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Environmental Science and Policy 111 (2020) 63–73

Contents lists available at ScienceDirect

Environmental Science and Policy


journal homepage: www.elsevier.com/locate/envsci

Common institutional design, divergent results: A comparative case study of T


collaborative governance platforms for regional water planning
Emily Bella,*, Tyler A. Scottb
a
Nicholas School of the Environment, Duke University, United States
b
Department of Environmental Science and Policy, University of California, United States

ARTICLE INFO ABSTRACT

Keywords: Environmental governance challenges often span geographic and sectoral boundaries, requiring collaboration
Collaborative governance between diverse stakeholders and multilateral decision making. To facilitate such efforts, policymakers and
Regional water planning public managers create and support platforms that provide a structured framework for promoting collaborative
Natural language processing governance. As the collaborative platform model is often centrally initiated – e.g., when state or national actors
create a system of local collaborative resource management platforms – cross-case comparison is particularly
important for understanding how a common design leads to variance in procedures and outputs in local contexts.
Many collaborative platforms leave a “paper trail” of documents such as meeting records and plans. This analysis
compares 10 identically designed and simultaneously initiated regional water planning platforms in the State of
Georgia. Drawing on 106 meeting reports, we apply topic modeling to these meeting documents to generate
replicable and scalable measures of how participant actions and interest representation unfold over time.
Specifically, we measure topical focus on water planning issues over time, and compare these process-phase
measures between councils and against the content of the resulting plan developed by each planning council.
While existing literature has focused on how institutional design features such as representation and decision-
rules shape procedural outcomes and outputs, we observe considerable variation in procedural behavior and
plan outputs despite the fact that all 10 platforms share a common design. The consulting firm selected to direct
each local platform is shown to be associated with both the topical focus of each regions’ planning discussion and
the BMPs selected in regional plans. This comports with recent evidence pointing to the important – and largely
overlooked – role that technical consultants play in environmental governance and regulatory processes.

1. Introduction platform design, simultaneously implemented across local regions, re-


sult in consistent processes and outputs? And as a follow-up question,
Although collaborative governance sometimes emerges through what factors help to explain observed differences?
organic, “bottom-up” processes (Koontz and Newig, 2014; Guerrero Our observational research design takes advantage of an empirical
et al., 2015), increasingly the environmental governance literature re- case where a convening authority (the state of Georgia [United States])
cognizes that public agencies use collaborative governance tools stra- concurrently initiated ten regional integrated water resource manage-
tegically to further policy goals (Emerson and Nabatchi, 2015a; Newig ment (IWRM, see Grigg, 2019) planning processes occurring from 2009
and Koontz., 2014). One prominent approach is for federal, state, or to 2011. Existing studies of distributed collaborative platform models
regional policymakers to create, convene, and support a system of local compare individual platforms at different time points and/or within
platforms (such as regional forums, work groups, and planning coun- highly varied policy and regulatory contexts (e.g., Schneider et al.,
cils) that provide a structured framework for promoting collaboration 2003; Ulibarri, 2015b). In this instance, the ten IWRM processes were
(Ansell and Gash, 2018). Policymakers and convening agencies need to initiated simultaneously, given similar resources, tasks, and timelines,
structure local platforms in such a way that they adhere to regulatory and conducted under a common regulatory authority. Each planning
mandates and achieve central policy aims, but also allow for local in- process was documented in meeting summaries, which allows us to
fluence and stakeholder participation. This paper explores a simple measure and compare patterns of discussion within each region over
question in this regard: To what extent does a common collaborative time. Using automated content analysis of these documents, we assess


Corresponding author.
E-mail addresses: emily.bell@duke.edu (E. Bell), Davis.tascott@ucdavis.edu (T.A. Scott).

https://doi.org/10.1016/j.envsci.2020.04.015
Received 24 June 2019; Received in revised form 13 April 2020; Accepted 24 April 2020
Available online 04 June 2020
1462-9011/ © 2020 Elsevier Ltd. All rights reserved.
E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

each deliberative process and how this corresponds to subsequent that each platform faces a unique array of challenges (Hughes and
planning outputs. Pincetl., 2014). Thus, platform processes and outputs may differ to the
In the following section, we discuss how internal (i.e., platform- extent that stakeholders face heterogeneous management challenges
specific) and external (i.e., region-specific) dynamics are theorized to (Koontz and Newig, 2014) and different institutional contexts (Lubell
shape collaborative environmental governance processes. Next, we and Lippert., 2011). To understand internal drivers of collaborative
provide an overview of the Georgia regional planning case and the data- processes, recent work has focused on how stakeholder participation
collection processes. We then describe the automated content analysis shapes collaborative processes and outputs. Newig et al. (2018) posit
approach we use, and how this method fits within recent efforts to that the nature and strength of public participation in a collaborative
develop objective, replicable, and scalable measures of collaborative platform shapes the extent to which a given local platform exhibits
governance processes and outputs. Our analysis: (1) shows how colla- unique and/or divergent results. In other words, a common platform
borative platform processes vary as a function of contextual drivers design will tend to beget common results until or unless the involve-
such as shared consultants; and (2) compares topical emphases ob- ment of local actors exerts a unique influence. Platform implementation
served in each planning process to the content of the regional water choices also shape outputs. Focusing on the same set of Georgia IWRM
plans developed by each planning council. The concluding section re- cases considered herein, Scott and Carter (2019) find a strong corre-
flects on the theoretical and methodological implications of this study spondence between generated plan content and the private consultants
for collaborative governance scholarship, and outlines future directions contracted to facilitate each local regional process.
for data collection and content analysis that can further our under- Many comparative studies of collaborative platforms have relied
standing of collaborative institutional design. upon content analysis of platform outputs and post hoc surveys of par-
ticipants (Koebele, 2019b; Biddle and Koontz., 2014; Ulibarri, 2015b).
2. Drivers of collaborative governance processes Tracing how collaborative processes unfold over time has proven more
elusive. However, many collaborative platforms generate procedural
Collaborative governance refers to institutional processes and struc- documents such as meeting summaries, public comments, and other
tures that support coordination and cooperation among managers and textual data that provide a longitudinal record of how a given process
policy decision makers from different organizations, administrative le- unfolds. These texts can be used to shed light on attendance, discourse,
vels, and sectors (Emerson and Nabatchi, 2015b). Practitioners use power dynamics, adaptation, and various other procedural dynamics
collaborative governance to address transboundary or trans-sector en- (Scott et al., 2020; Koski et al., 2018; Purdy, 2012; Emerson and
vironmental policy issues such as water resource management (Scholz Gerlak., 2014). Due to the difficulty of accessing these procedural data
and Stiftel, 2010) and land use and transportation planning (Lubell and of scaling up content analysis, much of the process-oriented col-
et al., 2010), where the scale and scope of policy problems and existing laborative governance research has focused on single cases, with Hui
authorities are mismatched. et al. (2018) being a notable exception.
Public managers sometimes collaborate directly with other stake- This paper takes advantage of automated content analysis tools,
holders, but also use a variety of strategies to foster collaboration namely topic modeling, applied to procedural documents from ten iden-
among stakeholders themselves (Koontz et al., 2004). Drawing from the tically designed, simultaneously implemented collaborative platforms to
technology world, Ansell and Gash (2018) coin the idea of collaborative compare process trajectories. Our analysis seeks to evaluate the extent to
platforms to describe institutional structures that promote and support which distributed platforms exhibit consistent behavior, and to understand
collaboration (Ansell and Gash, 2018). Support might include tangible what contextual drivers are associated with different trajectories and
benefits such as administrative support, facilitation, and technical re- outputs. In the next section, we provide an overview of the Georgia re-
sources, and rules that use incentives or require consultation and en- gional planning case that enables a qualitative, comparative study.
gagement (Scott and Thomas., 2017). Often, collaborative platforms are
used to locally implement centrally mandated policies and programs. 3. Background: regional water planning in the State of Georgia
For instance, the state of California’s Sustainable Groundwater Man-
agement Act requires local water agencies and users to develop basin- This study focuses on collaborative regional water planning pro-
level management plans (Kiparsky et al., 2017), the U.S. Environmental cesses in the State of Georgia. After decades of mounting pressure from
Protection Agency’s (EPA) National Estuary Program engages regional population growth, drought, and increased competition for water re-
stakeholders at 28 major estuaries to design and implement conserva- sources (Coastal Georgia Council, 2011), the Georgia General Assembly
tion and management plans (EPA, 2015), and the U.S. Federal Energy approved a State Water Plan in 2008. The plan divided the state into ten
Regulatory Commission (FERC) supports collaborative licensing and planning regions and mandated that each develop a Regional Water
operational planning processes for privately owned hydropower facil- Plan to account for local – but interconnected – water management
ities nationwide (Ulibarri, 2015a). issues (Georgia Water Council, 2008). The plan also authorized the
While these types of collaborative approaches are normatively state governor to appoint a body of 40 stakeholder representatives to a
popular, much remains unresolved about how and why different in- planning council for each region. The objective of the council ap-
stitutional designs shape outputs and outcomes (Newig et al., 2018). pointments was to provide opportunities for representation of “local
Institutional design is critical for the distributed collaborative platform governments, water users, and other water-related interests in each
model to ensure program fidelity and coherence across local platforms planning region” (Georgia Water Council, 2008). In practice, this meant
while still allowing for local input and flexibility (Kiparsky et al., 2017). that participants included water managers such as local governments
Design features such as decision rules, size, representation, and lea- and water utilities, representatives of industries such as agriculture,
dership structure and frame how platforms function (Choi and manufacturing, and energy production, and development and con-
Robertson., 2014; Dobbin and Lubell, 2019; Parker et al., 2010). An servation interest groups. Councils were tasked with three primary
important question in this regard is what variation policymakers should areas of focus: (1) water resource assessment and monitoring, (2)
expect within a distributed collaborative platform model. In other forecasts of water supply, demand, and quality, and (3) identification of
words, what level of consistency in process and outputs might be ex- management practices to meet social needs and to protect water re-
pected when higher-level policymakers deploy the same collaborative sources (Georgia Water Council, 2008).
platform design in multiple local contexts? To support each platform in the planning process, the Georgia
Existing evidence points to a variety of external and internal factors Environmental Protection Department (EPD) hired an environmental
that shape collaborative platform implementation. First, heterogeneity consulting firm for guidance and facilitation (Fig. 1). Bidding and selection
in local environmental, institutional, and demographic features means occurred on a region-by-region basis, resulting in the hiring of four

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Fig. 1. Georgia Water Planning Regions and consulting designations.

separate firms, with each firm responsible for either two or three of the ten deliberation process – BMP and Plan language recommendations to the
planning regions. Consulting agency representatives followed a common council often resulted in subsequent subcommittee review and con-
set of state-established guidelines to direct each regional process. sideration. Where subcommittees could not reach consensus on BMPs or
From 2009 to 2011, stakeholders in each region met every two months language to include in the draft, the council served as an arbiter. Over
to ultimately generate their respective plans by a common deadline. time, this strategy moved the draft plan content close to the participants’
Appointed council members and planning consultants convened every collective goals until the council finally approved the draft plan by con-
meeting throughout the duration of the planning process. State re- sensus to submit for EPD approval.
presentatives and technical experts (e.g., hydrogeologists, foresters, etc.) The consistent state-designed institutions and timeframe across all
also intermittently participated by giving presentations, answering ques- water planning regions creates an opportunity to systematically com-
tions, and providing other means of support. For the duration of the pare topics of deliberation between processes and over time. We use
process, consultants followed state requirements by facilitating discussion summary documents of these meetings to assess the topical focus and
between council members to establish terms that would be included in a trajectory of each deliberation process. In the next section, we describe
memorandum of agreement between the planning council, the Georgia and deploy the automated content analysis approach we use and how
EPD, and the Georgia Department of Community Affairs (DCA). this method fits within recent efforts to develop objective, replicable
Consulting firm representatives also led group exercises, surveying parti- and scalable measures of collaborative platform processes.
cipant concerns and knowledge about regional trends. This helped to
frame objectives of the planning process and familiarize stakeholders with
regional water capacities and needs. In subsequent meetings, consulting 4. Methods: automated content analysis
responsibilities entailed updating council members and other stakeholders
with state-developed regional assessments, monitoring data for water use To evaluate the dynamics of each collaborative process, we apply
and discharge, and provided projections for future energy, municipal, in- topic modeling2 to meeting summary documents. By modeling topical
dustrial, and agricultural use. focus on a meeting-by-meeting basis, this approach provides a detailed
During the planning process, each region’s council appointed sub- account of specific time points in the planning process (Hui et al.,
committees of council members to choose best management practices 2018). The method of topic modeling we use is latent
(BMPs) from a state-generated list of options for inclusion in the draft plan. Dirichlet allocation (LDA) (Blei et al., 2003). LDA is a common topic
These subcommittees also held responsibility for developing plan subsec- modeling method and has been employed in a variety of environmental
tions, which followed a predefined structure that had been developed by governance research applications (e.g., Grubert and Siders, 2016;
the Georgia EPD.1 Subcommittee actions were embedded in an iterative Altaweel et al., 2019). Applications include hazardous waste problem
definition in Congressional hearings (Nowlin, 2016), media portrayals
of natural resource controversies (Blair et al., 2016; Sachdeva et al.,
1
All plans, for example, included standard sections on topics such as current
2
water resources, forecasts and future water needs, goals to address water needs, Topic models are statistical models used in natural language processing to
and implementation strategies. detect abstract topics that appear in a corpus, or collection of documents.

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Fig. 2. Topic model of stemmed text from Georgia RWP reports, 2009–2011.

2018), and public perceptions about water conservation (Gao et al., 4.1. Data sources and processing
2018).
In brief, a topic model represents the content of documents within a Our primary data consists of 106 meeting reports generated by ten
corpus based upon the relative prevalence and co-occurrence of words and different IWRM processes in the 2009–2011 planning period. These
phrases in each document (Grubert and Siders., 2016). The aim is to word data are published on the Georgia Water Planning website.5 Profes-
and phrase content on a reduced set of dimensions, or topics, that re- sional facilitators contracted by the Georgia EPD both guided meetings
present latent concepts or themes. LDA is a Bayesian model that estimates and wrote memos summarizing each meeting that occurred in each
the probability distribution of documents across latent topics, and the region. All memos followed a similar structure, beginning with meta-
probability distribution of these latent topics across words or n-grams3 data on the sender, receiver, date, and location. The procedural docu-
(Blei et al., 2003). The number of latent topics is prespecified, and the ments also contain data showing stakeholder attendance, participant
model then associates words with topics – which allows us to identify the actions, and interest representation. Next, these documents outlined
nature of a given topic – and the topic(s) of a given document. meeting agendas, discussion and activities that transpired for each
To train our LDA model, we examined n-grams present in more than meeting item, and a roster of attendees which categorized participants
three documents, but no more than 68% of the documents in the by their role in the planning process (e.g., water council members,
corpus. The objective of these cutoffs is to exclude words that are so public attendees, state agency representatives, etc.). All report content
ubiquitous they will be found no matter the topic (e.g., filler words such was written in prose (as opposed to shorthand), enabling a systematic
as the and and, and words which are generic to this case context such as analysis of meeting events across documents and regions.
water or council), as well as words which appear too infrequently to Prior to analysis, we used a series of standard techniques to pre-
estimate their topical distribution. process the text, including tokenization, named entity recognition
For LDA, there is no single agreed-upon approach to selecting the (NER), stemming, and removal of stop words. Through tokenization, we
number of topics to analyze. To address this, we tested: (1) the “elbow” generated base units of analysis from raw text input, such as words,
heuristic, which attempts to find a topical cutoff point using k-means numbers, symbols and punctuation, allowing us to filter out non-
clustering (Evangelopoulos et al., 2012; Kosinski et al., 2016); and (2) a
multiple measure fit index operationalized within the ldatuningpackage
(footnote continued)
in R (Nikita, 2016). However, both were inconclusive (see Appendix A).
terms in the topics overlap (we measured a score of 0.18), where 0 would be
Thus, we turned to an iterative approach, adjusting the number of to-
perfect overlap (more stability in the topics) and 1 would be no overlap (the
pics until the groups of elements reflected logical and separable topics least stability). Second, we used topic-term stability to see the proportion of
(Feuerriegel et al., 2016). We find that fitting three latent topics gen- overlap between two topics to the total number of terms in the topic when we
erated groupings that provide the most interpretable results and appear use different seeds for the model. This produced a score of 0.69 (1 being perfect
empirically grounded in the regional water planning process.4 overlap), suggesting that that majority of the terms in two topics – even with
different seeds – tend to overlap. Finally, with partition stability, we were able
to assess the extent of agreement on the topics the documents covered. This
3
An n-gram refers to an n-length portion of a longer string. A bigram, for measures, for example, whether the frequency of topic emphasis we observe in
example, could be any pair of words, such as stream buffer or interbasin transfers; the temporal plot is accurate. A score of 1 indicates perfect stability in what the
trigram examples might include terms such as water use efficiency or non-point document text will be labeled (e.g., top emphasis in Topic 1 vs. Topic 2, etc.).
source pollution. We used unigrams, bigrams, and trigrams. The partition stability produced a score of 0.58, indicating how well the topic
4
LDA is stochastic, meaning that the different results can occur each time the labels on documents in one model (with one seed) predict the topic labels on
model is fit. To ensure replicability, it is necessary to also set a seed (i.e., the documents produced by a model with another seed. At random chance, this
starting value for R’s random number generator). To assess the degree of pos- would be generally a much smaller score (e.g., 0.02), so this score aligns with
sible variation, we ran ten models, each with different seeds from our original an expected score for a well-fit LDA model. For further reference on these ap-
model. To examine consistency, we used three different measures. First, we proaches, please see (Belford et al., 2018).
5
used average descriptor set difference, which shows us the extent to which top https://waterplanning.georgia.gov/

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Fig. 3. Topical emphasis by region and meeting.6

essential tokens. Next, we used NER to identify references to real-world 5.1. Topical emphases in IWRM planning processes
referents such as people or places. In our case, NER was useful for fil-
tering out these entities by removing tagged NER tokens for people, Fig. 2 shows the top 10 terms associated with each of the three
places, and organizations. Because each IWRM process involves dif- estimated latent topics fit to the text of all observed meeting reports. In
ferent local places and local stakeholders, named entities create in- this figure, the y axis refers to the elements for each topic that appeared
herent content differences between process documents that cloud our most frequently, and the “beta” term on the x axis refers to the loga-
ability to model substantive differences of interest. Thus, we removed rithmized parameter of each element (word) in a topic, or the model’s
person and place tokens to specifically analyze and compare planning value for that word—higher weights reflect a stronger element asso-
discussions of water management issues and practices. ciation with a given topic.
We then stemmed the words to examine only the root of the tokens Elements of the first topic are primarily standard terms and proto-
(e.g., actors, acting and acted would become act). This ensured max- cols for regional planning. Unigrams and bigrams, including procedure,
imum detection of words with a common meaning. Finally, we removed moa (“memorandum of agreement”), oper procedur (“operating proce-
“stop words” (common words that do not convey meaning or context) dure”), and epd response (i.e., “Georgia Environmental Protection
such as the, and, and a in order to remove noise and improve the pre- Division response”) were common terms in several of the regional
cision of our analysis. To account for frequent words common in front planning documents.
matter (e.g., titles, page headers, and review of prior meetings), we The second topic includes terms relating to water quality and
excluded terms such as council and meeting as additional stop words. quantity. For example, nutrient and standard could refer to nutrient
standards established in accordance with the Clean Water Act (CWA),
requiring states to regulate pollutant quantities in water bodies.
5. Results Standards were also central to planning discussions of provision topics,
such as variation in water withdrawal permitting, which could impact
The results section proceeds as follows: First, we present topic assimilative capacity in streams. Another common point of discussion in
model results across processes and over time and discuss the validity of technical expert and council review was the sustainable yield of regional
these findings. Second, we review the regions’ respective planning
outputs. We then summarize planning outputs and assess how topic
model results reflecting deliberation in different planning processes are 6
All regions concurrently participated in the planning process but reports for
associated with differences in planning outputs. some meetings were not available.

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Table 1 For example, Topic 2 was virtually absent in meeting report content for
Descriptive water quality and quantity statistics by region.a the ALT, CGA, and SSA regions (which contracted CDM Smith), was
Region Average Percentage of Total miles no or Total miles very slightly more evident in the CNG, MOC, SUO, and UOC regions (using
surface aquifers where exceeded good assimilative CH2M Hill and JJG Consulting), and showed comparatively much
water gap demand exceeds assimilative capacity greater frequency over time in the LFO, MCH, and UFL regions7 (Black
(MGD) safe yield capacity and Veatch Consulting). This comports with a prior finding in the case
ALT 62.60 NA 339 1334
of Georgia water planning by Scott and Carter (2019) that consultant
CGA 38.10 NA 383 861 firms are a key influence in collaborative planning processes. Like Topic
CNG 11.64 NA 67 1019 2, the third topic – containing a collection of regional planning and
LFO 227 33% NA NA water quantity elements – shows some variation linked to regions
MCH 365 0% NA NA
whose planning meetings were facilitated by the same consulting firm.
MOC NA NA 43 506
SSA 87.6 0% 120 522 The degree of emphasis of Topic 3 also varies spatially – only planning
SUO NA 0% 267 626 regions that were spatially contiguous with the MNGWPD showed at
UFL 227 25% 8.80 NA least moderate-to-high levels of frequency in emphasis in the planning
UOC NA 0% NA NA
period. This pattern alone does not equate to inferences about the
planning process, but indeed directs attention to natural resource
1NA = either no data were available, or results were presented in visual
(mapped) format. management challenges that may warrant further attention in future
a
Plans discussed future quality and quantity projections, but these often did research.
not present numerical estimates.

5.3. Variation in topical emphasis

water, or the volume of groundwater resources that could be withdrawn Despite some common regional trends in topical emphasis, there
without negative implications. In the meetings, technical experts often remains the question of why some planning processes would exhibit
led discussion by explaining model results for current and projected practically no emphasis for some of the topics. For example, why would
regional water status. During these processes, council members also Water Quality and Quantity – a very important topic in this planning
examined current regulatory frameworks, namely the US Army Corps of context – have virtually no mentions over time in the Altamaha (ALT),
Engineers Water Control Plan, designed to promote water management Coastal Georgia (CGA), and Suwannee Satilla (SSA) region meeting
safety, conservation, and compliance with federal legislation for major reports?
water control infrastructure (USACE, 2016). The term control also sur- To address this question, we compared the ALT regional features
faced in relation to erosion and sedimentation control during har- with the CNG and MCH regions which showed moderate, and high le-
vesting, and proposed EPA requirements to control nutrients (i.e., ni- vels of temporal emphasis for Topic 2, respectively. The MCH – as
trogen and phosphorus), which was of key interest following a federal discussed earlier falls within the Apalachicola-Chattahoochee-Flint
lawsuit under the Clean Water Act. Following discussion, consensus was RiverBasin, which has been characterized by several decades of com-
a common term that appeared in discussions in deciding best man- peting water uses, severe drought, and associated water-quality chal-
agement practices to include in the regions’ respective water plans. lenges linked to the assimilative capacity of water bodies such as lakes
The third topic is less clearly defined (with lower beta measures and and streams (Vaughan, 2001; Leitman, 2008). Planning in this region
greater element diversity) than the first and second topics. Nonetheless, discussed model outputs for planning resource assessments to discuss in
the third topic does exhibit several elements linked to water quantity inter-regional joint meetings in the Basin that were organized by the
issues, as well as regional planning goals and decisions. For example, EPD (Cash, 2010). Complex hydrogeology in the CNG region creates
minimum, close, and node often appeared with regard to topics such as highly-localized interactions between ground and surface water sys-
minimum flow regime for regions’ rivers and whether there was a gap tems, which motivated discussion about accessing new reservoirs to
to close between water-use needs and availability; these nodes would be reduce storage costs for meeting future demand and improving assim-
points of data collection along the river for expert water resource as- ilative capacity during low-flow times8 (Brownlow, 2009). The ALT
sessments. Given water conditions during that period, there were sev- region council members and consultants examined options to address
eral occasions in planning meetings in which council members asked future low-flow periods and storage needs (Brown and Zitsch, 2010),
technical experts about the potential for interbasin transfers to alleviate but this precluded discussion about reservoir access or issues of com-
future potential water shortages. Finally, the word district often sur- peting demand.
faced when council members in regions adjacent to the Metropolitan
North Georgia Water Planning District (MNGWPD) discussed the future
implications of urban growth and how this would impact their own 5.4. Topical emphasis of meetings and regional water plan content
water resources.
With LDA we highlight latent topical dimensions not readily evident
5.2. Topical emphases over time in reported meeting deliberations, but these alone do not tell us about
planning decisions. In this section, we manually review state approach
Fig. 3 plots estimated topical distributions by meeting and region for regional water plans (RWPs) developed by each planning council, and
the 2009–2011 planning period. Two key trends in this schematic are compare topical emphases from our model with plan output. We then
the temporal prominence of topics at specific points in the planning discuss key insights from these comparisons.
process, and place-based variation. Emphasis of the first topic – regional
planning and protocols – peaks early on in the planning period for all
regions, albeit to different extents. Topic 1 may have surfaced earlier on
in the process due to discussion about the memorandum of agreement 7
The LFO, MCH, and UFL regions each fall largely within the ACF River
required between planning councils, the Georgia EPD, and the DCA to Basin.
establish operating procedures and rules for meetings. 8
Low-flow periods can impact the assimilative capacity of water bodies, or
Temporal patterns for the second topic – covering aspects of water their ability to receive wastewater without detrimental impacts on aquatic
quality and quantity – varied across regions by consultation leadership. wildlife or humans consuming the water (GA EPD, 2009).

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Fig. 4. Shared best management practice selections between regional water plans.

5.5. Comparing RWP emphasis on water quality and quantity with best surface water gaps in MGD and showed relatively little emphasis in the
management practices planning meeting content. Unlike the quantity measurements, assim-
ilative capacity appeared to have no clear patterns in relation to re-
We anticipated that Topic 1 – logistics of the planning process – gional topic emphasis.
would not manifest as planning decisions in and of itself, so we com-
pared the latent water quality and quantity topic (Topic 2) to regional
5.6. Water quality and quantity BMPs
plans to evaluate patterns between process and output. Specifically, we
focused on RWP assessments of i) water quality and quantity resources
Next, we compared the temporal emphases of the water quality and
(Section 2) and ii) future resource capacity and needs (Section 5). By
quantity topic to BMPs selected by each region for their respective plans.
comparing temporal emphases of the topic model with the plan sec-
Specifically, we evaluated the extent to which regions with similar topical
tions, we could assess similarities and differences for key areas of
emphasis also shared common BMPs. Fig. 4 maps shared water quality and
concern. For projected surface and groundwater quality and quantity,
quantity BMP selections between planning regions. The thickness of the
these included (i) assimilative capacity,9 (ii) aquifer capacity and “safe”
edge connecting two regions reflects the number of BMPs selected in
or “sustainable” yield,10 and (iii) surface water availability, as recorded
common between those two regions. For instance, ALT, SSA, and CGA
at different planning nodes.11
regions have 17 identical BMPs in their respective plans.
Descriptive measurements of regional water quality and quantity
Comparing the observed topical emphases from meeting delibera-
(Table 1) showed similar patterns to topical emphasis in the meeting
tions with the selected BMPs, we saw strong similarities among regions
reports. The LFO, MCH, and UFL regions—which had the highest
guided by common contracted consulting firms. Fig. 4 shows, for ex-
average gaps between surface water supply and demand in average
ample, that the ALT, SSA, and CGA regions included a high number of
MGD—also showed high frequency and emphasis for Topic 2. Alter-
shared water quantity and quality BMPs in their respective plans.
nately, the ALT, CGA, and CNG regions had the lowest measured
Common representatives from CDM Smith Consulting supported and
facilitated the collaborative decision-making process for the ALT, SSA,
and CGA regions. Likewise, the LFO and UFL regions also share a re-
9
Assimilative capacity refers to the amount of pollutants that can be released latively high number of BMPs, as do the CNG and UOC regions – these
in a watershed while still meeting water quality standards; issues such as fecal pairs received planning assistance from the Black and Veatch and
coliform, dissolved oxygen levels, and pH imbalance may be sufficient to cause CH2M Hill consulting firms, respectively. Given this, one could infer
a water body not to meet standards and be placed on the 303(d) list of impaired that consultants not only influence planning process dynamics, but have
waters to be addressed by total maximum daily load (TMDL) standards (MOC
some influence on plan outputs. However, there are also cases where
Regional Water Planning Council, 2011).
10 neighboring regions without the same hired consultants chose many
Sustainable yield refers to an amount of groundwater extraction that can be
sufficiently recharged or stored. identical BMPs (e.g., CNG and MCH regions). Given the regional clus-
11
Planning nodes are stations located along rivers that collect longitudinal tering of firms (e.g., CDM Smith served all three regions in the south-
data from measurements of river flow; these data can inform computational east/coastal part of the state), it is difficult to tease out the relative
models of the severity and duration of gaps between supply and demand for influences of common geographic context and common consultant
future projections (ALT, 2011). guidance.

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6. Discussion and conclusion Further, while technical context remains relatively constant in our
analysis – since all platforms are engaged in IWRM planning – we also
Policymakers who fund and initiate collaborative decision-making expect that the relative influence of expert consultants is likely to vary
processes face many uncertainties about how the process will unfold depending on the informational needs of platform participants and the
and what the results will be. This analysis shows how a simple auto- technicality of the problem(s) at hand. For instance, in the Georgia
mated content analysis method, topic modeling, can be applied to IWRM case appointed council members were primarily representatives
meeting summary documents to compare the procedural dynamics of of local governments and interest groups, and not necessarily technical
multiple collaborative platforms and link these dynamics to subsequent experts. In a different context where participants have more technical
outputs. Despite a shared institutional design and strong contextual issue expertise and experience, consultants might play a more facil-
similarities between the ten cases analyzed, we observe major differ- itative role. Similarly, different environmental governance issues pre-
ences both in how platforms proceed with IWRM planning and the sent different levels of technical complication and informational needs.
management plans they generate. Interestingly, these differences do not To the extent that collaborative platform decisions pertain to science
appear to correspond to policy conditions such as projected water de- and engineering questions, rather than issues such as stakeholder co-
mands or pollution issues. Instead, the environmental consulting firm ordination, value disputes, or distributional choices, we hypothesize
hired to support each council is a stronger predictor both of which that the relative influence of technical consultants on collaborative
topics participants discuss and which BMPs a council selects. While the processes and outcomes will vary accordingly.
normative view of collaborative environmental governance often fo-
cuses on stakeholder inclusion and participatory decision-making, the 6.2. Methodological reflection
role and influence of the ‘consultocracy’ (e.g., documented in other
policy sectors by Jupe and Funnell, 2015; and Gunter et al., 2015) re- Collaborative environmental governance platforms often generate
mains an understudied issue. In what follows, we conclude by first re- considerable “paper trails” (e.g., meeting summaries, scoping and draft
flecting on these findings, and second on the promise and problems of documents, comments and reviews, etc.). This paper presents an ex-
using automated content analysis to research collaborative governance. ample of how automated text analysis techniques can be applied to
analyze and extract information from these documents. While the
6.1. Theoretical reflection analysis above is descriptive in nature, it serves to demonstrate a
scalable and replicable approach for measuring how collaborative
As discussed previously, a fundamental institutional design chal- platforms function over time. LDA is anything but novel, but the extent
lenge for collaborative governance platforms is achieving the con- of its application in this research area is limited.
sistency and regularity necessary to satisfy procedural aims and ensure Obviously, the immediate appeal of automated content analysis is that
program fidelity while still allowing flexibility necessary for success in automation makes it much easier for a researcher to assess and characterize
different local contexts (e.g., Kiparsky et al., 2017). Often, the literature document content. Perhaps more promising, however, is automated con-
has focused on how representation (who is invited to participate) and tent analysis methods provide a means for scaling up comparative research
decision-rules (how collective decisions are made) shapes procedural designs. Topic modeling and similar tools provide a means of consistently
outcomes and outputs (Choi and Robertson., 2014; Koski et al., 2018; measuring and comparing texts across cases and time. For instance, the
Brown, 2002; Siddiki et al., 2015). However, in the case of Georgia LDA model fit to the Georgia IWRM cases for 2008–2010 can now be
IWRM planning, we observe considerable variation in procedural be- applied to meeting summaries from subsequent plan update processes or
havior and plan outputs. Considering that all ten cases considered IWRM planning cases in an entirely different place to generate objective
herein share a common institutional design and many contextual si- measures of how content differs in these cases and contexts.
milarities, it is noteworthy that we observe many different discussion Traditional qualitative coding methods are much more difficult to
trajectories. replicate and extend in this fashion, particularly between different re-
Instead, the consulting firm selected to direct each local platform is searchers. In contrast, automated content analysis is highly scalable
shown to be strongly associated with both the topical focus of each since additional data inputs can be readily incorporated, and in most
regions’ planning discussion and the BMPs selected in regional plans. cases, replication is largely a matter of deploying a common fitting
This comports with recent evidence pointing to the important role that algorithm. Thus, while automated content analysis does not obviate the
expert technical consultants play both in Georgia water planning spe- need for detailed case knowledge, one can easily see the important role
cifically (Scott and Carter., 2019) and in environmental governance that topic modeling and similar tools can play in large scale research
writ large (Edelenbos et al., 2011; Sardo and Weitkamp., 2017). networks. It is within such networks that multiple research teams could
The observed correspondence between plans and consultants in this conduct longitudinal studies of collaboration and coordination in
exploratory analysis points to several testable hypotheses going for- complex governance systems.
ward. One particularly interesting line of future inquiry relates to the Our exploratory analysis also demonstrates several challenges when
role that experts play in generating knowledge within collaborative using topic modeling in empirical environmental governance research.
platforms. Emerson and Nabatchi (2015a) describe collaborative gov- First, topic modeling is often unsupervised, meaning that the user does
ernance as having emergent properties, meaning that the collective not know a priori what words and phrases will “hang together” nor the
enterprise can create or result in collective conditions that do not exist optimal number of groups of those objects. A key consideration for
within or cannot be created by the constituent parts. Knowledge and researchers using LDA, then, is how to assess the construct and content
knowledge creation in particular have been shown to play a key role in validity of topics selected. Measured topics are typically defined in-
building emergent capacity for environmental governance (van der ductively by evaluating the distribution of words associated with dif-
Molen, 2018). When consultants are viewed as co-producers of ferent topics and the distribution of topics within documents. Defining
knowledge within a collaborative platform, the particular expertise and and distinguishing topics is easiest when the topics differ more.
experience of the technical consultants involved might be hypothesized Tutorials and model tests often use corpuses such as the 20 Newsgroups
to play a more influential role in how collaboration unfolds than if data set (Rennie and Lang., 2008), which contains news articles per-
consultants are viewed more as facilitators. Coupling more detailed taining to diverse topics such as science, religion, and sports. These
information about the technical consultants supporting a collaborative categorical distinctions make it much easier to rely on contextual clues
platform – e.g., past projects, training and education, firm emphases – to define topics than in the case of the IWRM meeting documents we
with collaborative platform process and output measures is necessary to analyze (because all topics are water-related and conceptually inter-
test this influence. related).

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

This challenge of clearly measuring and distinguishing subtopics stakeholders that participated in the Georgia regional planning process,
within a conceptual domain is not limited to topic models. In the course for example, could speak to key subjective factors such as participant
of this analysis we also attempted to classify document content using learning (Koebele, 2019b), issue coordination (Koebele, 2019a), and
pre-trained semantic similarity measures fit to a massive open-domain power dynamics (Purdy, 2012; Dobbin and Lubell, 2019). Likewise,
corpus (see Mikolov et al., 2013).12 This approach likewise struggled to consequential interactions such as “hallway conversations” at meetings
provide meaningful and clearly interpretable topical distinctions be- and discussions that occur outside of formal group events and meetings
cause all content was (correctly) identified as being within the general are not shown in procedural documents, so automated content analysis
context of water. Domain-specific semantic representation models (e.g., alone can potentially miss key elements of the story. Nonetheless, au-
Hamilton et al., 2016) offer to improve measurement of subtopics tomated content analysis and other NLP tools offer a means by which to
within a specific policy domain. However, training a model on a par- answer the call for larger comparisons and longer analyses to better
ticular corpus affects how well the model transfers to other domains understand the causal pathways and outcomes of collaborative en-
(e.g., different governance scales or related issues). For example, if a vironmental governance (Thomas and Koontz, 2011; Koontz and
model is trained to examine local water management processes, its Thomas, 2006; Newig et al., 2018).
ability to scale to other policy issues, geographic extents, or adminis-
trative levels may vary depending on whether contexts have greater or
fewer topics, different topics, or elements that comprise these topics. CRediT authorship contribution statement
Thus, there are tradeoffs and benefits associated with both domain-
specific and open-domain content analysis approaches. In any case, Emily Bell: Conceptualization, Investigation, Software,
developing domain specific models for particular environmental gov- Visualization. Tyler A. Scott: Supervision, Data curation,
ernance applications is also a promising avenue for future work – given Conceptualization.
the specialized terms and technical issues associated with different
environmental issue areas, content analysis models customized for a
given domain likely offer more specificity and nuance. Declaration of Competing Interest
Finally, while text mining and natural language processing (NLP)
tools enable large-scale, objective measurement of certain aspects of The authors declare that they have no known competing financial
collaborative platforms, these tools perhaps offer the most promise as interests or personal relationships that could have appeared to influ-
part of mixed methods designs. Surveying or interviews with ence the work reported in this paper.

Appendix A

See Figs. A1 ans A2

Fig. A1. An elbow analysis to determine the number of appropriate topics to include in an LDA model. This analysis presents no elbow, however, so hyperparameters
required informed judgement.

12
While a full discussion of semantic similarity models is beyond the scope of this paper, in brief, we used the word2vec (Mikolov et al., 2013) word embeddings
model. Word embeddings represent words and phrases as vectors in a multi-dimensional context space. Dimensional values are estimated based on the co-occurrence
of words with surrounding words, with the underlying logic being that words that occur nearer to one-another in text are more contextually similar. Whereas topic
models model content using a “bag of words” approach, word embeddings are estimated by predicting a target word based on the nearest surrounding words (the
“continuous bag of words” approach) or by predicting surrounding words given the target word (the “skip-gram” approach) (see Mikolov et al., 2013). In applying
word embeddings to the Georgia IWRM corpus, the shortcoming we thus encountered was that water issues such as water quality, water demand, and water returns
are of course contextually similar. Thus, attempting to measure how much a given meeting document related to water quality versus water demand, for instance,
resulted in unmeaningful (and sometimes nonsensical) results.

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E. Bell and T.A. Scott Environmental Science and Policy 111 (2020) 63–73

Fig. A2. An LDA Tuning model, which draws on four different algorithms for detecting the ‘best’ number of topics. This is supposed to be determined from the point
at which the functions level out, but there is no clear indication of this.

Appendix B. Supplementary data

Supplementary material related to this article can be found, in the online version, at doi:https://doi.org/10.1016/j.envsci.2020.04.015.

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