GOCE-CT-2004-505420

Actors and Strategies Lecture within the IWRM-Modul June 2012

G. Hutter

IOER, Dresden 2

Background information

Empirical basis of the presentation FLOODsite

FLOOD ERA

Weißeritz-Regio

REGKLAM

KLIMAfit

Broad literature review FRM, Risk Management, Water Management

Strategy research, strategic planning

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Overview over the presentation

Introduction

Exercise

Selected concepts

Conclusion

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Introduction: Key message

Traditional management approaches “were based in the understanding that we were managing nature. Now we must let go of this notion and focus on how we work with nature and manage ourselves…” (Lonsdale et al. 2005, p. 26)

To understand actors and strategies is essential to manage ourselves

Actors: perceptions, roles, interests ...

Strategies: context, process, content

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Introduction: Aim of presentation

To foster a wide understanding of strategies from a social science viewpoint

To explain some selected concepts

To apply the selected concepts to specific cases (“exercise”)

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Introduction: Three dimensions of strategy

Content dimension (“What?”)

Context dimensions (“Why? Who?...”)

Process dimension (“How?”)

Strategies combine elements from all three dimensions in a consistent manner

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Societal context

Content

Process

• Models of formulation and implementation: linear, adaptiv • Strategic planning: Programming, scenario- based planning • Learning processes at different levels: individual, group, organisation, network

Internal: • Politics • Resources • Responsibility • Culture • Capabilities

• General aims and specific targets • Strategic alternatives as combinations of measures and instruments • Physical measures and policy instruments • System analysis: controllable, not controllable variables

External: • Economic • Social • Legal • Political

Source: based on Hutter & Schanze (2008)

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Introduction: Basic process models

• Stable • Low uncertainty of key factors

• Pre-defined system of aims, targets, and strategic alternatives • Integrated set of strategic, operative, and resource plans

• Sequential process of planning, programming, and implementation • Top-down strategy making

Context

Content

Process

• Unstable • High uncertainty of key factors

• Emerging pattern of strategic alternatives, aims, and targets

• Flexible configuration of resources

and priorities

• Continuous alignment of content and process with context

• Bottom-up initiatives and top-down

strategic decisions / innovation

Traditional („linear“) model Adaptive model

Source: Hutter (2006)

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KooperativesPlanungsverständnis

DeAD-Modell

kooperativsammeln

internbeschließen

internberaten

verteidigen

verkünden

gemeinsamberaten

entscheiden

kooperativumsetzen

Linear Adaptiv

(Source: Selle 1996)

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Defining Strategy

Wide definition (in FLOODsite)

Input to the “Language of Risk (LoR)”

“A strategy is defined as a consistent combination of long-term goals, aims, and measures, as well as process patterns that is continuously aligned with the societal context” (Hutter 2005)

This definition is in line with current policies and guidelines

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Exercise

Two projects with different context conditions

Two groups of students that act– for 30 min. – as if they were project members

Identify advantages and disadvantages of “your” project; if possible, define strategy

Some basic information about the “real world” projects

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Exercise: Project No. 1 “REGKLAM”

Large project, 11 Mio. EUR funding, multiple large institutions as important and powerful partners, 70 institutional actors, over 100 persons involved, 2008 – 2013

Water management in the context of climate change adaptation in the Dresden region

Your task: “Formulation of a strategy document of max. 20 pages”

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Exercise: Project No. 2 “KLIMAfit”

Small project, approx. 100.000,- EUR funding, regional planning authority is lead partner, “strong” relations between approx. 15 -20 persons, 2009 – 2013

Regional planning to deal with water issues in the context of climate change in the Dresden region

Your task: “Formulation of a strategy document of max. 20 pages”

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Exercise It is the aim to do a quick study in terms of

a qualitative assessment of advantages and disadvantages with regard to “your” project, especially the process

Phase I (5 min.): Brainstorming each project member for him-/herself

Phase II (15 min.): Discussion of all “project members”

Phase III (10 min.): Agreeing on a very short summary

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Exercise Quick qualitative assessments will focus on

different aspects and, hence, will come to different results (solutions)

One possible solution is:

REGKLAM faces high expectations that are difficult to meet; adaptive processes are likely, network governance becomes crucial

In case of KLIMAfit, linear processes are possible; the project faces the challenge of achieving significant results (strategic planning)

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Selected concepts

Actor constellations

Forms of network governance

Strategic planning

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Water management

Municipalities Stadt Dresden

Stadt Altenberg

Stadt Dippoldiswalde

Stadt Freital

Gemeinde Dorfhain

Gemeinde Hartmannsdorf/ Reichenau

Gemeinde Reinhardtsgrimma

Stadt Rabenau

Gemeinde Schmiedeberg

Gemeinde Höckendorf

Stadt Tharandt

Gemeinde Pretzschendorf

Gemeinde Bannewitz

Gemeinde Hermsdorf/ Erzgebirge

Local groups and

associations Regionalbauernverband „Sächsische

Schweiz – Osterzgebirge“ e.V.

Landschaftspflegeverband Osterzgebirge

und Vorland e.V.

Grüne Liga Osterzgebirge e.V.

Scientific institutions IOER

Further authorities LfULG

Forstamt Altenberg

Forstamt Bärenfels

Sächsisches Forstamt Tharandt

Regional authority Landratsamt Weißeritzkreis

Regionaler Planungsverband

Water management

Landestalsperrenverwaltung Sachsen

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Concepts: Network Governance

A “network” as form of governance (different to markets and hierarchies) is different from “forms of network governance”

Three forms of network governance

Self-governed network

Lead organization network

Network administrative organization

Concepts: Three forms of network governance

Network members involved in network governance

Lead Organ.

Self-Governed Network

Lead Organization Network

Network Administrative Organization

Network Administrative Organization

Based on: Raab & Kenis 2009, p. 207

Weak ties Strong ties

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Concepts: Strategic Planning

Definition of Strategic Planning

“disciplined effort to produce fundamental decisions and actions that shape and guide what an organisation (or other entity) is, what it does, and why it does it.

At its best, strategic planning requires broad-scale yet effective information gathering, clarification of the mission to be pursued and issues to be addressed along the way, development and exploration of strategic alternatives, and an emphasis on the future implications of present decisions.” (Bryson 2004, p. 6)

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Concepts: Strategic Planning

Steps for Strategic Planning (Bryson 2004)

Initial agreement (“Plan for planning”)

Mandates, mission and values

Analysis of external and internal conditions

Identifying strategic issues

Formulating (Designing) strategic alternatives

…

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Examples across Europe

and policy fields

Brno

Marseille

London

Wien

Manchester / Liverpool

Halle / Leipzig

Lissabon

Birmingham

Lille

Nancy Nantes

Stockholm

Turin

Utrecht Berlin

Barcelona

Helsinki

Bilbao

Lyon

Malmö

PHD- Plan

Hochwasservorsorge Dresden

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Concepts: Strategic planning at different spatial levels

An example of multi-level strategy-making

Strategic planning at regional level focuses on exploring strategic alternatives of long-term IRWM with scenario analysis (“new knowledge“)

Local strategic planning focuses on exploiting the results within local government

Basic assumptions

Long-term IWRM is on the policy agenda at higher levels (Bund and Länder)

Financial support and regulations are provided

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Strategic planning at different spatial levels

Strategic planning at…

Regional level Local level

Focus and overall thrust

- External context and content - Formulating new ideas

- Internal context and process - Adopting new + good ideas

What?

- Knowledge problem - Strategic issues

- Complexity, uncertainty - Testing existing concepts - Strategic alternatives - Low-probability flood events

- Ambiguity, uncertainty - Persistent priorities - Local planning culture

How?

- Decision mode - Change mode

- Organizing a “study group” - Scenario analysis - Episodic change

- Pluralistic leadership - Continuous change

Who? - Actors

- Officials - External experts

- Local officials - Local politicians - External experts

Where? - Social setting(s)

- New forum - Existing forums and arenas - New forums and arenas

Main

challenges?

- Legitimizing an episode

- Mobilizing officials - Embedding the results - Building a new forum

- Initiating strategic planning

- Maintaining the process - Forums and arenas - Implementation plans

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Conclusions (1)

“Working together” is based on multiple success factors

Inclusion of actors from different societal spheres

Organizing collaboration (e.g. network governance)

Establishing a strategic planning process if strategy documents are a desired output of collaboration

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Conclusions (2)

Adopting a wide understanding of strategies for FRM requires an interdisciplinary approach

Furthermore, adopting a wide understanding requires building a learning community with practitioners

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Thank you for your attention!