Nudging in the Forests—the Role and Effectiveness of NEPIs in Government Forest Initiatives of Bavaria
Authors: Aurenhammer Peter K. 
Published: February 2020

This paper analyzes the use of new environmental policy instruments (NEPIs) and instrument mixes in government forest initiatives (GFIs), in Bavaria. It traces research questions on the repertoire of instruments applied and if an application of NEPIs leads to improving program effectiveness and legitimacy. In accordance with recent literature it assumes that GFIs, being developed and implemented for a long time in Bavaria, will make use of an instrument mix, including modern policy instruments; and that the use of such a mix of instruments would lead to improved effectiveness and legitimacy. The empirical paper aims to test these currently dominant theoretical thoughts and to contribute to further theoretical discussion with new empirical data, but it does not suggest a new theory. The primary data-basis for the analysis is qualitative interviews with 175 people from 16 GFIs, the selection of interviewees being based on social network analysis. The analysis uses an instrument typology as an analytical reference point and reveals that GFIs used a broad variety of instruments, both, traditional and new ones, to support and facilitate a range of activities in priority areas of forest landscapes, as expected. Some traditional instruments were modified for the use in GFIs only, other instruments were newly created for the purpose of GFIs, e.g., voluntary agreements between government forest administrations (AELFs) and private forest owners (PFOs). This supports assumptions from the theory that the most common forms of instrument integration would be layering and fusion. The paper also analyzes if the use of a mix of instruments by GFIs led to improving effectiveness and legitimacy, thereby contributing to a relevant question in the literature, because developing more complex policy instruments (NEPIs), is considered to help to avoid many problems of more traditional instruments in environmental governance. The analysis uses a set of theoretical elements, attributed to the use of NEPIs or modern instrument mixes, and compares these with actual empirical observations, to answer the question, if modern instrument approaches can lead to an improved program effectiveness and legitimacy. The paper concludes that the application of a modern mix of instruments did lead to an increase of short-term effectiveness, especially in road construction or improvement, but not to a noteworthy increase of long-term effectiveness, especially regarding forest conversion to increase forests’ climate resiliency, despite the application of nudging ‘in the forests’. Instead, nudging in the forests can result in increased conflicts and non-action, in some cases. Hence, the empirical evidence presented in this paper, does not (fully) support the assumption that a modern instrument mix would lead to improvements in effectiveness and legitimacy. It remains to be seen, if, in the longer-term, the improved road access would actually lead to more climate resilient forests; or what role natural hazards will play in this regard. Maybe, a more flexible design of the voluntary agreements and of eligibility criteria of funding schemes, could increase the share of forest owners, willing to participate and could enable processes of civic-knowledge integration and the development of more innovative, alterative-based, local solutions. Considering the strong, recent public engagement in climate change topics, this could be an opportunity to better integrate civil society to GFIs or to new forms of initiatives. A better integration of owners and society could also improve the legitimacy of GFIs, which is thwarted by the marginal participation of individual PFOs.