Correction to: Subnational climate entrepreneurship: innovative climate action in California and São Paulo

The distinct role of subnational governments such as states and provinces in addressing climate change has been increasingly acknowledged. But while most studies investigate the causes and consequences of particular governments’ actions and networking activities, this article argues that subnational governments can develop climate action as a collective entrepreneurial activity. Addressing many elements explored in this special issue, it focuses on the second question and identifies climate entrepreneurship in two subnational governments—the states of California (USA) and São Paulo (Brazil). Examining internal action, as well as interaction with local authorities, national governments and the international regime, entrepreneurial activities are identified in the invention, diffusion and evaluation of subnational climate policy in each case. The article draws from the recent scholarship on policy innovation, entrepreneurship and climate governance. It contributes to the literature by exploring entrepreneurial subnational government activity in addressing climate change and expanding the understanding of the effects of policy innovation at the subnational level.

     

Accountability in climate change governance and Caribbean SIDS

The good governance of institutions and regimes requires accountability suited to the particular context of each institution and regime. The paper examines the nature of accountability in climate change governance using the Caribbean region as a case study. In doing so, the paper makes two original contributions. First, using insights from the environmental governance literature, it presents a conceptual framework that categorises the types (levels, relationships and mechanisms) of accountability in governance that can be used to test accountability. The accountability framework comprises two levels (internal/external accountability); four relationships (normative, relational, decision and behavioural); and four mechanisms or processes through which accountability can be exercised (certification, monitoring, participation by stakeholders in the overseeing of projects and self-reporting). Second, through an analysis of survey and interview responses from Caribbean climate change experts, it reports on the nature of accountability in climate change governance in the context of Caribbean Small Island Developing States. To do this, first it identifies the actors involved in Caribbean climate governance at the regional and national scales. Then, using the framework, it examines which levels, relationships and processes exist within and between climate governance regional institutions, international partners, government agencies, non-governmental organisations and the private sector for climate change adaptation and mitigation efforts. The paper draws two main conclusions: first, generally actors valued accountability as a good governance norm. Secondly, limited resources and the perception that using the accountability mechanisms will retard policy implementation led to low levels of accountability in practice. Finally, the study examined how accountability can be enhanced in the climate change sector by ensuring that each of the elements of the framework is operationalised for both state and non-state climate change projects.     

Elites, climate change and agency in a developing society: the Chilean case

Faced with global climate change, local elites are confronted with the main dilemma of a developing country: development requires economic growth, but this effort also requires consideration of environmental factors and sustainable patterns of production and consumption. Based on empirical evidence from qualitative research on businesses and political elites in Chile—a paradigmatic South American middle-income country—this paper explores the extent to which local elites are aware of the severity of challenges posed by global climate change and identify main climate change concerns in their discourse. The degree to which domestic elites are aware of the paradigm shift they must assume toward clean industrial production is a key issue of environmental governance that involves private non-governmental actors. This paper gives clues to a better understanding of what is happening with strategic actors in developing nations and their understanding of their decision-making capacity concerning environmental policy and investments for facing global climate change. The main conclusion of the research is that awareness of climate change in local elites’ discourse is relative. It is not accompanied by a full acceptance of their agency and is not leading to a paradigm shift toward a clean model of development because of domestic elites’ position within globalization processes.     

From global sustainability research matrix to typology: a tool to analyze coastal and marine social-ecological systems

An attempt is made to develop a coastal and marine social-ecological typology. An explicitly regional focus is taken to explore how a regionally grounded, multi-scale analysis may support multi-level local to global sustainability efforts. A case study from Indonesia exemplifies this approach. Social-ecological sustainability problems, caused by drivers at different earth system levels, lead the way into the proposed typology. A social-ecological system consists of a biogeophysical territory, an identified issue and the associated social agents. It can extend across disciplines as well as across spatial and institutional levels and scales. A global sustainability research matrix, which is based on ecozones and problem types, can thus be constructed and serves as a research-driven multi-level typology. The regional application links directly to stakeholder agendas at the problem level. It is argued that some of the central functions of coastal and marine social-ecological systems are resource provision, livelihood access, and storm and erosion protection, which need special attention in a coastal and marine social-ecological typology, as exemplified in the Indonesian case study used. This contribution is an exploratory research to propose steps toward such a typology. It is extended to the social-ecological subsystems—natural, social, governance—and applied to additional cases. A two-dimensional, hierarchical typology is proposed as a tool to analyze, compare and classify coastal and marine systems. A policy typology is added to assess changes. A governance baseline is assumed to foster normative sustainability goals. A subsystems appraisal typology is meant to evaluate action results. Finally, unresolved methodological questions are discussed.     

Aiding multi-level decision-making processes for climate change mitigation and adaptation

Progress towards climate change aware regional sustainable development is affected by actions at multiple spatial scales and governance levels and equally impacts actions at these scales. Many authors and policy practitioners consider therefore that decisions over policy, mitigation strategies and capacity for adaptation to climate change require construction and coordination over multiple levels of governance to arrive at acceptable local, regional and global management strategies. However, how such processes of coordination and decision-aiding can occur and be maintained and improved over time is a major challenge in need of investigation. We take on this challenge by proposing research-supported methods of aiding multi-level decision-making processes in this context. Four example regionally focussed multi-level case studies from diverse socio-political contexts are outlined—estuarine management in Australia’s Lower Hawkesbury, flood and drought management in Bulgaria’s Upper Iskar Basin, climate policy integration in Spain’s Comunidad Valenciana and food security in Bangladesh’s Faridpur District—from which insights are drawn. Our discussion focuses on exploring these insights including: (1) the possible advantages of informal research-supported processes and specifically those that provide individual arenas of participation for different levels of stakeholders; (2) the complexity of organisation processes required for aiding multi-level decision-making processes; and (3) to what extent progress towards integrated regional policies for climate change aware sustainable development can be achieved through research-supported processes. We finish with a speculative section that provides ideas and directions for future research.     

Policy entrepreneurs in international river basins—getting climate adaptation on the cross-border water policy agenda

In this study, we look at the role which water policy entrepreneurs play in promoting and stimulating climate adaptation measures in international river basins. In a Dutch-German case study in the Rhine delta, we explore the range of strategies that policy entrepreneurs employ in cross-border water management to effectively anchor and embed climate adaptation in the water policy debate.

We focus on climate adaptation on the local and regional scale in the Deltarhine region where increased flooding and prolonged drought periods are expected under the current climate change scenarios with a considerable impact on flood protection, agricultural activities, drinking water and ecosystem development.

We analyse the impact of policy entrepreneurs while coping with the challenging cross-border setting and dealing with structural differences in national systems such as the legal and institutional framework. It is shown that whilst the European water guidelines advocate a river basin approach across borders, the guidelines do not (yet) play a catalyst role regarding climate adaptation, and the presence and activities of policy entrepreneurs contribute in putting climate adaptation on the cross-border policy agenda.

Finally, marked differences in the presence of entrepreneurs in Germany and the Netherlands are observed for which two important complementary explanations are offered relating to contextual elements of power asymmetry and dependency as well as different policy styles and organisational cultures in both countries.

     

From climate research to climate compatible development: experiences and progress in the Netherlands

Over the past decades, significant experience has been gained in demand-driven research on climate change in many countries. In the Netherlands, a competitive call for proposals for large research programmes at the interface between policy, science and private sector was issued in 2001. Members of the Dutch climate research community proved they were able to develop two large research programme proposals which were funded: ‘Climate changes Spatial Planning’ and its successor ‘Knowledge for Climate’. The programmes ran from 2004 to 2012 and from 2008 to 2014, respectively. Both programmes can be considered as a 10-year research programme experiment to develop knowledge about both the climate system and climate compatible development by crossing disciplines, institutions and national research funding strategies. Within this 10-year period, a trend can be observed in which a ‘top-down’ climate impact assessment approach is increasingly combined with a ‘bottom-up’ approach. Based on the 15 articles presented in this special issue (and others), we argue that this development has enriched both fundamental and applied research on climate adaptation. Despite the predominantly Dutch-oriented scope of the presented research, we believe that such experiences can be of international interest. Climate adaptation research finds itself in between global systems knowledge on the one hand and practical needs and experiences at the local, regional and national level on the other. This demands the utmost from all actors involved to enable an efficient and constructive flow and use of knowledge and expertise.     

Assessing National Discourse and Local Governance Framing of Climate Change for Adaptation in the United Kingdom

While many national governments struggle to maintain global climate change as a high priority issue, many local governments are taking action to fill the policy gaps. This study examines how local governments across the United Kingdom of Great Britain are reframing climate change. We compiled a dataset of newspaper publications covering climate change over a 10-year timeframe, plus survey and interview responses from local governance practitioners, to identify a shift in national discourse that has changed the priority level of climate change in UK local governance. This paper argues that many local governments are strategically reframing climate change as alternative issues in order to make progress in climate adaptation planning.     

Toward legitimate governance strategies for climate adaptation in the Netherlands: combining insights from a legal,planning, and network perspective

In general, the issue of climate change is characterized by uncertainty, complexity, and multifacetedness. In the Netherlands, climate change is in above highly controversial. These characteristics make it difficult to realize adaptation measures that are perceived as legitimate. In this article, we analyze the main difficulties and dilemmas with regard to the issue of legitimacy in the context of climate adaptation. We conceptualize legitimacy from a legal, a planning, and a network perspective and show how the concept of legitimacy evolves within these three perspectives. From a legal perspective, the focus is on the issues of good governance. From a planning perspective, the focus is on the flexibility, learning, and governance capacity. From a network perspective, issues of dialogue, involvement, and support are important. These perspectives bring in different criteria, which are not easy compatible. We describe and illustrate these legitimacy challenges using an in-depth study of the Dutch IJsseldelta Zuid case. From our case study, we conclude that, from a legitimacy perspective, the often acclaimed necessity to be adaptive and flexible is quite problematic. The same holds true for the plea to mainstream adaptation into other policy domains. In our case study, these strategies give rise to serious challenges in relation to good governance and consensus—two indispensable cornerstones of legitimacy.     

Wind power projects in Brazil: challenges and opportunities increasing co-benefits and implications for climate and energy policies

The purpose of this article is to analyze the challenges to, and opportunities for, increasing sustainable development (SD) co-benefits delivered by clean development mechanism (CDM) wind power projects in northeastern Brazil and the resulting implications for climate and energy policies. Five methodological phases were met: First, a documentary research was conducted in the main CDM database; second was a literature review, creating the analytical framework and a survey questionnaire needed to assess the SD co-benefits from the projects; third, documentary research was used to enable ex-ante analysis of the SD co-benefits proposed in the CDM Project Design Documents (PDDs); fourth, survey allowed for the analysis of SD co-benefits perceived by project entrepreneurs (ex-post analysis); and finally, a comparison between the ex-ante and ex-post analyses was completed. The results show the importance of carrying out SD co-benefit studies after the implementation of CDM projects in order to learn lessons for new mechanisms of climate governance. The lowest SD co-benefits were water management improvement in the project influence area, soil pollution prevention, health and safety improvements and technology transfer. The greatest opportunities for increasing SD co-benefits come from the environmental licensing process and the strengthening of Corporate Social Responsibility. The greatest challenges are new technology development, stakeholders’ engagement and SD co-benefit audits. We conclude that the improvement of multi-level climate and energy governance plays a key role in increasing SD co-benefits.

     

国外学术界对《巴黎协定》的评价及履约前景分析

2016年《巴黎协定》的正式生效是全球环境治理的重要里程碑,是国际社会在应对气候变化的艰难进程中迈出的重要一步,标志着全球环境治理从此进入履约阶段。本文基于宾夕法尼亚大学智库与公民社会项目(TTCSP)公布的《2015年全球智库指数报告》,选取其中排名前十位的国际环境智库的研究报告和环境领域中代表性学者的相关论文,对国外学术界有关《巴黎协定》履约前景的分析进行了系统梳理,并对此做出简要评述。文章在肯定《巴黎协定》有力推进国际气候治理进程的同时,也指出在新的国际形势之下,尤其是在英国正式启动脱欧进程和特朗普新任美国总统后,其履约过程中更是存在着协定之内和协定之外的众多挑战和不确定性,本文的基本结论如下:首先,协定之内面临着协定缔约方国内批准程序上的挑战;国家自主贡献的实现与发展中国家能力建设;2℃温升目标的实现前景;审评和盘点的效力评估;碳市场机制能否有效运行。其次,协定之外面临着英国脱欧的潜在气候政策变化及影响;美国气候政策的可能变化及其影响。基于对以上智库报告和相关研究论文的分析,笔者对《巴黎协定》的履约前景得出几点看法:(1)正视国际气候合作的机遇与挑战;(2)对具体议题的落实需充满信心;(3)理性冷静看待英美气候政策的可能变化;(4)鼓励环境类国际组织之外的非国家行为体展开通力合作。对此,我们应正视履约中的挑战与不确定性,做好充分的应对之策,确保履约进程的顺利完成。总之,《巴黎协定》的履约前景不容乐观,国际社会任重道远。     

The scientific challenge of bridging the gap from the local to the earth system level: lessons from the study of mangroves and people in North Brazil

This article aims to address the challenges of sustainable earth system governance from a multi-scale level perspective. The local to regional system level reviews findings from a social–ecological system approach of a mangrove ecosystem in North Brazil. Seven challenges (Glaser et al. in Mangrove dynamics and management in North Brazil. Ecological studies series. Springer, Berlin, pp 307–388, 2010) that could provide relevant knowledge to society were identified. Their respective justification and recommendations are presented here. Further, these “challenges from the field” are linked and discussed with those challenges on earth system level elaborated by the International Council for Science in 2010. There it was stressed that sustainability problems are increasingly caused by drivers from multiple spatial and institutional levels in a single global human–nature system. The comparison between the global and local to regional challenges shows that most of these are reappearing disregarding the level of analysis, indicating that there is a universal core of global change problems. However, there are gaps visible which hamper the effective connections across the different spatial levels. These pertain to the subjects of knowledge generation and stakeholder inclusion. The final section elaborates on these recognized gaps and their science–policy dimensions. The article closes with the identification of a number of factors which currently impede global sustainability efforts: shortcomings in inter- and transdisciplinary research practice, lack of consistent structures for earth system governance and shortcomings in dealing with upscaling challenges whilst remaining locally relevant. A blueprint for a globally focused but regionally informed social–ecological analysis framework remains to be worked out.     

跨国气候伙伴关系治理及其对中国的启示

《巴黎协定》为全球应对气候变化确立了"自下而上"的治理路径,有助于增强各类行为体的参与动力,而后续的巴黎进程更适用于建立以跨国气候伙伴关系为代表的治理模式。在这一模式下,主要施动者是地方政府和包括气候NGO、市民社会在内的非国家行为体。他们不仅在议程设定、透明度、监督执行和代表利益攸关方等方面具有不可替代的作用,而且还具有擅长短期本土化项目管理等优势。本文从国际关系的跨国行为体视角出发,对这类伙伴关系的兴起及其合法性、有效性进行分析,所获得的基本结论为:(1)各国达成《巴黎协定》的内在逻辑有助于跨国伙伴关系发挥作用;(2)当前跨国气候伙伴关系参与全球气候治理的路径呈现不断制度化的趋势;(3)跨国伙伴关系治理的合法性和有效性具有一定特殊性;(4)非国家行为体在参与治理的过程中逐渐交叉,更易形成联盟且相关的观念外溢也更为便利。这一新兴治理关系对中国的启示包括:(1)重新审视非国家行为体在全球气候治理中的作用;(2)评估一些具有重大影响力的跨国伙伴关系,并适当鼓励国内相关机构和组织参与全球进程;(3)在国内层面,以渐进的方式,有针对性地参与、建立一些跨国气候伙伴关系,有助于提升中国的城市与地方政府的气候治理能力;(4)在国际合作中,利用非国家行为体的优势推动中国所提出的南南气候合作倡议及相关项目的落实,进一步提升中国气候治理的话语权,并弥补资金、技术及能力建设上的不足。     

China’s climate socialization and renewable energy coalition building

ABSTRACT

Against the backdrop of a heavy carbon lock-in energy structure, China has made considerable progress in renewable energy (RE) development and become a world leader in this area within a decade. Although existing research suggests that rapid RE growth is mainly due to the convergence of economic growth, green industry competition, and energy security concerns under a unique state-led model, they oversimplify the difficulty inherent in RE policy shifting supported by formerly weak pro-RE actors in China’s historical trajectory of a low-carbon transition. By exploring the interaction between international and domestic actors by means of a socialization-based coalition-building framework, this paper aims at analyzing how the capacity building of the RE coalition gets enhanced via institutional anchoring and resource reallocation in the climate socialization process and how the strengthened RE coalition has spurred transformation in China’s RE policy and the challenges they are confronted with.     

协同治理:2030年可持续发展议程与应对气候变化的国际制度分析

对国际议程间的关联性分析已经成为全球治理中的重要问题。特别是,由联合国引领的全球发展与应对气候变化问题,已经占据了当前国际政治议程的首要位置,两者的协同直接影响到全球治理的有效性。《2030年可持续发展议程》与《巴黎气候协定》不仅具有共同的规范性基础,而且两者通过议题衔接和叠加已经形成了密切的治理关系,国际制度关联性日益突出。从目前来看,这种关联性体现了以下特点:第一,嵌入关系。可持续发展议程的目标之一是应对全球气候变化,《巴黎协定》的治理目标已经嵌入联合国可持续发展议程之中,但也与一些目标存在矛盾,因此,协同治理具有必要性。第二,指标对应。《巴黎协定》下的“国家自主贡献”细化项目与可持续发展议程中的大部分指标已经形成对应关系,治理具有同质性。第三,制度间倡议交叉与功能外溢。其协同治理关系具体表现在诸多层面上,特别是在联合国系统内的协调、治理模式的趋同、资金渠道的整合、围绕联合国可持续发展议程所进行的发展机构改革,以及联合进行政策倡议、规则建构及政策制定等方面。从制度关系演变的角度来看,两者协同治理的类型正在发生变化,制度互动在不同层次上不断累积,并逐渐转向伙伴型的协同治理模式。     

“十二五”以来中国应对气候变化的行政手段评估

在中国应对气候变化政策体系中,目标责任制和淘汰落后产能这两项行政手段具有核心地位。充分认识其作用机制,阐述其优势与不足,对于中国碳减排政策的优化设计意义深远。本文遵循气候变化评估报告的原则和方法,以国内外公开发表的相关文献为基础,评估了这两项政策的作用机制、政策有效性以及存在的问题。结果显示:目标责任制和淘汰落后产能这两项行政手段具有高度的有效性。这些行政手段顺应了中国的各项体制机制,确保了中国应对气候变化目标的实现。具体来看,节能降碳目标责任制通过明确地方政府作为节能降碳政策执行主体的责任,改变了原有的官员激励体系,强化了政府对既有政策的执行,还促进了地方政府和企业各项节能降碳制度的形成。淘汰落后产能以目标责任考核为基础,结合各种激励政策,在节能降碳、化解产能过剩等方面发挥了巨大效应。尽管行政手段在温室气体减排中的作用非常有效,但是这种自上而下的压力传递机制难以真正内化为地方政府和企业开展节能降碳工作的自发性力量。此外,由于节能降碳目标的层层分解,县级及以下政府承担了与其行政管理权限并不匹配的责任。在压力体制下,过剩产能的市场退出障碍和地方政府、企业产能扩张的冲动依然存在。未来应结合行政和市场手段的优缺点,综合施策,促进温室气体减排长效机制的形成。     

Conceptualising climate change in rural Australia: community perceptions, attitudes and (in)actions

Public engagement and support is essential for ensuring adaptation to climate change. The first step in achieving engagement is documenting how the general public currently perceive and understand climate change issues, specifically the importance they place on this global problem and identifying any unique challenges for individual communities. For rural communities, which rely heavily on local agriculture industries, climate change brings both potential impacts and opportunities. Yet, to date, our knowledge about how rural residents conceptualise climate change is limited. Thus, this research explores how the broader rural community—not only farmers—conceptualises climate change and responsive activities, focussing on documenting the understandings and risk perceptions of local residents from two small Australian rural communities. Twenty-three semi-structured interviews were conducted in communities in the Eden/Gippsland region on the border of New South Wales and Victoria and the north-east of Tasmania. There are conflicting views on how climate change is conceptualised, the degree of concern and need for action, the role of local industry, who will ‘win’ and ‘lose’, and the willingness of rural communities to adapt. In particular, residents who believed in anthropogenic or human-induced factors described the changing climate as evidence of ‘climate change’, whereas those who were more sceptical termed it ‘weather variability’, suggesting that there is a divide in rural Australia that, unless urgently addressed, will hinder local and national policy responses to this global issue. Engaging these communities in the twenty-first-century climate change debate will require a significant change in terminology and communication strategies.     

Development,local livelihoods,and vulnerabilities to global environmental change in the South American Dry Andes

Climate change will increasingly impact large areas of South America, affecting important natural resources and people’s livelihoods. These impacts will make rural people disproportionately more vulnerable, given their dependency on ecosystem services and their exposure to other stressors, such as new rules imposed by agribusiness and trends toward the commodification of natural resources. This paper focuses on the vulnerability of rural communities in Andean drylands of Argentina, Bolivia, and Chile, showing how different economic and political pathways lead to different levels of vulnerability. The paper begins with a brief discussion of the methodological and theoretical concept of vulnerability, which framed the research. Starting from the premise that global environmental change impacts are strongly linked to styles of development, the discussion explores the diverse institutional capital and governance schemes as well as different development styles in the case studies and their role in increasing or reducing local vulnerability to climate and water scarcity. Using a comparative perspective, the exposures and adaptive capacities of rural actors in three river basins are discussed, emphasizing situations that speak for the ways in which development styles counteract or magnify conditions of vulnerability. The analysis considers irrigated and non-irrigated agriculture, water property interests, different productive structures (viticulture, horticulture, etc.), producer typologies (large/small, export, etc.), and geographical location. Finally, the paper offers some insights about development style and adaptive capacities of rural people to overcome those vulnerabilities.     

Mainstreaming climate adaptation into urban planning: overcoming barriers, seizing opportunities and evaluating the results in two Dutch case studies

With cities facing climate change, climate adaptation is necessary to reduce risks such as heat stress and flooding and maintain the goals of sustainable urban development. In climate change literature, the focus has been on developing a new dedicated policy domain for climate adaptation. Yet, empirical evidence shows that in practice actors are searching for solutions that not only serve climate adaptation, but integrate the adaptation objective in existing policy domains (e.g., urban planning, water management, public health). The integration of adaptation in other policy domains, also called “mainstreaming climate adaptation,” can stimulate the effectiveness of policy making through combining objectives, increase efficient use of human and financial resources and ensure long-term sustainable investments. A better understanding of the process of mainstreaming is, however, lacking. The article introduces a conceptual model for mainstreaming climate adaptation to enhance our understanding of the concept as well as the barriers and opportunities that influence these integration processes and to explore strategies for overcoming barriers and creating opportunities. Two Dutch case studies—related to urban planning—are used to illustrate the value of the model. The cases demonstrate the dynamic process of mainstreaming and raise discussion of the appropriate criteria for evaluating mainstreaming in relation to the aims of climate adaptation. The paper concludes with an exploration of specific strategies to facilitate the mainstreaming of adaptation in existing and new policy domains.     

Changing institutions for environmental policy and politics in New Era China

ABSTRACT

The evolution of Chinese environmental policy and politics can be better understood in the broader context of institutional changes that have taken place since the late 1970s. In this study, an analytical framework was established to analyze how overall institutional changes were reflected in the roles of relationships between governmental and non-governmental actors engaged in environmental governance. Institutional changes were observed at three levels: informal institutions (cultural traditions, and political ideology); formal institutions (the polity, political system, property rights, and judiciary); and governing mechanisms (structures, regulatory approaches, and incentives). This analysis of interactions between institutional changes and the changing environmental process explained not only the drives and constraints behind China’s environmental policy evolution so far but also shed light on future challenges and opportunities.