Doctoral Degrees (Environmental Science)

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Collective identity and collective action in the management of common pool resources : a case study of Doro !Nawas Conservancy in Namibia.
(2012) Mosimane, Alfons Wabahe.; Breen, Charles Mackie.; Fincham, Robert John.
Conservation is increasingly understood to require collective action, particularly in the context of community based conservation. This thesis is premised on the proposition that understanding the dynamic nature of the relationship between collective identity and collective action is fundamental to management of common pool resources such as are created through establishment of community conservancies in Namibia. I used collective identity and resilience theories to develop a framework for exploring change in collective action in the Doro !Nawas conservancy in Namibia. The framework is based on the assumption that change in collective action is dependent upon the temporal changes in two attributes of collective identity; identification and affective commitment. It is suggested that the framework also yields insight into how these may be applied in adaptive management. The research is informed by an interpretive paradigm accepting that collective identity and collective action are social constructs and that personal meanings could be revealed through in-depth interviews and documentary analysis. Computer aided software (Nvivo), manual analysis and a mix of inductive and deductive analysis yielded excerpts, codes and themes that were used to interpret change in the two attributes. The framework I proposed to understand how identification and affective commitment influence collective action was helpful as a general model but it tends to convey a degree of cohesion and homogeneity that does not reflect the real situation, particularly during the ‘collapse’ phase when members of the collective respond to disturbances. My results show that collectives, including organisations, should be understood as collectives of individuals and groups of individuals who express differing levels of identification and affective commitment. Narratives can be used to track change in identification and affective commitment in collectives. Thus, the identification and affective commitment of members is reflected in the language they use to express feelings, thoughts and experiences toward the collective and behaviours that are supportive or destructive to collective identity. A need for incorporating collective identity into adaptive management is identified. I suggest that incorporating collective identity in strategic adaptive management would make those who engage with the process mindful of the collective identity, and therefore more inclined to manage collective identity in order to achieve the collective action required for successful common pool resources management. I use the findings of my research to identify four issues for further research in community based collectives: firstly, research that focuses on the how to design institutional arrangements for conservancies and similar organisations that are more accessible and responsive to the collective; secondly, research on understanding the role and influence benefit sharing can have in sustaining a collective identity that is supportive of conservancies and how it would contribute to making these systems more resilient; thirdly, research to determine how strategic adaptive management can be restructured and implemented in conservancies and protected areas so that it helps to sustain a collective identity and the collective actions that are required to secure them for future generations; finally, whether the long term intentions of community based conservation might be better served if the instruments of governance and the procedures for their application were engineered to make these social ecological systems more robust and if so, how this might be achieved.
An integrated modelling approach to the management of freshwater inflow to South African estuaries.
(1998) Quinn, Nevil Wyndham.; Breen, Charles Mackie.; Hearne, John W.
Estuaries are recognised for their biological diversity and productivity, as well as the vital role they play in providing habitat for organisms which utilise them as nurseries and feeding grounds. In many parts of the world concern has been expressed that the important functions and values of estuaries are being increasingly impacted upon by human activity. In South Africa diminishing freshwater inflow is a particular concern as this has led to an increase in the frequency and duration of mouth closure, which together with other factors has resulted in a marked deterioration in the condition of many estuaries. Global environmental imperatives require an approach to ecosystem management that is defensible and sustainable in the long term. Current approaches to estuary management in South Africa do not meet these criteria, and consequently, this study set out to develop methodologies to address these shortcomings. Three modelling approaches are presented, which can be used independently, or conjunctively, in defining the freshwater requirements of estuaries. The models assess the consequences of change in freshwater inflow for (i) juvenile fish which utilise estuaries as nurseries, (ii) the availability of intertidal and species specific habitats, and (iii) the population structure and production of a common estuarine invertebrate (Upogebia africana), endemic to the region. These techniques are applied in a case study of the Great Brak estuary (Western Cape, South Africa). The results indicate the utility of the approach and are supported, in part, by the findings of a long-term monitoring programme. The study also recognises the need for resource management to occur in the context of an integrated framework, which includes the explicit definition of ecological goals. Such a framework is presented, and is consistent with the Ecological Society of America's guidelines on sustainable ecosystem management. As this approach has been devised to be applicable to South African estuaries, characterised by poor data availability, it is anticipated that methodologies will be equally applicable to estuaries in other developing countries with a similar lack of data. The methodologies also extend current international approaches to the management of estuary freshwater inflow, and would therefore be of value to estuaries in the United States of America, Australia and other regions where diminishing freshwater inflow has been raised as a concern.
Land restitution and conservation : social capital in the Mkambati community.
(2013) Zeka, Sandile.; Maharaj, Bridgemohan.; Breen, Charles Mackie.
This study highlights the role social capital plays in promoting relationships within and between organizations so that they are able to act with common cause. For years relationships between parks and local communities have hinged upon access to, and use of natural resources that are more abundant within parks. Contestation over these resources has overtime led to covert, and in most cases open conflict between these two stakeholders in conservation. Intrinsic in relationship building is social capital. Using the case of the community of Mkambati this study presents both historical and, as developed in recent organizational studies, mental models as critical variables through which social capital evolves and sustains itself within organizations. The argument advanced in this study is that social capital plays an important factor in helping previously displaced communities to regain their land. Relationships play a pivotal role in bonding people, communities, and organizations. Secondly, this study provides a historical perspective of the role played by the community of Mkambati in challenging dispossession of their land. Since the expropriation of their land, the community of Mkambati has relied on bonding social capital in their resolve to regain this land. As this study demonstrates, trust, reciprocity, solidarity and empowerment are some of the properties of social capital that have bonded the community of Mkambati in the struggle for the restitution of their land. The success of the community of Mkambati in regaining their land is also attributed to this community’s resilience to withstand challenges it faced through its protracted battle to have its land back. This resilience, as this study demonstrates emanates from this community’s reliance on social capital. Also, and equally important, the robustness of the community of Mkambati to resist change is founded on relational capital drawn from the shared mental model of injustice – the wish to have their land back. This relational capital was continuously reinforced by the actions this community resorted to achieve this goal. Land restitution and the emergence of a democratic government made redundant the strongly shared mental model that bound people together for many years. With the return of the land to the people of Mkambati, many new opportunities arose around access to, and use of resources. These opportunities are framed as mental models so that whereas in the past the people held a shared mental model, now they differ among themselves according to their preference for access to, and use of resources. It is suggested that, if not managed, opportunistic behaviour could lead to the privatization of resources and an erosion of the present common property regime and a weakening of a community social capital. On this understanding it is prudent for the community of Mkambati to instil a new shared mental model that will enable this community to use relational connectedness and relational capital to enhance collaborative behaviour necessary for the community’s realization of opportunities associated with the return of common property through land restitution. This study highlights the importance of understanding the role of mental models in sustaining social capital and directing collective action. This study suggests that particularly in the context of common property, explicit attention should be given to understanding the diversity of mental models held by stakeholders, and to a process that constructs and sustains a strategic shared mental model. This is because mental models are perceived to provide a foundation for social learning which is necessary to sustain social capital that promotes collective action within the community.
Managing relationships, learning and demands in protected areas : a social systems analysis.
(2007) Nkhata, Bimo Abraham.; Breen, Charles Mackie.; Fincham, Robert John.
This thesis seeks to contribute to the improved understanding of social systems analysis in management effectiveness research on protected areas. It develops and applies propositions for incorporating the analysis of social systems into management effectiveness research. The propositions are designed as theoretical constructs which represent some aspects of social reality in protected area management. They signify an organized way of thinking about the social domain of protected area management. It is argued that an analysis of management effectiveness must recognize the need to take into account the inherent interactive nature of the connections among three variables, relationships, learning and demands. It is suggested that the three variables do not exist in isolation, but are interconnected and exert influence on each other. The interactions among the variables provide this study with a conceptual structure for analyzing the social domain of protected area management. The thesis conceives the management of relationships as a behavioral process in which protected area management agencies influence the decisions and actions of other parties, and vice versa, over a period of time in order to advance shared interests. The effectiveness of relationship management depends on integrated learning, a collective process of managing information in a timely manner so as to enhance the responsiveness of social actors involved with protected areas. Demand management is viewed as a social process in which protected area management agencies develop timely and defensible responses to current and emerging demands from stakeholders. The management of demands is expressed through relationship management and integrated learning. Important in this context is the capability of social actors to cope with complexity, change and surprises. The thesis should be seen as a theoretical premise that focuses on the learning competence of social actors by aligning and fostering their ability to respond timely to the ever-changing demands on protected areas through the effective management of relationships. It should be viewed as making a contribution to the move in protected area management towards developing learning organizations and institutions through a systems approach. This should be interpreted as enhancing learning about the human dimensions of protected area management. And more specifically, effective learning generates timely responses in the management of demands and relationships. The implications of failure to respond quickly enough are epitomized in a number of South African examples such as rivers that stop flowing and conflicts over resource use. The thesis makes a contribution to management effectiveness research by examining in some important ways why research should not be determined solely by biophysical components, but should be extended to the broader social issues that define the nature and quality of management. It is argued that a deep appreciation of management effectiveness requires an understanding of relationships, learning and demands to provide a foundation for systemic social analyses. The thesis illustrates why a behavioral approach to relationships theory provides a foundation for resilient social relationships in collaborative processes. It shows why the establishment and maintenance of an integrated learning system take place in a complex context which links elements of governance learning and management learning. It also evinces why protected area management agencies have to incorporate mental models into adaptive management of demands. These insights imply that the opportunities for effective protected area management are largely contingent on systemic insights into the underlying social structures and processes responsible for emergent problems. By exposing the insights, research on management effectiveness is poised to take new direction.
Organizational culture and its underlying basic assumptions as a determinant of response to change : a case study of KwaZulu-Natal's conservation sector, South Africa.
(2005) Nyambe, Nyambe.; Breen, Charles Mackie.; Fincham, Robert John.
This study was concerned with elaborating theory and informing practice about the process of managing change in organizations. It was premised on the implications of organizational culture and its underlying basic assumptions for strategy, particularly in terms of responsiveness and resistance to change. Harmony between the external environment and an organization's culture was postulated as a critical determinant of the rate of uptake and acceptance of new strategic directions in an organization. Drawing from organizational and critical social theories, past conservation efforts in KwaZulu-Natal were reinterpreted in the light of historical and contemporary developments. The theoretical contribution rests on exploring how basic assumptions, as the core of a culture, may be conceptualized and accessed to examine historically and culturally based meanings of conservation. The practical contribution relates to the need for mechanisms to explicitly address basic assumptions as the core of an organizational culture. Data collection and analysis were informed by the ideas of hermeneutic philosophy, Giddens' Theory of Structuration and Schein's framework of organizational culture. The main source of primary data was interviews that were tape-recorded, transcribed and analysed using a multi-stage process in data organization and interpretation. The analysis involved the identification of common themes and differences in opinion amongst the respondents. Data analysis was done with the help of Nvivo - computer software for qualitative research. The software did not effect the analysis, but assisted in organizing the interview transcripts for analysis purposes: facilitating easy storage, retrieval and querying. The findings revealed a temporal variance in the understanding and interpretation of the mission of conservation in KwaZulu-Natal. Respective executive leaders of the two erstwhile conservation agencies in KwaZulu-Natal were historically very influential in shaping the mission. For the present leadership, four basic assumptions emerged from the data: 'public funding defines who we are'; 'we are leaders in conservation'; 'we know our realities are changing' and 'we are conserving a great natural and cultural heritage'. These assumptions reflect the various themes which the respondents discussed in respect of the present-day strategy processes in conservation in KwaZulu-Natal. Within and across these four assumptions, respondents expressed variable and sometimes contradictory meanings and interpretations. Differences were especially noticeable between the conservation sector's historical inclinations towards public service and its emergent commercial activities. Overall, the study demonstrated the variety of perspectives the respondents used to interpret their understanding and meanings of what the fundamental mission of conservation in KwaZulu-Natal ought to be. The findings highlight the need for those involved in strategic processes to base their activities, and their approaches to managing change, on the continual exploration of basic assumptions as the portal for the ideas, perceptions and beliefs that influence change. In matters of strategy, leaders should work with the prevailing organizational culture and its underlying basic assumptions, rather than develop the strategy and then attempt to deal with the basic assumptions and cultural support afterwards. Finally, the findings suggest that in all visioning and strategy development processes, whether in a conservation agency or some other organization, explicit analysis of assumptions is critical for securing support for, and reducing prospects of resistance to change. Among members of an organization, visions, missions and strategies are unlikely to be effectively internalized unless they accord with the assumptions they hold. This process requires explicit mechanisms for doing so, and this study highlights such mechanisms.
Perceptions of the conservancy concept, common pool resources and the challenge of collective action across private property boundaries : a case study of the Dargle Conservancy, South Africa.
(2013) Mwango, Nelly Chunda.; Fincham, Robert John.; Breen, Charles Mackie.
Conservancies are viewed as playing an important role in enabling the landscape-scale management of biodiversity and ecosystem services by extending conservation areas beyond the boundaries of formally protected areas (PAs). In the South African context of the Biodiversity Stewardship Programme (BSP), conservancies are viewed as a viable landscape-scale approach to stewardship that can contribute to meeting government conservation mandates of conserving biodiversity and expanding its protected area network outside state PAs, through partnerships with private landowners. Using the landscape approach theory, I determined that the landscapescale context of biodiversity and ecosystem services creates common pool resources (CPRs) that require collective action in the form of integrated management planning across private property boundaries. In this context, conservancies create multi-tenure conservation areas with landscape meanings and associated benefits that require landscape-scale collective action. However, using property and collective action theories, I deduced that when landowners in a conservancy seek to engage collective action for landscape-scale conservation objectives under the BSP, they are challenged by the tension between individual meanings defined at the scale of their own property and landscape-scale meanings that straddle property boundaries. This tension is reinforced by property rights in which each actor holds resources under a private property rights regime while the landscape-scale meanings of CPRs need to be addressed in a common property rights regime context. Based on this complexity, my research set out to determine peoples’ meanings attached to the concept of conservancy and to illustrate how these meanings influence the ability to attain collective action necessitated by the CPR management regimes superimposed on private property rights regimes. This was with the view to refine the concept of conservancy to enable those who establish and engage with conservancies to better appreciate the implications and the nature of the governance regime that is required for success. My results show that the success of a conservancy as a landscape approach is dependent on landowner commitment to collective action. Landowner commitment is also influenced by a shared understanding of the conservancy as a multi-tenure conservation area managed collectively for the conservation of biodiversity and ecosystem services across private properties. Thus Conservancy members need to develop an understanding of the conservancy as an area of contiguous multiple private properties that require collective management through integrated management planning, guided by a Dargle Conservancy management plan. Conservancy members also need to develop an understanding of the contiguous properties as encompassing biodiversity and ecosystem services that require common property rights regimes for their sustainable use and management. This explicit landscape approach will encourage landowner commitment to the conservation objectives set out in the multi-tenure conservation areas. I use my research findings to identify three issues for further research in community-based conservation areas as a landscape approach to conservation: firstly, research that focuses on developing integrated management plans for landscape-scale bio- and eco-regions by designating contiguous private properties into different categories of PAs according to collectively agreed conservation objectives; secondly, research that focuses on developing appropriate management regimes based on a model of multi-tenure conservation areas managed collectively for the conservation of biodiversity across private properties; and thirdly, research that focuses on establishing social structures for the development of adequate capacity and decision-making at the conservancy level to implement a landscape approach that supports ecological functions beyond individual boundaries. Building on this research will provide an important continuous learning process between conservancies and conservation agencies. Such learning is necessitated by the complexity of continually changing social and ecological systems that influence perceptions and behaviours.
Protected Area Outreach programmes : a case study and critical evaluation.
(1998) Venter, Andrew Karl.; Breen, Charles Mackie.
Sub-Saharan African conservation authorities are progressively shifting their emphasis away from law enforcement based management strategies, towards management strategies aimed at facilitating local community participation in the management of natural resources. These strategies include Community Based Natural Resource Management programmes, Collaborative Management programmes and Protected Area Outreach programmes. This thesis presents a conceptual framework, the Partnership Forum Framework, for the planning, implementation and evaluation of programmes aimed at integrating protected areas into their surrounding landscapes. The framework is structured around the progressive establishment and development of a co-management institution (Partnership Forum) responsible for the integration of a protected area into the surrounding landscape. The framework proposes that the establishment and initial development of such an institution can be characterised into three phases, namely, a forming, storming and norming phase. During these phases the preliminary institutional membership and working rules are defined through a progressive objective driven management process. These phases lay a foundation for a long-term (permanent) institutional performing phase during which the institution's members manage the integration of the protected area into the surrounding landscape, and progressively improve the membership and working rules through an ongoing monitoring and review process. The framework is structured around the following design principles, which need to be explicitly considered during the process of establishing and developing a Partnership Forum, namely: i. That the forum's membership must include the range of individuals, communities and organisations that either affect or are affected by the interface between the protected area and the surrounding landscape, and that the forum's membership boundaries must be clearly defined and not open-ended, ii. That these members must actively participate in defining and, where relevant, implementing the working rules which represent the institutional core of the forum's activities, iii. That the forum's activities should be supported by an ongoing monitoring and evaluation process which can progressively inform the revision of the forum's membership and working rules. Four case study descriptions and evaluations of the use of the framework are presented, based on the use of the framework for the development of four Partnership Fora along the western boundary of the Kruger National Park. The case studies are drawn from file notes and minutes which were kept of all public meetings, forum meetings and workshops arranged within the context of the fora between September 1993 and July 1996. The case study material is used to develop a revised process model for the development of Partnership Forum based programmes, and to develop a list of key questions which should be considered during the process of establishing and developing these institutions. Three key conclusions are drawn from the case studies, namely: i. The establishment of such programmes need to be supported by enabling legislation which gives these institutions appropriate authority over the management and use of the natural resources represented in the relevant protected area and its surrounding landscape. Within this context, the legislation currently being implemented within KwaZulu-Natal (South Africa) is cited as a useful reference for the development of enabling legislation throughout the rest of the region. ii. The institutional development of protected area outreach programmes must address the core property rights issues which are characteristic of the interface between most protected areas and the surrounding landscapes in which they are situated. These issues will include access to and ownership of the natural resources that occur both within and around the protected area. iii. In the short term, the effective establishment of these programmes will rely heavily on collaborative support from southern African non-government agencies to provide the financial and logistical resources required to build the capacity of the forum members to actively participate in the development of a programme.
Stakeholder meanings and robustness in social-ecological systems : implications for managing change.
(2015) Van Wyk, Ernita.; Breen, Charles Mackie.; Freimund, Wayne.
Alignment of stakeholder behaviour with policies and rules is a key concern where natural resources are managed in the public interest. This thesis is based on the premise that behaviours are founded upon meanings as meanings direct stakeholder preferences for resource benefits. I developed a framework representing a social-ecological system and drew on the theories of symbolic interactionism and ecosystem services to illustrate the dynamic relationship between meaning, context, behaviour, perception of benefits and public infrastructure (policies). I propose that by incorporating meanings into the design of institutions, public infrastructure will continually reflect adjustments in meaning reordering in relation to the meanings of the collective to promote supportive stakeholder behaviour and enhancing system robustness during times of slow as well as rapid, disruptive change. The validity of the framework was tested using a case study from Tokai, South Africa. An interpretive and post-normal paradigm provided the foundation for the detection of stakeholder meanings brought to the fore by semistructured narrative interviews. Computer aided software and a combination of inductive and deductive analysis were used to generate themes and expressions to illustrate the construction and evolution of meanings during two distinctive phases in the social-ecological history of Tokai. Using the framework to interpret results I was able to illustrate how meanings and meaning prioritisation influence the perception of benefits and how these aspects direct behaviours. The findings indicated the importance of procedural and distributive justice in the negotiated design of public infrastructure and I was able to illustrate the implications for sustaining system robustness. The framework was helpful as a model to interpret the dynamic relationship between meanings, behaviours and institutional design but additional frameworks were needed to facilitate the construction of scenarios that incorporate vulnerability of robustness as reflected by varying levels of relational connectedness and relational capital during cycles of change. I suggest incorporating relational connectedness together with attention to meanings as an approach to fostering relational capital that is likely to direct behaviours to align more constructively with the meanings of the collective, and the associated public infrastructure. My research exposes opportunities for further inquiry: (1) Deeper insights into the relationship between meanings, collective identity and behaviours; (2) Understanding the influence of organisational culture on the adaptive management of collective identity and (3) Greater understanding of how these theoretical aspects should be applied in the practice of adaptive management and governance.

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Browsing Doctoral Degrees (Environmental Science) by Author "Breen, Charles Mackie."