Volume 7 – Issue 4 – November 2011

Special Issue: Environmental Sustainability

Coordination of Policies and Governance Regime From Competition to Collaboration Requirements in Dutch Freshwater Management Challenges for New Zealand science Cheryl de Boer, Hans Bressers and Stefan Kuks 3 David Penman, Andrew Pearce and Missy Morton 44 Improving Water Governance in New Zealand: Stakeholder Pragmatism and Caffeine: Lessons from views of catchment management processes and plans cross-agency, cross-sector working Andrew Fenemor, Diarmuid Neilan, Will Allen Jo Cribb, Robbie Lane, Heather Penny, and Shona Russell 10 Kylie van Delden and Kathie Irwin 50 Single Worthwhile Policy, Seeking Legitimacy and Does the Reform of English Local Government Implementation: Sustainable tourism at the regional Contain Lessons for New Zealand? destination level, New Zealand Michael Reid 55 Brent Lovelock 20 How to Get Closer Together: Impacts of Promoting Sustainability From Above: Reflections income inequality and policy responses on the influence of the EU on tourism governance Paul Barber 62 Constantia Anastasiadou 27 Paid Parental Leave Policy – A response Biophysical Limits and Green Growth to Maureen Baker Jonathan Boston 34 Paul Callister and Judith Galtry 69 among policy-makers and the business community. Despite the rhetoric in the national and subnational strategies for tourism, policy legitimacy emerges as a major obstacle Editorial for incorporating sustainability in the governance of local tourism. Two destinations are more closely examined: Catlins, which is an emerging destination for which a preventive regulatory approach to sustainability should apply; and Note Queenstown, an established destination where a recovery Volume 7 – Issue 4 – November 2011 The 1992 Local Agenda 21 adopted at the Rio de Janeiro approach is needed, as the unplanned intensive growth over conference - the United Nations Conference on Environment the past decades has already generated negative social Policy Quarterly (PQ) is targeted at readers and Development - required governments to adopt and and environmental impacts. These case studies reveal that in the public sector, including politicians and implement National Strategies for Sustainable Development. the 1991 Resource Management Act does not provide an their staff, public servants and a wide variety of These were meant to offer guidance for the subsequent adequate regulatory approach to tourism permitting. The professions, together with others interested in re-design of their economic and social governance systems legal and institutional frameworks relevant for sustainable based on a set of four key governance principles for development are weak, which lies at the heart of the public issues. Its length and style are intended sustainability. The new governance systems were expected legitimacy problem for a sustainability-based tourism to make the journal accessible to busy readers. to facilitate the coordination of policies and strategies across governance in New Zealand. The journal welcomes contributions of the three pillars of sustainability – social, environmental and The Member States of the European Union (EU) about 4,000 words, written on any topic economic, as well as the coordination of such policies across seem to have the opposite problem: too many policy and relating to public policy and management. governmental levels. Two other key governance principles legislative tools and many levels of governance affecting Articles submitted will be reviewed by require the incorporation of intergenerational perspectives tourism development locally. However, from this thick members of the journal’s Editorial Board and/or and interests into policy-making, and the involvement of policy soup something meaningful still seems to emerge, as by selected reviewers, depending on the topic. citizens and wide range of stakeholders into governance Anastasiadou explains. For decades, tourism was excluded processes, especially decision-making and implementation. from the economic sectors for which EU Treaties gave Although issues will not usually have single The question that this special issue of Policy Quarterly European political authorities competencies to adopt policies, themes, special issues may be published from raises is – to what extent do we see evidence of the and enforce them on Member States. In this context, the EU time to time on specific or general themes, incorporation of such principles in the governance of key tried to steer tourism towards sustainability through soft perhaps to mark a significant event. In such economic sectors and natural resources? Four contributions instruments, such as guidelines and recommendations, cases, and on other occasions, contributions to this issue provide insights by exploring successes and and by means of generic tools such as the Lisbon Strategy, may be invited from particular people. failures, threats and opportunities in two policy domains: the Cohesion Policy and the Sustainable Development Subscriptions: The journal is available in PDF tourism development and the management of freshwater Strategy. Many financial schemes also target sustainability format on the IPS website: www.vuw.ac.nz/ips/ resources. Two contributions are from Europe, and two from goals at project level. Although the impact of these multiple pq. Readers who wish to receive it by email New Zealand; they explore key intercontinental differences interacting top-down tools is yet to be rigorously evaluated, and similarities. signs are emerging that the EU approach warmed hearts and should register as PQ subscribers De Boer and colleagues explore the implementation opened minds among both local public authorities and the [email protected]. This service is free. challenges associated with sustainable freshwater business community, in established and emerging tourism For all subscription and membership enquiries management in the Netherlands. In the Dutch context this destinations. please e-mail [email protected] or post to requires the coordination of interventions in four relevant Such behavioural change, underpinned by significant Institute of Policy Studies, P.O. Box 600, policy domains: recreation, agriculture, nature and flood policy and governance innovations, is what numerous Wellington. management. Their case study shows how an inclusive participants to the recent symposium on biophysical limits Electronic Access: The IPS directs interested governance approach, with wide public and stakeholder in Wellington advocate (‘Biophysical Limits and their Policy individuals to its website: www.vuw.ac.nz/ participation, improves sustainability outcomes. In addition, Implications’, 8-9 June 2011). Jonathan Boston reviews the an adaptive approach to implementation is crucial: they key themes explored during this symposium. He explains ips/index.aspx where details of the Institute’s reveal that governance for sustainability implies finding the that the earth’s resources are typically categorized as non- publications and upcoming events can be right balance between central government leadership and renewable, conditionally renewable and inexhaustible. The found. local flexibility to adapt to the complexities and uncertainties sustainability debate is connected to the normative debate on Permission: In the interest of promoting debate emerging in various local contexts. But adaptive which – and whether – the first two types of resources are and wider dissemination, the IPS encourages implementation requires flexible institutions and ‘open- substitutable. Here lies a key difference between ‘weak’ and use of all or part of the papers appearing in ended’ regulatory structures that enable revisions in the light ‘strong sustainability’. Such conceptualizations are important PQ, where there is no element of commercial of learning and new facts. Moreover, it requires an allowance as they underpin policies and institutions that should move gain. Appropriate acknowledgement of both for policy process phases to interact, rather than conceiving societies towards a greener type of development, respecting them as linear. the physical boundaries of planet Earth – its resource, sink author and source should be made in all The importance of more integration of policy processes, and thermodynamic boundaries. Boston reflects further on cases. The IPS retains copyright. Please direct particularly design and implementation, is also discussed in the policy design and political challenges ahead to enable a requests for permission to reprint articles from the New Zealand context of water management by Fenemor safer, sustainable development. this publication to [email protected]. and colleagues. An interactive approach to policymaking is Aside from the five articles on sustainability issues, this Editor: Jonathan Boston recommended by the surveyed freshwater stakeholders, as issue of Policy Quarterly contains four other contributions. Guest Editor: Valentina Dinica one of the 14 attributes of good governance distilled in their These canvass a diverse range of topics: David Penman, Editorial Board: David Bromell, paper. The authors discuss how ‘techno-corporatist legal Andrew Pearce and Missy Morton reflect on one of the key Valentina Dinica and Mike McGinnis formalism’ dominating New Zealand’s freshwater governance challenges facing New Zealand science, namely how to ISSN: 1176 - 8797 (Print) for decades has resulted in water permits and contracts embrace a more collaborative mode of inter-institutional that fix inefficient and inequitable water allocation systems working; related to this, Jo Cribb, Robbie Lane, Heather ISSN: 1176 - 4325 (Online) for the long term. The surveyed stakeholders also associate Penny, Kylie van Delden and Kathie Irwin explore the lessons Volume 7, Issue 4 – November 2011 good governance with a holistic approach to planning that for cross agency, cross-sector working arising out of a recent Design & Layout: Aleck Yee integrates a wide diversity of values in water management governmental project designed to improve outcomes for Cover Illustration: Aleck Yee such as landscape, ecological, cultural, and amenity values. vulnerable children; Mike Reid reviews recent and impending Production: Alltex Design The recent formation of the Land and Water Forum suggests changes in English local government and their lessons for Copy Editor: Rachel Barrowman a political willingness to experiment with new governance New Zealand; Paul Barber explores how New Zealand might Proof Reader: Vic Lipski arrangements based on the participatory principle. There reduce its current high level of income inequality; and Paul are also signs of regulatory innovations and improved Callister and Judith Galtry critically assess an article by coordination across governmental levels. Maureen Baker on paid parental leave which appeared in Dishearteningly such signs are not yet to be seen in the the August issue of this journal. Hopefully, there will be governance of tourism in New Zealand. Lovelock examines something here to excite the interest to all readers. the institutional and policy frameworks relevant for tourism development at regional and local levels. He finds little Valentina Dinica evidence of a genuine concern with sustainability issues Guest Editor

Page 2 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Cheryl de Boer, Hans Bressers and Stefan Kuks

Coordination of Policies and Governance: Regime Requirements in Dutch Freshwater Management

Introduction Recent developments in freshwater governance approaches in the Netherlands Sustainable development presents public authorities with can provide valuable insights for policy implementers. The coordination of a many challenges. Increasing steering capacity, legitimising wide range of relevant policy domains, current actions to address intergenerational benefits, and such as recreation, agriculture, nature and flood management, is being used to developing capacity to incorporate learning while dealing support sustainable water governance. Multi-policy implementation in complex with complexities and uncertainties are needed to address and dynamic social interaction processes upcoming dilemmas (Bressers and Rosenbaum, 2003). is essential in analysing governance for sustainable development. Consequently, the coordination of policies across policy Dealing with complexities and domains and governance scales is essential. uncertainties requires adaptive skills and management approaches which provide implementers with sufficient flexibility. Cheryl de Boer is a PhD candidate and researcher at the Twente Centre for Studies in Technology It also requires sectoral, domain-specific and Sustainable Development (CSTM), located at the University of Twente in the Netherlands. Her governance structures to provide a research focuses on governance and implementation of local-level stream restoration projects. Cheryl has a wide range of experience, having worked in the public, private and NGO sectors, and minimum level of direction and vision. has also served as the vice-president of the Hamilton Bay Area Restoration Council in 2008–2009. While coordination and strategic Hans Bressers is Professor of Policy Studies and Environmental Policy at the University of Twente direction are important, excessive control and founder of CSTM. He has published extensively on policy mapping, instruments, implementation, and top-down policy implementation can evaluation and policy networks, mostly applied to environmental policies and water management. He has been a researcher and project leader of numerous externally-funded projects, including limit opportunities for context-specific several projects funded by the EU research framework. solutions (De Boer and Bressers, 2011). Stefan Kuks is Professor of Innovation and Water Policy Implementation at the University of Twente The challenge is in finding the (School of Management and Governance). He has been involved in various national and international right balance between the extent and water policy studies focusing on institutional aspects of water management. Besides his part-time professorship, he is full-time chairman of the Regional Public Water Authority ‘Regge en Dinkel’ in the intensity of central leadership, vision east of the Netherlands, as well as an elected member in the executive committee of the Association and direction and local flexibility for of Water Management Authorities in The Hague. adaptation to uncertainties, complexities

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 3 Coordination of Policies and Governance: Regime Requirements in Dutch Freshwater Management and contextual conditions. The latter Most inhabitants are concentrated in policy fragmentation and inflexibility, refers also to challenges of governing a row of cities, which gives the region uncertainty and risk, multifunctional flexibly across policy domains (or a quite ‘rural’ atmosphere (by Dutch land use and improvements in sustainable horizontal coordination). This article standards). The area used for traditional development. describes the governance approach of (intensive) farming in the Regge Valley is What follows is a description of contextual water management (Kuks, decreasing. We classify the Regge Valley as the river restoration as a sustainable 2005), developed as a response to an increasingly interwoven combination development-oriented project. Insights sustainability challenges, and illustrates of agriculture, recreation and tourism, are provided regarding the experiences its use in a case of river restoration in the towns, and both wet and dry nature (EU involved in applying CWM in practice. Netherlands. This case offers an excellent Natura 2000 areas). The article concludes with a summary of example for understanding policy Large investments are being made the basic principles of CWM. domain coordination challenges and the in the region to improve recreation associated implementation processes. opportunities, wetlands, river and stream Implementation in complex and dynamic The Netherlands is the most densely dynamics and health. Combining these situations populated European country, with ambitions with economic and social Being a delta country, the Netherlands an average of 450 people per square development can create various physical has understandable concerns regarding kilometre. With approximately one planning issues. These efforts fall into the expected increasing frequency of quarter of the land area below sea level key policy domains which require high- and low-water settings as a result of climate change. This has warranted a drastic change of approach to water, land and nature management towards With approximately one quarter of the land area using nature’s resilience to provide for below sea level and three major rivers running both human and natural environmental needs. Recreation, agriculture, nature through it, flooding issues have long been an and flood management are integrated in projects like the Regge River restoration, important matter for Dutch society. even though they are based on different sectoral policies. The resulting projects are complex and need extended periods of and three major rivers running through coordination for sustainable development. time to manage opportunities and threats. it, flooding issues have long been an One important aspect of governance for These aspects are unpredictable from the important matter for Dutch society. sustainable development is that it requires onset and thus are also dynamic. Alongside the three administrative levels that new dimensions of social objectives The projects are also typically multi- of government (national, provincial and be embraced (Meadowcroft, 2007). This level by nature. Multi-level governance municipal), independent regional water necessitates internal and external policy is based on the acknowledgement that authorities (waterboards) play a key role integration efforts from those working all levels and scales influence a certain in water management. within governance structures still heavily situation simultaneously (not necessarily The subject of this article is the based on traditional sectoral segregations. to the same extent) and that all levels implementation process associated with This is a major component of the efforts influence each other (Bressers and planned multifunctionality, increasing being taken by local water managers in Rosenbaum, 2003). Though the projects space for river beds and the connection the Regge Valley. studied are local by nature, abundant of natural areas. These goals are at the The strategies discussed in this paper relations with upper levels (including heart of efforts in Dutch rural areas fall under a general framework referred the EU and world climate change to meet habitat and water quality and to as contextual water management arrangements) and lower levels (kitchen quantity goals set at the national and (CWM). CWM assumes a complex and table conversations with individual European levels. We examine how dynamic implementation environment citizens) are centre stage. they can be achieved through complex in which adaptive management strategies Inevitably, projects of the size multifunctional projects within the are necessary. It provides a conceptual and ambition of the Regge River context of high population density and understanding of the interaction of renaturalisation are ‘complex’, but intense land use. The projects require actors in implementation processes moreover they are also dynamic. The giving a large amount of space back and suggests the appropriate sorts of period over which they are implemented to natural processes while meeting governance structures that can support is sufficiently long to allow ample room recreational, economic development and this. The CWM strategies practiced by to engage with other actors in the given water management needs. Dutch local water managers address context. It is also long enough for the The 52 kilometre-long Regge Valley some issues typically challenging actors to try to continuously modify the belongs to the Dutch region of Twente. their work: stakeholder participation, context of the interaction processes. As

Page 4 – Policy Quarterly – Volume 7, Issue 4 – November 2011 such, the analysis of implementation needs EU Water Framework Directive to achieve This renders decision making difficult, to recognise that not only processes, but high ecological water quality standards. especially at the level of waterboards also contexts, evolve, both endogenously As Leonardo da Vinci said: ‘Water and municipalities. Waterboards have an and exogenously. Attention to the concept is the driving force of all nature’ (Juuti interest in considering water as a guiding of multi-policy implementation in and Katko, 2005). Given the increasingly principle in physical planning and leaving complex and dynamic social interaction acknowledged link between water and areas undeveloped if a flooding risk processes is thus essential for analysing nature, the government agencies of exists. Municipalities, however, have the river restoration projects as examples of the densely populated and ecologically final say in physical planning and have a governance for sustainable development. fragmented Netherlands have started to stronger interest in economic and urban Within this complex and dynamic assign significant importance to linking expansion (Woltjer and Neils, 2007). context, the related unpredictability and areas of ecological importance in order Restoration projects are also affected uncertainty of the environment makes to create the highest possible value of by local planning processes. Municipal linear project management an unfit biodiversity. Nature development is governments are required to submit strategy. Sectoral governance structures generally promoted in the context of zoning plans, which must incorporate often demand absolute priority for their completing the National Ecological national and provincial goals. For own (though perhaps overlapping) goals or procedures. This encourages implementers to defect from collaboration Two thirds of the Dutch population live in flood- with other policies’ implementers and is thus a serious stumbling block for adaptive prone areas: the land below sea level requires and collaborative implementation. Certain qualities are required to be able permanent protection, though further large to succeed in integrating different uses, inland areas also need protection from temporary actors’ consent, sectoral policy schemes, funding rules, time frames and scale inundation by sea and rivers. issues. The members of the project teams need to be able to actively seek coherent projects outside their traditional Network, and provided inspiration to example, the legislation for the protection environments (Williams, 2002), and see, the EU Natura 2000 initiative. From of specific species and national landscapes use and create ‘windows of opportunity’. 1990 until recently, governments of all must be included and developed using political colours have worked consistently an integrated approach. A special River restoration within the broader external to create stable and functional ecological characteristic of Dutch local zoning plans governance context linkages for that purpose. This level of is that they are detailed to the plot level Climate change is having, and will political stability has been critical in and directly legally binding. All land continue to have, the effect of delivering garnering support from different sectors uses other than the ones specified are more rainfall at irregular periods, causing of society. It generated high levels of restricted. higher and more frequent peak water trust among the many relevant sectors, In 2001 the national government and levels and droughts (IPCC, 2007). Two which was evident in their significant the national associations representing the thirds of the Dutch population live in investments of time and resources. Recent waterboards, provinces and municipalities flood-prone areas: the land below sea level revisions to government support of these concluded a first agreement on the requires permanent protection, though projects, however, has jeopardised this implementation of such policies and further large inland areas also need relationship. the role of each organisation therein. protection from temporary inundation Political commitment and govern- In 2003 they concluded the National by sea and rivers. During the 1990s the mental leadership are essential for Administrative Agreement on Water Netherlands experienced three serious overcoming the many obstacles involved (Nationaal Bestuursakkoord Water). This river floods, causing evacuations of people in spatial planning. In spite of the long- elaborated upon the responsibilities and and extensive material damage. More lasting and substantial governmental resources for implementation regarding space around rivers is needed not only for support for nature development policies, the water buffering aspect of water safety reasons (to allow rivers to rise and they are very hard to implement in such a management. fall without risk to human life or harm densely populated country. Increasingly, River restoration in the Netherlands is to economic interests), but also for the water interests compete with other done as much as possible in conjunction ecological development of the river. River interests for the limited remaining space with any related land use and policy renaturalisation is seen as the best way in the Netherlands. A new objective opportunities. There is as such quite to achieve more water buffering capacity of the Dutch water policy is to make a long list of important groups and given the future climate expectations. It is water a determining factor in spatial documents that make up the governance also seen as a way to answer the call of the planning (Wiering and Immink, 2006). structure associated with this activity.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 5 Coordination of Policies and Governance: Regime Requirements in Dutch Freshwater Management

The creation of new corridors of (provinces, municipalities, waterboards, Instead, they adopted an opportunistic nature claims additional land. Lands agencies) and non-governmental actors approach and did not begin are purchased by these public partners would be involved. While it provides a implementation in a methodical manner. in a coordinated fashion to meet goals clear vision, its implementation strategy They often watched and waited for such as ecological network creation and has been left open to accommodate high project options to develop independently the formation of water buffering space. participation. through the initiatives of various The deliberate coordination of policies Participation is one of the keys to stakeholders. They then collaborated with and strategies is a key capacity that has sustainable development and good the initiators to include as many aspects enabled these groups to work together governance (Steurer, 2009). This focus of their own vision as possible. For across governmental levels. on public participation is consistent with example, in the early stages of the process that of traditional Dutch governance the waterboard became aware of a farmer The Regge restoration project processes, which are heavily based along the Regge who was interested in The Waterboard of Regge and Dinkel is on consensus decision making. The ceasing his farming business. By paying responsible for the watersheds of the Regge reclamation and settling of lands below attention to other wishes of people in the River as well as the nearby Dinkel River. It sea level (poldering) forced many Dutch area this ultimately resulted in a cascade is viewed nationally as being innovative groups in the past to work together to of land exchanges. This not only enabled and progressive in relation to the new maintain their lands against flooding. the waterboard to get hold of a stretch of demands of water and nature restoration Consultation is used strategically by the river banks for renaturalisation, but also created improvements for two other farmers and new opportunities for one trade and one recreation business. Local interests should not be seen as obstacles to Local interests should not be seen be dealt with defensively, but as opportunities for as obstacles to be dealt with defensively, but as opportunities for adaptive adaptive implementation. implementation. Thus, project managers left ample room in the Regge Vision for these types of participatory win-win situations to tasks. The waterboard considers the Regge the waterboard in order to minimise emerge and determine where short- River basin to be suitable for additional objections and obstacles in attaining term project efforts should be focused. water retention. This section outlines their own objectives. It is necessary to Gradually, this developed into an the current river restoration project to engage in this type of communication at implementation strategy referred to as meet their flood risk management goals the outset of the project, before concrete ‘contextual water management’ (Kuks, in this area. They are cooperating with plans are developed. This strategy 2005). various nature organisations, levels of increases the ability to include various government and other private and public interests in the project through clever and Contextual water management stakeholders towards a coherent and flexible project design. It also improves Contextual water management is rooted in strategic approach. trust and cooperation among the various the observation that until the 1980s, water In 1998 the waterboard, in collabora- stakeholders. management was mostly segregated into tion with the Dienst Landelijk Gebied The Regge restoration project is sectors. Later on, the approach expanded to (DLG, the national agency responsible for transforming the previously channelised integrate various functions and measures rural areas) and the province of Overijssel, Regge into a dynamic and resilient in the water system. This was referred to initiated and issued the Regge Vision. river system. Given the large scale of as integrated water management (IWM), This integrated policy agreement set the the project, complications are expected which is, however, only a form of internal basis for the transformation of the heavily related to land use demands across the integration that still preserves much of the canalised Regge River back into a natural various sectors of society. It is quite traditional focus of water managers. river. The various arguments put in common in Dutch projects involving land In the 80s and 90s a development favour of such restoration efforts revealed use changes for private citizens or public took place in many European countries support for the multifunctionality of the organisations to raise legal objections. towards having a more open view on the area. The Regge Vision set an agenda These can delay projects significantly and relation of the water body to other aspects for further consultation and concrete add to their costs, so it is wise to avoid of natural and human uses. Water’s role decision making regarding integrated this where possible. in the support of natural ecosystems management of water quantity and In a successful avoidance strategy, in the river basin area and its role for quality, nature, agriculture, drinking water experienced project managers chose to recreation and tourism began to be better supply, recreation, landscape and estates. invest minimal time on the development valued (Bressers and Kuks, 2004). This All local and regional public authorities of an all-encompassing and detailed plan. integrated water resource management

Page 6 – Policy Quarterly – Volume 7, Issue 4 – November 2011 (IWRM) approach is a form of external considered to be the only feasible way to 1. Processes: interacting process phases integration, which now includes policy realise the maximum number of goals and manageable scales of operation domains previously unrelated to water given the constraints of such a complex In the classical project-planning and governance. context (Kuks, 2005). implementation perspective (which is far Nevertheless, this initiative still does This turns water management from from abolished in practice and theory) not address key sustainability issues. It a modelling, decision-making and there is a sequence of phases through is at best an externally integrated water management process into a multi-actor which each project goes: planning, design, management optimisation process. interactive governance process. This is realisation, maintenance. However, The water manager simply considers essentially a social interaction process in a complex and dynamic context, additional issues before deciding what the crucially dependent on contextual factors. all such phases no longer offer clarity best ‘policy and management response’ Contextual water management and organisation, but in fact produce would be. In order to overcome the supports a wide range of stakeholder substantial risks. The transitions from IWRM limitations, the water managers involvement in governance processes. one phase to another can be compared involved in the Regge restoration projects Decision-making processes are central to to a relay race. The ‘baton’ always has have started to develop and work with the CWM approach. CWM acknowledges some chance of falling and this chance a new logic. Integration for sustainable the necessary dependency on others and increases under stressful conditions. In governance of freshwater resources clarifies the benefits of seeking out joint reality, the complex and dynamic nature implies the incorporation of water goals projects. The strength of CWM is that it of water management projects provides into the various policies that affect or shows how goals can be realised across no guarantee that the next runners are are affected by the water system of all partners involved. Water is part of the environment as Adaptive implementation ... becomes well as the social context. When water managers do not take the entire context further challenging when many inflexibly into account, water goals become unfeasible because of opposition from the governed sectors need to cooperate in local excluded actors and sectors. Stakeholders have their own socio-economic, aesthetic, implementation. cultural and ethical values in relation to how water should be managed. Water goals should be developed through sectors and how intergenerational benefits eager to accept the baton or that they will interaction with partners in the can be achieved. But for CWM to work, a accept it at all. Geldof (2004) warns about environment and society at large, not framework or vision is needed that gives ‘cold welds’ that are inherently fragile just by the organisation responsible for perspective to the core interests of the and argues in favour of the blurring of managing water (Kuks, 2005). project, to keep it moving forward. The boundaries between project phases. This Water managers should continuously central inspirational guiding vision is best is called ‘interactive implementation’ seek an adequate balance between complemented with sufficient flexibility and can occur by involving actors who addressing the values and interests of in the relevant integrated governance normally would enter the scene in the various partners and those they see fit for arrangement (Boer and Bressers, 2010). later phases. supporting the water system. A permanent This provides the best conditions for The additional complexity that this cooperative interaction, aiming at making optimal use of scarce space and produces must be channelled somewhere. synergies, supports the incorporation funds in the implementation process. We were able to observe quite clearly of intergenerational interests into Adaptive implementation is very how this was handled in the Regge River policy making. As a consequence, water difficult under inflexible governance renaturalization process. It involved not governance goals cannot be uniformly structures. It becomes further challenging trying to implement the whole project implemented in different contexts. when many inflexibly governed everywhere and all at once, but breaking Within practical limits, there should be sectors need to cooperate in local it down into a multiplicity of smaller space for variation. Policy design that is implementation. (sometimes very small) sub-projects. more flexible and allows for contextual The following four points highlight These sub-projects can then be dealt with adaptations needs to be supported a number of elements of governance both in parallel and sequentially. In this by policy outcome expectations that that contextual water management way the actual work is captured in units accommodate variable success measures. understands to be at the heart of these with a manageable scale of space and Just as there is not one sustainable water implementation processes. This context time. The arenas, actors and resources governance situation that can be striven sets the stage for and illuminates the may be kept reasonably simple per sub- for, an ‘optimal’ water system can never necessity of an adaptive and dynamic project, even when inputs from various be attained. This method is, however, approach to river restoration projects. sides of the projects are included.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 7 Coordination of Policies and Governance: Regime Requirements in Dutch Freshwater Management

Structuring projects in a modular 3. Dynamic strategies: a balancing act 4. Actor receptivity: craftsmanship and way is recommended as an approach between fixing options and keeping them team spirit for effective organisations that turns time into an ally and supports open From the individual employee through learning while doing. It also enables the The Regge restoration projects are not to the organisational level, the execution promotional use of intermediate areas as only complex by nature but also time of adaptive implementation strategies good examples of successful projects in consuming, regardless of how they are becomes more difficult in less flexible order to convince landowners and citizens managed. In a democratic society in governance structures. In order to overcome in other places that it is worthwhile to which funds and space are scarce it is this, efforts that are oriented towards participate and cooperate. beyond the capacity of any regional external cooperation must be valued government to realise them overnight. and supported within the organisation. 2. Interactions: dealing with motivations, As pointed out earlier, this is not negative Motivated staff can remain supportive of cognitions and resources when time is made into an ally. The their organisation’s mission while also being In the implementation process a con- additional time required by this approach adaptive to external factors. They can meet certed effort is aimed at seeking alignment provides a significant benefit in terms of organisational goals through involvement of the cognitions, motivations and the direct learning process of the actors or participation in cooperative relationships resources of the actors involved with the involved. This does not hold only for the and project work (cf. Scharpf, 1997). Such goals of the projects, and vice versa. When learning process of the actors. Aspects of relationships become far more common a large power imbalance is not present the specific case context, such as the actor when there is open communication between the participants, the interactions relationships and the institutional arena, among the participants. A strong focus in the process are extremely important. can be modified through the application on collaboration, communication and They should be strongly considered when of careful strategies. They are actually networking is important. Organisational arranging a supportive setting of actors bound to change as an emergent result of development is highly dependent on and their characteristics. It is important to the complexity of relevant actions in the a sufficient degree of flexibility in the combine clear playing ground limitations absence of such deliberate strategies. regulations involved and the willingness for each actor with the openness to include The sequential nature of the line- of the organisation’s leadership to facilitate options for synergy, and the creativity to up of sub-projects also creates ample and provide the staff with sufficient leeway find or create such options. space for improving network relations and trust. Nearly all of the Regge restoration and trust-building. Clever actors can Support for the continuous learning project agreements were voluntary in acknowledge this option beforehand processes of the staff is also very nature. One farmer’s willingness to and invest proactively in building such important. This involves stimulating reduce the intensity of his/her operations relationships. the exchange of views and practical is combined with the province’s interest For the waterboard officials this experiences among colleagues, both in developing an ecological pathway. inevitably implies accepting a degree within the organisation and with those Voluntary actions are considered ideal in of uncertainty (Evers, 2011). Entering in other organisations. It basically serves order to reduce administrative overload, into an open implementation trajectory to stimulate all staff members to become legal obstacles and costs. Actors trust without knowing beforehand what ‘reflexive practitioners’ (Schön, 1983). each other to operate in ways that are exactly will evolve from it would appear Contextual water management is not beneficial towards one another when to open up the process to higher levels a predefined list of ‘dos and don’ts’. To their interests naturally align. of uncertainty. Objectively, however, a large extent it is a matter of careful This form of project development this strategy does not increase the level judgment in informed dilemmas. Mutual requires an open, participative and of uncertainty associated with the learning through sharing of each other’s communicative approach. It is inclusive achievement of the implementation experiences creates sharper insights and a towards the social environment of other goals. Contextual water management team spirit, with a jointly-held collection actors and it supports learning from merely brings the uncertainties to light of possible actions and outcomes. each other. It is of crucial importance at an earlier stage of the process. Many to have a good understanding about the implementation processes are bound Conclusion characteristics of the other actors, and to fail, get stuck at some stage or only Increasing complexity in spatial planning to monitor when and where productive proceed after substantial alterations to the is inevitable in working towards achieving settings of positive motivations, adequate initial plans have been made. Culturally, a more sustainable built and natural cognitions and sufficient resources it requires accepting the inevitability that environment. The associated difficulties in of actors can arise (Bressers, 2004). unforeseen complications or complexity developing a coordinated set of policy and It is equally important to show not will arise. Dealing with uncertainties governance structures are not likely to be only openness, but also reliability and requires a continuous balancing act solved through the addition of high-level determination during the entire process between stability and adaptive behaviour. policies aimed at increasing cohesion. In (Bressers and Lulofs, 2010, pp.200-3). the field of freshwater management, local

Page 8 – Policy Quarterly – Volume 7, Issue 4 – November 2011 efforts informed by a guiding vision can societal goals and overcome a number supports sustainable development and is address both specific interests and broader of challenges posed by an incoherent valuable as a best-practice framework for goals from various sectors. Working governance structure. Similarly, a more project managers and teams operating in under the framework of contextual flexible governance structure can better a complex and dynamic environment. water management can thus support the support projects in a complex and dynamic advancement of a number of different context. Contextual water management

References Contribution of working group I to the fourth assessment report of Boer, C. de and H. Bressers (2010) ‘“Inter-regime” effects on local stream the Intergovernmental Panel on Climate Change, Cambridge and New restoration projects’, conference paper presented at ISEE conference York: Cambridge University Press on Sustainability in a Time of Crisis, Oldenburg-Bremen, 22-25 Juuti, P.S. and T.S. Katko (eds) (2005) Water, Time and European Cities, August Tampere: Tampere University of Technology Boer, C. de and H. Bressers (2011) Complex and Dynamic Kuks, S. (2005), ‘Contextueel waterbeheer’, presentation with PowerPoint Implementation Processes, Enschede: University of Twente Books for the IPO, the Association of Dutch Provinces, Ellecom, 16 June Bressers, H. (2004) ‘Implementing sustainable development: how to Meadowcroft, J. (2007) ‘Who is in charge here? Governance know what works, where, when and how’, in W.M. Lafferty (ed.), for sustainable development in a complex world’, Journal of Governance for Sustainable Development: the challenge of adapting Environmental Policy and Planning, 9 (3-4), pp.299-314 form to function, Cheltenham, Northampton MA: Edward Elgar Scharpf, F.W. (1997) Games Real Actors Play: actor-centered Bressers, H. and S. Kuks (eds) (2004) Integrated Governance and Water institutionalism in policy research, Boulder: Westview Basin Management: conditions for regime change and sustainability, Schön, D.A. (1983) The Reflective Practitioner: how professionals think Dordrecht-Boston-London: Kluwer Academic Publishers in action, New York: Basic Books Bressers, H. and K. Lulofs (eds) (2010) Governance and Complexity in Steurer, R. (2009) Sustainable Development as Governance Reform Water Management: Creating cooperation through boundary spanning Agenda: an aggregation of distinguished challenges for policy making, strategies, Cheltenham: Edward Elgar discussion paper 1-2009, Vienna: Institute of Forest, Environmental Bressers, H. and W. Rosenbaum (eds) (2003) Achieving Sustainable and Natural Resource Policy, University of Natural Resources and Development: the challenge of governance across social scales, Applied Life Sciences, (BOKU) Westport, Connecticut: Praeger Wiering, M. and I. Immink (2006) ‘When water management meets Evers, J. (2011) Werk in Uitvoering: de toepassing van interactieve spatial planning: a policy-arrangements perspective’, Environment and uitvoering in de praktijk, Enschede: Universiteit Twente Planning C: Government and Policy, 24, pp.423-38 Geldof, G.D. (2004) Omgaan met complexiteit bij integraal waterbeheer: Williams, P. (2002) ‘The competent boundary spanner’, Public op weg naar interactieve uitvoering, Deventer: Tauw Administration, 80 (1), pp.103-24 IPCC (2007) ‘Summary for policymakers’, in S. Solomon, D. Qin, M. Woltjer, J. and A. Niels (2007) ‘Integrating water management and Manning, Z. Chen, M. Marquis, K.B. Averyt, M.Tignor and H.L. spatial planning strategies based on the Dutch experience’, Journal of Miller (eds), Climate Change 2007: the physical science basis. the American Planning Association, 73 (2), pp.211-22 THE COSTS OF CRIME Edited by Gabrielle Maxwell

In 2012 the New Zealand government a more informed approach to policy spent $3.4 billion, or nearly $800 per development. Such strategies must assist person, on responses to crime via the victims constructively while also reducing justice system. Research shows that much offending. Using public resources to lock of this spending does little to reduce as many people in our prisons as possible the changes of re-offending. Relatively cannot be justified by the evidence and is little money is spent on victims, the fiscally unsustainable; nor does such an rehabilitation of offenders or to support the approach make society safer. To reduce families of offenders. the costs of crime we need to reinvest This book is based on papers presented resources in effective strategies to build at the Costs of Crime forum held by the positive futures for those at risk and the Institute of Policy Studies in February communities needed to sustain them. 2011. It presents lessons from what is happening in Australia, Britain and the United States and focuses on how best An Institute of Policy Studies Publication edited by Gabriell Maxwell to manage crime, respond to victims, and Publication Date: October 2011. Format B5 Paperback, pp137 reduce offending in a cost-effective manner ISBN 978-1-877347-44-3 – IPS/PUB/172 Price - $35.80 (including P&P within New Zealand) in a New Zealand context. Place your order by email, phone or mail to: Institute of Policy Studies, Victoria University of Wellington It is clear that strategies are needed Email: [email protected] – Telephone +64 4 463 5307 – PO Box 600, Wellington, New Zealand that are based on better research and An invoice will be issued with your order

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 9 Andrew Fenemor, Diarmuid Neilan, Will Allen and Shona Russell

Improving Water Governance in New Zealand stakeholder views of catchment management processes and plans

Water governance refers to the institutions, legislation and decision-making processes applied to develop and manage water resources. As pressures on water resources increase there has been a realisation that technocratically-driven water management has not achieved desired sustainability outcomes.

Andrew Fenemor is a hydrologist and water management researcher at Landcare Research in Attention must be focused Nelson. From 2002 to 2011 he led the Integrated Catchment Management (ICM) research programme based in the Motueka catchment (see icm.landcareresearch.co.nz). Prior to not only on better scientific that he was environmental manager at Tasman District Council. His research interests are at the interfaces between catchment science, policy and action. His present address for understanding of water and correspondence is: Private Bag 6, Nelson 7042; [email protected]. Diarmuid Neilan studied environmental science in Ireland before completing his MSc in water its values and uses, but also management from the universities of Duisburg Essen (Germany) and Radboud (Holland). The stakeholder survey and governance attributes in this paper are derived from his thesis. Diarmuid on what constitutes good has taken to heart the benefits of community participation in governance and is working to develop more resilient communities in his home city of Limerick, Ireland. water governance. Will Allen is an independent organisational development consultant and action researcher based in Christchurch. His primary interest is in supporting people to collaborate and develop In this article we focus on the ‘engine innovative solutions to sustainability issues. For the past ten years he has managed the Learning room’ of water governance in New for Sustainability website – http://learningforsustainability.net – an online guide providing annotated links to several hundred key international information sources that support the Zealand: water management planning by different facets of multi-stakeholder learning processes. regional and unitary councils. We suggest Shona Russell is a social researcher at Landcare Research, Lincoln. Shona’s research interests six principles of good water governance are how people engage in environmental issues, particularly relating to water. Her recent work relevant to New Zealand. These principles examines how social media can be used to engage in conversations about problems of national significance, how policy and planning practices engage with challenges of water resource are evaluation criteria in our governance management, and how people in New Zealand are responding to climate change. evaluation tool. The results of interviews

Page 10 – Policy Quarterly – Volume 7, Issue 4 – November 2011 with 56 stakeholders are synthesised using integration, efficiency, adaptiveness solutions are for management this tool to identify 14 attributes which, and competence. Secondly, we briefly agencies to impose rules, such as full alongside innovations in collaboration summarise the history and current private property rights or regulation and co-governance, would help improve institutional and legislative settings for (Ostrom, 1990). However, as seen in New Zealand water governance. water resource management. Using the New Zealand, effective environmental As is the case in many other parts governance principles as a framework, governance inevitably comprises a mix of the world, New Zealand is seeing we thirdly outline findings from a of mechanisms, such as combinations growing evidence of stresses on its research project which sought to address of regulations, water markets and co- freshwater resources as land uses how good governance principles could management agreements. Ostrom’s main intensify and demands for water, be implemented in improved decision conclusion is that people are capable of especially for irrigation, reach limits making around water. This project managing common property resources of availability. Research and resource surveyed the opinions of 56 stakeholders such as water through intelligent design investigations have been undertaken on involved in one of five water management of diverse multi-scale institutions. We technical issues (e.g. Harding et al. (eds), planning processes about the governance suggest that there are New Zealand 2004) such as recharge rates for aquifers, attributes which they believed affected examples that are beginning to bear this flow requirements for maintaining their level of satisfaction with (a) out, and further opportunities for this instream values of water bodies, leaching the water management plan, and (b) approach. of contaminants from various land uses, and how to improve efficiency of irrigation watering. Physical, chemical, ... resource managers are recognising that our biological and engineering knowledge are certainly essential for environmental inability to adequately manage freshwater stressors decision making. However, a widening range of stakeholders is being affected by is not so much a deficiency of science as a deficiency water decisions and many questions of in governance. a less technical nature are being raised: questions such as how are decisions being made about who gets what water; whose voices and what values are influencing decision making; why are the planning process. The 14 good Governance is therefore a funda- plans and strategies poor at delivering governance attributes synthesised from mental contributor to the success good environmental outcomes; and these stakeholder responses relate to or failure of water management how could cumulative effects, especially planning processes, planning methods initiatives, because decision making and between land use and water, be better and plan outcomes. implementation at the technical level managed? are so dependent on the organisational, In the light of those questions, Water governance principles legal and policy context. Organisations resource managers are recognising In the face of looming global water involved in water and land management that our inability to adequately scarcity and conflict there is increased are sources of funding and technical and manage freshwater stressors is not research interest in inclusive governance facilitation skills. The law dictates how so much a deficiency of science as concepts (Gleick, 2003; Pearce, 2007; resources are allocated and what limits a deficiency in governance. From a Pahl-Wostl et al., 2008) to the extent that apply to the use of water and land. Policy resource management perspective, we the 2009 Nobel prize for economics was applies controls on water and land uses at can characterise two components of awarded to Elinor Ostrom for her work on more local and regional scales. But good sustainable water management: the polycentric (distributed) governance of governance is more than just having science and social process dimensions common-pool resources (Ostrom, 2010). responsible institutions producing plans (Fenemor et al., 2011), the science Her research is founded coincidentally and strategies for water. dimension incorporating biophysical on water management – water users who At its heart, the test of an effective and economic understanding, and the devised their own collective solutions system of water governance would social process dimension a fundamental to excessive groundwater withdrawals seem to be whether it sets and delivers element of good governance. in Californian basins. It challenges the sustainable water management To address the New Zealand water rational choice theory underpinning the outcomes. However, there are other tests governance challenges, this article is ‘tragedy of the commons’ (Hardin, 1968) which should also apply, because water structured in three sections. Firstly which suggests that users of common governance is also about the processes we describe these six principles of property resources are powerless in the for achieving enduring and adaptive good water governance: participation, face of self-interest and will exploit shared outcomes. Table 1 presents a synthesis transparency and accountability, resources unsustainably. Conventional of principles of good water governance

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 11 Improving Water Governance in New Zealand: stakeholder views of catchment management processes and plans

Table 1: Principles of good water governance fact that water resources are just a part Principle Description of a complex system, and in particular Participatory The different stakeholders involved need to be identified and included in heavily influenced by land use and policy and decision making. Inclusive processes build confidence in the management practices. The principles resulting policies, and in the institutions. Two-way communication using recognise the need for efficiency and engaging language creates trust and a sense of democracy. effectiveness, and that the system will Transparent Information flows freely and steps taken in policy development are visible need to adapt as social, economic and and to all. This helps ensure legitimacy by being seen to be fair to all the ecological systems continually co- accountable parties. It implies the need to be seen to be ethical and equitable, for the evolve. Finally, they recognise that the roles and responsibilities of both institutions and stakeholders to be clear, management of such collaboratively- and for the rule of law to apply. managed systems requires a number of Integrative A holistic approach is taken to the primary influences within the water skills and capacities. However, putting system, be they landscape components such as land use or river- these principles into practice is not easy, groundwater connections, different community world views or diverse and in a subsequent section of this paper scientific interpretations. Integration recognises linkages within the we look more at how that can be done, management system; in turn, policies and action must be coherent and looking specifically at the decision- aligned – this requires political leadership and consistent approaches making aspects of governance. amongst institutions. Efficient Governance should not impede effective action. Transaction costs are New Zealand water governance minimised, including financial and time costs of decision making and In New Zealand, water governance compliance, administrative costs, complexity, and ease of understanding of how the system operates. is enacted through agencies (central government agencies and local Adaptive The system incorporates collaborative learning, is responsive to changing pressures and values, and anticipates and manages threats, opportunities authorities), laws (primarily the and risks. It recognises that the system is complex and constantly in flux. Resource Management Act 1991), rules (in regulations and in regional plans) Competent Decisions must be based on sound evidence. Competence requires development of capability at all levels: skills, leadership, experience, and practices (e.g. administrative resources, knowledge, social learning, plans and systems to enable procedures), as shown conceptually in sustainable water management. Figure 1. Collectively these operate across a range of scales, from the setting of national water management priorities Figure 1: Conceptual view of water (and land) governance in New Zealand through to landowner or business decisions about water (and land) use InstitutionsScale Generic Function Examples at the individual property level. Figure Agencies Worldview Western democracy 1 also provides examples of the types of functional approaches which guide National Constitution Common Law doctrine Increasing Devolution Treaty of Waitangi decision making across those scales. Water management is undertaken Laws Regional/District Laws Resource Management Act 1991 Local Government Act 2002 through two key pieces of legislation: the Resource Management Act 1991 (RMA), Strategy Longterm Council Community Plan which has a sustainable management Rules Catchment Policy Catchment plans focus, and the Local Government Act RMA Regional Plans 2002 (LGA), which has a sustainable Regulatory Decisions Consents & permits development focus. Those concepts Practices Property Cultural & Social Norms Informal Hearing overlap as both embody the idea of sustainability; consider intergenerational Customs Rahui issues; involve participation of people and communities; and consider social, economic, environmental and from literature (Rogers and Hall, 2003; Collectively these principles provide cultural values (Richmond et al., in Lockwood et al., 2008; UNESCO, 2006) a high-level guide for good collective Harding et al. (eds), 2004). However, and of relevance to 21st-century water practice in how we manage our water sustainable management can be seen resource management in New Zealand. resources. They point to the need to as more of a balancing of values than An agreed set of principles such as involve people in a transparent and sustainable development, which implies this can be used to evaluate, refine and accountable process. They require us to sustainability within a growth trajectory. improve the legislative, institutional and look at the bigger picture, and to strive The concepts of sustainable management policy components of water governance. to be integrative and mindful of the and sustainable development are still

Page 12 – Policy Quarterly – Volume 7, Issue 4 – November 2011 evolving. Seen from the viewpoint National Agenda for Sustainable Water democratically elected institutions have of the four ‘well-beings’ needed to Management (1999) to the Sustainable in dealing with environmental issues. It is achieve sustainable development Water Programme of Action (2003) and moot whether an alternative institutional (LGA), sustainable management of the New Start for Freshwater (2009). All governance structure could do any better. water resources would logically involve cite the need to improve New Zealand’s However, we would suggest that globally balancing of not just environmental water allocation and water quality this challenge has proven difficult, and the sustainability, but also social equity, management. environment must be seen as a collective economic efficiency and recognition of The RMA also recognises the primary responsibility, rather than solely an agency cultural values. role accorded Mäori under the Treaty responsibility. of Waitangi. Mäori have a special status Agencies with freshwater management as Treaty partners, beyond that of other Water management plans responsibilities stakeholders. Mäori customary values and Most of the regional councils and unitary Although we have the full range of levels the guardianship concept of kaitiakitanga authorities have developed statutory shown in Figure 1, New Zealand is unique are to be recognised in decision making plans for the management of fresh water. in that more than in most other developed around water. Some iwi have been Catchment and water management countries, water policy and decision seeking co-governance with government planning is not a new activity, but the making are devolved almost wholly to of water bodies including the Whanganui RMA did provide a statutory basis for local authorities at regional level (Fenemor and Waikato rivers. The Waikato–Tainui these as ‘regional plans’. Water and soil et al., 2006). This level of devolution Raupatu Claims (Waikato River) management plans were previously has existed since catchment boards were Settlement Act 2010 established in 2011 the prepared by many catchment boards formed in the 1940s to implement soil conservation and flood control measures, and their functions expanded under the 1967 Water and Soil Conservation Act to ... the environment must be seen as a collective the allocation of water and management responsibility, rather than solely an agency of water quality. Replacing catchment boards and responsibility. a plethora of other single purpose organisations in 1989, local authorities (regional councils, unitary authorities and territorial authorities) have first co-governance body, the joint iwi/ as non-statutory planning instruments varied responsibilities for sustainable Crown-governed Waikato River Authority. under the former 1967 Water and management. The 16 regional/unitary The government has committed $210m Soil Conservation Act. The scope of councils have a much broader mandate funding over 30 years to restore this river, current freshwater management plans under the RMA to develop region-wide New Zealand’s largest. is commonly water allocation and water policies, and specific plans for publicly- quality management, and their spatial owned or -managed natural resources, Performance of regional councils scales range from catchment-scale to and to issue consents for use of those As agencies with major responsibilities regional. The plans demonstrate a regional resources, including water and discharge for water resource management, regional variance according to regional pressures permits. Territorial authorities (district councils’ performance has come under the on water use, as would be expected (Bright and city councils) develop policies and spotlight, perhaps best illustrated by the et al., 2008). These plans are in varying issue land use consents for development. minister for the environment’s action in states of implementation, with some fully Unitary authorities (Auckland, Gisborne, March 2010 to replace the elected council operative, some still in the hearing phase, Marlborough, Nelson, Tasman) combine at Environment Canterbury with non- and some being reviewed or rewritten. functions of regional and territorial elected commissioners McNeill (2008) Arguably, the emphasis on integrated authorities within one organisation. points to regional councils having failed and catchment-based planning has been At the next level up, central government to prevent declines in environmental weakened by the broader RMA mandates can issue guiding national policy (e.g. quality, the primary concern being and more regional focus of regional and national policy statements) and binding declining water quality resulting from unitary council planning than earlier standards (e.g. national environmental land use intensification. He identifies catchment-based water and soil plans. standards), and also adjudicates through among regional councils’ shortcomings independent panels or the Environment their low public profile, potential political Criticisms of planning Court when decisions at either level are capture by sector interests, a variability in New Zealand’s water governance has contested. Successive central governments capability to deliver, lack of uniformity been subject to criticism. For example, have devised programmes of work to in managing common issues across the legalistic statutory hearing processes improve water management, from the regional boundaries, and the difficulties imposed by the RMA and the time

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 13 Improving Water Governance in New Zealand: stakeholder views of catchment management processes and plans

Figure 2: Case study catchments Innovations for water governance and management in New Zealand South Island Tasman Nelson Against this governance background we District New Zealand City now turn to looking at how the broad governance principles referred to earlier could improve water governance at

Waimea River the decision-making level. We present results of stakeholder interviews about

Awatere River current and potential New Zealand water governance, focused at the regional planning level. This research evaluated West Coast and compared stakeholder opinions Region about water management planning and Marlborough implementation processes across five District case-study catchments in the South Island. These were the Waimea catchment Waimakariri River in Tasman; the Awatere catchment in Marlborough; the Waimakariri catchment in North Canterbury; the Waitaki Canterbury Region catchment in South Canterbury; and the Pomahaka catchment in Otago (see Figure 2). A summary of the geography and catchment management issues for Waitaki River each catchment is provided in Table 2. Stakeholders were broadly categorised Pomahaka River into local government (policy makers Clutha River Otago and resource scientists from regional Region councils); environmental government

(agencies with statutory involvement Southland in water management, including the Region Department of Conservation and Fish & Game New Zealand); iwi (Mäori

050 100 150 200 250 300 kms engaged in resource management); water users (groups and individuals using water under resource consents, such irrigators, required to make plans operative have water allocation limits were set in hydroelectricity generators and their attracted criticism (e.g. Ericksen, 2004), as catchment plans in the 1980s, for example consultants); and in-stream stakeholders has the perception that both planning and for the Waimea Basin in Tasman, the (members of interest groups such as consent decision making is dominated Opihi in Canterbury and the Omaha in Forest & Bird and recreational groups). by ‘technocorporatist legal formalism’ Auckland, with the waters of the Waimea Some sectors were less represented (Jackson and Dixon, 2007) – a reliance Basin all deemed fully allocated by in catchments than others, and some on legal and statutory planning processes. 1996. More recently, Horizons Regional stakeholders did not fit solely into one New Zealand water management processes Council (Manawatu–Wanganui) has sector but were assigned to their primary have also lacked strategic planning from pioneered the idea of a single consent category. central and local government (Painter for farms as a method for controlling The research was conducted in 2008– and Memon, 2008), despite provision sediment and nutrient contamination 2009 in two phases. Firstly, council staff for strategic planning instruments in under their ‘One Plan’. Waikato Regional involved in each catchment planning the RMA. Memon and Skelton (2007) Council has implemented ‘cap and trade’ process responded via a questionnaire for characterise this as ‘institutional inertia’. for controlling nutrient losses to Lake a Strengths-Weaknesses-Opportunities- Despite the recognition of Mäori culture Taupo, and the Bay of Plenty Regional Threats (SWOT) analysis of the likely and traditions in the RMA, Mäori also Council through its ‘Rule 11’ has set limits effectiveness of their water management view the act as insufficient for fully for nutrient losses to protect the Rotorua planning process achieving the antici- recognising Mäori values and interests in lakes from eutrophication. pated outcomes for the environment water (Durette et al., 2009). through the plans’ objectives, policies and However, there have been notable rules. Examples of anticipated outcomes advances in water planning. The first are achieving swimming water quality

Page 14 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Table 2: Description of the five catchments Catchment Waimea, Tasman1 Awatere, Marlborough2 Waimakariri, Waitaki, Canterbury4 Pomahaka, Otago5 region Canterbury3 Regional Tasman District Marlborough District Canterbury Regional Canterbury Regional Otago Regional council Council Council Council (Environment Council & Otago Regional Council Canterbury) Council Catchment area 722 sq km 1,600 sq km 3,654 sq km 7,340 sq km 2,060 sq km Length of river 50km 110km 151km 110km 98km Land use Indigenous forests Viticulture Dryland grazing Dryland grazing Intensification of Horticulture Pine plantations Cropping Cropping sheep, beef, dairy Urban & lifestyle Cropping Increased dairying Increased dairying farming blocks Importance of Swimming, kayaking Important habitat for Recreation, tourism Fishing, canoeing, Trout fishery catchment Waimea Inlet native fish species Indigenous ecosystems kayaking, rafting, boating, Game bird hunting internationally Molesworth Station in in the upper skiing, mountain biking, Other recreation valued for breeding headwaters catchment tramping seabirds Hydroelectricity generation Water uses Irrigation and Irrigation for viticulture Municipal use Domestic water supply Municipal use (surface and domestic use Irrigation for Hydroelectricity ground water) Municipal use agriculture generation Irrigation for agriculture Pressures Low reliability of Increasing demand for Increasing demand for Demands exceed Increased dairy water supply in irrigation water irrigation water availability conversions summer Discharges and land Discharges and land use Declining water Low flows affect use affect groundwater affect groundwater quality quality ecological health of quality waterways Proposals (past/ Lee Valley Awatere Irrigation Ltd Central Plains Water Existing power and Irrigation current) Community Water scheme opened 2009 proposal to draw irrigation schemes developments Augmentation water from Rakaia and Hunter Downs proposal Dam proposal by Waimakariri Rivers Project Aqua the Waimea Water to irrigate 60,000 hydroelectricity proposal, Augmentation hectares abandoned in 2004 Committee Relevant Tasman Resource Wairau Awatere Waimakariri River Waitaki Catchment Water Regional Plan, Water regional plans Management Plan Resource Management Regional Plan Allocation Regional Plan for Otago Plan

1 Young et al., 2010 2 Marlborough District Coucil, 2009 3 Environment Canterbury, 2011 4 Ministry for the Environment, 2006 5 Otago Regional Council, 2010 in specified water bodies, no decline in comparison of stakeholder responses, again across all plans to determine each existing water quality, and limiting water each interviewee scored their particular sector’s degree of satisfaction with the taken so that water bodies maintain their catchment plan and planning process planning process. life-supporting capacity and natural against the good governance principles character. outlined in Table 1, on a poor (1) to very Results The second phase comprised semi- good (4) scale. As an example of results of this analysis, structured interviews with individuals The three-dimensional governance Figures 4 and 5 show the relative from the wider stakeholder group about evaluation tool shown in Figure 3 was level of satisfaction with plans and the barriers to achieving outcomes and developed to interpret these stakeholder their implementation and with the about factors they thought could assist the scores. Stakeholder scores for each of planning process by sector respectively. achievement of better outcomes through the governance criteria (principles) are Stakeholders involved in the Waimea both the planning and implementation arrayed along the Z axis. In this way, the plan were the most satisfied, while those phases of the relevant plan. Interviews average score for each sector could be involved with the Waimakariri plan were were conducted with individuals averaged again across each plan on the least satisfied. Interviewees from the local representing or connected to stakeholder X axis to determine the degree of overall government and water user sectors were groups, and covered water allocation and satisfaction with each plan. The average more satisfied with the catchment water water quality management. To enable score for each sector could be averaged planning process than those from the

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 15 Improving Water Governance in New Zealand: stakeholder views of catchment management processes and plans

Figure 3: Governance evaluation tool to assess stakeholder satisfaction Table 3. The attributes for improved water Governance Criteria governance in Table 3 reflect stakeholder concerns about deficiencies in current Use of Science knowledge practices in regional water planning. Communicative + inclusive The synthesis covers the main themes Efficient + responsive Sectors raised by stakeholders, but does not Open + transparent GovtEnviro Iwi Water In- Coherent + integrative users stream imply deficiencies in every one of the five Satisfaction catchments. Rather, it is based on the most Water plan A with plan persistent issues raised in the interviews, Water plans Water plan B which also included observations about successful attributes of current water Water plan C management. For purposes of discussion Water plan D below, we have categorised the attributes as relating to either (1) the planning Water plan E process, (2) the methods employed in the plan, or (3) the outcomes achieved Satisfaction with process through the plan.

Figure 4: Overall level of satisfaction with plans and implementation, including standard Planning process attributes deviations Among the planning process attributes, the need to improve engagement 3.5 and involvement of stakeholders 3.0 was emphasised, not just in the plan development phase but also to improve 2.5 implementation of the completed plan. 2.0 Planning was seen as more successful in 1.5 cases where community-based catchment groups or water user groups have a role 1.0 in implementation – for example, of water 0.5 sharing – and act as a forum for continued Stakeholder Satisfaction consultation with the regional council. 0.0 Waimea Awatere Waimak Waitaki Pomahaka This collaborative approach may reduce Water plans the frustration felt by those in some stakeholder sectors who felt that some Figure 5: Overall level of satisfaction with planning processes across sectors, including politically-favoured issues (e.g. irrigation) standard deviations were taking precedence and undermining 3.5 their values for the catchment. A common concern was the need for 3.0 the staff group developing a plan and 2.5 those in consent and compliance roles charged with implementing the plan to 2.0 work in a more collaborative mode. The 1.5 research has indicated that a ‘think tank’ 1.0 approach to water management at council level may create a more integrative 0.5 Stakeholder Satisfaction approach to problem solving, in which 0.0 consents staff, policy staff and resource Local Govt Env Govt Iwi Water Users In-Stream scientists meet regularly, especially at Stakeholder Sectors consent renewal time, to discuss decisions. environmental government, in-stream Attributes of improved water governance Stakeholders also feel more comfortable and iwi sectors, in that order. It should be Stakeholder views about why they when they are dealing with council staff remembered that the interviewees were were satisfied and their views about with whom they are familiar rather than at different stages of the various planning what changes would make them more people they do not know. One suggestion processes, which will have affected the satisfied with the plans and planning to address high staff turnover was ‘plan opinions being expressed. processes were synthesised into the 14 induction’ courses, which could be open good governance attributes presented in to the wider stakeholder group.

Page 16 – Policy Quarterly – Volume 7, Issue 4 – November 2011 A consistent theme was the need Table 3: Good governance attributes for improved New Zealand water management for more integrative planning, such planning, synthesised from stakeholder interviews as integrated catchment management Planning process plans. Stakeholders sought not only better planning of land use and land 1. Design and implement an engagement strategy, especially in the planning process management practices, recognising through to implementation of early stages their impacts on water, but also a more 2. Avoid bias, particularly political holistic planning process recognising the 3. Plan the transition from design to implementation phases, especially having a team spectrum of community values for water: approach within council examples cited of neglected values were landscape, spiritual and amenity values. 4. Facilitate buy-in, both within council and from all stakeholders These views were strongly held by iwi 5. Be holistic (integrated planning) and environmental stakeholders. The RMA is effects-based and many 6. Build in flexibility to respond and adapt to new pressures (e.g. land use stakeholders were unhappy with the slow intensification, changing climate) while providing sufficient certainty for investment response of plans to emerging water Planning methods issues such as land use intensification. 7. Base planning methods on science and monitoring, including improved sharing and Examples were cited of existing consents peer review of all science with long-term expiry dates constraining the ability of the council to adjust 8. Devolve monitoring to water users and stakeholders (e.g. through audited self- plan rules – for example to change management), and include methods for regular reviews of plan effectiveness allocation limits or environmental flows. 9. Be explicit about methodology: e.g. for effective water allocation by defining Stakeholders saw the benefit of having environmental flow needs, allocation caps and sharing; for water quality management, catchment groups involved in monitoring ensuring water quality targets influence land use planning and advocacy so that emerging issues can 10. Spread water management costs more fairly among users be addressed more quickly, and of having reviews of consents (RMA, s128) linked Plan outcomes to plan review dates (e.g. ten-yearly). 11. State the vision of the plan, supported by clearer national priorities for sustainable However, water user stakeholders also water management wanted consent renewals to be made less bureaucratic. 12. Ensure policies, methods and rules in the plan adequately connect to and deliver the agreed plan objectives

Planning methods attributes 13. Specify limits (‘carrying capacity’) based on existing and desired community outcomes A consistent view among stakeholders 14. Improve accountability for delivering outcomes (e.g. of regional councils to national was the need to share knowledge about level) planning methods which have worked well. This particularly included water allocation frameworks (e.g. Bright et al., and how the data they collect are used for also particularly sought better tools 2008) and the science supporting good decision making. If target outcomes have for tackling diffuse pollution. Methods management practices from landowner been adequately defined in the planning raised included integrated catchment up to policy levels. Two challenges were phase, stakeholders mostly wanted to be management; the EU approach, posed for science: the need for better involved in monitoring those targets and combining ‘emission limit values’ and mechanisms by which science knowledge considered this would assist in adaptive environmental quality standards; and can inform planning processes, and how management. inclusion of hydromorphological (river to facilitate access to expert knowledge Stakeholders acknowledged the condition) parameters into planning. by all stakeholders, not just those able to benefits of working with a well-defined With only 30–50% of council compete financially for limited science allocation framework from the early water planning and management costs expertise. One suggestion was for science stages of planning. This framework could commonly met by consent holders, to be peer reviewed by a non-political consist of an environmental flow or limit funding for water management was also national science organisation, where regime which considers in-stream values a consistent issue. Some stakeholders expert intellectual knowledge could be and other water uses, an allocation limit favoured applying volumetric or flow- collectively owned and shared. capping total extraction (which could based levies on water users to support Involving stakeholders in monitoring vary with water availability), and rate- science and monitoring, including was considered likely to increase their sense of-use limits to encourage efficiency and devolved monitoring approaches such as of ownership of the plan, especially if they limit water quality and other impacts. audited self management. can see how the monitoring benefits them Environmental and iwi stakeholders

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 17 Improving Water Governance in New Zealand: stakeholder views of catchment management processes and plans

Planning outcomes attributes fresh water management. The forum and plan outcomes appear to correlate Finally, among the outcomes-related reached consensus on a package of 53 with the level of influence of the various attributes the primary areas which recommendations, ranging across policy, stakeholder groups. The observations stakeholders felt needed improvement legislation, institutions, research and derived from the survey of stakeholder were establishing national priorities for infrastructure (Land and Water Forum, opinions are priority governance issues sustainable water management, more 2010). Collaborative governance, which relating to catchment planning processes consistent setting of resource limits in is central to much of Table 3, is now in New Zealand. However, they are a plans, and a mechanism for holding being widely promoted as an inclusive subset of a much wider range of views, regional and unitary councils more process for managing contested resources many documented more recently accountable for good water management. like water, examples being Canterbury’s through the collaborative processes of We note that since this research was Water Management Strategy, led by its the Land and Water Forum, about what completed, the National Policy Statement local authorities’ Mayoral Forum, and makes successful and sustainable water for Freshwater Management (Ministry for various irrigation scheme proposals led management. Common to both is the the Environment, 2011) sets some process by broad-based community groups (see need to engage with, and where possible targets to address these concerns. Lennox et al., 2011). devolve responsibility for monitoring and Aligned with concerns about lack of management, with appropriate auditing, to those creating the pressures on water resources: land and water users and interested parties. Identifying principles and attributes of good water This work highlights that governance management planning helps in evaluating how to has not received the same attention as technical and infrastructure development improve our water governance. in the water sector. Governance systems need to be able to allocate water and manage water quality to meet environmental, agricultural and urban goals, but they must also be able national direction were some stakeholder Conclusions to justify the choices made, and what views that water management plans Water management has for decades relied values are taken into account. Identifying need a more explicit vision statement, upon improving technical understanding principles and attributes of good water describing how stakeholder values (e.g. of water resource occurrence and management planning helps in evaluating iwi values) are being addressed and what behaviour, then designing management how to improve our water governance. trade-offs are being made. Stakeholders systems to keep exploitation of those Discussions of governance regimes are expressed frustration about objectives in resources, and associated land uses, within not divorced from technological and some plans which had broad narratives biophysical limits. Those management infrastructure decisions; rather these are with little connection to what was actually systems have often proven unable to intertwined. As Tropp (2007) notes, water going on at ground level. They wanted a deliver sustainable water management, decision makers and managers have yet to plan in which objectives, policies and because of lack of buy-in by stakeholders realise the full potential of new forms of methods are clearly defined so that the and poorly-supported sociopolitical governance, such as facilitating inclusive ‘rules of the game’ are clearly outlined, and administrative systems. Technical decision-making processes, coordination including limits on water allocation and understanding of our water resources is and negotiated outcomes. water quality. vital, but the design of good governance On the question of accountability, is also fundamental to sustainable water some stakeholders supported the idea management. Water governance has been Acknowledgements of a national regulatory authority (the defined broadly for the purposes of this This work was supported by the FRST/ Environmental Protection Agency) having article as encompassing the institutional, MSI research programmes Integrated a role in benchmarking the effectiveness legislative and decision-making processes Catchment Management (ICM) and and efficiency of regional plans and for managing water, and good water Values, Monitoring and Outcomes (VMO). providing guidance on meeting national governance as being founded on the six The stakeholder survey was carried out objectives on a local level. principles described in Table 1. by Diarmuid Neilan for his MSc thesis in We note that after this research The governance principles can transnational water management (Neilan, was completed, the New Zealand be used in a governance evaluation 2008). We are grateful to participants for government commissioned a Land and tool such as we have devised to rank their insights, and to Valentina Dinica Water Forum to conduct a stakeholder- stakeholders’ levels of satisfaction. In and our colleagues for their suggested led collaborative governance process to this study we observe that the levels of improvements to the manuscript. recommend reform of New Zealand’s satisfaction with planning processes

Page 18 – Policy Quarterly – Volume 7, Issue 4 – November 2011 References McNeill, J. (2008) ‘The public value of regional government: how New Bright, J., R. Rout and H. Rouse (2008) Sustainable Freshwater Zealand’s regional councils manage the environment’, PhD thesis in Management: towards an improved New Zealand approach, report politics, Massey University H07004/1, Aqualinc Research Limited for the New Zealand Business Memon, A. and P. Skelton (2007) ‘Institutional arrangements and Council for Sustainable Development planning practices to allocate freshwater resources in New Zealand: Durette, M., C. Nesus, G. Nesus and M. Barcham (2009) Ma-ori a way forward’, New Zealand Journal of Environmental Law, 11, Perspectives on Water Allocation, Wellington: Ministry for the pp.241-77 Environment, http://www.qualityplanning.org.nz/pubs/Maori- Ministry for the Environment (2006) Waitaki Catchment Water Allocation Perspectives-on-Water-Allocation.pdf viewed 16 June 2010 Regional Plan (2006), http://ecan.govt.nz/publications/Plans/ Environment Canterbury (2011) Waimakariri River Regional Plan waitakiCatchmentWaterAllocationRegionalPlan.pdf. Incorporating Change 1 to Waimakariri Regional Plan, operative 11 Ministry for the Environment (2011) National Policy Statement for June 2011, http://ecan.govt.nz/publications/Plans/waimakariri-river- Freshwater Management, Wellington: New Zealand Government regional-plan-incorporating-change-1-280511.pdf Neilan, D. (2008) ‘Priority Attributes to Optimize Water Governance Ericksen, N.J. (2004) Plan-Making for Sustainability: the New Zealand under NZ’s RMA’, MSc thesis in transnational ecosystem-based water experience, Aldershot: Ashgate management, Radboud University (Netherlands) and University of Fenemor, A.D., T. Davie and S. Markham (2006) ‘Hydrological Duisburg-Essen (Germany) information in water law and policy: New Zealand’s devolved Ostrom, E. (1990) Governing the Commons: the evolution of institutions approach to water management’, in J. Wallace and P. Wouters (eds), for collective action, Cambridge: Cambridge University Press Hydrology and Water Law: bridging the gap, London: IWA Publishing Ostrom, E. (2010) ‘Beyond markets and states: polycentric governance Fenemor A.D et al., (2011) ‘Integrated catchment management: of complex economic systems’, American Economic Review, 100, interweaving social process and science knowledge’, New Zealand pp.641-72 Journal of Marine and Freshwater Research, 45 (3), pp.313-31 Otago Regional Council (2010) Pomahaka Catchment Information Sheet Gleick, P.H. (2003) ‘Global freshwater resources: soft-path solutions for Pahl-Wostl, C., P. Kabat and J. Möltgen (eds) (2008) Adaptive and the 21st century’, Science, 302 (5640), pp.1524-8 Integrated Water Management: coping with complexity and Hardin, G. (1968) ‘The tragedy of the commons’, Science, 162 (3859), uncertainty, Springer Verlag pp.1243-8 Painter, B. and A. Memon (2008) ‘Enhancing the potential for integrated Harding, J.S., M.P. Mosley, C.P. Pearson and B.K. Sorrell (eds) (2004) water management in New Zealand through adaptive governance’, in Freshwaters of New Zealand, New Zealand Hydrological Society and C. Pahl-Wostl, P. Kabat and J. Möltgen (eds), Adaptive and Integrated New Zealand Limnological Society, Christchurch: Caxton Press Water Management: coping with complexity and uncertainty, Springer Jackson, T. and J. Dixon (2007) ‘The New Zealand Resource Verlag Management Act: an exercise in delivering sustainable development Pearce, F. (2007) When the Rivers Run Dry: water, the defining crisis of through an ecological modernisation agenda’, Environment and the twenty-first century, Boston: Beacon Press Planning B: planning and design, 34, pp.107-20 Rogers, P. and A. Hall (2003) Effective Water Governance, Citeseer Land and Water Forum (2010) Report of the Land and Water Forum: a Tropp, H. (2007) ‘Water governance: trends and needs for new capacity fresh start for freshwater, Wellington: New Zealand Government development’, Water Policy, 9, pp.19-30 Lennox, J., W. Proctor and S. Russell (2011) ‘Structuring stakeholder UNESCO (2006) Water: a shared responsibility, United Nations World participation in New Zealand’s water resource governance’, Ecological Water Development Report 2, chapter 2, ‘The challenges of water Economics, 70 (7), pp.1381-94 governance’ Lockwood, M., J. Davidson, R. Griffith, A. Curtis and E. Stratford (2008) Young, R., K. Doehring and T. James (2010) State of the Environment Governance Standard and Assessment Framework for Australian – River Water Quality in Tasman District; Tasman District Council, Natural Resource Management, Hobart: University of Tasmania http://www.tasman.govt.nz/environment/water/rivers/river-flow/ Marlborough District Council (2009) Wairau Awatere Resource riverflow-540/. Management Plan, http://www.marlborough.govt.nz/Your-Council/RMA/ Wairau-Awatere-Resource-Management-Plan.aspx

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 19 Brent Lovelock

Single Worthwhile Policy, Seeking Legitimacy and Implementation: sustainable

tourism Environment, 1997, p.5). In order to address these matters, a specific recommendation at the regional destination in the report was that the Ministry of Tourism facilitate the development of a strategy for sustainable tourism for New level, New Zealand Zealand. Flash forward to 2011. Fourteen years have passed and international visitor Despite sustainability becoming a key discourse throughout numbers have climbed from 1.5 million in 1997 to 2.5 million. The country now the tourism industry, the practical implementation of has a dedicated tourism strategy; in fact two such strategies have been produced, sustainable tourism policies has been limited (Hall, 2011). the first in 2001, followed by an update New Zealand is not immune to criticism in this regard in 2007 (Tourism Strategy Group, 2001; Ministry of Tourism, 2007). But have and our ‘100% Pure’ tourism brand has been brought the problems identified in 1997 been into question. As long ago as 1997 the Parliamentary addressed? Do we now have a ‘sustainable tourism’ industry? Connell et al. (2009) Commissioner for the Environment reported that the in their review of tourism strategies and sustainable tourism in New Zealand environmental qualities underpinning tourism were at describe the Commissioner for the risk and that visitor pressure on iconic attractions could Environment’s report as ‘somewhat outdated yet still sadly relevant’. Further, not be sustained. Importantly, the commissioner identified a range of other impacts have been documented which offer little indication ‘systematic problems that hinder the achievement of that tourism is becoming any more sustainable tourism’, noting that ‘the government system sustainable. So what has gone wrong? The idea of sustainable tourism has for managing tourism and its environmental effects is been well articulated in both of New fragmented’ (Parliamentary Commissioner for the Zealand’s national tourism strategies. We have, in our national policy documents, a commitment to the concept of managing Brent Lovelock is a Senior Lecturer Department of Tourism and is the Co-Director of the Centre for environmental, social, cultural and Recreation Research, Both at the University of Otago economic resources for present and future

Page 20 – Policy Quarterly – Volume 7, Issue 4 – November 2011 generations. However, governments have successful when there is effective governance McLennan and Ruhanen, 2008). The become ‘extremely canny in reproducing (Bramwell, 2011). While governance may operational objectives of regional tourism the sustainable development rhetoric be interpreted in a number of ways, of organisations (RTOs), their organisational without actually effecting fundamental importance here is what governance scholars skill sets, funding structures and processes policy shifts’ (Dredge and Jenkins, 2007, refer to as governing systems, which provide have often been geared towards marketing, pp.285-6). At the regional and local means for ‘allotting resources and exercising with little or no attention given to tourism levels too we have witnessed over the last control and coordination’ (Rhodes, 1996, planning or sustainable tourism (Dredge decade a virtual explosion in the number p.653). et al., 2011). But despite these and other of tourism plans and strategies (Connell There are substantial difficulties limitations (instability, disparity of et al., 2009), most of which espouse a that can hinder effective governance for functions, poor resourcing) (Pike, 2004), central tenet of sustainable tourism, yet sustainable tourism (Bramwell, 2011). RTOs are still the major player in tourism the extent to which such policies have Notably, many tourism concerns are policy implementation (Zahra, 2011). guided sustainable tourism development cross-sectoral, and consequently span a within their constituencies is unclear. number of policy domains: e.g. planning, Policy legitimacy This article considers this apparent transport, environment and employment. Here I introduce the concept of ‘implementation gap’, and how the norms Ruhanen et al. (2011), for example, policy legitimacy, as arguably a core of sustainable tourism may be translated identify 222 Australian acts which have component of ‘good governance’ and as to the local level. The view is advanced an impact on tourism. Consequently, a useful framework for considering the that sustainable tourism implementation policies affecting sustainable tourism are challenges of sustainable tourism policy is essentially a governance issue, often made in policy domains other than implementation. Policy legitimacy can exacerbated by legislative complexities tourism, ‘with little attention paid to the consist of two components: a normative- within the policy domain. I argue that implications for tourism’ (Bramwell, 2011, moral component (the policy needs to be there is an overriding crisis of legitimacy p.461). Coordination and cooperation consistent with the political values and for tourism policy, and that this impedes are thus special issues for sustainable norms within society); and a cognitive sustainable tourism outcomes. The article tourism, as the relevant actors are found component (the policy needs to be seen begins by discussing literature relevant to in a variety of sectors (Bramwell and as feasible) (George, 1980, in Smoke, the governance and operationalisation Lane, 2000; Dinica, 2009). 1994). Both of these components are of sustainable tourism, before briefly While tourism governance may be essential, especially for long-term policy addressing the New Zealand Tourism influenced by a broad range of actors, – e.g. for sustainable tourism. Rothstein Strategy and responses to it. It then it is generally agreed that the state has a (2008) identifies two different sources focuses on two southern destinations, critical role to play because of the noted of legitimacy. Input (or procedural) Queenstown and the Catlins, quite characteristics of the sector. Indeed, legitimacy refers to how policy choices different in terms of visitor numbers are made and by whom. This is linked ‘holistic ambitions of sustainable and pressures but both facing challenges to procedures for involving stakeholders. development and the multidisciplinary in terms of how tourism policies are Output (or substantive) legitimacy nature of tourism entail that only translated into workable policies for refers to the general acceptance of policy governments and public authorities local planners and tourism industry decisions made by the authority, that is can coordinate efforts in sustainable stakeholders. the laws, directives, regulations and their tourism policy at both the national implementation. Rothstein argues that and local levels’ (Wearing and Neil, Sustainable tourism legitimacy is more dependent on the output 2009, p.44). Sustainable tourism is defined by side of the political system, i.e. acceptance the United Nations World Tourism Sub-national tourism governance by the public and implementing actors, Organisation as: Effective local governance is thus a central and perceptions of ‘implementability’. element of a holistic and balanced approach It is contended here that within the Tourism that takes full account of its to sustainable tourism (UNEP, 2003). tourism policy domain in particular, current and future economic, social However, the view of local government has output legitimacy for local tourism and environmental impacts, addressing become less holistic, and it is ‘increasingly strategies is challenged. A number of the needs of visitors, the industry, the common for local governments to support factors are implicated: legal status of environment and host communities. a pro-economic development approach policy and integration with statutory (UNWTO, 2004, pp.11-12) to local tourism policy’, focusing just processes; resources, image and power of While the jury is still out on the extent to on the marketing and promotion of implementing bodies; and coordination which, globally, we have achieved sustainable tourism (Beaumont and Dredge, 2009, and cooperation of key stakeholders. tourism (e.g. Hall, 2011, describes it as a p.8). This view is supported by studies of These factors will be explored in the ‘policy failure’), there is general agreement local government tourism policy which following discussion of tourism policy, that destinations that want to promote reveal a focus on expanding tourism and nationally and in the two regional sustainable tourism are more likely to be generating revenue and employment (e.g. destinations.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 21 Single Worthwhile Policy, Seeking Legitimacy and Implementation: sustainable tourism at the regional destination level, New Zealand

New Zealand governance for tourism give little recognition to the importance framework of the Resource Management The policy environment for sustainable of tourism within their district plans Act with non-statutory tourism strategies tourism in New Zealand is complex (Local Government New Zealand, 2004). which better address tourism growth (Connell et al., 2009). Effectively there Importantly, there is no legislative and its effects (Local Government New are two quite separate domains: a specific foundation for linking national or Zealand 2003). Their Tourism and the sectoral tourism domain, and a more local tourism planning with the RMA. Resource Management Act: a good practice encompassing resource management Despite the existence of tourism plans or guide (2004) outlines a number of domain. Within the former, there is no strategies within districts, many remain statutory and non-statutory mechanisms legislative requirement for the production quite narrow in their focus – adopting a for enhancing local government planning of tourism strategies in New Zealand, traditional marketing perspective – with for sustainable tourism, including the either at the national or local level. a view to promoting tourism in a region RMA, the Local Government Act 2002, The New Zealand Tourism Board Act rather than creating clear links to the long-term council community plans, by- 1991 created the New Zealand Tourism RMA (Connell et al., 2009) and thus to laws, annual plans, asset management Board, whose object is ‘to ensure that the sustainable development needs of plans, waste management plans, land New Zealand is so marketed as a visitor the destination. Notwithstanding these transport programmes and reserve destination as to maximise long-term shortcomings, undeniably TLAs, either management plans. They espouse a benefits to New Zealand’. Although the themselves or through their RTOs, ‘Planned and Integrated Response with Multi-Agency Participation e.g. regional tourism strategy linked to infrastructure Poor resourcing, uncertainties over investment, district and regional plan policy and RMA methods’ (p.7). continuity of staffing and support, the A problem faced here, though, is that strains of volunteerism, personality most tourism strategies are still being written from a destination marketing conflicts, and intra-regional conflict have perspective (Local Government New Zealand, 2004). The lack of any grist ultimately hamstrung the organisation behind the sustainable tourism rhetoric that did emerge through the strategy in regional New Zealand tourism plans is revealed in Connell et al.’s 2009 survey of tourism planning within TLAs. Few plans noted a direct link with the New Zealand Tourism Strategy; only three (out of 26 functions of the board include developing, have a key role to play in the ‘effective TLAs that had tourism plans) directly implementing and promoting strategies translation of principles into policy and aligning with the national strategy. for tourism, arguably these are all action … to progress the sustainability Many TLAs (40% of 40 respondents) implicitly promotional strategies. agenda’ (Connell et al., 2009, p.870). did not consider there to be any tourism The importance of the Resource This is explicitly recognised within the issues of concern in their districts (but Management Act 1991 (RMA) as the New Zealand Tourism Strategy 2010, local councils may not have the skills umbrella legislation for sustainable which states that ‘[l]ocal government or resources to recognise and monitor resource management, and the role has the mandate for tourism planning the impacts of tourism (Page and Hall, of territorial local authorities (TLAs) and destination management’ (Tourism 1999)). The study’s authors conclude as having primary responsibility for Strategy Group, 2001). It envisages ‘New that there is a still a major gap between planning at the local level are widely Regional Tourism Organisations’ which strategy and implementation, and that acknowledged. Tourism, however, is will take an enhanced role in destination while sustainability has become a central not specifically addressed in the RMA, marketing and management. tenet across a range of tourism policy in which adopts an effects-based approach In response to the New Zealand New Zealand, much of this remains a to assessing development proposals Tourism Strategy 2010, Local Government philosophical stance. rather than an activity-based approach. New Zealand, the umbrella group for Connell et al. note that some TLAs TLAs, called for their members to Sustainable tourism in the Catlins may have interpreted this absence as ‘engage communities in planning for The Catlins is a developing destination meaning that tourism is not an activity tourism which is socially, economically, in the far south of the country. The that requires attention in relation to the environmentally and culturally destination faces a number of sustainability ‘identification of impacts and delineation sustainable’ (Local Government New challenges. Most importantly, the Catlins of associated policy and management Zealand, 2003, p.6). Notably, they supports significant populations of responses’ (Connell et al., 2009, p.70). explicitly acknowledged the need to marine wildlife, being one of the few Consequently, many districts and regions supplement the statutory planning places in New Zealand where tourists can

Page 22 – Policy Quarterly – Volume 7, Issue 4 – November 2011 readily observe seals, sea lions, dolphins management processes’ (Lovelock, et al., strategy (Albrecht, 2009; Lovelock and and penguins at close quarters. Tourist 2004, p.115). Boyd, 2006). impacts on some species have been But in reality, this was not a vision The above issues, together with the fact documented and pressure continues shared by key personnel from the agencies that the strategy was prepared by tourism to mount, with some wildlife habitats funding the strategy development. Two consultants (not regional planners) and receiving up to 100,000 largely unmanaged agencies were involved, the Clutha did not integrate key actors from within visitors per annum. Developing a tourism District Council (a TLA) and Venture the districts’ RMA policy domains, industry largely centred upon vulnerable Southland, an economic development collectively undermine the legitimacy of habitats and wildlife populations will be agency funded jointly by the Invercargill the Catlins Tourism Strategy as a resource a critical measure of the success of the City Council, Southland District management document. sustainability of tourism in the Catlins Council and Gore District Council. Notwithstanding the above challenges, (Lovelock and Boyd, 2006). A further challenge, however, lies in protecting local communities in the area from undesirable Somewhat disturbingly, Queenstown as development. The total population of the region is only about 5,000 and, to many arguably our most important tourism residents, tourism is seen as a threat to the maintenance of their traditional lifestyle, destination and the one facing the most while placing more pressure on an already pressing tourism-related issues, has no stretched infrastructure (Lovelock and Boyd, 2006). tourism strategy… Rather, planning for In 2004, as a part of a consultancy team, the author was involved in the sustainable tourism is undertaken by development of the Catlins Tourism Strategy. The strategy was ostensibly a proxy through a number of statutory and community-driven, bottom-up policy, non-statutory processes. initiated in the face of increasing visitor numbers to: ‘manage tourism growth and maximise opportunities for the future while maintaining and protecting the integrity of the community, wildlife and the environment’ (Lovelock et al.). The manager from Venture Southland the tourism organisation there has made Following an extensive programme of charged with overseeing the strategy incremental gains in terms of addressing community consultation, a number development played an instrumental role sustainability problems (e.g. introducing of strategic objectives were developed in emasculating a number of policies a Catlins Care Code, developing an under the umbrella goal of taking relating to sustainable tourism in draft interpretation plan; and contributing to tourism forward into the 21st century versions of the plan. In retort to the a freedom camping policy and by-law). in a sustainable manner. Objectives consulting team’s defence that most However, the integration between local included providing for the protection of of these policies had arisen through tourism strategy and RMA processes natural and cultural resources from the community consultation, he replied that was never to occur. The voluntary nature negative physical impacts of tourism, and this was not a community-driven or of Tourism Catlins, lack of specific optimising the value of tourism for local -owned strategy; the message was clear statutory planning skills, the fact that residents, including social and economic that this was a council-owned strategy most members are tourism operators benefits. Beneath these objectives, over and that any policies unacceptable to the themselves, and the small, close-knit 80 recommendations were developed. council would be dropped. nature of the community present further Given the critical role of RTOs in Consequently, the proactive RTO impediments to the organisation being sustainable tourism governance, a key Tourism Catlins that could have played able to engage freely and actively in RMA recommendation was to create a local a key role in sustainable tourism planning processes relevant to tourism. tourism organisation with specific roles to implementation would end up being implement sustainable tourism policies. but a shadow of the original vision Sustainable tourism in Queenstown The consultants’ vision was that this for that organisation. Poor resourcing, Queenstown is New Zealand’s fastest- proposed RTO, ‘Tourism Catlins’, would uncertainties over continuity of staffing growing tourist destination. Located in play a key role in ‘statutory advocacy and support, the strains of volunteerism, a nationally significant landscape, and for the protection of conservation personality conflicts and intra-regional promoted as the ‘Adventure Capital of and heritage values through input to conflict have ultimately hamstrung the New Zealand’, Queenstown has grown conservation planning and resource organisation that did emerge through the from being a local to an international

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 23 Single Worthwhile Policy, Seeking Legitimacy and Implementation: sustainable tourism at the regional destination level, New Zealand destination in a relatively short time. Rather, planning for sustainable plan process (required under the Local Now boasting 2.5 million visitor nights tourism is undertaken by proxy through Government Act 2002). It is the council’s (in 2010), it is the only area in New a number of statutory and non-statutory aim that such growth management plans Zealand whose economy is almost entirely processes. Paramount has been the seek to ‘alter the fundamental dynamics dependent upon the tourism industry. district plan, although the limitations of of land use development, rather than try As a consequence of many years of this have been realised, immediate past to catch development once areas start to unfettered growth (particularly under the mayor Clive Geddes commenting that develop (as tends to be the case under mayoralty of Warren Cooper, 1995–2001), despite the RMA’s premise that it is about the Resource Management Act)’ (QLDC, Queenstown faces a number of issues the wise and proper use of a resource: 2007, p.xx). that could collectively be grouped under However, the non-statutory nature it is, in the end, enabling legislation the heading of ‘growth management’, of these plans poses challenges to their that allows any applicant to apply for including traffic congestion, urban centre legitimacy. The Queenstown Lakes any activity, which is not prohibited design problems, urban sprawl and loss of District Council acknowledges that at the on any piece of land regardless of what landscape integrity, waste management, moment the Tomorrow’s Queenstown community plan is not given a lot of weight in the statutory decision- …there still appears to be a substantial making process for new development proposals (QLDC, 2009). Wilson in her implementation gap between the study of sustainability planning options sustainable rhetoric within national and for Queenstown also indicates that, although Queenstown is in the process of local tourism strategies and reality at the implementing a community sustainability plan, there are problems around local level. legitimacy and operationalisation ‘due to the ad hoc nature of its implementation and the statutory limitations imposed on the Queenstown Lakes District Council’ (Wilson, 2010, p.2). and an escalating cost of living for locals. the district plan says. As long as it is Somewhat disturbingly, Queenstown, Conclusion based on that fundamental premise it as arguably our most important tourism The rhetoric of sustainability is pervasive, will continue to be a muddled way of destination and the one facing the most the concept touted internationally trying to achieve sustainable growth. pressing tourism-related issues, has no through Tourism New Zealand’s $70 (Geddes, in Wilson, 2010, p.10) tourism strategy. In a recent conversation million annual promotion of its ‘100% with a manager at Destination Due to the importance of tourism Pure’ brand, and nationally through Queenstown, the RTO, I was told that in Queenstown, practically any public two national tourism strategies. With an Destination Queenstown does not engage policy is a tourism-related policy. A overarching sustainable development in tourism management, only marketing. second approach to addressing tourism planning framework (the RMA), one This focus comes about partly through its issues has been through Tomorrow’s would think New Zealand to be in a strong funding arrangements, as an organisation Queenstown, the community plan position to operationalise sustainable originating from and funded by tourism developed in 2002 (QLDC, 2002), which tourism. Yet there still appears to be a businesses, rather than being TLA-funded identifies a main community outcome substantial implementation gap between and -managed, as is the prevalent model of sustainable growth management. the sustainability rhetoric within national for RTOs in New Zealand. Destination This is further articulated in A Growth and local tourism strategies and reality Queenstown was formed in 1985 to Management Strategy for the Queenstown at the local level. While TLAs have been ‘collectively promote Queenstown to the Lakes District (QLDC, 2007), another active in developing new tourism plans world’ (Destination Queenstown, 2011). non-statutory document that provides an and strategies, the links with national-level It is funded by commercial ratepayers overview of QLDC’s growth management strategy are weak. Furthermore, most of via an annual levy collected by the TLA, policy. This document is described as an these plans have a focus on marketing and the Queenstown Lakes District Council ‘expression of the legislative intent’ of economic outcomes. This has been linked (QLDC). With 11 staff members, it is the council, and the council’s intention to the economic development imperative one of the biggest RTOs in the country, is to translate the actions identified in of TLAs and the short-term horizon of and arguably would have the capacity the strategy into appropriate statutory political governance (Dodds and Butler, to engage in planning for sustainable documents. The strategy will be reviewed 2010; Yasarata et al., 2010). tourism, but this appears to be outside every six years, timed to provide input This article has pointed to lack of the organisation’s mandate. into the long-term council community policy legitimacy as a key obstacle to

Page 24 – Policy Quarterly – Volume 7, Issue 4 – November 2011 operationalising the sustainable tourism In contrast, the Catlins has a highly- the tourism sector and local planners – ideals contained within these plans. detailed tourism strategy with a strong and thus better links to statutory planning While such plans may have community sustainability flavour. Yet the process of processes. and industry stakeholder buy-in and thus developing the strategy was flawed, and its What does the future hold? Local input legitimacy within the immediate policy legitimacy is challenged. RTOs are Government New Zealand envisages an tourism policy domain, because of the critical institutions for sustainable policy approach in which strategic planning for way they are developed, by tourism implementation, and in the Catlins, an tourism is combined with a mix of some specialists (often marketers within RTOs) emasculated RTO reliant upon unskilled statutory RMA policies, together with or by tourism consultants, they have and overworked volunteers can play some non-RMA policies and methods limited legitimacy outside the tourism little or no role in linking the laudable (Local Government New Zealand, 2004). domain. The lack of a legal status for policies of the tourism strategy with But to gain more traction on this would tourism planning, and lack of legislative RMA processes. Small TLAs in remote need greater institutional guidance. connection between tourism and other areas, with limited funding to support Sadly, the recent (2010) disestablishment statutory policy processes, is also seen management rather than marketing of the Ministry of Tourism and creation to have an impact on the legitimacy of functions of RTOs, coupled with the of a much-downsized Tourism Strategy tourism policy. political realities of small communities, Group subsumed within the Ministry Links to the RMA have been identified and tourism boards that are dominated by of Economic Development has affected as being critical to developing tourism development-oriented tourism operators, policy capacity at the national level. sustainably in New Zealand. Queenstown, pose further challenges. There is a risk of underestimating the despite its lack of a dedicated tourism In both the Catlins and in Queenstown, state’s continuing significance in tourism strategy, has historically relied upon achievement of sustainability initiatives governance (Bramwell, 2011). But the very RMA processes and its district plan has also been hampered at times by a fact of that continuance is challenged by to deal with tourism’s impacts. But lack of collaboration and cooperation neo-liberal reforms such as that noted this has clearly been inadequate. More (Lovelock and Boyd, 2006; Wilson, 2010). above, which affect the capacity of recently, the TLA there has turned to RTOs can play an important role here; governments to govern for sustainable non-statutory processes to provide more indeed the New Zealand Tourism Strategy tourism (Beaumont and Dredge, 2009; strategic guidance to tourism planning. 2010 recognises this in its brave ‘New Dinica, 2008; Lovelock and Boyd, 2006). Ironically, the strategic approach taken by RTOs’ that would lead the way in tourism Such actions detract from the legitimacy the Queenstown Lakes District Council, planning. However, in Queenstown, for of our national tourism strategy and while meeting one of the central tenets of historical, funding and functional reasons send the wrong messages to regional sustainable tourism planning (Ruhanen, Destination Queenstown has limited its planners regarding the implementation 2010) has undermined the legitimacy of coordinating role to marketing activities. of sustainable tourism. the policy output. Strategic plans cannot Arguably, a more holistic approach on the always be linked to statutory processes, part of Destination Queenstown could and it is this weakness that may contribute lead to more sustainable outcomes – or to implementation failure. at least open up greater dialogue between

References Dinica, V. (2008) ‘Challenges for sustainable tourism governance in The Albrecht, J.N. (2009) ‘The Implementation of Tourism Strategies: a Netherlands’, International Journal of Tourism Policy, 1 (4), pp.335- critical analysis of two New Zealand case studies’, PhD thesis, 52 University of Otago Dinica, V. (2009) ‘Governance for sustainable tourism: a comparison of Beaumont, N. and D. Dredge (2009) ‘Local tourism governance: a international and Dutch visions’, Journal of Sustainable Tourism, 17 comparison of three network approaches’, Journal of Sustainable (5), pp.583-603 Tourism, 18 (1), pp.7-28 Dodds, R. and R. Butler (2010) ‘Barriers to implementing sustainable Bramwell, B. (2011) ‘Governance, the state and sustainable tourism: tourism policy in mass tourism destinations’, Tourismos: An a political economy approach’, Journal of Sustainable Tourism, 19 International Multidisciplinary Journal of Tourism, 5 (1), pp.35-53 (4-5), pp.459-77 Dredge, D., E. Ford, and M. Whitford (2011) ‘Managing local tourism: Bramwell, B. and B. Lane (2000) Tourism Collaboration and building sustainable tourism management practices across local Partnerships: politics, practice and sustainability, Clevedon: Channel government divides’, Tourism and Hospitality Research, 11 (2), View Publications pp.101-16 Connell, J., S.J. Page and T. Bentley (2009) ‘Towards sustainable tourism Dredge, D. and J. Jenkins (2007) Tourism Policy and Planning, Milton, planning in New Zealand: monitoring local government planning Australia: John Wiley and Sons under the Resource Management Act’, Tourism Management, 30, Hall, C.M. (2011) ‘Policy learning and policy failure in sustainable pp.867-77 tourism governance: from first- and second-order to third-order Destination Queenstown (2011) About Destination Queenstown, http:// change?’, Journal of Sustainable Tourism, 19 (4-5), pp.649-71 www.queenstown-nz.co.nz/information/aboutDQ/, accessed 28 June 2011

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 25 Single Worthwhile Policy, Seeking Legitimacy and Implementation: sustainable tourism at the regional destination level, New Zealand

Local Government New Zealand (2003) Postcards from Home: the local Rothstein B. (2008) Political Legitimacy and the Welfare State: five basic government tourism strategy, Wellington: Local Government New models, working paper 2008: 9, Gothenburg: Quality of Government Zealand Institute, Department of Political Science, University of Gothenburg Local Government New Zealand (2004) Tourism and the Resource Ruhanen, L. (2008) ‘Progressing the sustainability debate: a knowledge Management Act: a good practice guide, prepared by Becca Carter management approach to sustainable tourism planning’, Current Hollings & Ferner Ltd and Tourism Resource Consultants Ltd, Issues in Tourism, 11 (5), pp.429-55 Wellington: Local Government New Zealand Ruhanen, L. (2010) ‘Where’s the strategy in tourism strategic planning? Lovelock, B. and S. Boyd (2006) ‘Impediments to a cross-border Implications for sustainable tourism destination planning’, Journal of collaborative model of destination management in the Catlins, New Travel and Tourism Research, Spring/Fall, pp.58-76 Zealand’, Tourism Geographies, 8 (2), pp.143-61 Ruhanen, L., S. Reid and M. Davidson (2011) ‘Compromising sustainable Lovelock, B.A., S. Boyd and W. Low (2004) Catlins Tourism Strategy tourism development: the absence of legislation in tourism destination 2004, Invercargill: Catlins Tourism Strategy Working Party, Venture planning’, in M.J. Gross (ed.), CAUTHE 2011 National Conference: Southland and Clutha Economic Development Board tourism: creating a brilliant blend, Adelaide: University of South McLennan, C. and L. Ruhanen (2008) Analysis of Territory, Regional Australia School of Management, http://search.informit.com.au/docu and Local Tourism Strategies and Plans: identification of strategic mentSummary;dn=915084832609819;res=IELHSS, accessed 28 issues, Gold Coast, Queensland: Co-operative Research Centre for June 2011 Sustainable Tourism Smoke, R. (1994) ‘On the importance of policy legitimacy’, Political Ministry of Tourism (2007) New Zealand Tourism Strategy 2015, Psychology, 15 (1), pp.97-110 Wellington: Ministry of Tourism Tourism Strategy Group (2001) New Zealand Tourism Strategy 2010, Page, S.J. and C.M. Hall (1999) ‘New Zealand country report’, Wellington: Ministry of Tourism/Tourism Strategy Group International Tourism Reports, 4, pp.47-76 United Nations Environment Programme (2003) Tourism and Local Parliamentary Commissioner for the Environment (1997) Management Agenda 21: the role of local authorities in sustainable tourism, Paris: of the Environmental Effects Associated with the Tourism Sector, United Nations Environment Programme and International Council for Wellington: Office of the Parliamentary Commissioner for the Local Environmental Initiatives Environment United Nations World Tourism Organization (2004) Making Tourism More Pike, S. (2004) Destination Marketing Organisations, Oxford: Elsevier Sustainable: a guide for policy makers, Madrid: United Nations World Queenstown Lakes District Council (2002) Tomorrow’s Queenstown: Tourism Organization vision, issues and directions, Queenstown: Queenstown Lakes District Wearing, S. and J. Neil (2009) Ecotourism: impacts, potentials and Council possibilities, Oxford: Butterworth-Heinemann Queenstown Lakes District Council (2007) A Growth Management Wilson, C. (2010) ‘Tourism resorts and sustainability: a comparative Strategy for the Queenstown Lakes District, Queenstown: Queenstown study of the public policy techniques of Whistler, British Columbia Lakes District Council and Queenstown, New Zealand’, unpublished Ministry of Tourism Queenstown Lakes District Council (2009) ‘Queenstown Lakes District research scholarship report Council Strategy Committee for meeting of 13 October 2009: report Yasarata, M., L. Altinay, P. Burns and F. Okumus (2010) ‘Politics and for agenda item 2’, unpublished report sustainable tourism development: can they co-exist? Voices from Rhodes, R. (1996) ‘The new governance: governing without government’, North Cyprus’, Tourism Management, 31, pp.345-56 Political Studies, 44 (4), pp.652-67 Zahra, A.L. (2011) ‘Rethinking regional tourism governance: the principle of subsidiarity’, Journal of Sustainable Tourism, 19 (4-5), pp.535-52

Page 26 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Constantia Anastasiadou

Promoting Sustainability From Above: reflections on the influence of the European Union on tourism

There are two main frameworks that underpin the EU’s approach to governance sustainability. First, there is the Europe 2020 strategy, adopted in 2010 (which replaced the Lisbon Strategy, adopted in 2000) (Steurer and Berger, 2011). Second, Due to the long-standing absence of direct and legally- there is the EU Sustainable Development Strategy, which promotes sustainable binding competencies in tourism, European Union (EU) development as a general objective tourism policy has mainly influenced tourism governance (European Commission, 2009). The EU cohesion policy has become through indirect interventions and non-binding instruments one of the main vehicles for delivering EU’s vision regarding sustainable (Anastasiadou, 2006, 2008a, b; Halkier, 2010). For example, development. By promoting the in October 2007 the European Commission adopted its development of partnerships and multi- level governance, it has compelled regions ‘Agenda for a sustainable and competitive European tourism’ to pursue sustainable development (European Commission, 2009). Both the (European Commission, 2007). This communication Sustainable Development Strategy and the proposed measures aimed at complementing the EU policy cohesion policy have been instrumental in incorporating sustainable development interventions that have consequences for tourism and its principles and have influenced tourism sustainability throughout Europe. However, its overall development at the national and regional levels. impact on tourism structures has been miniscule; instead, The purpose of this article is to review how tourism sustainability has been impact on tourism governance has come from elsewhere. defined in relevant EU communications, and consider the impact of the EU’s cohesion policy on tourism governance at Dr Constantia Anastasiadou is a lecturer at Edinburgh Napier University in the United Kingdom. Her main research interests lie in tourism policy challenges at the supranational level. She has national and local levels. It is concluded published extensively on the European Union and tourism. that the EU’s governance architecture

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 27 Promoting Sustainability From Above: reflections on the influence of the European Union on tourism governance has had a mainly positive influence on concerned with quality of life, intra- and strategies. However, the strategy the adoption of sustainability practices intergenerational equity, and coherence framework has had a profound impact and local governance, but that there are between all policy areas (Steurer and on the design and implementation of critical discrepancies between member Berger, 2011; European Council, 2006). EU-wide initiatives and policies. states. Further reforms of the cohesion The Sustainable Development After years of criticism for lack of policy should provide for a better Strategy (SDS), launched in 2001 and transparency and questions about its integration of the partnership approach revised in 2006, has identified seven key democratic legitimacy, the European and stakeholder engagement objectives challenges and targets for the EU: climate Commission launched a white paper throughout the policy process, which change and clean energy; sustainable on European governance in July 2001. would also benefit the governance of transport; sustainable consumption It identified openness, participation, tourism for sustainability throughout and production; conservation and accountability, effectiveness and Europe. management of natural resources; public coherence as its five key principles of health; social inclusion, demography ‘good governance’. The aim of the paper The EU’s approach to sustainable was to make decision-making processes development and governance more transparent and less top-down, ‘SD is [...] closely connected to the issue [The EU’s and to improve the quality, clarity and of governance’ (European Commission, effectiveness of its processes (European 2004, p.6). Sustainable development White Paper] Commission, 2001a; Shore, 2011). The has been defined as development which emerging form of governance is based achieves a balance between economic, identified on the design and implementation of environmental and social objectives for openness, policies that associate civil society and both present and future generations the EU institutions. (OECD, 2006). Governance denotes the participation, The EU’s governance approach is ‘steering capacities of a political system, shaped by the principles of subsidiarity, the ways in which governing is carried accountability, which states that the Union does not take out, without making any assumption as effectiveness any action (except in the areas which fall to which institutions or agents do the within its exclusive competence) unless steering’ (Gamble 2000, p.110). Changes and coherence it is more effective than action taken in governance are often necessary to at national, regional or local level, and achieve sustainable development. as its five key of proportionality (any action taken by Steurer (2009, p.2) has argued that the union should not go beyond what governance for sustainable development principles is necessary to achieve the objectives calls for reforms in terms of the of ‘good of the EU treaty) (EU Glossary, [2011]). integration of economic, social and Multi-level governance is also a defining environmental policies (horizontal governance’. characteristic of the EU policy-making integration); closer cooperation between system. Decision-making authority is different tiers of government (vertical not monopolised by the governments integration); the integration of different of the member states but is diffused to stakeholders in decision making different levels of decision making – (participation); the recognition of sub-national, national and supranational different types of knowledge in decision and migration; and global poverty and (Kohler-Koch and Rittberger, 2006, p.34). making (reflexivity); and the integration sustainable development challenges In multi-level governance, actors at local, of long-term time frames into policy- (European Commission, 2009). It also regional, national and the supranational making processes often dominated by includes a good governance objective levels are interdependent and have a short-term focus (intergenerational which aims at promoting coherence formed dynamic networks of state and equity). between all European policies and non-state actors (Hooghe and Marks, Sustainable development is a between local, regional, national and 2001). It reflects the vertical integration fundamental EU objective and an global actions (Eurostat, 2009). principle of sustainable development overarching concept that underlies But Steurer et al. (2010) have argued, (Steurer, 2009). all EU policies, strategies and actions though, that the SDS framework has Finally, the open method of (Ferry et al., 2008). The two cross- had only a limited impact on national coordination is another defining feature sectoral strategies for sustainable sustainable development strategies, as of EU governance. The open method development are the Lisbon Strategy/ many member states have followed the of coordination is a framework for Europe 2020, which focus on economic international OECD/UNEP (United cooperation between member states that and social policies; and the Sustainable Nations Environment Programme) is achieved through techniques such as Development Strategy, which is primarily guidelines in the design of their national the use of guidelines and benchmarking

Page 28 – Policy Quarterly – Volume 7, Issue 4 – November 2011 and the establishment of indicators for of tourism activities in Europe by Commission, 2007). This communication measuring ‘best practice’ (Shore, 2011). defining and implementing an Agenda suggested measures which complement These are in effect ‘soft’ law measures 21’ (European Commission, 2001b). the EU policies and actions that exert an which are binding on member states to Following this, its communication ‘Basic impact on tourism and its sustainability, varying degrees and which take place orientations for the sustainability of urged stakeholders to adopt sustainable under the auspices of the European European tourism’, published in 2003, practices, and acted as the commission’s Commission. provided the EU’s input to a broad framework for the implementation of It thus obvious that the EU policy Agenda 21 process for sustainable tourism supportive European policies for tourism. system is extremely open and complex, (European Commission, 2003) and Both the types of recommendations and promotes the engagement and acknowledged the importance of working and the emphasis on engaging several participation of many actors to improve with a large number of stakeholders stakeholders reflect ideas that are in line the transparency of the union’s decision- (Lane, 2008). The communication also with the UNEP and UNWTO (2005) making procedures and legitimise the highlighted the considerable impact guidelines. actions of its institutions. However, of other EU policies on tourism, and As the Lisbon Treaty came into force the existence of both exclusive and emphasised the need to ensure the on 1 December 2009, the EU acquired a complementary EU competencies estab- consistency of various community policies specific competence for tourism to support lishes different governance dynamics for and measures affecting the sustainability actions that promote the competitiveness each policy area, which necessitates the and the competitiveness of the tourism of the sector (Anastasiadou, 2006). In examination of each in its own right. industry (European Commission, 2003). light of this change, a new strategy was Following on from this commun- launched in 2010, ‘Europe, the world’s EU tourism policy and sustainability ication, a Tourism Sustainability Group no 1 tourist destination: a new political In recognition that ‘many sustainability was set up to create a framework for framework for tourism in Europe’ issues have transboundary regional and action which would allocate specific (European Commission, 2010a). This global implications that cannot be ignored’, activities to stakeholder groups, with an strategy linked sustainability to the sector’s in 2005 the World Tourism Organization agreed timetable for implementation competitiveness and argued that a new (UNWTO) and UNEP identified an agenda and evaluation of actions. The group impetus for European tourism is necessary. of 12 aims for sustainable tourism (UNEP published its report in 2007 and identified The document envisages a number of and UNWTO, 2005, p.27). This agenda has eight key challenges for the sustainability value-adding EU actions to adapt and shaped the design of sustainable tourism of European tourism: develop the tourism sector which will strategies in many countries, with varying a) reducing the seasonality of demand; complement efforts at the national level degrees of success. However, there is b) addressing the impact of tourism and provide tourism businesses with the limited research on the implementation transport; tools to adjust to change, but a formal of these strategies and their evaluation in c) improving the quality of tourism plan of implementation has not yet been individual countries (Dinica, 2008, 2009), jobs; produced. and even less at a supranational level. d) maintaining and enhancing Two characteristic examples of the The EU tourism policy has probably community prosperity and the quality types of initiatives implemented to had the least impact on tourism of life, in the face of change; promote sustainable tourism are the governance for sustainability in the EU e) minimising resource use and the European Destinations of ExcelleNce region. Tourism began to feature as a production of waste; (EDEN) competition and NECSTouR, policy issue on the European agenda f) conserving and giving value to natural the Network of European Regions for a in the early 1980s (Anastasiadou, 2006, and cultural heritage; Sustainable and Competitive Tourism. 2008a) and tourism sustainability g) making holidays available to all. (TSG, EDEN is an annual, themed from the mid-1990s. The lack of an EU 2007, p.3). competition which promotes emerging competence in tourism reduced many The group also proposed a number of European destinations that are of the European Commission’s tourism- aims for achieving economic prosperity, committed to environmental, cultural related communications to little more social equity and cohesion, and and social sustainability. The recipients than statements of goodwill which environmental and cultural protection, of the award are emerging, little-known often reiterate the same ideas. However, and identified roles and responsibilities European destinations located in the 27 an analysis of the Commission’s for the European Commission, member member states and candidate countries communications serves as a useful point state governments, local authorities, (European Commission, 2011). The of reference for examining how tourism tourism businesses and other bodies. initiative’s aims are to de-congest over- sustainability is conceived. The suggestions of the Tourism visited tourist destinations, encourage In its 2001 communication ‘Working Strategy Group report then informed the the adoption of sustainable practices together for the future of European European Commission’s communication across Europe, and encourage visitation tourism’ the Commission proposed to ‘Agenda for a sustainable and competitive to emerging destinations and turn these further ‘promote sustainable development European tourism’ (European places into year-round venues (European

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 29 Promoting Sustainability From Above: reflections on the influence of the European Union on tourism governance

Commission, 2011). Each year, one Nonetheless, there is currently no development’ (European Commission, destination from each participating empirical evidence to prove or negate the 2009, p.12). Consequently, member country receives an award at the annual diffusion of the EU tourism governance states are expected to adopt multi-level European Tourism Forum which helps principles to national and sub-national governance and the partnership approach further promote these destinations. systems. However, policy initiatives in order to be able to achieve the aims of NECSTouR develops cooperation and have mainly emphasised promoting the EU’s cohesion policy. exchanges of information on best practice collaboration and best-practice exchange in sustainable tourism and innovation between member states and rely heavily Cohesion policy impact between regional organisations in the on the willingness of stakeholders to In the area of cohesion policy, the EU member states. Membership is drawn participate. This situation largely supports invests in actions to promote sustainable from several EU countries and stakeholder Halkier’s assertion that the emerging development by integrating sustainable groups, including regional authorities, EU approach to tourism has focused development initiatives into national and academic institutions, chambers of regional development strategies (European commerce, specialist research units, Commission, 2009). For example, in the and EU and local trade associations In recognition of period 2007–2013, €105 billion, or 30% (NECSTouR, [2011]). of the total €347 billion allocation for Both these initiatives are characteristic [tourism’s] potential cohesion policy funds, will be spent on of the types of actions the new strategy contribution, more the environment. In addition, sustainable is setting out to develop, and are based development is a binding principle for on the principles of partnership, multi- than €6 billion (or all funding objectives of the 2007–2013 stakeholder engagement and knowledge funding period (Ferry et al., 2008). exchange. Such measures could have 1.8% of the total The policy also supports the important implications for sustainable cohesion policy development of policy mechanisms tourism governance in the future. such as multi-level government and budget) is planned the inclusion of multiple actors to Reflections on the EU’s tourism governance increase ‘ownership’ of programmes approach to directly support (European Commission, 2009, 2010b). In the absence of a tourism competence tourism in the The mobilisation of various partners until relatively recently, a bottom-up, can make planning and implementation collaborative system of governance 2007–2013 funding more effective, but ensuring the active emerged, with increasing emphasis placed participation of key actors, including civil on stakeholder participation through period. society, can be a challenge. all the stages of policy making. In this Positive spillovers to national multi-level governance environment, governance systems are also possible. ‘By the European Commission has mainly creating procedures for the discussion and acquired the roles of facilitator and formulation of strategies, project selection, stimulator in the development of monitoring and evaluation as well as partnerships and networks between by allocating funds for administrative interested stakeholders. Encouraging on spreading ‘so-called best practices capacity building, cohesion policy helps the participation of business interests which have a limited impact on tourism to strengthen the policy-making and and other stakeholders in the decision- practices’ (Halkier, 2010, p.102). management ability of the authorities making process is a means of ensuring the If any changes to tourism governance concerned’ (European Commission, legitimacy of EU interventions. The open have taken place at the national level, 2010b, p.244). Nonetheless, the evaluation method of cooperation is also visible in these are more likely to have come of the 2006–2010 funding period revealed the recent tourism strategy (European about because of the EU’s cohesion differences in the experiences of newer Commission, 2010a), which makes policy, which aims to address the and older member states. In new member extensive reference to the establishment differences in development that exist states, improvements in transparency, of networks and partnerships between between European regions, and which accountability, simplification of stakeholders, coordination of activity in also features a designated Tourism and procedures, partnership, monitoring areas of common interest and exchange of Culture funding theme. ‘Cohesion policy and evaluation were evident, but it was best-practice information (also evidenced promotes the development of policy acknowledged that there was still room in the EDEN and NECSTouR initiatives). mechanisms, such as the programming for improvement. In older member These measures also reflect some of the approach and multi-level governance that states, partnership, planning and UNWTO and UNEP recommendations support sustainable development within evaluation had improved and positive (2005) and vertical integration, reflexivity programme management structures and spillover into domestic management and participation (Steurer, 2009). encourage regions to pursue sustainable practice was also noted. Strengthening

Page 30 – Policy Quarterly – Volume 7, Issue 4 – November 2011 of territorial bodies, the establishment A study on coastal tourism funded by than at implementation. It further argued of new coordination arrangements, and the European Parliament (CSIL, 2008) that the project outcomes were more changes in the administrative culture were claimed that structural funding has had substantial where a larger range of actors also highlighted as positive outcomes a positive impact in terms of institution- was involved in all policy phases. In terms (European Commission, 2010b). In building and enhancement of planning of private-public partnerships, the report addition, the partnership approach was a capacity, especially in new member states suggested that the private actors engaged challenge for new member states, where which are less used to participatory in grant-seeking behaviour for private the concept is still novel, and in older planning and bottom-up approaches. investment needs. For other stakeholders, member states stakeholder involvement is Similarly to the findings of the fifth the promotion of a specific aspect is more prominent in the design rather than economic report on social, economic the only contribution foreseen in the in the implementation stages. Moreover, and territorial cohesion (European design of the interventions (for example, in all member states partnership was Commission, 2010b), the study on coastal environmental associations asking for found to be higher in the EU programmes environmentally-friendly measures). than in domestic policies. Furthermore, commercial companies These findings would suggest that The review of have different aims, aspirations and local conditions and political systems in standards to the public sector agencies. member states influence the application cohesion policy The combined effect of all these facts of multi-level governance and the will undoubtedly made establishing effective partnerships a partnership approach. According to Ferry challenge (CSIL, 2008, p.51). et al. (2008), integrating sustainable affect the Examples from the evaluation of development into structural funds other tourism projects funded through programmes is a challenging process: governance cohesion funds highlight similar defining what constitutes sustainable and sustainability successes and similar challenges. For development is complex because there instance, the integrated ecotourism are many interpretations; integrating of future projects, development of the Dráva Basin project sustainable development into objectives in Hungary consisted of 44 sub-projects and priorities may mean linking including tourism which brought together 31 partners with interventions across a wide variety of and culture. a budget of €3.1million. The project policy themes and project types; the evaluation report identified several progress and impact of sustainable obstacles in the partnerships and the development-related interventions may rigidity of the monitoring process, largely be difficult to disaggregate and measure, because of local administration issues or may be intangible during the lifetime and lack of expertise in the managing of the programme. It would be worthwhile authorities (Hajós, 2007). The marketing to see, then, how tourism governance has tourism claimed that the structural funds of Medzilaborce, Slovakia as Warhol been affected by the implementation of had a significantly positive impact on City, (Višnˇovsky, 2007) highlighted the the EU’s cohesion policy. the designing of regional development disagreement of some local stakeholders policies that are based on the partnership with the artistic integrity and quality of Cohesion policy and tourism governance principle. However, the study also some of the attractions that were created Tourism is recognised as an important suggested that in the new member as part of the problem, and the need to mechanism for the creation of jobs and the states the bottom-up approach and the involve local tourism entrepreneurs in development of Europe’s less-developed partnership principle are less integrated future projects. Finally, in the development regions. In recognition of this potential than in the old member states. In these of ‘World Heritage Laponia’ in Sweden contribution, more than €6 billion (or states the bottom-up approach and the as a tourist destination (Aro, 2009), 1.8% of the total cohesion policy budget) partnership principle appeared to have two local authorities set up an office to is planned to directly support tourism in been embedded in both programming support and coordinate tourism in the the 2007–2013 funding period. €3.8 billion and project design, while in the new area. The office helped bring together is allocated for the improvement of tourist member states, large-scale involvement of small companies which did not have the services, €1.4 billion for the protection stakeholders was yet to become standard, resources for direct marketing. There was and development of natural heritage, and as the decentralisation process was still strong demand from local entrepreneurs €1.1 billion for the promotion of natural weak. for these services, and the project helped assets (European Commission, [2011]). It Furthermore, the study highlighted create synergies in the local community. can be inferred, thus, that cohesion policy short-termism as a defining feature of It is obvious that the EU cohesion has had a profound impact on tourism partnerships, because the involvement of policy has had a substantial impact development and, possibly, tourism actors tends to be largely concentrated on the development of sustainable governance. at the design and planning stages rather tourism in the EU, and the examples

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 31 Promoting Sustainability From Above: reflections on the influence of the European Union on tourism governance presented here demonstrate that this have substantial implications for the would suggest that the partnerships that impact has potentially extended to governance of sustainable tourism. are formed are mostly short-term and tourism governance at the national and Projecting the findings to Steurer’s project-specific. In addition, the long- regional levels. However, the absence of (2009) five principles for governance term impact of the projects is difficult a long-term evaluation of such projects for sustainable development (horizontal to ascertain, as the final evaluation takes means that it is not possible to ascertain integration, vertical integration, places only a few months after the project whether partnerships survive only during participation, reflexivity and has been completed. the programming period, or if they intergenerational equity), it is clear that A review of the cohesion policy is are sustained in some form or manner the EU’s cohesion policy has met some currently under way and suggestions after the project has been completed. In of these objectives. It has promoted the have been made to look more closely at addition, it is not clear to what extent inclusion of intergenerational perspectives the practice of partnership, which varies the EU’s governance principles gradually (intergenerational equity) and has significantly between member states begin to influence or even change national encouraged the involvement of a wide (Bachtler and Mendez, 2010), and at practices, although the widespread use of range of stakeholders in the policy process ways of securing the involvement of local bottom-up approaches and partnerships (vertical and horizontal integration). authorities, economic and social partners in the old member states would suggest Evidence from the implementation and and non-governmental organisations, that multi-level governance is gradually evaluation of the programmes, though, which is frequently minimal and only becoming the norm. has demonstrated that stakeholder in some stages of the policy process involvement (participation) is weak and (Polverari and Mitchie, 2009). Through Conclusion some partners struggle to cooperate capacity-building – developing technical The purpose of this article was to effectively because of their inexperience knowledge and expertise – non-state actors review the EU’s approach to tourism or lack of understanding of multi-level can become more credible and active sustainability and consider the impact of governance processes (reflexivity). partners in programme management and cohesion policy on tourism governance in It is difficult to aggregate the impact implementation (Bachtler and Mendez, member states. of cohesion policy on tourism governance 2010). The review of cohesion policy will The review of the EU’s approach to at the sub-national level, especially as undoubtedly affect the governance and sustainable development and sustainable there is variation in the structures at the sustainability of future projects, including tourism demonstrated the permeation local level, and some member states have tourism and culture. of sustainable development as a priority greater experience in handling structural In conclusion, the EU’s approach to in all its policies. In addition, the EU has funding. It is likely that change has taken sustainable development and its unique created a unique system of multi-level place as a result of the EU’s cohesion style of governance has influenced the governance which promotes sustainability, policy, but the depth and extent of change application of sustainability in its member partnership and multi-stakeholder may vary significantly between member states. In order to more fully assess the involvement throughout the policy and states. Although all the tourism projects impact of the sustainable development decision-making processes. The same funded through the cohesion policy and cohesion policies on tourism, a principles have also permeated the EU’s have to engage several partners, it is not systematic review of tourism structures conceptualisation of sustainable tourism, clear whether these partnerships simply in the EU member states, as well as past but the lack of a tourism competence dissolve once the project is completed. tourism projects, should be undertaken. until recently led to the creation of Nonetheless, both the fifth report on This analysis could also be complemented ‘meta-policies’ for tourism which are economic, social and territorial cohesion with some in-depth case studies, similar limited to the exchange of best practices (European Commission, 2010b) and the to the European Parliament study on and coordination of action (Halkier, study on coastal tourism (CSIL, 2008) coastal tourism. 2010). Nonetheless, the implementation demonstrated that often stakeholders are of the new EU tourism policy could also involved only in the design stage, which

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Page 32 – Policy Quarterly – Volume 7, Issue 4 – November 2011 governance, IQ-NET thematic paper 26 (2), Glasgow: European Gamble, A. (2000) ‘Economic governance’, in J. Pierre (ed.), Debating Policies Research Centre, University of Strathclyde Governance: authority, steering and democracy, Oxford: Oxford CSIL (2008) The Impact of Tourism on Coastal Areas: regional University Press development aspects, study for the European Parliament, Policy Hajós, K. (2007) Integrated Ecotourism Development of the Dráva Basin, Department B: structural and cohesion policies ec.europa.eu/regional_policy/projects/practices/details.cfm?pay=HU&t Dinica, V. (2008) ‘Challenges for sustainable tourism governance in the he=79&sto=1440®ion=ALL&lan=7&obj=ALL&per=ALL&defL=E Netherlands’, Journal of Tourism Policy,1 (4), pp.335-52 N, accessed 7 August 2011 Dinica, V. (2009) ‘Governance for sustainable tourism: a comparison of Halkier, H. 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(2011) ‘European governance or governmentality? The European Commission (2009) ‘Mainstreaming sustainable development European Commission and the future of democratic government’, into EU policies: review of the European Union strategy for European Law Journal, 17 (3), pp.287-303 sustainable development’, COM(2009) 400 final Steurer, R. (2009) Sustainable Development as Governance Reform European Commission (2010a) ‘Europe, the world’s no 1 tourist Agenda: an aggregation of distinguished challenges for policy-making, destination: a new political framework for tourism in Europe’, discussion paper 1-2009, Institute of Forest, Environmental and COM(2010) 352 final, 30 June Natural Resource Policy European Commission (2010b) Investing in Europe’s Future, 5th Steurer, R. and G. 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Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 33 Jonathan Boston

Biophysical Limits and Green Growth

For a world of seemingly unlimited resources, mankind is gradually accustoming itself to the Earth as a limited, crowded and finite space, with limited resources for extraction and a narrowing capacity for waste disposal of pollution.

Jean-Claude Trichet (quoted in Jackson, 2009, p.67)

In mid-June 2011 the Institute of Policy Studies and limits, and, if so, what policy changes will be required to enable such growth? Landcare Research co-hosted a symposium in Wellington Second, there are various normative issues: on ‘Biophysical Limits and their Policy Implications’.1 The given the earth’s biophysical properties, how should we choose to live? In other symposium addressed two interrelated sets of questions. The words, how should the empirical reality of absolute constraints shape the nature of first are empirical in nature: what are the earth’s biological humanity’s goals and the means chosen to and physical (or biophysical) limits and what are the practical pursue them? Further, what ethical criteria and other considerations should inform implications of these limits for humanity? For instance, is the setting of global limits or thresholds exponential global economic growth, as measured by GDP, – or what Rockström et al. (2009a, 2009b) call ‘planetary boundaries’ – within which technically possible on a planet with limited natural resources humanity should endeavour to operate? Drawing on the contributions to the and waste absorption constraints, and, if so, under what symposium on biophysical limits, this conditions? Does ‘green’ growth, as proposed by the OECD article focuses on four main issues: the nature of the earth’s biophysical limits; (2011), offer a feasible way to circumvent or negate these the setting of ‘safe’ planetary boundaries; the implications of biophysical limits for economic growth; and the political economy issues involved in moving the Jonathan Boston is Professor of Public Policy global economy onto a ‘green’ growth at Victoria University of Wellington and was path. But first, let me provide some Director of the Institute of Policy Studies during 2008–11. context.

Page 34 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Background been prompted by growing anxiety over diversity is declining, as is the number of Debates about environmental limits and anthropogenic climate change and its species on the planet. It is estimated that economic growth are not new. Nor are likely negative ecological, economic, since around 1800 ‘humans have increased concerns over the capacity of this planet social and political impacts (see Garnaut, the species extinction rate by as much as to sustain an ever-increasing human 2008; Hansen, 2009; IPCC, 2007; Stern, 1,000 times over background rates typical population. More than two centuries ago, 2007, 2009, 2011). But there has also over the planet’s history’. Currently, up in 1798, Thomas Malthus published his been mounting evidence that humanity to 30% of mammal, bird and amphibian important study An Essay on the Principle is harming many other vital biophysical species are threatened with extinction. of Population, in which he argued that the systems, living beyond the planet’s means And to make matters worse, the growing number of human beings would ultimately (i.e. consuming or damaging at a rate human population, projected to reach be limited by scarce resources, and exceeding what nature can regenerate), at least 9 billion by 2050, is bound to especially by constrained food supplies. and exceeding ‘safe’ planetary limits increase pressures on already fragile As he put it: ‘The power of population (Rockström et al., 2009a, 2009b). Such ecosystems. As a result, the earth faces is indefinitely greater than the power in evidence is reflected in the findings of another great spasm of extinction – but the earth to produce subsistence for man’ numerous reports from international this time caused by humanity, not natural (Malthus, 1798, p.13). Thus far, Malthus organisations, scientific academies and forces (see also Sukhdev et al., 2008). has been wrong. The human population has continued to grow and the production of food has expanded even more rapidly It is estimated that since around 1800 ‘humans (although significant distributional issues remain). But whether, and for how have increased the species extinction rate by as long, it will be possible to feed an ever- much as 1,000 times over background rates typical rising population is uncertain. After all, much global food production currently over the planet’s history’. relies upon finite non-renewable and/or conditionally renewable resources, as will be discussed shortly. Almost two centuries after Malthus, leading research institutions, as well Related to this, a team of scientists Meadows et al. (1972), of MIT, argued as various studies updating (and to concluded in 2002 that humanity’s in The Limits to Growth (and various some degree confirming) the original collective demands began to exceed subsequent publications eg, 1992, 2004) arguments advanced by Meadows et al. the earth’s regenerative capacity about that long-term exponential economic (e.g. Randers, 2008; Turner, 2008). 1980 (Brown, 2009, p.14). By 2009, the growth is impossible, given the earth’s To illustrate briefly: a large-scale demands on natural systems exceeded limited resources and constrained project – the ‘Millennium Ecosystem their sustainable yield capacity by close absorptive capacity. Indeed, the MIT Assessment’ – sponsored by the to 30%. This means that human beings team claimed that even under the most United Nations and involving 1,300 are depleting the planet’s natural assets optimistic assumptions concerning leading scientists over several years and doing so at an increasing rate. Such technological innovation, continuing was completed in 2005. The authors of trends can continue only for so long economic and population growth would the synthesis report on Ecosystems and before negative feedback mechanisms are eventually lead to overshoot and collapse. Human Well-Being observed that of the triggered, critical thresholds are crossed, The thesis advanced by Meadows et al. various ecosystem services2 examined, and irreversible ecosystem damage is proved to be highly controversial and approximately 60% were ‘degraded’ or inflicted. Hence, while the relevant was the subject of many sustained and being ‘used unsustainably’, including fresh timescales are uncertain, the long-term detailed rebuttals (e.g. Cole et al., 1973). water, capture fisheries, and air and water implications are clear. Such critiques – which covered a range of purification (Millennium Ecosystem More recently, in May 2011 the methodological, empirical and normative Assessment, 2005). Similarly, the report OECD published a major report on issues – led many policy makers to dismiss highlighted evidence of an increasing the implications of global ecological the core arguments in The Limits to ‘likelihood of nonlinear changes in considerations for economic management, Growth as utterly flawed and misguided. ecosystems (including accelerating, abrupt entitled Towards Green Growth. The study But in recent years opinions within and potentially irreversible changes) emphasises the finite nature of this planet, the international policy community that have important consequences for the vital importance to human well- have begun to change as concerns human well-being’. These include ‘abrupt being of natural capital, the huge value over the planet’s biophysical limits alterations in water quality, the creation to humanity of the ecosystem services have intensified (e.g. see OECD, 2011; of “dead zones” in coastal waters, the provided by the earth’s biosphere, and the Reynolds, 2011; UNEP, 2007; Whitehead, collapse of fisheries, and shifts in regional need to live within certain non-negotiable 2008). In part, this revisionism has climates’. To compound problems, genetic planetary boundaries. Reports such as

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 35 Biophysical Limits and Green Growth these underscore the growing awareness • the extent to which particular resources should not be used up amongst senior policy makers and leading resources are substitutable (or likely or destroyed. It is argued that such economists (e.g. Arrow et al., 1995, 2004) to be substitutable with new and resources are intrinsically valuable and/ that humanity must take resource scarcity evolving technologies); and or that ‘intergenerational justice imposes and ecological limits seriously, and do so, • the consequences of natural resource stewardship obligations on the current as appropriate, on multiple scales: global, constraints for continued economic generation to preserve options for future regional and local. growth (or even sustaining current generations’ (Hay, 2007, p.115). From this consumption levels). perspective, destroying non-substitutable Biophysical limits Optimists argue, for instance, that resources (and ecosystems) is unjust Three types of biophysical limits have a combination of market forces (i.e. because it violates the rights of future been the primary focus of attention rationing by price), technological generations. Accordingly, certain resources in the relevant literature over recent innovation and prudent policies will (and ecosystems) should be preserved in decades: material or resource limits; waste ensure that any scarcity of resource perpetuity. Against this, advocates of ‘weak absorption limits; and thermodynamic inputs does not seriously affect global sustainability’ maintain that using up limits. Let me briefly explore each of these economic growth, certainly during the non-substitutable resources is acceptable, limits. 21st century. By contrast, other experts at least to a certain extent (although maintain that economic growth will be exactly how much is often not specified). Furthermore, preventing humanity from using resources that are potentially non- With respect to specific natural substitutable is unrealistic, impractical and costly. After all, without a universally resources, considerable international agreed and collectively enforced approach, protecting non-substitutable resources is attention has focused in recent years on impossible. the supply and demand for fossil fuels, With respect to specific natural resources, considerable international and especially the issue of ‘peak oil’. attention has focused in recent years on the supply and demand for fossil fuels, and especially the issue of ‘peak oil’. This has included controversy over when oil production will peak (if it Limited resource inputs severely constrained by limited natural has not done so already), how rapidly While some natural resources are resources well before 2100, not least production levels will fall after the peak, unconditionally renewable and essentially because of limits to substitutability and and the likely impact on energy prices inexhaustible (e.g. sunlight, marine because efficiency improvements may and economic activity (see Department energy and wind energy), many resources be constrained by the very nature and of Energy and Climate Change, 2009). required for human well-being are non- properties of the physical world. Many But while oil is a crucially important renewable (at least on non-geological experts are also concerned about high resource, so too is fresh water. Indeed, timeframes). This includes minerals (both levels of path dependence and inertia (e.g. not merely is water an essential input metallic and non-metallic) and fossil with respect to various energy, transport into many human activities, it is largely fuels (e.g. oil, gas and coal). Many other and social systems), the potentially non-substitutable and very unevenly resources are conditionally renewable: they large social, economic and political distributed. As Howard-Williams et al. regenerate at relatively slow rates and are costs involved in transitioning from one (2011) noted at the symposium on bio- limited in supply (e.g. fresh water, soil and technological state to another (e.g. moving physical limits, less than 3% of the world’s wood). from a carbon-intensive to a low-carbon water is fresh, and of this less than 1% is With respect to non-renewable and economy), the risks of inducing abrupt, accessible and readily usable by human conditionally renewable natural resources, non-linear and disruptive changes in the beings. To compound problems, the there has been vigorous debate about the key biophysical systems, and the potential global availability of fresh water per following matters: for crossing irreversible thresholds. Some capita has declined markedly over the • the nature, quantity and quality of of these matters were addressed during past 50 years and the rate of decline is the reserves of the various minerals the symposium on biophysical limits (e.g. accelerating. As a result, demand now and fossil fuels used in production see Rutledge, 2011; Saunders, 2011; Turner, exceeds supply in around 80 countries. processes; 2011; Walker, 2011). Population growth and climate change • the estimated life of these reserves Aside from this, advocates of ‘strong will exacerbate matters, with severe water at current and projected rates of sustainability’ (e.g. see Adams et al., stress becoming increasingly common. consumption; 2009) maintain that non-substitutable

Page 36 – Policy Quarterly – Volume 7, Issue 4 – November 2011 While New Zealand has a relative of underground water). Declining Thus far, the track record has not been abundance of fresh water, its spatial supplies of groundwater are already encouraging. distribution is highly uneven. Further, contributing to the loss of millions some water resources are already fully of hectares of irrigated crop land; Waste absorption limits allocated and shortages are growing. • the loss of insect pollinators (especially While the planet’s natural resources are Better water management is thus bees) as a result of pollution and limited, so too are its ‘sinks’. In other of crucial importance. Fortunately, the excessive use of chemicals. Note words, the capacity of the biosphere this is now accepted by most, if not that the value of pollination services to absorb or assimilate the waste and all, stakeholders, as reflected in the provided by insect pollinators was pollution generated by economic activity deliberations of the Land and Water estimated at €153 billion in 2005 for is constrained. Hence, even if the scarcity Forum. the main crops that feed the world of certain resource inputs does not Adequate water supplies are, of (OECD, 2011); constrain economic growth and human course, critical for food production. • shortages of fertilizer (e.g. phosphate activity over the foreseeable future, waste Not surprisingly, therefore, the risk of reserves are likely to be exhausted absorption limits may well have adverse resource shortages having a negative impact on global food supplies has been of growing concern (see Cribb, 2010). According to the chief scientific ... any serious and protracted global food adviser to the British government, Sir John Beddington (2009), the global shortages could have major economic, community faces a ‘perfect storm’ over food production within decades. social and political consequences – Contributing factors are likely to including the risk of civil disorder and include: • continuing population growth, violent conflict. especially in South Asia and Africa; • a continuing loss of top soil and soil fertility due to poor agricultural and land management practices, rapid deforestation, desertification and within a century or so if consumption consequences (see Reynolds, 2011). The erosion, pollution, the intensification grows at 3% per annum) (see Gilbert, limited capacity of the biosphere to of storms and droughts, etc. (Brown, 2009); absorb humanity’s increasing greenhouse 2009, pp.32-38); • the limits to photosynthesis (Dia- gas (GHG) emissions, especially carbon • a growing loss of agricultural mond, 2005, p.491); and dioxide (CO2), is perhaps the greatest land due to urbanisation and • the continued diversion of crop land single threat on the horizon. Currently, industrialisation; for bio-fuel production. atmospheric concentrations of CO2 • a continuing loss of wild fisheries Obviously, any serious and are rising rapidly (at around 2.5 parts due to pollution, over-exploitation, protracted global food shortages could per million per annum); within a few ocean acidification and rising sea have major economic, social and years they will reach 400 parts per temperatures. According to some political consequences – including million (or more than 40% above pre- estimates, around three-quarters of the risk of civil disorder and violent industrial levels). Global mean surface oceanic fisheries are being fished at conflict. If sufficiently widespread or temperatures, which have already risen or beyond capacity or are recovering destabilising, such developments are by about 0.8°C over the past century, are from over-exploitation (Brown, 2009, bound to slow economic growth, if not projected to increase by at least another p.15). Acidification and rising sea provoke a worldwide recession. Having 2°C by 2100, unless GHG emissions are temperatures, amongst other things, said this, net food exporters, like New substantially reduced. Such warming and could result in a loss of 60% of coral Zealand, stand to gain financially from related climate changes will have serious by 2030 (Sukhdev, 2008, p.9), with such shortages (and the related price and potentially irreversible consequences, huge implications for global fish increases). But any such benefits need including substantial sea-level rise, more stocks; to seen against an otherwise potentially severe storms and droughts, and a massive • rising energy prices, due to peak oil; bleak global context, with severe human loss of biodiversity. By the end of the • growing shortages of fresh water suffering. Avoiding such a scenario will century, the sea level could be as much as due to the effects of climate change, require prudent management of key a metre higher (and possibly more). Such together with falling water tables global resources, not least fresh water, a rise will cause huge and widespread and the loss of once huge fossil soil, agricultural land and wild fisheries. damage to coastal infrastructure and aquifers (due to the excessive mining settlements (including roads, railway

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 37 Biophysical Limits and Green Growth lines and ports), and inundate many down or facing insurmountable physical biodiversity loss and changes to the global river deltas and low-lying islands. It is barriers. nitrogen cycle). As one might expect, the hard to believe that such damage could Regarding the second law, the concern proposed parameters have prompted occur without having negative impacts is that energy is dissipated through the vigorous debate (e.g. Schlesinger, 2009). on global economic growth, as well as production process while, at the same After all, determining what is safe is not human well-being. Despite these risks, time, natural resources are degraded. just a scientific exercise. It also involves few governments have implemented Ultimately, it is argued, this will limit ethical judgements, some of which are significant or effective policy measures to economic growth. But the counter- profoundly difficult. For instance: reduce GHG emissions. argument is that solar energy can be used • How much harm, and of what kind, is morally acceptable? To be more specific, how many species should we ... if continuing global growth is feasible be prepared to sacrifice on the altar of human ‘progress’? ... it seems reasonable to conclude that • What risks should we be willing to tolerate? For example, should we be such an outcome will be possible only if prepared to take the risk of inducing human activities are utterly consistent the irreversible melting of a major ice sheet, such as the Greenland or the with the assimilative and regenerative West Antarctic ice sheet – with the prospect, eventually, of a multi-metre capacities of the earth’s biosphere. sea-level rise? • What costs should we be willing to bear in order to protect the interests Thermodynamic limits to recover wastes and recycle dissipated of future generations and preserve According to Herman Daly (1973, 2010), materials (Hay, 2007, pp.114-5). The only non-human species? the laws of thermodynamics place an constraint, from this perspective, is the • What safety margin should we absolute limit on the efficiency with amount of energy that can be captured incorporate into any internationally which resources can be utilised, thereby from the sun. This will depend primarily agreed limits or thresholds in order constraining the potential for long- on the level of technology – and this to reduce the chances of abrupt, non- term exponential economic growth. For continues to expand. In short, there linear changes, other unexpected instance, in keeping with the first law, the is no evidence to date that the laws of outcomes, and wider systemic risks? production of material objects requires thermodynamics have constrained global Such questions are not amenable an irreducible minimum quantity of economic growth or that they will do so to simple answers. Yet they deserve resources, while the second law (or the law in the near future. But over the longer our urgent attention. After all, the best of entropy) means that the same matter- term our confidence probably needs to available evidence suggests that if we energy cannot be used repeatedly for be more tempered. persevere with existing policy settings similar purposes. we will face mounting environmental But whether (and/or at what point) Establishing safe biophysical boundaries problems and run very serious risks. these thermodynamic limits are likely Increasing attention has been given While the topic of planetary boundaries to affect economic activity remains in recent years to determining ‘safe’ was briefly canvassed at the Wellington debatable. Hay (2007, p.114) highlights global biophysical limits (or planetary symposium, it needs much more various counter-arguments to the claimed boundaries). The relevant literature sustained, rigorous and interdisciplinary constraints imposed by the first law of is evolving, and many questions analysis. thermodynamics. First, as economies have remain unanswered. Among the most grown richer, the demand for services has comprehensive efforts to delineate such Biophysical limits and economic growth increased much faster than for products. limits is the work of a distinguished team of Thus far I have briefly discussed the nature Since the provision of services typically scientists led by Johan Rockström (2009a, of the earth’s limited resources and sinks, requires fewer material inputs, any 2009b). The group has identified nine and their implications for human activities. constraints imposed by thermodynamic planetary boundaries (see Table 1). These As will be evident, there is no consensus on limits are likely to lessen over time (or at include atmospheric CO2 concentrations, whether long-term exponential economic least be delayed). Second, there has been a extinction rates, global freshwater use, the growth is technically feasible. Many steady increase in resource efficiency over quantity of phosphorus flowing into the experts are sceptical. As the distinguished recent decades, the product of continuing oceans, and so forth. Their analysis suggests economist Lord Stern (2009, p.10) has put innovation and human ingenuity. Thus that humanity is already transgressing at it: ‘A picture of indefinite expansion is an far, there has been no evidence that least three of these boundaries (i.e. with implausible story of the future.’ productivity improvements are slowing respect to climate change, the rate of

Page 38 – Policy Quarterly – Volume 7, Issue 4 – November 2011 But if continuing global growth is Table 1: Planetary boundaries feasible at least, say, over the 21st century, Earth-system process Parameters Proposed Current Pre- it seems reasonable to conclude that boundary Status industrial such an outcome will be possible only value if human activities are utterly consistent with the assimilative and regenerative Climate Change (i) Atmosphere carbon dioxide 350 387 280 concentration (parts per million by capacities of the earth’s biosphere. Above volume) all, this means that growth must be decoupled from its negative ecological (ii) Change in radiative forcing (watts 1 1.5 0 impacts and physical (or resource) per metre squared) throughputs. Where such impacts or Rates of biodiversity loss Extinction rate (number of species per 10 >100 0.1-1 resource use already exceed safe and million species per year) sustainable parameters, such decoupling must occur in absolute, not just relative, Nitrogen cycle (part of Amount of N2 removed from the 35 121 0 terms. In other words, there must be an a boundary with the atmosphere for human use (millions of absolute reduction in environmental phosphorus cycle) tonnes per year) pressures per unit of output (e.g. GHG Phosphorus cycle (part of a Quantity of P flowing in oceans 11 8.5-9.5 -1 emissions or carbon intensity per unit boundary with the nitrogen (millions of tonnes per year) of output), not merely improvements in cycle) ecological impacts and/or resource use per unit of output.3 Relative reductions Stratospheric ozone depletion Concentration of ozone (Dobson unit) 276 283 290 will not be enough, certainly if overall Ocean acidification Global mean saturation state of 2.75 2.90 3.44 output is increasing more rapidly than aragonite in surface sea water the improvements in resource efficiency or environmental impact per unit of Global freshwater use Consumption of freshwater by humans 4,000 2,600 415 (km3 per year) output. As Jackson (2009, p.71) explains, for absolute decoupling to occur, the Change in land use Percentage of global land cover 15 11.7 Low rate of relative decoupling must exceed converted to cropland the rate of increase in overall output (or Atmospheric aerosol loading Overall particulate concerntration in To be determined GDP). the atmoshphere on a regional basis Moreover, to sustain growth over lengthy time periods, ever more extensive Chemical pollution For example, amount emitted to, or To be determined absolute decoupling will be required concentration of persistent organic (i.e. across an ever wider range of pollutants, plastics, endocrine environmental impacts). In practical disrupters, heavy metals and nuclear terms, this means that the current carbon- waste in, the global environment, intensive and resource-intensive global or the effects on ecosystem and functioning of Earth system economy must be transformed through the application of resource-conserving Boundaries for processes in light blue have been crossed technologies into one characterised by Source: Rockström et al., 2009b, p.473 low resource intensity and minimal environmental impacts. Such an in the sustainable development strategies million (or even close to this level) economy will need to reuse or recycle which various countries have enunciated will require massive cuts in emissions virtually all its natural resource inputs; (e.g. see Frame and Bebbington, 2011). (especially, but not solely, in the developed rely primarily, if not solely, on renewable And the changes must be global in nature, world). In fact, negative net emissions sources of energy; preserve critical (or not limited to a subset of jurisdictions.4 globally will ultimately be necessary non-substitutable) natural capital; and Take, for instance, atmospheric CO2 for a protracted period. This will not ensure that all forms of pollution and concentrations: as noted earlier, these be possible without a dramatic fall in other environmental impacts – including are now close to 400 parts per million, the carbon intensity of world output. GHG emissions – remain within safe or nearly 50 parts per million above Whether such reductions are achievable biophysical limits. what Rockström et al. (2009a, 2009b) is open to debate. Many experts are Both the scale and rate of the and Hansen et al. (2008) regard as ‘safe’ sceptical, for either technical or political decoupling required over the next few (or at least low enough to minimise the reasons. Jackson (2009) highlights the decades it vastly greater than anything so risk of large-scale, abrupt and irreversible daunting nature of the challenge: far achieved in human history. It will entail environmental damage). Yet to stabilise 1. Global carbon intensity declined much more than is currently envisaged CO2 concentrations at 350 parts per by almost a quarter from just over 1

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 39 Biophysical Limits and Green Growth

kilogram of carbon dioxide per $US moving to a safe concentration level will A green growth strategy is centred in 1980 to 770 grams per $US in 2006 also be hard. This is because a dynamic on mutually reinforcing aspects of (p.69). But while carbon intensity and flexible global economy is needed economic and environmental policy. has declined on average by 0.7% per if low-carbon technologies are to be It takes into account the full value year since 1990, the global population developed and adopted on the scale and of natural capital as a factor of has increased by 1.3% per annum with the speed required. Quite apart from production and its role in growth. and average per capita income has this, low or zero global growth will lock It focuses on cost-effective ways of increased by 1.4% (in real terms) per large numbers of people into absolute attenuating environmental pressures annum. As a result, there has been a poverty (i.e. unless there is a considerable to effect a transition towards new net increase of 2% per annum in CO2 redistribution of income and wealth patterns of growth that will avoid emissions (p.79). between developed and developing crossing critical local, regional and 2. To meet an atmospheric stabilisation countries and within the developing global environmental thresholds … target of 450 parts per million (for world). It is about fostering economic growth and development while ensuring that natural assets continue to provide the resources and environmental services on which our well-being relies (ibid., ... developing and implementing new pp.10, 18). technologies and achieving the necessary The central feature of a green growth framework … is recognition improvements in the management of the of natural capital as a factor of production and its role in enhancing planet’s natural resources will require well-being. … Natural capital contributes to production by providing major policy changes. crucial inputs, some of which are renewable and others which are not. It also influences individual and social welfare in various ways, through the CO2), annual emissions need to be Plainly, our capacity to decouple effect that the environment has on reduced at an average rate of 4.9% growth from environmental impacts will health, through amenity value and per year until 2050. Given population depend significantly on innovation and through the provision of ecosystem growth (of about 0.7% per annum) related technological advances. As the services … the contribution of and income growth (of about 1.4% per OECD (2011, p.10) has argued: natural capital to production is often annum), this requires a technological not priced and the contribution of Existing production technology (or carbon-intensity) improvement of natural capital to individual welfare is and consumer behavior can only 7% per annum: this is ten times faster not appropriately valued. (pp.20, 23) be expected to produce positive than the current rate of improvement. Greening growth will require outcomes up to a point; a frontier, Put differently, by 2050 the average much more efficient use of resources beyond which depleting natural carbon content of economic output to minimise environmental capital has negative consequences will need to be less than 40g of CO2 pressures. Efficient resource use for overall growth. We do not know per $ of output, a 21-fold improvement and management is a core goal of where this frontier lies in all cases on the current global average. economic policy and many fiscal and but we do know that the ability of 3. Achieving an even lower, and safer, regulatory interventions that are not reproducible capital to substitute for stabilisation target for CO2, such as normally associated with a ‘green’ (depleted) natural capital is limited in 350 parts per million, would be even agenda will be involved. And in every the absence of innovation. By pushing more demanding. case, policy action requires looking the frontier forward, innovation can Overall, then, the challenges ahead are across a very wide range of policies, help to decouple growth from natural formidable, not least because the global not just traditional ‘green’ policies capital depletion. economy is characterised by substantial (p.10). path dependence (e.g. due to the long But developing and implementing new The report goes on to outline in detail lifetime of most physical infrastructure, technologies and achieving the necessary the kinds of policies needed to ensure that including carbon-intensive energy improvements in the management of the natural capital and ecosystem services are systems). Moreover, continuing economic planet’s natural resources will require properly managed. In brief, such policies growth will make it harder to achieve the major policy changes. To quote the OECD include: emissions reductions required to stabilise again: • the proper pricing of pollution and CO2 concentrations. Yet without growth, the use of natural resources (e.g. via

Page 40 – Policy Quarterly – Volume 7, Issue 4 – November 2011 taxes and tradable permits) in order • How should we determine the Much needs to be done, not least to to internalise negative environmental appropriate amount to charge enhance public understanding of the externalities, minimise the over- polluters? For instance, with respect nature of the problems confronting policy exploitation of scarce natural capital to climate change, how should we makers and build consensus amongst key and ensure that the true value of decide the monetary value of the stakeholders on cost-effective policies for ecosystem services is reflected in environmental damage caused by delivering green growth. decision-making frameworks; rising concentrations of GHGs, and • better regulatory standards to hence the cost that polluters should The political feasibility of sustainability minimise ecological damage and pay for each unit of emissions? This takes us to the heart of the matter: enhance economic efficiency; • What approach should be adopted what is politically possible and will it • the removal of subsidies that when there is inadequate information enable global sustainability? It is here that encourage pollution and the excessive about the natural rate of regeneration much pessimism abounds. A common extraction of natural resources; (of various kinds of natural capital) theme in the relevant literature and during • a new regime of metrics for measuring or the assimilative capacity of local the symposium was that the main barriers economic, social and environmental ecosystems? to adopting sustainable policies are progress (see Stiglitz et al., 2009); and • financial compensation for the least advantaged groups in society so that the distributional consequences of A common theme in the relevant literature ... change are minimised. Failure to implement such policies was that the main barriers to adopting will almost certainly reduce incentives sustainable policies are political and institutional, for business to invest in low-carbon technologies and new ways of using not technical. Put bluntly, we have the means, natural resources more efficiently. It will also undermine efforts to shift patterns of but not the will. public investment (especially with respect to transport and energy infrastructure). And without a massive shift in private and public investment (and hence in • What new metrics for assessing political and institutional, not technical. production and consumption patterns), it environmental and social progress Put bluntly, we have the means, but not is highly likely that an increasing number are required? And by what yardsticks the will. of ‘safe’ biophysical boundaries will be should we measure and assess Politically, the capacity to implement crossed (locally, nationally and globally). economic performance? fundamental policy shifts is limited by Eventually, the negative biophysical • In the case of global public goods (or institutional resistance (particularly feedbacks from such overshooting will common-pool resources), effective from powerful vested interests), global undermine global economic growth, if policy interventions to protect such coordination problems and weak not generate a major economic crash. goods will require international international institutions, and human But while it is easy to itemise cooperation and collaboration. But myopia and self-interest. These political the policies required for greater how is this to be achieved? How are constraints are most evident in the environmental (and hence economic) the required governance arrangements faltering efforts to ensure the sustainable sustainability, most of the policies in to be constructed? management of our global common- question pose significant technical and There is, of course, no lack of pool resources, especially the atmosphere design challenges. For example: thoughtful answers to such questions. And and oceans. Governance issues of this • What criteria should we use to during the symposium on biophysical nature were the focus of several of the determine the appropriate quality limits a variety of ideas, approaches and presentations at the symposium (Dinica, standards for water, air and soils, governance models were advanced (e.g. 2011; Hatfield-Dodds, 2011; McGinnis, and how should these standards be Dinica, 2011). Reference was also made 2011; Reynolds, 2011; Walker, 2011) enforced? to local and international examples of With respect to climate change, • How should we value natural capital good practice with regard to sustainable for example, policies to reduce GHG and ecosystem services? For instance, resource management (e.g. Reynolds, emissions have been thwarted or diluted in addition to the value derived from 2011). Equally, however, it is evident that across most of the democratic world the direct and indirect uses of such current policy frameworks and governance because of four politically salient and capital, what weight should be given arrangements are not adequate to address deeply entrenched asymmetries (Boston to non-use values (such as ‘existence’ the magnitude, range and urgency of the and Lempp, 2011). First, there is a voting values)? biophysical constraints facing humanity. asymmetry: future generations, unlike

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 41 Biophysical Limits and Green Growth current generations, do not have a vote, effective global governance to allow healing the future instead of stealing it. We yet their interests are profoundly affected our unprecedented information and can either create assets for the future or by the decisions being taken currently. technology to provide, in time, a solution take the assets of the future. One is called Second, there is a cost-benefit asymmetry: to the global sustainability crisis … There restoration and the other exploitation’ the costs of action to reduce GHG is a grave danger of a long nightfall if we (quoted in Brown, 2009, p.15). emissions are certain, visible, direct and fail – climate change, disease, famine, A critical challenge over the coming immediate, whereas the benefits of such migration and state failure have together decades will be not only to deepen action are less certain, intangible, indirect triggered long dark ages in the past; all our understanding of the biophysical and long-term. Third, reducing emissions five are now active’. Similarly, to quote properties and limits within which will impose significant costs on powerful, Daniel Rutledge (2011): ‘We can choose humanity must live, but also to design and concentrated interests (e.g. the fossil fuel to acknowledge limits and change our implement new governance arrangements industry). By contrast, the beneficiaries systems (institutions, values) accordingly to ensure that these limits are respected of such measures are dispersed over and thus avoid undesirable outcomes and any overshooting is minimised. This time and space, and have much less (collapse). Or not … The Limits to Growth will require a concerted effort to learn incentive to organise to protect their and more recent research on many topics from our experience with existing policy interests. Finally, as noted earlier, there is convey a common message: the longer we models and frameworks and then apply an accounting asymmetry: for firms and delay action the less likelihood we have of this learning with wisdom and skill. But governments the loss of financial assets achieving desirable future outcomes due new approaches will also be needed, counts, the loss of natural capital does to inertia in the global system.’ especially if the crucial global collective not. For such reasons, policy measures action problems – like climate change that make sense in environmental terms, Conclusion and the protection of marine ecosystems and indeed also economically on a long- In summary, the evidence suggests that – are to be addressed effectively and term basis, are extremely difficult to maintaining global economic growth over expeditiously. This will require an implement. Moreover, there are no simple an extended period of time will only be unprecedented level of international or easy solutions to the four asymmetries possible under very strict conditions; cooperation and solidarity. Is this a identified above. If there were, we would above all, the resilience of vital ecosystem realistic possibility? Let us hope so. surely have discovered them by now. services and biophysical systems must 1 I would like to thank Valentina Dinica, Bob Frame, Daniel Such considerations lead to a be protected. Currently, these conditions Rutledge and Simon Smelt for their helpful comments on further troubling question: will modern are not being met: collectively, humanity earlier versions of this article, and Clare Hammond for the energetic assistance she provided over the summer months civilisation destroy itself? After all, is overshooting critical biophysical of 2010–11 in researching some of the issues addressed during the symposium. previous civilisations have mismanaged parameters (on multiple scales) and 2 There are four main kinds of ‘ecosystem services’: their environments and suffered seriously degrading ecosystems on a provisioning services (e.g. the production of energy, food, water and life-saving drugs); regulating services (e.g. dire consequences – the Sumerians, planetary-wide basis. This can continue water purification, pest and disease control, and climate Babylonians and Mayans, to name only for so long. Eventually, the negative regulation); supporting services (e.g. seed dispersal); and cultural services (e.g. recreational and spiritual benefits). but a few (Brown, 2009; Diamond, impacts will overwhelm our capacity 3 For non-renewable resources, absolute decoupling will be essential eventually, whether desired or otherwise. 2005). The main difference is that these to cope, and de-growth will become 4 This point is important because in recent decades many civilisations had much less knowledge inevitable. The resulting social and developed countries have reduced their energy consumption (and carbon intensity) per unit of output, but much of this about the consequences of their actions political tensions will be immense – and reduction has been the result of ‘the outsourcing of heavy industrial activity to emerging economies’, especially China than we do today. But knowledge is one probably unmanageable. As Paul Hawken (IIER, 2011). As a result, there are now large embedded thing; a willingness to act prudently is has put it: ‘At present we are stealing the energy transfers occurring from developing to developed economies. quite another. Thus, as Brian Walker future, selling it in the present, and calling (2011) observed at the symposium on it gross domestic product. We can just as biophysical limits: ‘we lack the necessary, easily have an economy that is based on

References Beedle, A. (2011) ‘The big picture’, paper for symposium on ‘Biophysical Adams, J. et al. (2009) Strong Sustainability for New Zealand: principles Limits and their Policy Implications’, 8–9 June, Wellington, http://ips. and scenarios, Sustainable Aotearoa New Zealand Inc. ac.nz/events/previous_events-2011.html Arrow, K. et al. (1995) ‘Economic growth, carrying capacity, and the Boston, J. and F. Lempp (2011) ‘Climate change: explaining and solving environment’, Science, 268, 28 April, pp.520-1 the mismatch between scientific urgency and political inertia’, Arrow, K. et al. (2004) ‘Are we consuming too much?’, Journal of Accounting, Auditing and Accountability Journal, 24 (8), pp. 1000- Economic Perspectives, 18 (3), pp.147-72 21 Beddington, J. (2009) ‘Food, energy and climate: a perfect storm Brown, J. et al. (2011) ‘Energetic limits to economic growth’, BioScience, of global events’, chief scientific adviser’s speech to the UK 61 (1), pp.19-26 government’s Sustainable Development UK conference, March Brown, L. (2009) Plan B 4.0: Mobilizing to Save Civilization, New York: W.W. Norton & Company

Page 42 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Cole, H., C. Freeman, M. Jahoda and K. Pavitt (1973) Thinking About Meadows, D., D. Meadows, J. Randers and W. Behrens (1972) The the Future: a critique of The Limits to Growth, Brighton: Sussex Limits to Growth: a report for the Club of Rome’s project on the University Press predicament of mankind, London: Compton Printing Limited Cribb, J. (2010) The Coming Famine: the global food crisis and what we Meadows, D., D. Meadows and J. Randers (1992) Beyond the Limits: can do to avoid it, Collingwood, Victoria: CSIRO Publishing global collapse or a sustainable future?, London: Earthscan Daly, H. (ed.) (1973) Towards a Steady-State Economy, San Francisco: Meadows, D., D. Meadows and J. Randers (2004) Limits to Growth: the W.H. Freeman 30 year update, White River Junction, Vermont: Chelsea Green Daly, H. (2010) ‘Thermodynamic roots of economics’, Energy Bulletin, 8 Millennium Ecosystem Assessment (2005) Ecosystems and Human Well- November Being: synthesis, Washington, DC: Island Press Davidson, C. (2000) ‘Economic growth and the environment: alternatives OECD (2011) Towards Green Growth, Paris: OECD to the limits paradigm’, American Institute of Biological Sciences, 50 Randers, J. (2008) ‘Global collapse: fact or fiction?’, Futures, 40, (5), pp.433-40 pp.853-64 Department of Energy and Climate Change (2009) Report on the Risks Reynolds, P. (2011) ‘Biophysical limits and their policy implications: the and Impacts of a Potential Future Decline in Oil Production, 1 June nature of the problem’, Policy Quarterly, 7 (3), pp.3-7 Diamond, J. (2005) Collapse: how societies choose to fail or survive, Rockström, J. et al. (2009a) ‘Planetary boundaries: exploring the safe New York: Penguin operating space for humanity’, Ecology and Society, 14 (2), p.32ff Dinica, V. (2011) ‘Governance for transition towards a sustainable Rockström, J. et al. (2009b) ‘A safe operating space for humanity’, society’, paper for symposium on ‘Biophysical Limits and their Policy Nature, 461, 24 September, pp.472-5 Implications’, 8–9 June, Wellington, http://ips.ac.nz/events/previous_ Rutledge, D. (2011) ‘Global biophysical limits’, paper for symposium events-2011.html on ‘Biophysical Limits and their Policy Implications’, 8–9 June, Frame, B. and J. Bebbington (2011) ‘A comparison of the national Wellington, http://ips.ac.nz/events/previous_events-2011.html sustainable development strategies for New Zealand and Scotland’, Saunders, C. (2011) ‘Critical natural capital: limits to sustainability’, International Journal of Sustainable Development, forthcoming paper for symposium on ‘Biophysical Limits and their Policy Garnaut, R. (2008) The Garnaut Climate Change Review: final report, Implications’, 8–9 June, Wellington, http://ips.ac.nz/events/previous_ Melbourne: Cambridge University Press events-2011.html Gilbert, N. (2009) ‘The disappearing nutrient’, Nature, 461, 8 October, Schlesinger, W. (2009) ‘Thresholds risk prolonged degradation’, Nature, pp.716-18 October, p.112 Hansen, J. (2009) Storms of My Grandchildren: the truth about the Stern, N. (2007) The Economics of Climate Change: the Stern Review, coming climate catastrophe and our last chance to save humanity, Cambridge: Cambridge University Press London: Bloomsbury Stern, N. (2009) A Blueprint for a Safer Planet, London: The Bodley Hansen, J. et al. (2008) ‘Target atmospheric CO2: where should Head humanity aim?’, Open Atmospheric Science Journal, 2, pp.217-31 Stern, N. (2011) ‘How should we think about the economics of climate Hatfield-Dodds, S. (2011) ‘Governance: challenges in reducing the risks change?’, lecture for Leonteif Prize, 8 March and impacts of overshooting biophysical limits’, paper for symposium Stiglitz, J., A. Sen. and J. Fitoussi (2009) Report by the Commission on ‘Biophysical Limits and their Policy Implications’, 8–9 June, on the Measurement of Economic Performance and Social Progress, Wellington, http://ips.ac.nz/events/previous_events-2011.html Paris Hay, D. (2007) ‘Sustainable economics’, in R. Berry (ed.), When Enough Sukhdev, P. et al. (2008) The Economics of Ecosystems and Biodiversity: is Enough: a Christian framework for environmental sustainability, an interim report, European Communities Nottingham: Apollos Treasury (2011) Working Towards Higher Living Standards for New Howard-Williams, C. et al. (2011) ‘Limits to growth: freshwater’, paper Zealanders, working paper 11/02, Wellington: The Treasury for symposium on ‘Biophysical Limits and their Policy Implications’, Turner, G. (2008) ‘A comparison of the limits to growth with 30 years of 8–9 June, Wellington, http://ips.ac.nz/events/previous_events-2011. reality’, Global Environmental Change, 18, pp.397-411 html Turner, G. (2011) ‘Revisiting The Limits to Growth: global and national IIER (2011) Low Carbon and Economic Growth: key challenges, Meilen, strategies for sustainability’, paper for symposium on ‘Biophysical Switzerland: Institute for Integrated Economic Research Limits and their Policy Implications’, 8–9 June, Wellington, http://ips. IPCC (2007) Climate Change 2007: synthesis report, fourth assessment ac.nz/events/previous_events-2011.html report of the Intergovernmental Panel on Climate Change UNEP (2007) Global Environmental Outlook 4: summary for policy Jackson, T. (2009) Prosperity Without Growth: economics for a finite makers, United Nations Environment Programme planet, London: Earthscan Walker, B. (2011) ‘Planetary limits and missing institutions: addressing Malthus, T. (1798) An Essay on the Principle of Population, Oxford the 21st century’s big challenge’, paper for symposium on World’s Classics reprint, Oxford: Oxford University Press ‘Biophysical Limits and their Policy Implications’, 8–9 June, McGinnis, M. (2011) ‘Understanding the limits to the oceanic commons’, Wellington, http://ips.ac.nz/events/previous_events-2011.html paper for symposium on ‘Biophysical Limits and their Policy Whitehead, J. (2008) ‘Growth in a world of limits: challenges and Implications’, 8–9 June, Wellington, http://ips.ac.nz/events/previous_ opportunities for businesses and the economy’, paper for World events-2011.html Environment Day symposium, Auckland, 4 June

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 43 David Penman, Andrew Pearce and Missy Morton

From Competition to Collaboration Challenges for interdisciplinary and New Zealand collaborative programmes, manage overbidding and establish alternative models, Science such as outcome-based investments, but there were still significant transaction Science has long been based on a model of individual and costs in the competitive institutional competition. The reforms of the sector in the bidding processes. Doubts 1990s led to the formation of the crown research institutes remained as to whether (CRIs), which had responsibilities for specific economic the nation was maximising or environmental sectors, independence and separate benefits.

governance. The bulk of funding came via the Foundation A full analysis of the performance of the for Research, Science and Technology, with often intense science system is beyond the scope of this article. However, we can provide some competition for resources. This was exacerbated by the perspectives from a review of a large-scale openness of the investment processes to universities, global collaborative programme in marine biodiversity, the Census of Marine Life, research associations and other research providers. Over and frame these within the context of how emerging policy settings for science in New the past decade there were various attempts to encourage Zealand may encourage more collaborative science. In 2010 the government initiated a process of reform of the sector, with an David Penman is a former senior manager at Landcare Research and former Chair of the Global Biodiversity Information Facility. Email: [email protected] emphasis on expectations for performance Andrew Pearce is a former Chief Executive of Landcare Research and serves as a director of a of the CRIs. The reforms have given a number of companies. Email: [email protected] greater proportion of funding decisions Missy Morton is a Senior Lecturer at the College of Education, University of Canterbury. Email: to the boards and management of the [email protected] CRIs, based on more comprehensive and

Page 44 – Policy Quarterly – Volume 7, Issue 4 – November 2011 distinctive statements of core purpose. involved 2,700 scientists from 80 nations of each project, development of core These statements give some national and 640 institutions who spent 9,000 days infrastructure for data sharing, synthesis responsibilities for capability to specific at sea on more than 540 expeditions, plus of overall results, and outreach. Several CRIs, with expectations that collaborations countless days in labs and archives. As one key elements coalesced around the will be developed across institutions of the largest scientific collaborations ever Census, including recognition of an and with end-users. This provides some conducted, the Census produced over 3,100 identifiable issue; a lack of response challenges to the accepted system, to policy scientific papers and many thousands of from traditional funding agencies in the makers and to the prevailing culture of other information products. The global United States; a research community science. Collaboration may be easy to say community now has a data baseline legacy which was fragmented and used to but hard to do. small projects shaped within existing However, there is little experience funding constraints; a limited culture of in building large-scale international collaboration and data sharing; and no collaborations in the biological (including Scientific research recognised open-access data portal for ecological) sciences. In contrast, the in New Zealand is information sharing, while at the same physical sciences, such as physics or time increasing demands were being astronomy, often require significant dominated by significant faced for more integrated management capital investments that can only be of the oceans. met by international collaboration. government investments We interviewed over 60 people Our participation in the Australian in the biological from around the world, and views were Synchrotron facility and the bid for the also gained from participation in, and Square Kilometre Array are but two of sciences, as befitting an observation of, a number of Census- many examples. In biology we have more related meetings and review of relevant limited investment in global initiatives such economy with a base in documents. The review did not analyse the as the Global Biodiversity Information biological enterprises. impact of the science; these impacts will Facility (GBIF). The Global Research continue to expand once the science moves Alliance for Agricultural Greenhouse into new projects, policy development Gases is also an emerging example of our and management of the oceans. Instead, leadership in a collaborative programme, the review focused on the lessons from which integrates biological and physical processes such as governance, leadership, sciences to provide solutions for a key management, collaboration, globalisation, issue for the agricultural sector. data management, synthesis, education We face challenges in moving from and outreach, and future legacies. We a competitive model towards greater on life in many of the ocean’s realms that were able to compare our findings with collaboration, so we may be able to learn will shape policies and management of the perceptions of the Census leadership from how other large-scale collaborations the oceans for decades to come. which have been published elsewhere have built new partnerships, capability, The Census pioneered a way to build (Alexander, et al., 2011). infrastructure and cultures. The authors scientific and community collaborations of this article were commissioned by the for the biological and ecological sciences. Key lessons Alfred P. Sloan Foundation (New York) to It was created with a simple and visionary Governance review the impact of the Census of Marine goal: to understand the diversity, The Census developed at a time when Life over their decade-long involvement distribution and abundance of marine our understanding of effective models for and provide some lessons that might be life. governing science was rudimentary. The relevant to other future collaborations in The Census emerged from a conver- Census had no real defined governance science. This article highlights some of the gence of the need for information, structure, but functional relationships lessons of particular relevance to policy largely expressed through the energy and evolved despite limited documentation development and science management in advocacy of Dr Fred Grassle of Rutgers of roles and responsibilities. The Sloan New Zealand. The full report is available University in the United States, and the Foundation as the key ‘investor’ ensured its through Landcare Research.1 willing support of an initial investor in the interests were maintained through a strong idea, the Sloan Foundation (Ausubel, 1997, link with the scientific steering committee The Census of Marine Life 1999). The Foundation provided funding (SSC), which provided review and The Census of Marine Life was conceived to support initial workshops and proposal support for the various projects making as a science discovery programme to preparation, eventually culminating in a up the Census. The SSC was a de facto address significant information gaps in more than $US75 million investment over governing board. A complex programme our knowledge of the biodiversity of the ten years. The Foundation then supported such as the Census required more regular oceans. In 2010 a decade-long $US650 the governance and secretariat functions oversight than the SSC meetings (usually million programme was completed; this of the whole programme, administration three per year), so the later development

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 45 From Competition to Collaboration: Challenges for New Zealand Science of an executive committee with more organisational circumstances, and often planning to ensure progress towards defined functions provided better support each compromise has to be balanced achieving the goals, outcomes and for the delivery of the Census. This by another action to offset potential impacts. Progress can be assessed and included a more formal consideration of negative consequences. Thus, the design alterations made during the course of risks, especially as the programme neared of effective governance needs to reflect the programme. completion. Many science projects appear a core set of governance principles • Clarity on the respective roles to have limited views on true end-points, rather than a rigid set of rules. From within governance groups, including so there were challenges to governance our review of governance of the Census decisions on representative, skills- in getting participants in the Census to and comparisons with other initiatives, based or mixed memberships is deliver results by the end of 2010. There needed. was also no successional plan or process at • Risk-assessment and management is the governance level, so the Census missed an important part of project direction the opportunity to develop new leaders to The traditional and linear and needs to be explicit. take the project forward beyond 2010. view of science is that • Leadership should be regularly Our full report more comprehensively assessed and reviewed to ensure new examines the principles and function of potential technologies leaders are developed to support governance and compares the Census ongoing activities. with other initiatives. Governance emerge from basic arrangements for institutions are research, and, with the Leadership often well documented around lines Much leadership in science is individual, of responsibility and accountability, assistance of institutional with the generation of ideas and hypotheses and governors, through some form of tested by experimentation or observation board structure, take responsibility for technology transfer and which then leads to peer-reviewed approving strategy, approving plans to business development conclusions published in journals. Many deliver the strategy, allocating resources, scientific advances and societal benefits assessing and managing risks, measuring offices, new investors can be linked to this enduring process. performance, and appointing and However, occasionally some issues are assessing leadership. help to bring the ideas to so large and complex or require such More challenging is how governance commercialisation. a significant capital investment that might work in collaborative contexts they can only be addressed by a large where projects cross a range of boundaries collaborative initiative. The Census had (e.g. institutional, disciplinary, national, its inception in a visionary leader (Fred etc.). Such projects will have their own Grassle) who was able to convince a governance structures and performance small group of colleagues of the need for expectations, and the challenge is how such a project and find a like-minded to link those to wider expectations for we contend that the design of governing individual (Jesse Ausubel of the Sloan benefits from large-scale collaboration, structures should note the following key Foundation), who saw the opportunity and what might be an effective model aspects: for the Foundation to take a key role in for governance given the sometimes • A ‘cornerstone’ investor is critical, bringing the Census to fruition. This was overlapping expectations of the boards of and the willingness of the Sloan not leadership that sought out problems participating institutions. Such projects Foundation to commit a substantial to solve; it identified an issue that could often have complexities arising from areas sum for a decade underpinned not be addressed through conventional such as financial resources, differences the development of the Census national funding mechanisms and could in capability and capital assets, policies community. be approached only through a large-scale on internet protocol and data sharing, • The ‘cornerstone’ investor should global collaborative endeavour. political realities, and social and cultural establish goals and expectations, We focus this article on public-good differences. including preferred governance science, where the benefits of the research There are differing expectations for models, performance measures and have wide societal outcomes and are not governance and accountability and it is reporting processes. readily captured for direct private or clear that there is no single model that • A substantial degree of autonomy commercial benefit. The traditional and is likely to meet the diversity of funding and trust should be given to the linear view of science is that potential instruments, partnerships and stakeholder programme director/executive technologies emerge from basic research, demands. In our view, there is no single director to enable rapid decisions and, with the assistance of institutional ‘right’ model of governance – every set about early investments to be made. technology transfer and business of governance arrangements contains • A clear strategic plan should be development offices, new investors help compromises that reflect particular developed early in programme to bring the ideas to commercialisation.

Page 46 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Such a process recognises the role of the have processes in place for regular from any research institution and provided idea generator and his/her key role in the review and feedback. access to politicians. The secretariat did further development of the concept or • Consider term delineations, especially not have full oversight of the financial product. However, it is now commonly in advisory/leadership roles. status of the Census, as the Sloan accepted that the role of the ‘inventor- • Have a specific leadership development Foundation controlled its investments scientist’ should diminish as external programme in place to develop the and the requirement for substantial investment increases towards ‘product new echelon of leaders. leverage funding from participating development’. Other professional • Assign clear responsibility for institutions/countries to carry out much managers and governors with different completion of the initial phase of of the research meant that gaining a full and wider business skills should then investment and for the preparation understanding of the financial position take increasingly significant leadership needed to obtain investment/investors of the Census proved to be challenging. roles. The role of the ‘inventor-scientist’ for the next phase. However, the secretariat did an (founder) becomes more one of a senior • Have a close understanding of the outstanding job of project coordination adviser, but with significant ‘ownership’ expectations of the lead investor. and support; but the effective role of rights, which may, in turn, be diluted executive director was subsumed into the as more investors enter the project. We role of Jesse Ausubel as the representative contend that this approach is equally of the Sloan Foundation. It was only in valid in considering leadership of more Large-scale collaborative latter years that the executive committee public good-oriented projects. began to provide some additional support The Foundation was very clear that science projects often to the interface between the management they would provide support (effectively have very complex and expectations of the funders. as an ‘angel investor’) for a finite period In designing a management structure to build the baseline in knowledge, management issues to for collaborative programmes, participants the personal networks and the data should consider the following: infrastructure. Should the analysis of deal with. Stakeholders • Design a programme management the results justify a positive business want systems that are structure that has clear roles, case, some new investor may take the responsibilities and accountabilities. Census to the next phase. Scientists, as a low-cost but enable their • Consider the use of collaborative rule, are not very good at such business information-sharing tools from the decisions and disciplines. Comments voices to be heard. start of the project. Some uses can lead from interviewees support the view that to closed teams, not shared systems. the SSC could have been more influential • Manage risks as a key role of in recommending work to stop in some governance and management. The areas and enhancing investment in areas more complex the project, the greater that promised a greater return – ‘scientists the risks. are not very good at stopping things’. As • Build an exit strategy to keep the a result, the Census failed to generate a Management community together. There is a risk substantial and well-argued ‘prospectus’ Large-scale collaborative science projects participants may drift apart unless on which to base a case for continuing often have very complex management some secretariat functions can be some priority parts with new investors issues to deal with. Stakeholders want sustained. from 2010 onwards. systems that are low-cost but enable their From our review, we contend that the voices to be heard. The challenge is to Data management following lessons are relevant to future have the right degree of support for the A critical innovation at the initiation of the collaborative projects: higher levels of leadership but ensure that Census was the establishment of a means • Apply the life-cycle model of ‘inventor- issues raised by those who largely conduct to share data. Grassle’s promotion of the scientist’ followed by professional the programme can be heard. It is almost establishment of the Ocean Biogeographic management and governance to the universal that some form of secretariat Information System (OBIS) (Grassle and expected duration of the project, and provides management services, but the Stocks, 1999) and the investment by the form some initial views on the type scope is very variable. In some cases it is Sloan Foundation in establishing some of leadership that might be needed merely administrative support, including core infrastructure was very forward at different phases of the life cycle, planning and logistics for meetings; in looking at the time. OBIS has been central and the approximate timing of any others the secretariat does a substantial to the delivery of primary data to a wide changes. amount of the work. community, including researchers, policy • Document roles and responsibilities The Census established a secretariat makers and the wider public, and has for leadership at various levels and based at the Center for Ocean Leadership been a crucial data portal for marine in Washington, DC. This was independent biodiversity data with links into GBIF.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 47 From Competition to Collaboration Challenges for New Zealand Science

Biologists and ecologists in many Collaboration in the Census had no As previously outlined, building countries have been slow to recognise theoretical framework; instead, it was the Census programme committed the value of data sharing. The Census pragmatic and involved people who were participants to data sharing. This was a played a critical role in changing cultures willing to be engaged in a new sharing significant challenge for scientists who among a community which had been culture to achieve some challenging have operated in a more competitive resistant to making primary data more goals. Collaboration within projects led environment. The initial workshops widely accessible. OBIS has become a key to innovative science, resulting in many were critical for developing a culture infrastructure project, but its future is not publications in a wide range of journals. that shared data and ideas, and most entirely secure and, while its move to come Questions were answered that would be Census-aligned scientists have undergone under the umbrella of the International beyond a more disciplinary and small- a significant change in their culture and Oceanographic Commission gives some project approach. However, there were views towards the benefits of data sharing. institutional security, obtaining funds many other personal benefits from This has not been without its challenges, to maintain the infrastructure and build building a collaborative environment. such as institutional barriers towards links to other organisations remains a Early-career scientists gained enormously internet protocol and data ownership, challenge. These are issues which should from the Census through building concerns about misuse of data, such as receive more serious consideration as drawing unjustified conclusions, lack of we examine how to make research data recognition for data sharing, issues of more widely available within the context The reforms to the data quality and coverage, etc. of the open government and e-research The Census built a new community policies. CRIs in New Zealand, that recognised the value of collaboration Other issues relative to data to address some big questions in biology management include: the emergence of core and ecology. New technologies were • Having an explicit data-sharing policy purpose statements and deployed and some of these promise at the outset of the programme, significant commercial opportunities, and, including standard protocols for funding, and the merging through OBIS, there is an infrastructure metadata, data quality, intellectual to support data sharing. The challenge property, etc. that meet best of policy and investment is how to sustain the community, the international practice. processes within the technologies and the infrastructure in • Ensuring that projects and individuals any future initiative. have specific expectations for Ministry of Science and data sharing and attribution, with Delivering benefits appropriate sanctions; encouraging Innovation provides the The Census was conceived as a science institutions to recognise data sharing basis for some innovative discovery programme. A key driver as part of their individual reward was the development of the baseline of systems. development of large- information of life in the oceans that • Considering having an advisory might then be used for future policy committee with specific responsibility scale collaborations, development and management of marine for data management and ensuring both nationally and resources. Providing information in a the infrastructure is supported within format relevant to policy and management an appropriate organisation. internationally. was not an initial objective. As the Census progressed and expanded in depth Collaboration and breadth of coverage, the debate on Census participants who were interviewed potential relevance also grew. were universal in their view that being Building links where the science involved in such a big programme becomes ‘relevant’ to a stakeholder or enabled them to work across disciplines, end-user can be challenging to some institutions and countries in ways that scientists. Many participants in the were not previously possible. They built relationships with highly credible Census were comfortable in doing the new research teams, and the funding scientists and institutions. This has led ‘science we always wanted to do’ but were available to support face-to-face meetings to invitations to publish together and more challenged when their results were early in the formulation of ideas and the conduct joint research, while late-career being placed in a policy or management subsequent development of proposals was scientists who had established their status context. While the Census did develop critical to working together. The groups were delighted to be able to put their significant baselines of information built trust, with an ability to articulate work into a wider context and find a way on marine species, there are still many some big goals and build ownership of a to share data and ideas. gaps. Policy makers cannot wait for the strategy to achieve them. definitive science but must use current

Page 48 – Policy Quarterly – Volume 7, Issue 4 – November 2011 information and integrate this with other • Having clear expectations for data embrace transdisciplinary approaches to economic, environmental, social and sharing, attribution and storage. research on key issues more readily than cultural considerations. • Building early links with potential many other countries. It is essential that However, the Census had a simple end-users of the research. we provide funding over and above the message with clear goals. It was understood • Identifying and supporting specific core institutional resources if we are to by funding agencies, institutions and capability needs. develop effective collaborations. researchers, and by stressing ‘baselines, Through the review of the Census of baselines and baselines’ the basis for Conclusions Marine Life we have identified some of developing future policy and management The Census of Marine Life challenged the key issues relevant to any collaborative options became possible. The Census marine biologists and ecologists to find new programme design, especially for provided ‘additionality’ by bringing ways of working together and it succeeded governance, leadership and management. multiple funding sources together. It in building a new commuity which There is no one ‘right’ answer, but we was held together by the innovative values collaboration and data sharing. contend that, with the right incentives, funding from the Sloan Foundation, A conventional process of competitive we can overcome any existing reticence to which supported the development of bidding would be unlikely to achieve such share data and ideas, especially in biology trust and collaboration, built a culture outcomes. Rather, it took the willingness and ecology. This will require ongoing of data sharing within a supporting of an investor (the Sloan Foundation) to commitments to open access, especially infrastructure, and built a public profile facilitate the development of a culture to public-good data and research, to and ‘brand’ by a very active outreach and committed to the sharing of data and the improved links to key end-user agencies, education project. Our analysis provides generation of widely-accepted research and to support of the key infrastructures the basis for programme design for any questions, the development of compelling to share data. similar initiatives that might emerge. proposals, supporting secretariat services Finally, to quote Ian Poiner, chair Such developments should include and funding an outreach programme. The of the scientific steering committee of consideration of: Foundation did not ask for these activities the Census of Marine Life: ‘The Census • Developing a governance structure to be funded from existing individual changed our views on how things could that endorses an early investment or institutional resources. Instead, it be done. We shared our problems and we strategy, supports proposals to provided funding on top of existing or shared our solutions.’ potential funders with collaboration proposed grants. This was very innovative 1 http://www.landcareresearch.co.nz/publications/ as a key objective, and supports and enabled a true competition for researchpubs/MarineLifeCensus Review.pdf some long-term planning for future ideas rather than a competition between legacies. individuals and institutions. • Identifying a business model that will The reforms to the CRIs in New Acknowledgements best facilitate programme delivery Zealand, the emergence of core purpose We thank all those participants in the and ongoing support. statements and funding, and the merging Census and external observers who so • Having a specific leadership develop- of policy and investment processes within willingly gave of their time to provide ment programme and successional the Ministry of Science and Innovation comments. We are also indebted to the processes. provides the basis for some innovative foresight of the Alfred P. Sloan Foundation • Having a globalisation and collabo- development of large-scale collaborations, which supported the review of the lessons ration strategy that builds early links both nationally and internationally. There learned from the decade of the Census. and capability with key countries, will be challenges, especially in bringing institutions and individuals. universities and other agencies with • Seeking support for an independent different funding streams and drivers secretariat to coordinate the pro- into such programmes, but New Zealand gramme. does have opportunities in being able to

References Grassle, J.F. and K.I. Stocks (1999) ‘A Global Biogeographic Information Alexander, V., P. Miloslavich and K. Yarincik (2011) ‘The Census of System (OBIS) for the Census of Marine Life’, Oceanography, 12, Marine Life: evolution of worldwide marine biodiversity research’, pp.12-14 Marine Biodiversity (online) Penman, D., A. Pearce and M. Morton (2011) The Census of Marine Ausubel, J.H. (1997) ‘The Census of the Fishes: concept paper’, http:// Life: review of lessons learned, prepared for the Alfred P. Sloan phe.rockefeller.edu/COML_concept/ Foundation, Wellington: Landcare Research, available at http://www. Ausubel, J.H. (1999) ‘Toward a Census of Marine Life’, Oceanography, landcareresearch.co.nz/research/research_details.asp?Research_ 12 (3), pp.4-5 Content_ID=280

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 49 Jo Cribb, Robbie Lane, Heather Penny, Kylie van Delden and Kathie Irwin Pragmatism and Caffeine: lessons from cross-agency, hope that thinking is invested not only in the virtues of new ways of working, but in cross-sector how to operationalise them.

‘Wicked’ policy problems Gill et al. (2010) predict that New Zealand public policy development over the working coming decades will need to address more complex problems, for a more diverse and The ways forward for addressing complex policy problems differentiated population, in a context of constrained resources and faster, less have been well documented and concepts like network predictable change. Increasingly, policy problems will go beyond the capacity of leadership, collaboration and citizen engagement espoused. any one organisation to understand or In reality, for those working in cross-agency, cross- respond to. Gill and his team characterise sector teams, the way forward is messy, frustrating, and such problems by adopting Kurtz and simultaneously exciting. This article shares the practical Snowden’s model (Kurtz and Snowden, 2003). Problems can be thought of as: experience of a cross-agency, cross-sector project team in the • complex, that is, cause and effect become clear only in retrospect and the pattern is not repeated; Dr Jo Cribb is the Deputy Children’s Commissioner and was seconded to lead the Green Paper team. She has a research and policy background. • chaotic, that is, no cause and effect Robbie Lane is a Senior Policy Analyst working in the youth and behavioural policy at the Ministry relationships can be identified; of Social Development. He comes into his current role with a public health and mental health background. • knowable, that is, cause and effect are Heather Penny is Chief Policy Analyst at the Ministry of Education. She has a legal and teaching separated over time and space; background. • known, that is, cause and effect Kylie van Delden is a health policy contractor. She came into the Green Paper team with a maternal relations are repeatable, perceivable and child policy background. Dr Kathie Irwin (Rakaipaaka, Ngäti Kahungunu, Ngäti Porou) is Chief Advisor Mäori at the Families and predictable (as cited in Gill et al., Commission. She has a research background. 2010).

Page 50 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Complex and chaotic problems have develops and learns to socialise with stakeholders – will not address ‘wicked also earned the label ‘wicked’ and have other children of the same age. While problems’ such as improving outcomes an identifiable set of characteristics, as the child comes from a good family, the for vulnerable children and their families outlined by the Australian Public Service father has recently lost his job at the and whänau (Australian Public Service Commission: local meat works and the family are now Commission, 2007; Dovey, 2003; Eppel et • the policy problem will be defined reliant on the part-time cleaning work al., 2011). Instead, collaborative strategies in a number of different ways – all by the mother at local motels. They live working across boundaries within appropriate – depending on the lead in a small rural community and new job government and beyond government are agency or stakeholder and the lens prospects are slim. The increased stress seen as effective for generating sustainable they apply to it; of living with less money has been made solutions and change (State Services • within the problem, there will be harder by the arrival of a younger sibling Commission, 2008; Managing for Shared conflicting and competing objectives, two years ago and the ongoing post-natal Outcomes Development Group, 2004). interdependencies, and multiple depression experienced by the mother Collaboration could include adopting causes; stakeholders and agencies will after this second birth. There were also a model of policy clusters and building place different emphasis on different no appropriate local services available horizontal connectedness, as proposed aspects of the problem; within suitable travelling time for her to by the Committee Appointed by the • addressing wicked problems can go to to get support. Government to Review Expenditure lead to unforeseen consequences There are no care and protection needs on Policy Advice (2010); or delegating elsewhere; for this family, but the complexity of the authority for problem solving to a • wicked problems evolve, so those individual, family and community risk selected group (such as a group of addressing them will also need to evolve their approach; • there is no clear, or technical solution; the problems are not ‘fixed’ but ‘managed’; While many improvements have been • wicked problems are characterised by social complexity, that is, solutions will made to agency collaboration, still many need to involve coordinated action by New Zealand children do not get the best a range of stakeholders, including government, non-government start to their lives. agencies, private businesses and the public; • such problems will not sit neatly with one organisation, but rather a group; • wicked problems often involve the need factors in this situation means the child, stakeholders or experts) (Australian for changed behaviour. (Australian without appropriate and timely supports, Public Service Commission, 2007). Public Service Commission, 2007) is vulnerable to poor life outcomes. This mechanism has been adopted here There is not one complete ‘fix’ or through the use of taskforces and advisory Improving outcomes for vulnerable children: agency response which would enable this groups (Committee Appointed by the a ‘wicked problem’ child and family to flourish. However, Government to Review Expenditure on Improving outcomes for vulnerable government agencies and NGO providers Policy Advice, 2010). children involves a complex array of are restricted as to what they can do by competing agendas; legislative obligations; the funding, contractual and legislative A cross-agency, cross-sector process: the the behaviours of parents, families and rules placed on their services. The needs Green Paper for Vulnerable Children project whänau, professionals and government of the child, parents and siblings are dealt While many improvements have been officials; funding rules; and many different with separately, addressing parts that each made to agency collaboration, still interventions that address specific areas of indvidual agency can ‘fix’. many New Zealand children do not children’s vulnerability. get the best start to their lives. This is Consider a five-year-old child with Working on ‘wicked problems’ despite the commitment of thousands signs of developmental delay and The consensus in the literature, drawn of professionals who work tirelessly with exhibiting behaviour problems who from New Zealand, across the ditch vulnerable children and their families starts attending the local primary school. and further afield, is that ‘traditional’ and whänau. With this in mind, in April This is a momentous step for this child policy processes that involve a group of 2011 Cabinet announced that a green and its family. However, the child will officials working through a linear process paper for vulnerable children would require specific supports to ensure he/ – defining the problem, gathering data, be prepared by a cross-agency, multi- she engages in lifelong learning, and generating options and consulting with disciplinary team, and the appointment

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 51 Pragmatism and Caffeine: lessons from cross-agency, cross-sector working of an independent person to lead it. It also The team then went on to review solutions need to be found. sought the establishment of two expert relevant evidence and research across The team identified four lessons it advisory groups which would oversee the the social sector, interviewed key people, would highlight: preparation of the paper – a group drawn and undertook the associated analysis 1. Cross-agency team members need from academia, and a ‘frontline forum’ and drafting of the Green Paper. It was permission to address the wicked drawn largely from non-government launched on 27 July 2011 and public problem at hand agencies and practitioners. A team drawn consultation will continue through to Given the multi-causal nature of from the social sector agencies was February 2012. wicked problems, defining the issue and assembled in May 2011 to develop the This example illustrates the value finding ways of moving forward involves paper in conjunction with the advisory of cross-agency working. A richer and looking at the issue from different angles. groups. The authors of this article were all integrated ‘problem definition’ was Team members from different agencies members of this team. created, based on outcomes for children, needed to bring their agency lens and The first task of the Green Paper that may not have been possible if one perspective, but also be given permission cross-agency team was to conceptualise agency was positioned as ‘lead’ and tasked by their agency to work collaboratively to and define ‘vulnerability’. New Zealand with defining vulnerability through their find suitable solutions to the problem. longitudinal studies and international particular ‘lens’. The definition developed No single agency perspective will be research point clearly to the difficulty provides the basis for an ongoing cross- sufficient to address a wicked problem; indeed, if a single agency perspective could address the problem there is no need for a cross-agency team. It will Policy processes in the past may have been based be the combination of cross-agency knowledge and perspective, and the on more ‘adversarial’ models, where a lead agency debate and refining that occurs in a defines the problem, undertakes the analysis and cross-agency team, that will produce a more suitable solution. Agency positions then works to bring others on board. may need to be compromised and new solutions beyond single agency positions created. Cross-agency team members live in a ‘grey’ world in which they bring their agency perspective but will be accountable in doing this. Vulnerability often results sector approach to vulnerability and a for a product that, in the end, may not from a combination of factors affecting platform for future joint policy work represent their agency’s view. Unless an individual child and their environment and integrated service delivery. The use team members are given permission to – such as their genetics, parents, families of a dedicated team of officials with an move away from their agency positions, and whänau, neighbourhood and access independent leader informed by two cross-agency teams are unlikely to be to services (Fergusson et al., 2004). Each reference groups is a new model for policy productive. social sector agency has a different ‘lens’ development. It is an interesting test case While this makes sense, it can be and conceptualisation of the vulnerable for working on ‘wicked problems’, as it difficult to put into place. Policy processes children they work with. A public health adopts both a collaborative cross-agency in the past may have been based on more view of vulnerability could, for example, and an ‘expert’ cross-sector model. ‘adversarial’ models, where a lead agency prioritise a different set of factors to At the end of the project, the team defines the problem, undertakes the define and describe vulnerability than completed a project debrief and sought analysis and then works to bring others would an educational achievement lens feedback from the frontline forum and on board. Moving to a process where or a care and protection frame. However, two members of the expert reference no one perspective is dominant requires it is likely that the agencies are working group. While some of the experiences of thoughtfulness, and the structures and with some of the same children and their the team were specific to the personalities processes within contributing agencies to families and whänau. and context, the team identified a number enable it to happen. Working together, the cross-agency of generic lessons that are shared here. The Green Paper team were clear team defined vulnerability from the about their mandate: working collectively perspective of a child – rather than from Lessons from the Green Paper team to identify potential solutions and the their individual sector perspectives – and As in most things, the Green Paper team pros and cons of such solutions, for identified, based on evidence, what are concluded, it is how the team operates public discussion, to improve outcomes the key aspects of vulnerability facing and the processes around it that will for vulnerable children, and then bringing New Zealand children. These key aspects dictate how successful it will be and their agency perspective and knowledge range across the areas of responsibility of where behavioural, process and structural to bear on this. the social sector agencies. barriers come into play and pragmatic

Page 52 – Policy Quarterly – Volume 7, Issue 4 – November 2011 2. Cross-agency team working is not for not enjoy such an environment, cross- As this was a document prepared everyone agency teams will be a nightmare. for public debate, the reference groups’ The Green Paper team identified How the cross-agency team is led also insights into how it should be presented a number of key competencies and matters. Cross-agency team members and what information should be included attributes members of a cross-agency may not know each other and need to were invaluable. Because they met face team will need in order to make a useful be melded into a trusting, coherent team to face, the Green Paper team was able contribution to the team: quickly. Team leaders need to be able understand their debates and the breadth • Focused on problem solving. By their to quickly understand the preferences, of views around the issues. The reference very nature, cross-agency teams are strengths and weaknesses of their team groups also allowed the Green Paper team working collaboratively to solve or members and create a positive and to gain an understanding of how the manage problems. Team members trusting team environment quickly, paper would be received, and are proving need to be flexible, creative and and this is perhaps more important in valuable in promoting public debate now focused on solutions. cross-agency work than in a more stable, that it has been released. • Resilient. Working across agencies and organisational-based team. Eppel at al., (2011) draw the same with academics and non-government Selection to a cross-agency team conclusion about the value of outside organisations means any work needs to be well thought through. Not perspectives in their case studies of produced will be critiqued by many only do team members need to bring recent New Zealand policy processes. stakeholders, and from multiple perspectives. Being open to constant scrutiny and continual revising and re- working as the process unfolds means Because [the reference groups] met face to face, team members must be resilient and adaptable. the Green Paper team was able understand their • Effective written and verbal communi- debates and the breadth of views around the cators. Team members will need to be able to bring their agency perspective issues. and knowledge to the cross-agency table and express it in a way that others with different backgrounds can understand. Similarly, once a decision their specific knowledge, but also the They advocate iterative testing of has been made within a cross-agency attributes above. They also need to have policy assumptions and hypotheses team, team members will need to be the confidence of their agency and ability between government agencies and non- able to translate this decision in a to access senior leaders in their agency government actors throughout the policy way that their agency will understand to update them on progress and explain process. and connect with. Well-developed the analysis that is occurring within the analytical and written and oral team. A cross-agency team is likely to re- 4. The importance of the initial investment communication skills are essential. frame a problem and find cross-agency in the team • Comfortable working in ambiguity. solutions. Senior leaders in agencies need The short timeframe for developing Working on wicked problems to be engaged with and connected to this the green paper underlined the with many stakeholders means the process, as ultimately they will be tasked importance of ensuring team members working environment will be fluid with implementing the results. were dedicated and would give priority and dynamic. Team members will also to the project. Taking time to establish be working in a ‘grey’ space, slightly 3. The value of outside perspectives relationships within the team – using apart from their agency, where clear The Green Paper team found the workshops – was a good investment. This specification of relationships and advice of the two reference groups meant the trust and common purpose accountability may not be possible. invaluable in the preparation of the needed for robust debate and scrutiny The ability to ‘get on with the job’, green paper: they provided efficient and was established quickly. and manage relationships and issues effective access to research, evidence and The fundamentals of building a as they evolve, are crucial. operational knowledge and supported kaupapa Mäori perspective into the team • Comfortable working in a team the framing, analysis and write-up of at the very beginning was critical to environment. The very nature of the document. For example, unwanted unravel the ‘wicked problem’ in question. collective problem solving means there ‘policy jargon’ was identified by the This was vital to ensure a New Zealand- will be face-to-face meetings, debate frontline forum, and the expert reference and topic-relevant end product. and the necessary sharing of ideas group was instrumental in framing the Taking time to work out how team and perspectives. For those who do definition of vulnerability. members would relate back to their agencies was also a good investment.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 53 Pragmatism and Caffeine: lessons from cross-agency, cross-sector working

Establishing clear reporting lines at the from start to finish was appreciated; as is it a ‘wicked problem’ that needs beginning, with team members spending was the opportunity for face-to-face a collaborative approach to both time both in the cross-agency team space debate and the understanding of other defining the problem and addressing and at their home agency desks, were perspectives this allowed. it? useful to bridge the ‘grey’ space in which Members of the expert reference • The preparation of a job description cross-agency teams operate and maintain group found the process a useful means of the personal attributes needed opens lines of communication. of bringing policy and research paradigms for cross-agency work and team Having an independent project together to solve a common problem in members being selected accordingly. leader who was not associated with a short period of time. They reported If possible, a ‘neutral’ leader should be any of the contributing agencies was that the process showed transparency in appointed. viewed as positive by team members and dealing with the wicked problem and that • Cross-agency team leaders giving others involved in the process. A neutral they could see directly their input into thought to how they create a team. leader, without a single agency interest, the final product. Using workshops, encouraging avoids potential conflicts. Nor can the team members to get to know each importance of good administrative Future opportunities other, and identifying and discussing support be underestimated. The needs of Tight timeframes, the Green Paper team individual and team strengths are cross-agency teams do not fit comfortably argue, are no excuse for not approaching strategies that worked for the Green with the systems and processes of host a policy problem from a cross-agency Paper team. departments. Having someone who can perspective when the nature of problem • Thought being given to how navigate around these and advocate for indicates the need for such an approach. ‘outside’ perspectives are included the team in terms of the information A well-established and clearly mandated in policy development processes, at technology, human resource, travel and team can achieve good solutions in a the problem definition phase and meeting room needs will save much time timely and cost-effective fashion. throughout the process. Establishing and frustration. From our experience, the Green reference groups in this case was a Paper team would recommend future cost-effective and time-efficient way Workng across sectors: observations from collaborative teams working on ‘wicked of bringing frontline delivery and the frontline forum and expert reference problems’ be supported as follows: research perspectives into a process. group members • Thought being given to how the Our final conclusion would most Members of the frontline forum reported policy process is structured at the definitely be that cross-agency working that they appreciated the opportunity to commissioning phase: is the problem and working across sectors involves a fair comment and be part of the development best solved by a lead agency defining dose of pragmatism – rolling up ones of the green paper. In particular, the and solving an issue and seeking sleeves and finding ways forward – and opportunity to be engaged in the process peer review from other agencies; or good coffee.

References and Dunedin longitudinal studies’, report prepared for the Ministry of Australian Public Service Commission (2007) Tackling Wicked Problems: Social Development, Ministry of Education and the Treasury a public policy perspective, Canberra: Australian Government Gill, D., S. Pride, H. Gilbert, R. Norman and A. Mladenovic (2010) ‘The Committee Appointed by the Government to Review Expenditure on Policy future state project: meeting the challenges of the 21st century’, Advice (2010) Improving the Quality and Value of Public Advice: Policy Quarterly, 6 (3), pp 31-9 findings of the committee appointed by the government to review Kurtz, C.F and D.J. Snowden (2003) ‘The new dynamics of strategy: expenditure on policy advice, Wellington sense-making in a complex and complicated world’, IBM Systems Dovey, L. (2003) Achieving Better Social Outcomes in New Zealand Journal, 42 (3) pp. 462-83 Through Collaboration: perspectives from the United States, working Managing for Shared Outcomes Development Group (2004) Getting paper 16, Wellington: State Services Commission Better at Managing for Shared Outcomes, Wellington Eppel, E., D. Turner and A. Wolf (2011) Experimentation and Learning in State Services Commission (2008) Factors for Successful Coordination: Policy Implementation: implications for public management, working a framework to help state agencies coordinate effectively, Wellington: paper 11/04, Wellington: Institute of Policy Studies State Services Commission Fergusson, D.M., R. Poulton, L.J. Horwood, B. Milne and N. Swain- Campbell (2004) ‘Comorbidity and coincidence in the Christchurch

Page 54 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Michael Reid

Does the Reform of English Local Government Contain Lessons for New Zealand?

In recent decades, despite differences of form and function, of unwinding years of increasing centralisation and removing what it calls local government reform in England and New Zealand the culture of inspection characterising central government’s relationship with has exhibited very similar characteristics, with each system local government. New Zealand, in borrowing from the other: changes introduced in one contrast, appears to be committed to the opposite path, with greater top-down country have usually been followed a few years later in inspection and a continuing accretion the other.1 It is interesting, then, that at a time when both of powers and decision making by the centre. countries have centre-right governments, that trend now Historically, policies towards local government have been remarkably appears to have changed, and local government policy is similar. The British government drove showing signs of major divergence. Where the New Zealand through a programme of amalgamation in the early 1970s, creating the largest government appears to believe that only by greater ‘hands- councils in Europe. New Zealand on’ involvement can the nation’s economic development followed suit a decade or so later. Where Margaret Thatcher’s government shifted be guaranteed, the British government has taken quite functions from councils to stand-alone quangos (for example, water and waste the opposite view, identifying the country’s high level of water), New Zealand created local centralisation (second only to New Zealand’s in the OECD) authority trading enterprises to run anything having a commercial focus. as the problem, not the solution.2 The new Conservative– Both countries drew extensively from the private sector as they sought to modernise Liberal Democrat government has set itself the objective their local government sectors, with the United Kingdom opting for compulsory competitive tendering and extensive Mike Reid is a Principal Adviser with Local Government New Zealand. performance benchmarking, while New

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 55 Does the Reform of English Local Government Contain Lessons for New Zealand?

Zealand focused more on strengthening British economy for the challenges of a ground-breaking shift in power transparency through techniques such the new millennium. The philosophical to councils and communities as annual planning and reporting. In underpinning of the government’s new overturning decades of central the mid-90s the requirement that New approach is captured in its enthusiasm government control and starting a Zealand councils adopt long-term for what it refers to as the ‘Big Society’, an new era of people power … For too financial strategies morphed, four years overarching policy agenda that has three long, everything has been controlled later, into an obligation on English core planks: from the centre – and look where it’s councils to adopt community strategies.3 • Social action: a successful society got us. Central government has kept This synergy or complementarity appears depends on the decisions of thousands local government on a tight leash, to be ending. of people, therefore government strangling the life out of councils in With the election in both countries should foster and support a new the belief that bureaucrats know best. of centre-right governments, local culture of voluntarism, philanthropy (Department for Communities and government reform appears to be headed and social action. Local Government, 2010) Cameron reinforced the argument when he stated that ‘these changes add up to a massive redistribution of power from Although local government in the UK was given central government to local government – just like our plan to give our cities real a ‘power of well-being’ in 2000, recent judicial civic leadership through directly elected decisions have interpreted the power narrowly, mayors and to put policing under local control’ (Cameron, 2009b). To achieve perhaps more narrowly than Parliament intended ... this fundamental shift in authority the bill offers something of a ‘grab bag’ of measures which would directly affect English local authorities (see Appendix in quite different directions. While • Public sector reform: the country’s 1).4 A number of them are discussed government policy in New Zealand centralised bureaucracy wastes money below. appears focused on ‘winding back’ and undermines morale, therefore One of the more conventional council discretion through what might professionals need more freedom and proposals in the bill involves the be called a policy of a thousand cuts, public services need to be opened up introduction of a power of general David Cameron’s Conservative–Liberal to new providers like charities, social competence. Although local government Democrat coalition has made explicit enterprises and the private sector. in the UK was given a ‘power of well- its intention to roll back the centralism • Community empowerment: neigh- being’ in 2000, recent judicial decisions that was a feature of its predecessors. To bourhoods should be given charge have interpreted the power narrowly, quote Cameron before the release of the of their own destiny and feel that by perhaps more narrowly than Parliament Conservatives’ local government green clubbing together they can shape the intended and certainly more narrowly paper in February 2009: world around them (Cabinet Office, than desired by councils (even though 2011) there is little evidence of councils actually I mean we’ve got a government now In relation to local government, making use of the power). New Zealand that has set up this enormous regional these themes, social action, public sector councils, in comparison, have had a form bureaucracy which I think we can get reform and community empowerment, of general empowerment since 2002, rid of and drive those powers down to are reflected in the Decentralisation and and, although criticised by many in and the local level. We’ve got a government Localism Bill (Localism Bill) which, if outside Parliament as responsible for that issues so many orders and enacted in its current form, will change growing council expenditure, the power instructions and bureaucratic targets the manner in which councils operate has been left largely untouched. General to local government, we can sweep a and, potentially, what they do. empowerment is strongly supported lot of that away. (Cameron, 2009a) by councils in the UK; other provisions The British government’s The Localism Bill have not been given the same regard. enthusiasm for removing restrictions The name of the bill gives us a clue to the For example, the bill will allow residents on local government, promoting greater government’s primary objective, which to require councils to hold referenda devolution and empowering communities is to empower communities rather than on any local issue, as well as require arguably represents a paradigm shift that councils. The communities and local mandatory referenda should a council they hope will not only distinguish the government secretary and architect of wish to increase property taxes beyond a new government from the overwhelming the bill, Eric Pickles, has described it as set amount.5 interventionism of New Labour and heralding: Where the bill begins to look its predecessors, but also prepare the particularly radical is in the proposal

Page 56 – Policy Quarterly – Volume 7, Issue 4 – November 2011 to empower neighbourhoods and services, for example libraries, with a • a gradual shift of funding away from community groups to set their own requirement on the local authority to local roads to the state highways; an policies and rules. For example, one consider the proposal. investigation into road classification provision will allow neighbourhoods to systems that has the potential to ‘opt out’ of council planning rules and The direction of reform in New Zealand reduce local discretion regarding regulations, which includes the right to Where the coalition government in levels of service. develop their own ‘neighbourhood plans’, Britain appears committed to reversing Ministry for the Environment: with government assistance, to control the country’s centralised approach to • The establishment of the development, regardless of the council’s decision making by empowering councils Environmental Protection Agency overall plan. The aim is to encourage and communities, there are reasonable to consider proposals for projects parish councils and ‘neighbourhood arguments to say that the opposite is of national significance (a less than forums’ to come together to decide where occurring in New Zealand, although technical term). new shops, offices or homes should go policy tends not to be driven by any • The creation of a ministerial override and what green spaces to protect – to form of grand narrative and contains power for aquaculture applications. be voted on by local people in local referenda – and they will also be able to define developments which should have automatic planning permission. ... recent governance decisions reflect a greater Debate continues as to whether this will willingness to intervene when sub-national result in a flood of NIMBYism (‘not in my back yard’) or, as ministers expect, government fails to live up to the centre’s will relax planning rules to increase development, given fewer controls on expectations. environmental and social effects. The bill also removes a number of national bodies and processes, for example disbanding the regional spatial strategies (in direct its share of internal tensions. It is also • An enthusiasm for national policy contrast to New Zealand, which is toying helpful to remember that this centralising statements and national environmental with the idea of introducing regional tendency is not new. John Cookson dates standards that by definition reduce spatial strategies) and the Infrastructure it back to the early 1930s, a point in the local and regional discretion. Planning Commission (New Zealand has nation’s history when nearly 50% of all Ministry of Health recently set up an Infrastructure Unit public expenditure was made by local • A commitment to national drinking- located within Treasury). The intention government; today that figure is closer water standards. is to replace those bodies with what the to 10%. It is a trend that has continued In addition, recent governance government describes as more responsive through successive governments, but decisions reflect a greater willingness to democratic mechanisms. which might be seen to have increased intervene when sub-national government In a further effort to empower speed over the last two years with a fails to live up to the centre’s expectations. communities, the bill allows groups of government that has succumbed to the Examples include the decision to replace local citizens to take over ‘failing’ local rhetoric of the ‘national interest’ to justify the democratically-elected members of public services, such as council housing an increasing and often unprecedented the Canterbury Regional Council with and community facilities, whether they interference in local affairs. Consider government-appointed commissioners; are run by the council or by a government the range of recent initiatives essentially the acquisition of quite draconian department. Councils will be required to designed to reduce council discretion: powers through the Rugby World compile a list of public and private assets Department of Building and Housing: Cup 2011 Empowering Act 2010; and that are deemed to have community • greater standardisation of building the establishment of the Canterbury value. Should these assets be put up for regulations and processes, as well Earthquake Recovery Authority (CERA). sale, communities will have six months as a desire to create a small number While noting that in some cases the to prepare a bid to purchase them; assets of ‘super’ (non-local) building government has few choices, given might include the local pub, post office regulators. the severity of the challenges faced by or community centre.6 In addition, the Department of Internal Affairs: communities, the propensity to take a bill will establish a ‘community right to • the creation of standardised ‘command and control’ approach is a challenge’ to help different groups run performance measures for the five concern, for no other reason than that local services if they want to. Voluntary major infrastructural activities it obscures the constitutional separation groups, social enterprises, parish councils delivered by councils. between the two levels of government. and others will be able to express an The New Zealand Transport Agency: Even the establishment of the super interest in taking over council-run city, Auckland, with its focus of strong,

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 57 Does the Reform of English Local Government Contain Lessons for New Zealand? unified government for that city and change in local government working attempt to address these shortcomings by the requirement to adopt a regional (Filkin et al., 2000). A related concept is distinguishing between local government spatial plan, sits in contrast to the British the principle of subsidiarity which has as a provider of services and local government’s decision to halt moves been adopted by the European Union government as an enabling agency using by its predecessor to amalgamate local when determining the distribution of its full range of powers to influence authorities into larger unitary councils responsibilities between states and sub- service providers to enhance the quality and to disband the regional spatial national governing bodies. It was also a of life in localities. planning agencies. recommendation of the New Zealand Perhaps one of the key lessons we While official policy towards local Royal Commission on Social Policy, which might take from this bill is a general government appears to be less tolerant stated that ‘no organisation should be view that UK councils are simply too towards local difference and discretion, bigger than necessary, and nothing should big and bureaucratic. For example, Geoff we should acknowledge those policy be done by a larger and higher unit that Mulgan, until recently the chief executive of the think tank the Young Foundation and visiting professor at the London School of Economics, is reputed to have ... one of the key lessons we might take from this bill commented that local government in England was neither local nor government is a general view that UK councils are simply too big – a telling observation on its distance and bureaucratic. from citizens and its general lack of decision-making discretion which helps explain that government’s dual interest is in strengthening local democracy and initiatives that echo the English focus on can be done by a lower and smaller unit’ giving power back to the people. decentralisation and seek to reduce central (Royal Commission on Social Policy, 1988, Although the Decentralisation and control by empowering communities. p.806). However, the concept has had a Localism Bill is still a work in progress Many of these are driven by information limited impact in New Zealand, unlike in and may be subject to major change as asymmetry concerns: for example, the Europe where it has been incorporated it makes its way through both houses community response forums, established into the European Charter of Local Self- of Parliament, it represents a significant by the minister of social development, Government.8 change in the relative roles of central which appear to be an attempt to utilise Localism is not without its critics. government, local government and local/regional intelligence with regard to Cashin (2000), for example, argues that communities. Yet many of the proposals the allocation of family and community voters behave more self-interestedly when have never been tried before and it remains services funding; similarly the Whänau decision-making authority is brought to be seen whether they are practical. For Ora programme. In a different policy closer to them, citing a common practice example, will there be enough volunteers context, the minister for the environment’s in the United States for well-off suburbs with the time and skills to ‘take over’ Land and Water Forum is attempting to to incorporate as separate authorities local services, such as libraries, and how address complex environmental issues in order to avoid the cost of supporting will accountability be exercised? The bill by seeking a consensus from the major the urban poor. She uses the phrase makes a number of assumptions about stakeholders, as opposed to the more ‘tyranny of the favoured quarter’ to the capacity and willingness of citizens traditional approach of top-down policy. describe the increasing fragmentation of to take over local services that are yet to Common in both cases, of course, was the local governance in many states that has be tested. Despite the fact that much of absence of organised local government. resulted in metropolitan regions stratified the overall package rests on somewhat by race and income. Localism, in this heroic assumptions, it represents a range Understanding the philosophy context, represents extreme parochialism of innovative measures that attempt to Policy towards local government in the and a political NIMBYism. Localist forms shift decision making from Westminster United Kingdom has coalesced around of governance are also poorly placed to to local authorities and further to smaller the relatively nebulous concept of new deal with externalities and spillovers, such communities and groups and citizens localism, with the major parties having as where one community freeloads by themselves. been competing to be seen as the new using services provided by its neighbour. English councils have been highly localist champion.7 ‘New’ localism (in Regional coordinating mechanisms are critical of the bill, despite their contrast to ‘old’ localism) promotes the often required for those services which enthusiasm for its overall objectives, with involvement of local people in governance need an economy of scale (see also 81% indicating they are unsupportive of (not simply councillors); high-quality Dollery et al., 2005). The interesting thing the government and 91% disagreeing with vertical as well as horizontal linkages; about the new localist movement that the statement that Eric Pickles and his community leaders rather than primarily has influenced local government policy ministers will listen to local government. service producers; and a fundamental throughout the United Kingdom is its Writing in the Guardian, Simon Jenkins

Page 58 – Policy Quarterly – Volume 7, Issue 4 – November 2011 stated: ‘I have read parliamentary bills all 1996). Novak points to the rise of at- While parties like ACT argue for my life, but the localism one is the most large city-wide systems of representation reducing the power of the state and wretched capitulation to a single lobby I which ‘handed governance to corporate empowering citizens, locally-elected know. It is a junk heap of cliché.’9 Other and professional elites [who] possess a government is seen to be part of the critics have noted that despite the bill’s scientific and rational view of governance’ problem rather than the solution. New objectives, ministers retain more than (ibid., p.16), and to a resurgence of interest Zealand suffers from a lack of organised 200 call-in powers over council decision in response in more localised forms think tanks and policy networks on both making and operations. For example, of organisation and decision making, the left and right of politics committed under the bill the secretary of state will including nostalgia for the Jeffersonian to a localist agenda. This is hard to have a general power to order councils idea of participatory democracy – citing understand, given that local government to pay fines to the European Union. President Bush senior’s description of investment in infrastructure made such Certainly councils’ views towards change America as a nation of communities and a crucial contribution to making this have been coloured by massive cuts in President Clinton’s view of society as a country one of the richest in the world. council income, nearly 80% of which series of organic networks. However, it is a story that universities come from the state forcing significant reductions in local services.10 One of the interesting contrasts between politics in the United Kingdom Whether the Localism Bill results in empowered and New Zealand is the lack of an councils and communities or ends up as a Clayton’s organised lobby for what we might call the localist agenda which has dominated localism, it offers us a fascinating case of public local government policy discourse in the United Kingdom for more than sector reform heading in the opposite direction to a decade. Led by one of that nation’s our own. more successful think tanks, the New Local Government Network, the call for a ‘new localism’ has been endorsed by all the major political parties, with Eric Conclusion have seldom bothered to investigate and Pickles, the architect of the Localism Bill, The reversal in the state’s approach few of our histories found interesting quoted as saying as early as 2003 that ‘we to local government in the United enough to recount. were absolutely wrong. We’re born-again Kingdom reflects a larger programme Whether the Localism Bill results in local’.11 The Localism Bill seems to be than simply a desire to strengthen the empowered councils and communities or unique when considered in the context of role of councils; indeed, some of the ends up as a Clayton’s localism, it offers us international local government reform, proposals being considered have caused a fascinating case of public sector reform although, given that England is the second considerable concern among councils as heading in the opposite direction to our most centralised state in the OECD, the they specifically seek to bypass formal own. If nothing else, we can learn from government believes it is faced by a set of local government. The key difference, at the British experience, and, who knows, unique challenges. least at a rhetorical level, is the recognition similar measures might be introduced If we were to try and locate the that local representative government here. An opportunity exists with the policy direction within a broader strain should play a larger role in what Michael government’s ‘Smarter Government, of political thinking it might be worth Lyons (2007) called ‘place shaping’ (the Stronger Communities’ review currently looking at the degree to which the creative use of its powers to promote the being undertaken by the Department of concept of the ‘Big Society’ echoes the general well-being of a community and Internal Affairs. The review was heralded main strands of communitarian thought, its citizens), free from the direction of by the minister of local government as a and even a nostalgia for the idea of self- Whitehall officials. In comparison, it is first principles review of local government governing communities, an idea that interesting that New Zealand, regarded as and given a time frame of more than is particularly prevalent in the United the most centralised country in the OECD three years. While its terms of reference States. The idea that public decision (putting aside city-states like Singapore, include a review of local government making is something that should belong which, coincidentally, is currently facing functions, their failure to include central to a class of experts, and therefore be calls for the re-establishment of local government functions and whether or not done nationally, seems to have been on government), has failed to create the they would be more effectively handled the rise in the last century, which has seen same momentum. In fact, only recently by local government is likely to diminish public affairs gradually removed from the there were calls for central government to the likelihood that its recommendations reach of the average citizen to become a appoint members to regional councils to will reflect a localist approach. matter for policy elites operating at the ensure greater consistency.12 The challenge for policy makers in highest levels of government (Novak, New Zealand is that the national interest,

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 59 Does the Reform of English Local Government Contain Lessons for New Zealand? whether defined as the government of as by their direct interest therein, to Government Act 2002 and the power of well-being in the Local Government Act 2000 (UK). the day’s strategic objectives or a broad- provide for the wants and needs of 2 See Economist, 31 Oct. 2009, p.59. 3 Discussions between the author and the Local Government based well-being indicator, will not be their respective settlements. … the Information Unit. best served by strengthening control at central government would thus be 4 Local government in Wales and Scotland is devolved to their respective assemblies. the centre. We need to remember that deprived of the power of partiality 5 Ironically, similar referenda were promoted here by Rodney Hide when minister of local government. Cabinet failed to those countries we aspire to replicate in in its legislation; it would be relieved support the idea. terms of standard of living – Switzerland, from the necessity of much petty 6 Controversially, the bill also requires councils to compensate owners who lose value due to costs incurred or delayed sales the United States and the Scandinavian legislation; while at the same time, (Local Government Chronicle, 4 Aug. 2011). countries – all have one thing in common: the prosperity of the country at large, 7 Political localism should be distinguished from the recent interest in what might be called ecological localism, they decentralise significantly, providing would be promoted by the honourable which encapsulates a desire to establish local economies not dependent on imported goods, an anti-globalisation communities with much greater say rivalry which would spring up among movement. about local matters. It’s not a new idea: the various settlements, thus entrusted 8 See http://conventions.coe.int/Treaty/en/Treaties/html/122. htm. as the introduction to New Zealand’s first with the unfettered management of 9 Guardian online, 28 July 2011. Jenkins failed to articulate which lobby group the government had capitulated to, Municipal Corporations Bill (1841), which their own local affairs. (Legislative whether the champions of localism or the development was the main item of business on the new Council, Wednesday, 29 December community which expects to gain by the relaxation of planning rules. Legislative Council’s second day 170 years 1841, quoted in Carman, 1970) 10 In contrast, councils receive 11% of their income from the ago, stated: state, and even that figure is problematic as it represents local government’s share of the petrol taxes and various road the inhabitants themselves are best 1 It might also be argued that New Labour’s enthusiasm charges collected by central government, so is not technically qualified, as well by their more for directly-elected mayors is another example of England a transfer at all. borrowing from the New Zealand approach. Note also 11 www.economist.com/node/1749999. intimate knowledge of local affairs, the similarity between the purpose statement in the Local 12 Land and Water Forum, Radio New Zealand news, 7.00 am, 28 Sept. 2011.

Apendix 1: Decentralisation and Localism Bill

Headings Content Relevance to New Zealand

Running local The bill will establish a ‘community right to challenge’ to help different groups run No equivalent measure exists in New Zealand. services local services if they want to. Voluntary groups, social enterprises, parish councils & others will be able to express an interest in taking over council-run services – the local authority will have to consider it.

Buying local assets The bill provides an opportunity for local community groups to bid to buy buildings or No New Zealand equivalent. land which are listed, by the local authority, as assets of community value, e.g. post offices, pubs. Locals will be able to place certain buildings on a ‘most wanted’ list, and if those buildings are put up for sale they would have to be given time to develop a bid and raise the money.

Council tax vetos Councils, police and fire authorities which propose an increase in council tax beyond the No New Zealand equivalent. ceiling set by government would automatically face a referendum of all registered voters in their area.

Local referenda The bill gives people, councillors and councils the power to instigate a local referendum No equivalent in New Zealand, although councils have the on any local issue. Although these referenda will be non-binding, local authorities discretion to hold polls and referenda and can resolve to do and other public authorities will be required to take the outcomes into account during so themselves or after a community request. Referenda are decision making. frequently used to gauge support, for the introduction of, for example, fluoride.

Powers for councils The bill gives local authorities a ‘power of competence’, which is the right to do ‘anything New Zealand councils already have a general power of apart from that which is specifically prohibited’. The intention is to free councils from competence and have full discretion when deciding whether or ‘Whitehall diktat’ and help them ‘innovate’. The bill also includes measures to allow not to establish committee structures. The position of mayor councils to go back to being run by committees – instead of by a mayor and cabinet. has been created by statute. (England has approximately 250 (Councils have three governance models which they can use; this would create a councils but only 12 mayors.) fourth.)

Removal of the The bill makes it clear that if a councillor has given a view on an issue, this does not Predetermination rules continue to be strongly enforced in predetermination show that the councillor has a closed mind on that issue, so that if councillors have New Zealand, to the consternation of many elected members requirement campaigned on an issue or made public statements about their approach to an item who campaign on issues but find they cannot vote on them. of council business, they will be able to participate in discussion of that issue in the Registers are discretionary in New Zealand local government council and to vote on it if it arises in an item of council business requiring a decision. but many councils have incorporated them in their codes of It also provides for the establishment and maintenance of a register of members’ conduct. interests.

Page 60 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Headings Content Relevance to New Zealand

Housing targets Regional spatial strategies – aimed at building three million homes by 2020 – are The requirement to develop a spatial strategy has been placed being scrapped. The Localism Bill will remove the primary legislation which set up the on the Auckland Council. The Ministry for the Environment is strategies. The government says construction has slowed down despite what it calls considering mechanisms to require councils to make more ‘Soviet tractor-style top-down planning targets’. land available for housing regardless of community views.

Charges on The bill makes changes to the ‘community infrastructure levy’ which councils charge There are some similarities between this requirement and the developers developers to contribute towards local infrastructure – to ensure some money goes ability of New Zealand councils to charge development levies directly to the neighbourhood where developments have been built, so that it can be to enhance community facilities to meet additional demand spent on local facilities such as cycle paths or playgrounds if needed. created by new developments.

Local development The bill introduces ‘neighbourhood plans’. The idea is that parish councils and No equivalent exists in New Zealand, although councils must ‘neighbourhood forums’ come together to decide where new shops, offices or homes consult when developing plans and can involve community should go and what green spaces to protect – which is then voted on by local people boards in the process. in local referendums. They will be able to define developments which should have automatic planning permission.

Planning permission Local communities will be able to propose developments which, if they meet certain No similar ability exists in New Zealand. In relation to safeguards and get 50% of support in a local referendum, they will be able to build decisions on major projects of national significance, decisions without planning permission. This is aimed at tackling lack of building in rural areas are made through the EPA process. where planning authorities restrict building but local people want new housing or other facilities. Also, big developments will require early consultation with local people. The bill also confirms the abolition of the Infrastructure Planning Commission – instead ministers will make decisions on big planning projects such as airports and wind farms.

References Dollery, B., A. Akimov and J. Byrnes (2005) Shared Services in Bailey, S.J. (1999) Local Government Economics: principles and practice, Australian Local Government: rationale, alternative models and Basingstoke: Palgrave Macmillan empirical evidence, Armidale, New South Wales: Centre for Local Cabinet Office (2011) ‘Big Society – overview’, http://www.cabinetoffice. Government, University of New England gov.uk/content/big-society-overview Filkin, G., G. Stoker, G. Wilkinson and J. Williams (2000) Towards a New Cameron, D. (2009a) http://blog.lgiu.org.uk/2009/02/david-cameron-on- Localism, London: New Local Government Network localism Lyons, M. (2007) Place-shaping: a shared ambition for the future of Cameron, D. (2009b) www.guardian.co.uk/commentisfree/2009/david- local government, final report, London: The Stationery Office cameron-on-new-politics2 Novak, M. (1996) To Empower People: from state to civil society, 20th Carman, A. (1970) The Birth of a City, Wellington: Wright and Carman Ltd century edition, Washington, DC: AEI Press Cashin, S. (2000) ‘Localism, self-interest and the tyranny of the favored Royal Commission on Social Policy (1988) Towards a Fair and Just quarter: addressing the barriers to new regionalism’, Georgetown Law Society, Wellington: Royal Commission on Social Policy Journal, 88, pp.1985-2048 Stoker, G. (2004) New Localism, Participation and Networked Community Cookson, J. (2007) ‘How British? Local government in New Zealand to Governance, Manchester: IPEG, University of Manchester c.1930’, New Zealand Journal of History, 41 (2), pp.143-60 Department for Communities and Local Government (2010) ‘Localism Bill starts new era of people power’, http://www.communities.gov.uk/ news/newsroom/1794971

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 61 Paul Barber

How to Get Closer Together Impacts of Income Inequality and Policy Responses Inequality cannot simply be explained as wrong choices or behaviours. Inequality of resources and opportunity are powerful background forces. In order to get ahead, people need more equal access to resources – more income and wealth equality creates more equal opportunity for everyone in society. (National Equality Panel, 2010)

Professors Richard Wilkinson and Kate Pickett in The Spirit This article briefly assesses the nature and impact of inequality in New Zealand Level (2010) have documented the relationship between using the evidence from the IHSP. It then income inequality and health and social dysfunction across 25 discusses the policy options that need to be considered in order to reduce income developed countries including New Zealand, and summarised inequality and the corresponding health and social impacts. The New Zealand their findings in their Index of Health and Social Problems Council of Christian Social Services (IHSP). The results of this work show that New Zealand is (NZCCSS) has been working to analyse the impacts of income inequality through performing poorly in comparison to countries with lower its Closer Together Whakatata Mai levels of income inequality. Their research has prompted programme and detailed analysis of the data for each of the indicators in New debate in New Zealand (see Policy Quarterly issues of May and Zealand can be found on the website www.closertogether.org.nz. August 2011), and an example of the influence of their work New Zealand is at a significant point can be seen in the references and measures chosen for the in the overall social and economic policy debate. The lingering effects of the Treasury’s Living Standards Framework released in May 2011. economic recession, plans for significant welfare reform, and a government committed to restraining expenditure Paul Barber is a policy analyst for the New growth, especially in health, welfare, Zealand Council of Christian Social Services. housing and education, make it unlikely

Page 62 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Figure 1: Index of health and social problems • The prevalence of obesity is rising and is more than double that of Worst USA more equal countries such as Sweden or Norway. Obesity is a major risk factor for diabetes and cardiovascular disease, as well as some common Portugal types of cancer. UK • Teenage pregnancies are higher. New Zealand’s teenage birth rate is five Greece New Zealand Ireland times higher than that of countries France Austria Australia with lower inequality, such Sweden. Denmark Germany Canada Italy • Imprisonment rates have doubled in Spain Belgium this country since the mid-1980s and Finland Switzland Norway Netherlands we lock up people at more than three Sweden times the rate of countries such as Japan and Finland.

Index of health and social problems Japan • Overall life expectancy continues to rise, but New Zealand continues to rank poorly compared with more

Better equal countries. • Infant mortality is falling but our Low Income Inequality High overall rate is high, and we compare Source: Wilkinson and Pickett, 2010 poorly with more equal countries that have been able to reduce infant that poverty can be reduced in the a society. Recent work on social attitudes mortality at a faster rate. short term and more likely that income to inequality sheds some light on where • Maths and literacy average inequality will grow further. Social service New Zealanders currently stand on these performance is high, but the same agencies are responding every day to the issues and suggests that there is support data shows that New Zealand has the needs of people who bear the burden for reducing inequality. Evidence on its highest level of inequality in education of our ongoing social problems (see own does not settle the social and political outcomes in the OECD (Treasury, NZCCS, 2011). There is an urgent need to debate, but failing to take account of a 2011). design effective policies that will reduce large and coherent body of evidence is • Social mobility comparisons are the inequalities that are key contributors undoubtedly a mistake. not available because there is no to these social problems. internationally comparable evidence High levels of income inequality have New Zealand and inequality about the impact of income inequality a pervasive effect which reduces or even Wilkinson and Pickett use ten measures in on social mobility in New Zealand. A negates the effectiveness of other policy relation to income inequality for the IHSP. recent Treasury working paper using interventions, such as targeted assistance Figure 1 shows that New Zealand fits the proxy data on social status was not programmes. The evidence is very strong international pattern among developed that reducing economic inequality is an countries. Our high level of income Figure 2: Index of health and social effective way to improve many key areas inequality is associated with poorer health problems – rankings of health and social well-being. To quote and social outcomes across our whole NZ No of the recent Marmot Review in Britain: population. Key indicator ranking countries ‘Although there is far more to inequality New Zealand data were available for Imprisonment 20 23 than just income, income is linked nine of the ten indicators. Data on social to life chances in a number of salient mobility are not available, although some Teenage births 19 21 ways’ (Marmot, 2010). Reducing income limited data has been published recently Obesity 13 21 inequality is not the only solution, but it (Gibbons, 2010). The overall rankings for Infant mortality 21 22 is a powerful tool in the policy maker’s New Zealand are shown in Figure 2. Mental illness 9 12 tool kit; the policy options available to Increasing inequality has been Life expectancy 16 24 reduce inequality are discussed below. accompanied by worsening social Trust 6 23 Appeals to principles such as fairness, outcomes: Maths and equity, justice and human rights or • The prevalence of mental health literacy 5 21 to enlightened self-interest highlight problems in New Zealand is more than Homicide 6 23 the fact that the debate about income twice that in more equal countries Social mobility No ranking inequality is also a test of our values as such as Japan and Spain.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 63 How to Get Closer Together: Impacts of Income Inequality and Policy Responses

Figure 3: Gini Coefficient (Treasury, 2011) changes appears to have contributed to a rise in income for the lower income Change in Gini (x100) (bars) Change in Gini (x100) (dots) 50.0 mid 80s to mid 2000s deciles (where superannuitants are 45.0 6.0 strongly represented). At the same time, 40.0 there is a drop in the highest two income 4.0 35.0 30.0 deciles, due to a loss of investment income 2.0 25.0 (Perry, 2010). 20.0 0.0 15.0 Critics of The Spirit Level analysis y ey US way Italy 10.0 urk rance The critics who have challenged the Spain Japan

-2.0 inland T F Greec e Ireland Austria Mexico F Canada Nor Sweden Belgium rt uga l Po Hungar 5.0 Germany Denmark methodology used by Wilkinson and Pickett, Luxemburg

-4.0 Netherlands 0.0 New Zealan d such as Saunders (2010) and Snowden public Czech Re United Kingdom (2010), have been well responded to (e.g. Income Inequality in New Zealand increased faster between the mid 80s and mid 2000s than in any other OECD country inequality has stablised Noble, 2010). The statistical robustness of recently and is about 7th highest in the OECD Pickett’s and Wilkinson’s work is strong and Source: OECD (2008) and Statistics New Zealand (2011a) reliable. The Joseph Rowntree Foundation commissioned an independent review of the able to make any definitive conclusion increased faster in New Zealand than in research on income inequality from a United (Gibbons, 2010). any other OECD country over the two Kingdom perspective. This review, conducted Despite high income inequality, New decades 1985–2005 (see Figure 3), while by Professor Karen Rowlingson from the Zealand performs well comparatively on some OECD countries, such as France, University of Birmingham, confirms that other indicators: Ireland and Spain, experienced reduced there is a strong correlation between income • The level of trust is still high and not inequality (OECD, 2008). inequality and the ten health and social showing any signs of declining. Most of the increase was due to indicators identified in the Index of Health • Our homicide rate compares large rises in the incomes of the top and Social Problems (Rowlingson, 2011). favourably with that in other 20% of income earners. The incomes of The extent of the causal relationship countries; it is difficult, however, to the bottom 20% actually decreased over between income inequality and health conduct effective comparisons of the two decades from the mid-1980s and social problems is the real focus of other data on violence. (Ministry of Social Development, 2010). debate, because this also influences the There is also a strong relationship Over that time, the rich got richer while policy choices to respond to inequality. between inequality and poverty. the poor quite literally got poorer. Causal relationships independent of Continuing high inequality affects The increase in inequality occurred other factors vary between indicators, but life chances, health, education and mainly between the mid-1980s and the the effect is real. Rowlingson concludes employment opportunities, and hinders mid-1990s. During the following decade that the evidence is strong about the effects to reduce poverty, especially child the increase slowed. Since the mid-2000s negative impacts of income inequality, poverty (Dale et al., 2011). A detailed income inequality in New Zealand has and, conversely, that there is virtually analysis of the source data and the New decreased slightly, due largely to the no evidence that increasing income Zealand evidence is available on the impact of the government’s Working inequality produces any positive effects website www.closertogether.org.nz. For Families package (Perry, 2011), and (Rowlingson, 2011). In a similar vein, the the latest data show a drop in income New Zealand Treasury has acknowledged Income inequality in New Zealand inequality in the year to June 2010. Income the importance of distributional issues New Zealand has one of the highest rates inequality is still, however, embedded at in their work: ‘While empirical evidence of income inequality among developed rates well above those of the mid-1980s. of causation remains inconclusive, both or wealthy countries, ranking 17th out The most recent comparative data from historical and contemporary events of the 21 countries ranked by Wilkinson the OECD are from 2008–2009 and place demonstrate that societies in which and Pickett. Their index uses income New Zealand as around the tenth most the benefits of growth are captured inequality figures from the United Nations unequal country in the OECD (Perry, by a minority can face considerable Human Development Report 2006, based 2011). This reflects the trend of increasing social, economic and political upheaval’ on a 20:20 ratio which calculates the ratio income inequality across the most of the (Treasury, 2011). of the richest 20% of income earners to OECD (OECD, 2011). the lowest 20% of incomes. Figures are The effects of the October 2010 income Drivers of inequality household incomes after tax and transfers, tax cuts and related tax policy changes are Income inequality across most of the adjusted for the number of people in each not included in the latest New Zealand OECD countries rose over the two decades household. data. The increase in New Zealand from the mid-1980s to the mid-2000s and Using a different measure (the Gini Superannuation which was introduced appears to be converging at a common coefficient), inequality is seen to have in October 2008 as part of the 2008 tax and higher average. In other words, other

Page 64 – Policy Quarterly – Volume 7, Issue 4 – November 2011 OECD countries are ‘catching up’ to New Figure 4: Income inequality New Zealand (Gini coefficient) Zealand when it comes to increasing inequality. The OECD points to three 44 broad drivers of the growing inequality 40 developed countries (OECD, 2011): • Globalisation, skill-based techno- 36 logical progress and institutional

and regulatory reforms have all had 32 an impact on the distribution of

earnings. 28 • Changes in family formation and Gini coefficent x 100 household structures have had an 24 impact on households earnings and inequality (e.g. a rising number of 20 single-person/sole-parent families). 1980 85 90 95 00 05 2010 HES year • Tax and benefits systems have AHC BHC Source: MSD 2011 changed the distribution of household incomes. The deregulation of the New assets and material and cultural resources. has been influenced by the desire to free Zealand economy over recent decades, But the legacy of colonial policies that Mäori from this perceived dependence especially in labour markets and trade disempowered Mäori and alienated on a Päkehä-driven welfare model. protection, has opened up wage earners them from their land and economic base to direct competition from lower-income continues to define the position of äM ori Policies to reduce income inequality countries. This has had the effect of in New Zealand society. Despite positive Deputy Prime Minister Bill English, holding wage increases down for low- developments in recent decades, Mäori responding to questions about income income earners. Family structure in face massive challenges to building an equality in Parliament on behalf of the New Zealand is undergoing significant economic, social and cultural base that prime minister, commented that he does change, with a rising number of smaller can ensure well-being on terms that are not accept the view that New Zealand is households and sole-parent households. acceptable to them. Mäori bear an unfair a deeply unequal country, but, he said, Our tax and benefits systems have burden of the health and social costs of ‘the big issue about inequality is what we undergone significant change: the top inequality: they experience much higher do about it’ (New Zealand Parliament, 15 income tax rate has been reduced from rates of infectious disease among children, June 2011). 66% in the mid-1980s to 30% by 2011, higher imprisonment rates, higher rates Achieving a sustained and meaningful and benefits were reduced by up to 20% of mental illness and poorer education reduction in income inequality (and wider in 1991 and have been maintained at that outcomes. socio-economic inequality) requires long- level since. Indeed, the whole equality analysis term policies aimed at raising the incomes The increase in income inequality is strongly criticised in some quarters of the lowest income earners while at in New Zealand over the past 25 years as simply a continuation of the colonial the same time moderating increases has been characterised by a large rise in mentality. Current ways of measuring of higher incomes. There are various the incomes of the top 20% of income inequality, poverty and disadvantage are policy options that could achieve this, earners and static or declining incomes seen to ‘fail’ Mäori and Pacific children. and public debate needs to be informed for the lowest 20%. Most households The ‘welfarism’ of the current system, by accurate information about these in the lowest 20% of incomes are either based on economic welfare, material options and their impacts. Wilkinson reliant on benefits or earning close to well-being and limited human agency, and Pickett point out that the social the minimum wage. While benefit levels is criticised (Henare et al., 2011). The and economic policies of, for example, have remained static, the pay rates of current inequality measures compare Japan and Sweden are very different yet executives and chief executives have been Mäori with non-Mäori and represent a both have relatively low levels of income increasing rapidly (see Boyle and Roberts, ‘colonising’ approach. Henare et al. call inequality and good social outcomes. 2004; Strategic Pay, 2008). for a new ‘dedicated well-being survey’, The New Zealand experience of income with questions designed to reflect the inequality has common features with Ma-ori inequality: a colonial legacy capabilities approach promoted by other developed economies, but also our Distinctive to the New Zealand profile Armatya Sen and used in measures such as own distinctive experience. of inequality is the place of the tangata the United Nations Human Development whenua. The Treaty of Waitangi Index. The move to develop the Whänau Changing our attitudes to inequality guaranteed the legal rights of Mäori and Ora approach to social services as a Our social attitudes are caught in the their ownership of lands and taonga – holistic response based in Mäori tikanga tension between believing that people

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 65 How to Get Closer Together: Impacts of Income Inequality and Policy Responses should take responsibility for themselves self-responsibility and government a fraction of what it was during the mid- and thinking that the government should responsibilities to ensure fairness. 1980s before the structural reforms were take responsibility to make sure everyone Broadly speaking, approaches to reducing introduced (Department of Labour, is provided for. Research from the New inequality can be characterised as a 2009). A recent International Monetary Zealand Values Survey reports that combination of a culture of restraint, a Fund paper (Kumhof and Ranciere, the majority of people prefer to blame commitment to good regulation and 2010) notes the significance of employee the poor for their poverty. The survey effective income redistribution. In Japan, bargaining power in achieving reductions respondents thought people were in need a culture of restraint from those on in wage inequality. because of ‘laziness’ and ‘lack of will- higher incomes has been combined with Wilkinson and Pickett point to other power’ rather than because ‘society treats a traditional commitment to ensuring forms of industrial democracy, such as them unfairly’. comparatively modest differences in shared employee ownership, that could On the other hand, nearly two thirds earnings between employees and their act as vehicles for greater income equality of people in the survey thought it was the managers and executives. In contrast, by allowing employees direct share in the government’s responsibility to reduce the Sweden has focused more strongly on returns from their work. income difference between the rich and redistributing income via taxation and poor. They were also willing to pay more government transfers, to ensure adequate A culture of restraint taxes to fund health services, education, income for those on lower incomes. Both Rediscovering a culture of restraint on the pensions, job training and assistance Sweden and Japan share a historical part of those in leadership in business, for the unemployed and those on lower commitment to ensuring high levels of local and central government based on incomes (Carroll et al., 2011). These results employment. New Zealand can learn restraint, and transparency in setting align with other recent research by the from these examples in finding its path to remuneration for directors, executives International Social Survey Programme reducing inequality. and senior management could help (2010), where a similar proportion of change the inequality dynamics. In Japan people said that income differences in Employment growth it has proved possible for businesses to this country are too large. The current government believes that be highly successful while maintaining Research has also been undertaken developing a strong economy that comparatively low differentials between in the United Kingdom on people’s produces jobs and opportunity is its main the highest- and lowest-paid employees. It attitudes to inequality and how it might priority. This can only reduce inequality, is clear that it requires a change in attitude be possible to build a public consensus however, if people moving off benefits from those in leadership to recognise the about tackling inequality (Bamfield and actually move into employment and earn greater good in restraining differences to Horton, 2009). Both the New Zealand more than what they would receive on fair and reasonable levels. Organisations and UK research shows that people tend a benefit. Paid employment also brings could explore using ratios in setting pay to have more negative and judgemental with it entitlement to transfers such as scales to ensure that the lowest paid are attitudes towards the poor than towards Working for Families tax credits. The not left behind as executive pay increases. the rich. There does not appear to be effectiveness of increased employment in much evidence to support the so-called reducing income inequality is conditional High Pay Commission ‘tall poppy syndrome’. People tend to on there being sufficient employment Researchers have found that people greatly respect wealth as a measure of success and opportunities at rates of pay that actually underestimate the differences in incomes believe that it is mostly deserved. From do increase household incomes. It does in New Zealand, and we are tolerating the UK research it appears that people not address income inequalities of those ever greater difference (International are more willing to support policies based who are already in employment or the Social Survey Programme, 2010). There on ‘proportionate universalism’, designed incomes of households relying on benefits is a need to talk about and agree on what so that most people receive some benefit for their income. level of income inequality is ‘fair’. The from government programmes as long as independent High Pay Commission in the most benefit is directed towards the more Industrial democracy UK in its initial report asks whether the rise disadvantaged. Therefore, the political The decline in union membership has in the highest pay rates has led to us paying challenge is to design policies which mirrored the rise in income inequality ‘more for less’ (High Pay Commission, recognise that ‘reducing inequalities is in New Zealand. The ability of workers 2011). Looking at the top 100 UK-listed about fairness and self-interest’ (Carroll to organise and bargain for better wages company executives, the report charts et al., 2011). and conditions was greatly reduced after the excessive increases in rewards that the introduction of the Employment executives have been receiving that bear no The three R’s: restraint, regulation Contracts Act 1991. Although the act was relation to company performance. Chief and redistribution replaced by the Employment Relations executive remuneration has quadrupled Accordingly, the policy mix needed to Act 2000, which brought in some changes in the past ten years, while share prices address income inequality must negotiate to improve opportunities for collective have fallen. There is little evidence of the inherent tensions between individual bargaining, union membership remains ‘executive poaching’ of executives by

Page 66 – Policy Quarterly – Volume 7, Issue 4 – November 2011 overseas companies, and neither does comes before Cabinet and Parliament, in rate from 12.5% to 10.5%, but in Australia, the risk involved in the roles appear to the same way Treaty of Waitangi, gender for example, the first $6,000 of income be sufficiently high to justify the huge and environmental impact statements are is tax-free, so New Zealand still has a increases in remuneration. Poor oversight currently considered. It would involve an relatively high initial tax rate on the first by company boards and regulatory bodies inequality impact assessment of policies dollar. Calculating the benefits of tax-free of the remuneration of executives (and and legislation (e.g. tax rises and spending minimum income policies is made more board members), and lack of shareholder cuts) to assess whether they would lead complicated because of the impact of power are identified as factors hindering to an increase or decrease in inequality the transfers and tax credits low-income attempts to restrain excessive growth in of incomes, assets or access to services. In households receive. The Treasury’s executive pay. a similar vein, the UK Equality Act 2010 2001 tax review looked at the issue and The commission is in the process of required government agencies to show concluded that such a policy might well developing what it describes as a ‘fair ‘due regard to the desirability of exercising deliver more benefit to second-income framework for fair pay’ and it would [their functions] in a way designed to earners in middle- and high-income be wise for New Zealand to consider reduce the inequalities of outcome which households than it would to those on the a similar process. In New Zealand, the result from socio-economic disadvantage’. lowest incomes. Remuneration Authority sets the salaries (As it happens, this section of the act of Members of Parliament and judges has since been repealed by the current Universal basic income and is required to consider ‘fairness to the coalition government.) The idea of a universal basic income (UBI) taxpayers or ratepayers who ultimately has been promoted for many years without foot the bill’ (Remuneration Authority, Redistribution ever having been fully implemented 2010). This requirement is not currently Redistributing income via the taxation (although Canada conducted a significant interpreted as including trying to avoid system to share income and wealth more social experiment with it in some regions increases in income inequality or trying fairly involves a range of possible policy during the 1970s). The idea has been to reduce income inequalities. tools. Our current progressive tax system brought back into the public debate is already reasonably effective in reducing through a proposal for an Unconditional Regulation before-tax income inequalities, reducing Basic Income (Morgan and Guthrie, 2011). Forms of regulation and legislation that them by about half (Perry, 2010). Changes A UBI has the advantage that it recognises require decision makers to pay attention to the tax system need to be analysed by and rewards work carried out by people to reducing inequality can work either as a asking whether they increase or decrease in unpaid roles (such as child rearing and minimum ‘safety net’ underpinning agreed inequality. Treasury estimated that the 2010 care of sick, disabled or older people). It social consensus (e.g. minimum wage tax package would not increase income offers the possibility of simplifying the legislation), or can help ‘raise the bar’ and inequality (Treasury, 2010). It would be complexities of the welfare system by drive change in a positive direction. The a further step to require changes to seek effectively replacing all benefits with a minimum wage regulations can be used actively to decrease income inequality. UBI. The challenge is to set it at a level to reduce inequality. The Department of The Working for Families system that lifts people out of poverty while also Labour reports on the impact of changes of tax credits is demonstrably the most addressing the complexities of meeting to the minimum wage on wage inequality, successful policy of the past 25 years in additional welfare needs beyond the level and its 2010 report notes that increasing reducing income inequality and poverty. of the UBI. The impact a UBI system would the minimum wage to $15 an hour would Its introduction saw income inequality have on reducing inequality depends on ‘strongly improve’ income distribution fall for the first time in two decades the other tax and welfare policies with (Department of Labour, 2010). (Perry, 2010). Extending the benefits of which it is combined. It may be appropriate to explore this kind of programme to all families regulatory means to manage public with children (i.e.to the unemployed Widening the tax base sector relativities through introducing and those on welfare benefits) would The absence of any significant wealth maximum ratios between the highest and be another significant step by helping taxes in the New Zealand tax system has lowest paid. It has been pointed out that those on the lowest incomes. The $60 repeatedly been identified as a major gap currently the mid-point of the top band per week in-work tax credit for families in ensuring tax equity (e.g. Tax Working of public sector salaries is around 11 times in employment with children could Group, 2010). Widening the tax base to that of the bottom band (Brommell, be changed to a child tax credit for all include some form of capital gains tax 2010). It may be possible to come to a families with children, which would or other wealth taxes is an effective way consensus on a lower maximum ratio. have an immediate impact of lifting the to redistribute income and wealth and incomes of lowest-income families and reduce the heavy reliance New Zealand Fairness test reducing inequality. has on income tax and GST. The challenge Another regulatory approach could be to Introducing a minimum income free in designing a capital gains tax is to make introduce a fairness test, a formal impact of tax is another way to reduce inequality. it effective in raising revenue and limiting assessment of all policy and legislation that The recent tax changes reduced the initial tax avoidance.

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 67 How to Get Closer Together: Impacts of Income Inequality and Policy Responses

GST and other consumption taxes Opportunity costs are higher than those on low incomes. Regulatory activity affect most significantly those with the redistribution costs needs to complement voluntary restraint lowest incomes because they have to spend The costs of doing nothing far outweigh through active regulatory oversight of a higher proportion of their income. The the costs of increased tax transfers; this board and executive remuneration and use 2010 increase in GST and associated rises is the message of recent reports on child of minimum wage regulations to raise the in the cost of living hurt low-income poverty (Grimmond, 2011; Dale et al., lowest incomes. Redistributing income can families hardest. Reducing GST and/ 2011). These two reports arrive at a similar be achieved through a widened tax base, or excluding essential food items from figure for the overall costs to society and including through effective wealth and GST, or having a reduced rate for them, the taxpayer of leaving 200,000 children transactions taxes that generate revenue are policy options that would reduce in poverty. At least $6–8 billion (3.5–4.5% sufficient to allow income transfers to hardship for low-income families and of GDP) is a huge and long-term cost to those not able to earn sufficient income in influence overall socio-economic equity, our society. In the debate about the ‘fiscal the private market. but by nature do not have an impact on burden’ of reducing inequality we do well The evidence about the advantages income inequality because they are taxes to compare it to the multi-billion dollar of reducing income inequality is clear on consumption, not income. price tag of not reducing inequality and and many policy tools are available. New forms of taxation need to be poverty. New Zealanders generally share an considered, including some form of underlying sense of fairness and appear financial transaction tax (such as the Conclusion willing to support a range of policies to Tobin Tax). Such taxes target speculative The evidence suggests that reducing reduce income inequalities. Hence, policy financial transactions by taking a very income inequality in New Zealand will makers and those in political leadership small percentage (a fraction of a per have a range of desirable social outcomes. can be confident that implementing cent) from every transaction. The low But to achieve such a goal will require a policies to increase equality is not merely rate means it has no material impact careful mix of policies, efforts to promote good policy and but will also enjoy public on genuine transactions, but it could changes in social attitudes (especially support. generate considerable tax revenue from concerning the acceptability of very high the otherwise untaxed large speculative incomes), and better access to good- transactions. quality paid employment, particularly for

References National Equality Panel (2010) An Anatomy of Economic Inequality in the Bamfield, L. and T. Horton (2009) Understanding Attitudes to Tackling UK, report of the National Equality Panel Economic Inequality, Joseph Rowntree Foundation New Zealand Council of Christian Social Services (2011) Vulnerability Boyle, G. and H. Roberts (2004) CEO Compensation in New Zealand Report, 9 (June) and 10 (September) 1997-2002, 2004 Noble, H. (2010) The Spirit Level Re-visited, www.equalitytrust.org.uk/ Brommell, D. (2011) ‘Income inequality and the economy of ideas’, docs/hughnobletslrevisited.pdf Policy Quarterly, 6 (3), pp.40-4 OECD (2011) ‘Growing Income Inequality in OECD Countries: what drives Carroll P. et al. (2011) ‘The widening gap’, Social Policy Journal of New it and how to tackle it’, OECD forum, Paris, 2 May Zealand, 37 OECD (2008) Growing Unequal: income distribution and poverty in OECD Dale, M.C., M. O’Brien and S. St John (eds) (2011) Left Further Behind: Countries, www.oecd.org/els/social/inequality how policies fail the poorest children in New Zealand, Auckland: Pearce, J. (2011) An Estimate of the National Costs of Child Poverty in Child Poverty Action Group New Zealand, Auckland: Analytica Department of Labour (2009) The Effect of the Employment Relations Perry, B. (2010) Household Incomes in New Zealand: trends in indicators Act 2000 on Collective Bargaining, Wellington: Department of Labour of inequality and hardship 1982 to 2010, Wellington: Ministry of Department of Labour (2010) Regulatory Impact Satement: minimum Social Development wage review 2010, Wellington: Department of Labour Remuneration Authority (2010) Annual Report Grimmond, D. (2011) 1000 Days to Get It Right for Every Child: Rowlingson, K. (2011) Does Inequality Cause Health and Social the effectiveness of public investment in New Zealand children, Problems?, Joseph Rowntree Foundation Wellington: Infometrics for Every Child Counts Saunders, P. (2010) Beware False Prophets: equality, the good society Gibbons, M. (2010) Income and Occupational Intergenerational Mobility and The Spirit Level, London: Policy Exchange in New Zealand, working paper 10/06, Wellington: The Treasury Snowden, C. (2010) The Spirit Level Delusion, Little Dice Henare, M. et al. (2011) He Ara Hou: the pathway forward, Wellington: Strategic Pay (2008) ‘What price a good CEO?’, www.strategicpay.co.nz Every Child Counts Tax Working Group (2010) A Tax System for New Zealand’s Future: High Pay Commission (2011), More for Less: what has happened to pay report of the Victoria University of Wellington Tax Working Group, at the top and does it matter?, London: High Pay Commission Wellington: Centre for Accounting, Governance and Taxation International Social Survey Programme (2010) Social Inequality in New Research, Victoria University of Wellington Zealand, Massey University Treasury (2001) Tax Review 2000: final report, Wellington: The Treasury Kumhof, M. and R. Ranciere (2010) Inequality, Leverage and Crises, Treasury (2010) ‘Aide Memoire: distributional measures in relation to working paper WP/10/268, International Monetary Fund tax changes’, www.treasury.govt.nz/publications/informationreleases/ Marmot, M. (2010) Fair Society, Healthy Lives, report of the Marmot budget/2010/tax/index.htm Review, London Treasury (2011) Working Towards Higher Living Standards for New Ministry of Social Development (2010) The Social Report 2010, Zealanders, working paper 11/02, Wellington: The Treasury Wellington: Ministry of Social Development Wilkinson, R. and K. Pickett (2010) The Spirit Level (2nd edn), London: Morgan, G. and S. Guthrie (2011) The Big Kahuna: turning tax and Penguin welfare in New Zelaand on its head, Public Interest Publishing

Page 68 – Policy Quarterly – Volume 7, Issue 4 – November 2011 Paul Callister and Judith Galtry

Paid Parental Leave Policy – A Response to Maureen Baker

In the August 2011 issue of Policy Quarterly, Maureen Baker sets out to outline ‘Key issues in parental leave policy’. One aim of the article was to examine ‘some of the continuing debates about paid parental leave’. However, we argue that the article fails to advance debates about paid parental leave in New Zealand, because: 1) it does not adequately engage with recent national and international literature; 2) it lacks new empirical evidence; 3) its theoretical basis is confused; and 4) no clear, new policy directions are promoted.

Baker’s article is primarily a literature was available to qualifying families with into non-parental education and care of review. We therefore begin by outlining a child or children born on or after 1 infants and toddlers (Carroll-Lind and some of the key literature in this field that October 1999. Although the government Angus, 2011). This report engages with was overlooked. Most of this literature is at the time did not support the provision the difficult issue of determining specific easily accessible by using simple search of European models of paid parental policy configurations that are in the best techniques such as Google Scholar. Most leave, it clearly wished to provide financial interests of children in the first months is also freely downloadable. support to some new parents. and years of their lives. It raises complex An article of our own entitled These developments indicate that issues of whether, especially in times of ‘Paid parental leave in New Zealand: parental leave policy in New Zealand constrained government finances, support a short history and future policy developed over a long period and involved for the early months of a child’s life should options’ is a puzzling omission, given incremental change. Thus, a key policy take the form primarily of parental leave that it was published in 2006, also in question is whether future incremental rather than taxpayer supported early Policy Quarterly. As indicated in the change should continue to be supported child care and education. This represents title, our article outlines the history or whether, in fact, new, more radical a more fundamental shift in thinking of parental leave in New Zealand but, models of leave should be investigated. about parental leave and child care. more importantly, suggests some future In terms of relevant government Engagement with the recommendations options, including some ideas that Baker reports, Baker mentions the report of the government’s Welfare Working subsequently discusses. This article puts on parental leave by the Families Group would also have increased the into a wider historical context Baker’s Commission (2007), but fails to engage policy relevance of Baker’s article. In first sentence, which claims that ‘in 2002, with two other significant government particular, this working group developed New Zealand employees gained access to reports. One is the National Advisory recommendations about parents’ return paid parental leave’. While obviously not Council on the Employment of Women’s to work relative to the age of the youngest a universal scheme, a limited form of (NACEW) 2008 report entitled Priority child, an issue which is directly relevant paid maternity leave was introduced in Improvements to Parental Leave (NACEW, to parental leave policies. 1948, which was available to some women 2008). Both the Families Commission But we consider that there are also in the public service. Over time, various and NACEW reports recommend other important omissions. While other employers offered their own paid continuing incremental improvements referred to indirectly through mention maternity, and sometimes parental, leave to parental leave policy. Perhaps even of a television news item, there is no in- schemes. Then, in 1999, the parental more important is the Office of the depth engagement with the Child Poverty tax credit was introduced as part of a Children’s Commissioner’s 2011 report Action Group’s important background wider Family Assistance package. This entitled Through Their Lens: an inquiry paper Paid Parental Leave in New

Policy Quarterly – Volume 7, Issue 4 – November 2011 – Page 69 Paid Parental Leave Policy – A Response to Maureen Baker

Zealand: catching up with Australia? (St by mid-2011 just under 60% of women not have an independent right to take a John and Familton, 2011). It is necessary were employed, with much of the growth period of paid leave’. to consider Australia, if only because of occurring amongst women with young In her discussion of men taking (or New Zealand’s strong labour market flow children. While these data do not indicate not taking) leave, Baker also fails to refer across the Tasman. Other studies that we ease of re-entry, they do indicate a more to the Department of Labour’s finding believe the author should have considered expansive labour market for women in that most women do not want to pass include a number of our own, such as recent times. In addition, a raft of public on their parental leave. There are various Galtry (1995, 1997, 2002 and 2003), Galtry and private policies supporting parents, reasons for this, including that most new and Callister (2005) and Callister and including parental leave and subsidised mothers in New Zealand breastfeed in line Galtry (2009). But even if Baker chose child care, should now make it easier to with national and international health not to engage with the ideas presented in re-enter employment after childbirth or guidelines (Galtry, 2000). Although Baker these particular studies, there are the New adoption. mentions lactation once in the article, she Zealand studies of James (2009), Forbes An example of a confusing, and again does not engage with the complexity this (2009) and Brough et al., (2009). Then highlighted, statement is that ‘parental poses for leave-sharing, especially when there are relevant overseas studies. In benefits were introduced as a separate the duration of paid parental leave is Australia, Baird wrote an excellent article social programme which was available relatively short, as in New Zealand. in 2004 setting out various typologies to women and men employees (gender- Finally, on page 61 Baker mentions for parental leave at the same time that neutral or at least transferable from that mothers are less able than fathers Australia was designing its own scheme. mothers to fathers)’ (pp.57-8). We query to take on high-paying and secure jobs. Finally, while the article notes the work of this description of gender neutrality. For But this assertion needs to be examined. UNICEF when comparing leave schemes comparison, it is highly unlikely that Increasingly, women are better educated internationally, a significant paper by Ray a policy would be regarded as ‘gender than men and many women now have et al., (2010) entitled Who cares? Assessing neutral’ if the benefit went directly to the partners who are less educated than generosity and gender equality in parental male partner in a heterosexual couple themselves (Callister and Didham, 2010). leave policy designs in 21 countries is not but was able to be transferred (if he so Prior to their having children there are referred to. Between these papers, all the wished and it was mutually agreed) to few constraints to women taking jobs issues that Baker raises in her own paper, his female partner. This current New that pay more than those of their male as well as other important issues, are Zealand policy configuration appears to partners. This shows up in the lack of a discussed. It would have been useful to be a double-edged sword for the goal of significant gender pay gap among people build on this previous work. gender equity, as it attributes not only under 30 years of age (Ministry of Social decision-making power to the mother, but Development, 2010). A lack of evidence and misleading also, by implication, the responsibility for The most significant pay gap occurs statements child-rearing. It is therefore curious that after women and men have children. Here, we focus on a number of statements this policy is sometimes perceived as a What researchers and policy makers need about the labour market, as well as men feminist policy (as discussed later). What to grapple with is why many women and and parental leave, that are not backed by Baker also fails to mention is that this men continue to adopt traditional gender evidence or seem to be misleading. As an transferable benefit disadvantages couples roles once children are born. Instead, initial example, highlighted on page 59, where the man is eligible through his Baker portrays labour markets as being far there is the statement ‘leaving employment work record but the woman is ineligible friendlier to men than women. But, given for child bearing and returning years and thus unable to transfer the right to changes in global employment, both men later was feasible for women when ‘parental’ leave to him. and women with low formal skills face labour markets were expanding in the In relation to fathers’ rights to leave, major barriers to finding ‘decent’ work. 1960s, enabling them to re-enter more Baker notes a case taken in Canada by a This is one reason why, in a number of easily’. There is no evidence presented father who argued that biological fathers our own articles about parental leave, we in support of this statement. In fact, it should have the same rights as adoptive suggest a universal payment, so that work is unclear how entry into and exit from fathers. It would have been useful if Baker history, which is increasingly uncertain the labour market in the 1960s could be had also mentioned the long campaign for some groups, does not determine assessed given that are no data sets, such by New Zealand fathers’ groups to have eligibility. as the current LEED data, which allow equal rights with mothers to paid parental such rates to be calculated.1 However, leave. In our 2006 Policy Quarterly article Lack of a coherent theory indirect measures cast doubt on Baker’s it was noted, for example, that ‘[a] In her introduction Baker claims that statement. While there was growth in formal complaint was also lodged with her article is written from a ‘feminist employment for women in the 1960s, even the Human Rights Commission on the political economy perspective’. Later by the end of that decade just under 40% grounds that the legislation discriminated she notes the arguments put forward by of women were employed. In contrast, against biological fathers, as they did ‘feminists and progressive reformers’.

Page 70 – Policy Quarterly – Volume 7, Issue 4 – November 2011 But the particular strain or strains of much clearer depiction of parental leave component of any strategy for investing feminist theorising to which she refers typologies would have been useful. The in children and requires rigorous are never clearly identified. One of the article could have usefully identified and analysis and debate. But through a lack complexities of parental leave debates examined, for example, the differing of acknowledgement of past debates and is that many feminist perspectives have objectives and construction of various unclear policy formulation, Baker’s article been applied to them, ranging from clear- maternity/parental leave schemes fails to take such discussions forward. It is cut arguments about the importance of and their gendered effects. Instead, it a shame such an important opportunity ‘equal treatment’ for women and men concludes with vague calls for policy was wasted. to equally strong views about the need that supports gender equity in both the 1 The Linked Employer-Employee Data Research Programme to support ‘difference’, especially around workplace and the home. (LEED) is a multi-year project that is generating new research pregnancy, childbirth and breastfeeding findings about workers and firms using linked employer and employee data. These data have been used to investigate a (Galtry, 2000). Baker uses a range of Conclusion wide range of research questions, including re-entry to paid feminist perspectives but fails to outline Debates about parental leave are work for parents following a period of paid parental leave. clearly which she is using at any particular important, especially in the period before time. In addition, as already noted, a an election. Parental leave is a critical

References Galtry, J. (1997) ‘Sameness and suckling: infant feeding, feminism, and Baird, M. (2004) ‘Orientations to paid maternity leave: understanding the a changing labour market’, Women’s Studies Journal of New Zealand, Australian debate’, Journal of Industrial Relations, 46, pp.259-74 13 (1), pp.65-88 Brough, P., M. O’Driscoll and A. Biggs (2009) ‘Parental leave and work- Galtry, J. (2000) ’Suckling in silence: breastfeeding and paid work in family balance among employed parents following childbirth: an New Zealand, the United States and Sweden’, PhD thesis, Victoria exploratory investigation in Australia and New Zealand’, Ko-tuitui: New University of Wellington Zealand Journal of Social Sciences, 4, pp.71-87 Galtry, J. (2002) ‘Child health: an underplayed variable in parental leave Callister, P. (2002) ‘Should job protection and income support for new and early childhood education policy debates?’, Community, Work & parents be separated? Policy options in a US and New Zealand Family, 3, pp.257-78 context’, Community, Work & Family, 5 (3), pp.279-99 Galtry, J. (2003) ‘The impact on breastfeeding of labour market policy Callister, P. and R. Didham (2011) ‘The “meet market”: a research and practice in Ireland, Sweden, and the United States’, Social update’, New Zealand Population Review, 36, pp.103-115 Science & Medicine, 57, pp.167-77 Callister, P. and J. Galtry (2006) ‘Paid parental leave in New Zealand: Galtry, J. and P. Callister (2005) ‘Assessing the optimal length of parental a short history and future policy options’, Policy Quarterly, 2 (1), leave for child and parental well-being: how can research inform pp.38-46 policy?’, Journal of Family Issues, 26 (2), pp.219-46 Callister, P. and J. Galtry (2009) ‘“Baby bonus” or paid parental leave: James, J. (2009) ‘Facilitating fertility and paid work: contemporary which one is better?’, Social Policy Journal, 34, pp.1-11 family-friendly policy initiatives and their social impacts in Carroll-Lind, J. and J. Angus (2011) Through Their Lens: an inquiry into Australasia’, Social Policy Journal of New Zealand, 34, pp.25-39 non-parental education and care of infants and toddlers, Office of Ministry of Social Development (2010) ‘The social report’, Ministry of the Children’s Commissioner, http://www.occ.org.nz/__data/assets/ Social Development, http://www.socialreport.msd.govt.nz/paid-work/ pdf_file/0017/8108/CC_Through_their_lens_21032011.pdf median-hourly-earnings.html Chapple, S. (1994) HLFS-consistent Labour Market Data, working paper NACEW (2008) Priority Improvements to Parental Leave, Wellington: 94/16, Wellington: New Zealand Institute of Economic Research National Advisory Council on the Employment of Women Families Commission (2007) It’s About Time: towards a parental leave Ray, R., J.C. Gornick and J. Schmitt (2010) ‘Who cares? Assessing policy that gives New Zealand families real choice, research report generosity and gender equality in parental leave policy designs in 21 3/07, Wellington: Families Commission countries’, Journal of European Social Policy, 20 (3), pp.196-216 Forbes, K. (2009) ‘Paid parental leave under (New) Labour’, Social Policy St John, S. and A. Familton (2011) Paid Parental Leave in New Zealand: Journal of New Zealand, 34, pp.12-24 catching up with Australia?, Child Poverty Action Group background Galtry, J. (1995) ‘Breastfeeding, labour market changes and public policy paper 01/11, http://www.cpag.org.nz/assets/Backgrounders/ in New Zealand: is promotion of breastfeeding enough?’, Social Policy Backgrounder.PPL.pdf Journal of New Zealand, 5, pp.2-16

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