Google Scholar 

  • Freeman D (2010) Implementing the Endangered Species Act on the Platte Basin Water Commons. University Press of Colorado, Boulder

    Google Scholar 

  • Galusha D (2002) Liquid assets: a history of New York City’s water system. Purple Mountain Press, New York

    Google Scholar 

  • Garmestani AS, Allen CR (2014) Social-ecological resilience and law. Columbia University Press, New York

    Book  Google Scholar 

  • Garmestani AS, Benson MH (2013) A framework for resilience-based governance of social-ecological systems. Ecol Soc 18(1):9. https://doi.org/10.5751/ES-05180-180109

    Article  Google Scholar 

  • Gerlak AK, Heikkila T (2011) Building a theory of learning in collaboratives: evidence from the Everglades restoration program. J Public Adm Res 21:619–644

    Article  Google Scholar 

  • Green OO, Garmestani AS, Hopton ME, Heberling MT (2014) A multi-scalar examination of law for sustainable ecosystems. Sustain For 6(6):3534–3551

    Article  Google Scholar 

  • Green OO, Garmestani AS, Allen CR, Gunderson LH, Ruhl JB, Arnold CA, Graham NA, Cosens BA, Angeler DG, Chaffin BC, Holling CS (2015) Barriers and bridges to the integration of social–ecological resilience and law. Front Ecol Environ 13(6):332–337

    Google Scholar 

  • Gunderson LH, Garmestani A, Rizzardi KW, Ruhl JB, Light A (2014) Escaping a rigidity trap: governance and adaptive capacity to climate change in the everglades social ecological system Idaho Law Rev 51:127–156

    Google Scholar 

  • Heikkila T, Schlager E, Davis MW (2011) The role of cross-scale institutional linkages in common pool resource management: assessing interstate river compacts. Pol Stud J 39(1):121–145

    Article  Google Scholar 

  • Holling CS (ed) (1978) Adaptive environmental assessment and management. Wiley, New York

    Google Scholar 

  • Holling CS (1986) The resilience of terrestrial ecosystems: local surprise and global change. In: Clark WC, Munn RE (eds) Sustainable development of the biosphere. Cambridge University Press, Cambridge, pp 292–317

    Google Scholar 

  • Holling CS (2001) Understanding the complexity of economic, ecological, and social systems. Ecosystems 4(5):390–405

    Article  Google Scholar 

  • International Union for Conservation of Nature and Natural Resources [IUCN] (1980) World conservation strategy: living resource conservation for sustainable development. IUCN, Gland

    Google Scholar 

  • International Union for Conservation of Nature and Natural Resources [IUCN] (2008) Shaping a sustainable future: the IUCN programme 2009–2012. https://cmsdata.iucn.org/downloads/iucn_programme_2009_2012_dfc.pdf. Accessed 31 July 2017

  • Larson KL, Wiek A, Keeler LW (2013) A comprehensive sustainability appraisal of water governance in Phoenix, AZ. J Environ Manag 116:58–71

    Article  Google Scholar 

  • Marshall G (2007) Nesting, subsidiarity, and community-based environmental governance beyond the local scale. Int J Commons 2(1):75–97

    Article  Google Scholar 

  • Moser SC, Ekstrom JA (2010) A framework to diagnose barriers to climate change adaptation. Proc Natl Acad Sci USA 107(51):22026–22031

    Article  CAS  Google Scholar 

  • National Civic League [NCL] (2013) Making public participation legal. http://ncdd.org/rc/wp-content/uploads/MakingP2Legal.pdf. Accessed 27 July 2017

  • Olsson P, Gunderson LH, Carpenter SR, Ryan P, Lebel L, Folke C, Holling CS (2006) Shooting the rapids: navigating transitions to adaptive governance of social-ecological systems. Ecol Soc 11(1):18. http://www.ecologyandsociety.org/vol11/iss1/art18/

  • Orts EW (1995) A reflexive model of environmental regulation. Bus Ethics Q 5(4):779–794

    Article  Google Scholar 

  • Ostrom E (1965) Public entrepreneurship: a case study in ground water management. Dissertation, University of California at Los Angeles

    Google Scholar 

  • Ostrom V (1971) The political theory of a compound republic: designing the American experiment, 2nd edn. Institute for Contemporary Studies Press, California

    Google Scholar 

  • Ostrom E (1990) Governing the commons: evolution of institutions for collective action. Cambridge University Press, Cambridge

    Book  Google Scholar 

  • Ostrom E (1992) Crafting institutions for self-governing irrigation systems. Institute for Contemporary Studies Press, California

    Google Scholar 

  • Ostrom V (1994) The meaning of American Federalism: constituting a self-governing society. Institute for Contemporary Studies Press, California

    Google Scholar 

  • Ostrom E (1998) A behavioral approach to the rational choice theory of collective action: presidential address, American Political Science Association, 1997. Am Polit Sci Rev 91:1–22

    Article  Google Scholar 

  • Ostrom V (1999) Polycentricity (Parts 1 and 2). In: McGinnis MD (ed) Polycentricity and local public economies. University of Michigan Press, pp 52–74, 119–138

    Google Scholar 

  • Ostrom E (2000) The danger of self-evident truths. PS Polit Sci Polit 33(01):33–46

    Article  Google Scholar 

  • Ostrom E (2005) Understanding institutional diversity. Princeton University Press, Princeton

    Google Scholar 

  • Ostrom E (2007) A diagnostic approach for going beyond panaceas. Proc Natl Acad Sci USA 104(39):15181–15187

    Article  CAS  Google Scholar 

  • Ostrom E (2010) Beyond markets and states: polycentric governance of complex economic systems. Am Econ Rev 100:1–33

    Article  Google Scholar 

  • Ostrom E (2014) Do institutions for collective action evolve? J Bioecon 16:3–30

    Article  Google Scholar 

  • Pahl-Wostl C (2009) A conceptual framework for analysing adaptive capacity and multi-level learning processes in resource governance regimes. Glob Environ Chang 19(3):354–365

    Article  Google Scholar 

  • Poteete AR, Janssen MA, Ostrom E (eds) (2010) Broadly comparative field-based research. In: Working together: collective action, the commons, and multiple methods in practice. Princeton University Press, Princeton, pp 64–88

    Google Scholar 

  • Prager K (2010) Local and regional partnerships in natural resource management: the challenge of bridging institutional levels. J Environ Manag 46:711–724

    Article  Google Scholar 

  • Reed M (2008) Stakeholder participation for environmental management: a literature review. Biol Conserv 141:2417–2431

    Article  Google Scholar 

  • Ruhl JB (2011) General design principles for resilience and adaptive capacity in legal systems: applications to climate change adaptation law. North Carolina Law Rev 89:1374–1401

    Google Scholar 

  • Sabatier PA, Focht W, Lubell M, Trachtenberg Z, Vedlitz A, Matlock M (2005) Swimming upstream: collaborative approaches to watershed management. The MIT Press, Cambridge, MA

    Google Scholar 

  • Sarker A (2013) The role of state-reinforced self-governance in averting the tragedy of the irrigation commons in Japan. Public Adm 91(3):727–743

    Google Scholar 

  • Sarker A, Itoh T, Kada R, Nakashima M, Herath G (2014) User self-governance in a complex policy design for managing water commons in Japan. J Hydrol 510:246–258

    Article  Google Scholar 

  • Schlager E, Heikkila T (2011) Left high and dry? Climate change, common-pool resource theory, and adaptability of Western water compacts. Public Adm Rev 71(3):461–470

    Article  Google Scholar 

  • Schlager E, Engel K, Rider S (eds) (2011) Navigating climate change policy: the opportunities of federalism. The University of Arizona Press

    Google Scholar 

  • Schlager E, Heikkila T, Case C (2012) The costs of compliance with interstate agreements: lessons from water compacts in the western United States. Publius, J Federalism 42(3):494–515

    Article  Google Scholar 

  • Shivakumar S (2005) The constitution of development: crafting capabilities for self-governance. Palgrave Macmillan, New York

    Book  Google Scholar 

  • Stern PC (2011) Design principles for global commons: natural resources and emerging technologies International. Int J Commons 5(2):213–232

    Article  Google Scholar 

  • Teubner G (1983) Substantive and reflexive elements in modern law. Law Soc Rev 17(2):239–286

    Article  Google Scholar 

  • Thomson VE, Arroyo V (2011) Upside-down cooperative federalism: climate change policymaking and the states. Virginia Environ Law J 29(1):1–61

    Google Scholar 

  • Tyler TR (1990) Why people obey the law. Yale University Press, New Haven

    Google Scholar 

  • Tyler TR (2006) Psychological perspectives on legitimacy and legitimization. Annu Rev Psychol 57:375–400

    Article  Google Scholar 

  • U. S. State Department (2017) Non-Governmental Organizations (NGOs) in the United States. https://www.state.gov/j/drl/rls/fs/2017/266904.htm#_ftn1. Accessed June 20 2017

  • Volkman JM, McConnaha WE (1993) Through a glass, darkly: Columbia River salmon, the Endangered Species Act, and adaptive management. Environ Law 23:1249–1272

    Google Scholar 

  • Wheeler SM (2000) Planning for metropolitan sustainability. J Plan Educ Res 20(2):133–145

    Article  Google Scholar 

  • Yin KR (2014) Case study research: design and methods, 5th edn. SAGE, Thousand Oaks

    Google Scholar 

Download references

Acknowledgments

This work was developed in part under the Adaptive Water Governance Project, funded by the US National Socio-Environmental Synthesis Center (SESYNC) under funding from the US National Science Foundation, NSF DBI-1052875. The views set forth by contributors to this volume represent their own and do not represent the views of any public or private entity the contributor is affiliated with.

Author information

Authors and Affiliations

Authors

Corresponding author

Correspondence to Daniel A. DeCaro .

Editor information

Editors and Affiliations

Rights and permissions

Reprints and permissions

Copyright information

© 2018 Springer International Publishing AG, part of Springer Nature

About this chapter

Check for updates. Verify currency and authenticity via CrossMark

Cite this chapter

DeCaro, D.A., Chaffin, B.C., Schlager, E., Garmestani, A.S., Ruhl, J.B. (2018). Theory and Research to Study the Legal and Institutional Foundations of Adaptive Governance. In: Cosens, B., Gunderson, L. (eds) Practical Panarchy for Adaptive Water Governance. Springer, Cham. https://doi.org/10.1007/978-3-319-72472-0_16

Download citation

Publish with us

Policies and ethics