The urban growth machine goes South: Conditions and capacities for more sustainable place-building

Abstract

The prospects for global sustainable development are thoroughly tied to the future of cities. Our goal is to better understand how cities actually get built and with what substantive consequences. Beyond designing and implementing public policy tools, this requires a better understanding of the underlying political economy of urban place-building. Beginning with the ideal type of the urban growth machine, we outline frameworks for analysing both the ‘conditions for urban place-building’ and the ‘capacities for sustainable urban place-building’. We apply these in the Chilean context by examining general features of the urban political economy and then specific development exemplars from the urban region of Valparaíso. We outline frameworks for further comparative work.     

Evaluating policy options for managing diffuse source water quality in Lake Taupo,New Zealand

Environmental policy makers are interested in ways to prevent environmental degradation without significantly limiting economic and social development. Increasingly, market-based instruments are being incorporated into the suite of policy tools to accomplish these aims. However, the lack of information on market-based instruments accessible to non-economists limits understanding of how and when a market-based instrument can be integrated into a traditional policy regime. This paper aims to address the lack of accessible information using a generic screening process for policy instruments demonstrated through application to a non-point source pollution problem in Lake Taupo, New Zealand.     

Managing carbon emissions in China through building energy efficiency

This paper attempts to analyse the role of building energy efficiency (BEE) in China in addressing climate change mitigation. It provides an analysis of the current situation and future prospects for the adoption of BEE technologies in Chinese cities. It outlines the economic and institutional barriers to large-scale deployment of the sustainable, low-carbon, and even carbon-free construction techniques. Based on a comprehensive overview of energy demand characteristics and development trends driven by economic and demographic growth, different policy tools for cost-effective CO₂ emission reduction in the Chinese construction sector are described. We propose a comprehensive approach combining building design and construction, and the urban planning and building material industries, in order to drastically improve BEE during this period of rapid urban development. A coherent institutional framework needs to be established to ensure the implementation of efficiency policies. Regulatory and incentive options should be integrated into the policy portfolios of BEE to minimise the efficiency gap and to realise sizeable carbon emissions cuts in the next decades. We analyse in detail several policies and instruments, and formulate relevant policy proposals fostering low-carbon construction technology in China. Specifically, Our analysis shows that improving building energy efficiency can generate considerable carbon emissions reduction credits with competitive price under the CDM framework.     

Road Traffic Pollution Monitoring and Modelling Tools and the UK National Air Quality Strategy

This paper provides an assessment of the tools required to fulfil the air quality management role now expected of local authorities within the UK. The use of a range of pollution monitoring tools in assessing air quality is discussed and illustrated with evidence from a number of previous studies of urban background and roadside pollution monitoring in Leicester. A number of approaches to pollution modelling currently available for deployment are examined. Subsequently, the modelling and monitoring tools are assessed against the requirements of local authorities establishing air quality management areas. Whilst the paper examines UK-based policy, the study is of wider international interest.     

From policy mix to policy networks: assessing climate and land use policy interactions in Mato Grosso,Brazil

ABSTRACT

In the climate and land use fields, policy mixes are complex in terms of the levels of governance, actors, and roles. They consist of policy instruments that target different actors and address multiple goals across several policy sectors and levels. The analysis of these complex arrangements extends beyond purely technical efficiency criteria, as several sources of tension between instruments may be identified, such as conflicting interests, goals, and approaches to implementation. The proliferation of governance networks complicates the understanding of actors’ interactions, the types of authority influencing the outcomes of policy mixes, and importance of different levels of governance. This article provides a framework to address these analytical challenges, particularly the interconnected networks of policy actors and policy instruments. It draws on polycentric governance literature to analyse how power matters in policy networks. This includes identifying distinct types of power, actors’ position, and variables that explain patterns of conflict, competition, convergence, and divergence in policy choices and outcomes. The framework is applied to the climate and land use policies implemented in the state of Mato Grosso, Brazil. Several methods were used to clarify these variables and to characterise policy mixes being implemented in the region, including social network analysis.     

Exogenous factors in collective policy learning: the case of municipal flood risk governance in the Netherlands

ABSTRACT

Conceptualizing and analyzing collective policy learning processes is a major ongoing theoretical and empirical challenge. A key gap concerns the role of exogenous factors, which remains under-theorized in the policy learning literature. In this paper, we aim to advance the understanding of the role that exogenous factors play in collective learning processes. We propose a typology of exogenous factors (i.e. material, socioeconomic, institutional, discursive), and subsequently apply this in a comparative study of flood risk policymaking in two municipalities in the Netherlands. We find that exogenous factors are indeed essential for understanding collective learning in these cases, as the combined influence with endogenous factors can steer similar learning processes towards different learning products. We conclude our contribution by identifying two opportunities for further developing the collective learning framework, namely regarding the distinction of varying learning products, and the dynamics of exogenous factors over time.     

In their words: How Detroit residents perceive the effects of their physical environment

Abstract

This article examines results from in-depth interviews conducted with parents of children with asthma living in an urban environment. We examine themes from the in-depth interviews related to participants' perceptions of the influence of their physical environment on their mental and physical health, and the actions that they take in an effort to protect their health within this context. The findings from this study suggest several implications for understanding the interface between the physical environment of urban communities and residents' health, as well as for the policy and practice of risk assessment strategies.     

Governing Climate Adaptation in the Local Arena: Challenges of Risk Management and Planning in Sweden

Abstract

This paper directs attention to conditions for climate adaptation as an important part of governing climate change in the local arena. Empirical focus is put on attempts to manage flood risks by means of risk management and planning in two Swedish municipalities. Following the need to widen our understanding of how, when and under what conditions climate adaptation occurs, three challenges are particularly emphasized from the case studies: facing the safety vs. scenery conflict where political priorities and reducing societal vulnerabilities prove difficult; the process of deciding what to adapt to, in which the troublesome role of knowledge is striking; and finally, taking responsibility for measures of flood protection. At the end of the paper, analytical generalizations illustrate the need to give increased attention to institutional challenges and challenges emanating from the science–policy interface in order to come to terms with the implementation deficit in governing climate change in the local arena.     

Economic instruments for sustainable community development

Abstract

In recent years there has been increasing interest in the use of so‐called ‘economic instruments’ in environmental policy. Economic instruments influence the behaviour of economic agents by providing financial incentives for environmentally improved behaviour, or disincentives for damaging behaviour. This paper explores the use of economic instruments in the field of sustainable community planning and development. It does so in the wider context of how environmental economic policy is made. The focus of this paper is to examine the role of policy instruments in community planning, and to review the different types of instruments that are available to policy‐makers. Numerous examples of the various instruments at the community level are described. It is widely believed that policy making should occur at the lowest or most local level possible while maintaining effectiveness. A system of government that does not give adequate legal power to local governments, and does not allow local governments considerable flexibility in the use of funds, cannot be expected to achieve all community objectives. Central governments must give local governments permission to take measures towards sustainable community planning, even though that requires giving them power to address broader issues. At the same time, when issues that should be addressed at national and international levels are not addressed, local governments may be able to take action individually. Given the general reluctance (and perhaps inability) of governments at all levels today to consider non‐economic and, particularly, non‐market policy instruments, it is pragmatic as well as timely to improve our understanding of economic instruments for sustainable community development.     

Social Dimensions of Urban Flood Experience,Exposure, and Concern

With growing urban populations and climate change, urban flooding is an important global issue, even in dryland regions. Flood risk assessments are usually used to identify vulnerable locations and populations, flooding experience patterns, or levels of concern about flooding, but rarely are all of these approaches combined. Furthermore, the social dynamics of flood concerns, exposure, and experience are underexplored. We combined geographic and survey data on household‐level measures of flood experience, concern, and exposure in Utah's urbanizing Wasatch Front. We asked: (1) Are socially vulnerable groups more likely to be exposed to flood risk? (2) How common are flooding experiences among urban residents, and how are these experiences related to sociodemographic characteristics and exposure? and (3) How concerned are urban residents about flooding, and does concern vary by exposure, flood experience, and sociodemographic characteristics? Although floodplain residents were more likely to be White and have higher incomes, respondents who were of a racial/ethnic minority, were older, had less education, and were living in floodplains were more likely to report flood experiences and concern about flooding. Flood risk management approaches need to address social as well as physical sources of vulnerability to floods and recognize social sources of variation in flood experiences and concern.     

Conditions for citizen co-production in a resilient,efficient and legitimate flood risk governance arrangement. A tentative framework

Across Europe, there is an increasing trend towards citizen involvement in the implementation of flood risk governance. Policy-makers increasingly advocate co-produced flood risk governance (FRG), whereby citizens are actively engaged in the implementation of flood risk policy, for example, by taking property-level protection measures. In doing so, they aim to make FRG more resilient, efficient and legitimate [Mees, H., Crabbé, A., Alexander, M., Kaufmann, M., Bruzzone, L., Levy, L., & Lewandowski, J. (2016a). Coproducing flood risk management through citizen involvement: Insights from cross-country comparison in Europe. Ecology and Society, 21(3), 7. http://dx.doi.org/10.5751/ES-08500-210307]. Co-production, however, also raises important questions concerning these aims. In this paper, the opportunities and limitations of and barriers to citizen co-production in FRG in terms of resilience, efficiency and legitimacy are investigated by an extensive review of literature on citizen co-production in other public services and on individual and community-based climate change adaptation and FRG. Based on this, a tentative framework is developed on the required conditions to enable co-produced FRG, which benefits both the resilience, efficiency and legitimacy of FRG.     

Flood risk management in Dutch local spatial planning practices

Spatial planning is increasingly regarded as an important instrument to reduce flood consequences. Nevertheless, there are very few studies that show why local planning authorities do or do not systematically use spatial planning in advance to mitigate flood risks. This paper explores flood reduction strategies in local planning practices in the Netherlands. It also explores why spatial planning was or was not used to reduce flood consequences. The arguments for the use or non-use of planning mainly referred to requirements from other governmental bodies and the perceived role and the related responsibility of local planning authorities, previous disaster experience, and previous experience with spatial planning for flood risk management.     

Cause,catalyst or conjunction? The influence of the Habitats Directive on policy instrument choice in Member States

In the process of implementing EU policy, Member States sometimes introduce new policy instruments in cases where this is not obligatory. To better understand this phenomenon, this paper reviews three cases in which new instruments emerged and develops a methodology to trace back the influence of EU Directives on instrument choice. The method is illustrated by a narrative of the emergence of new management planning instruments during the implementation of the EU Habitats Directive in three EU Member States: Finland, Hungary and the Netherlands. Three key features of a policy instrument are defined, namely, its authoritative force, action content and governance design. These are used to measure the contribution of the Habitats Directive compared to other potential explanatory causes for the emergence of the new policy instrument. In all three reviewed countries a nested causal relationship between the Habitats Directive and the introduction of the new policy instrument is identified. Based on the relative contribution of the Habitats Directive to the emergence of the new instrument a distinction is made whether the Directive acted as a cause, catalyst or if conjunction occurred.     

Effective EU and Member State policies for stimulating CCS

Although CO₂ capture and storage (CCS) is widely recognised as an option to mitigate climate change, consistent and effective EU policies to advance CCS are still absent. This paper discusses policy instruments for advancing large-scale deployment of CCS in the European Union, and evaluates them in a multi-criteria analysis. The EU Emissions Trading Scheme (EU-ETS) is a cost-effective instrument for limiting greenhouse gas emissions, but it is questionable whether its currently limited time horizon and short-trading periods will lead to substantial CCS diffusion. Complementary policies at the EU and the Member State level may repair this and provide sufficient incentives for CCS. Potential policies include financial instruments such as investment subsidies, a feed-in scheme, or a CO₂ price guarantee, as well as a CCS mandate or a low-carbon portfolio. These policy options differ with respect to their environmental effectiveness, possible interaction with the EU-ETS, costs and financial risk involved, and their competition with other mitigation options. Interactions between Member State policies and the EU-ETS are smaller in scope than those of EU-wide policies, but they are more likely to lead to displacement of financial resources from other low-carbon technologies. In addition, national policies may pose a significant part of the financial risk of CCS operations with Member States, reducing the operator's incentive to innovate. Overall, structural policies at the EU level, such as a mandate or a low-carbon portfolio standard would be more conducive for realising large-scale deployment of CCS across the EU as well as more acceptable to environmental organisations.     

Following Old Paths or Shaping New Ones in Natura 2000 Implementation? Mapping Path Dependency in Instrument Choice

This article reviews the influence of two specific European Union (EU) laws, the Birds and Habitats Directives, on the choice of national policy instruments by Member States. Both Directives leave the choice for policy instruments to manage the sites designated under the Directives to the Member States. Using path dependency as a leading concept, this article analyses the continuity or changes in policy instruments due to the implementation of the Directives in 15 countries. This article shows that the tendency to use existing instruments to implement EU policy is limited, as in almost all countries new instruments were developed. Yet, states do tend to choose instruments from their predominant policy instrument mix and preferred implementation style to address the management requirements of the Directives. Additionally, in Central and Eastern European countries where the implementation of EU policy coincided with a process of transition to a market economy, new instruments were introduced outside the existing implementation style. The introduction of new policy instruments is the result of historical turns, domestic pressure and a shift to new modes of governance. National case studies are needed to shed more light on the interaction between EU policy and domestic factors during the process of instrument choice.     

Flood resilience: consolidating knowledge between and within critical infrastructure sectors

Flood resilience has been rising up the political, economic and social agendas. Taking an integrated systems approach, using the right design guidance and tools and ensuring that education is in place for all stakeholders are three themes which are intrinsically linked to delivering flood resilience. This paper reviews these themes across the academic research, policy landscape and practitioner approaches, drawing conclusions on the way forward to increase our societies resilience to floods. The term ‘flood resilience’ is being increasingly used, however, it remains to be clearly defined and implemented. The UK, USA and Australia are leading the way in considering what flood resilience really means, but our review has found few examples of action underpinned by an understanding of systems and complexity. This review investigates how performance objectives & indicators are currently interpreted in guidance documents. It provides an in-depth exploration of the methods, that although developed through European and US expertise, can be used for worldwide application. Our analysis highlights that resilience is often embedded in engineering education and frequently linked to risk. This may however, mask the importance of resilience and where it differs from risk. With £2.6 billion to be spent in the UK over the next 6 years on strengthening the country’s flood and coastal defences, this is the opportunity to rethink resilience from a systems approach, and embed that learning into education and professional development of engineers. Our conclusions indicate how consolidating flood resilience knowledge between and within critical infrastructure sectors is the way forward to deliver flood resilience engineering.     

The discursive framework of sustainability in UK food policy: the marginalised environmental dimension

ABSTRACT

In the context of food policy, sustainability functions as a normative principle but also constitutes a highly contested arena. The study presented in this paper establishes how discursive dynamics amongst professionals involved in matters of food distribution, retail, consumption and waste lead to food policy themes being framed as issues of sustainability. Analysing varied UK-based data (trade magazine articles, policy documents and interviews with retail, non-profit and consultancy representatives), three interpretative frames of sustainability are identified: consumer sovereignty, economic rationality and stewardship. Focusing on three themes of food sustainability – organic consumption, protein diversity and waste reduction – it is shown how these interpretative frames constitute the discursive framework relevant to food policy. Based on these findings, it is shown how in the analysed debates environmental concerns are sidelined.     

Effects and success factors of sustainable consumption policy instruments: a comparative assessment across Europe

Important knowledge gaps exist regarding the effects of policy instruments for sustainable consumption (SC) and success factors of such instruments. This article compares and summarizes the results of six case studies on the effects and success factors of SC instruments in the need areas of housing and food. While analysing different instrument types from four different European countries, all case studies were guided by the same analytical framework and mixed-methods approach. This synthesis article particularly emphasizes factors fostering the generation of instrument effects (outcomes and impacts) or hampering the creation of such effects, respectively. These factors include instrument goals and design, the accommodation of consumer needs, and the simultaneous addressing of framework conditions, as well as market context, policy interaction, and stakeholder involvement. The findings and conclusions can contribute to a better understanding of the conditions under which policy instruments can steer consumer behaviour towards sustainability.     

Methodology for Developing Flood Rule Curves Conditioned on El Niño‐Southern Oscillation Classification1

Lee, Se‐Yeun, Alan F. Hamlet, Carolyn J. Fitzgerald, and Stephen J. Burges, 2011. Methodology for Developing Flood Rule Curves Conditioned on El Niño‐Southern Oscillation Classification. Journal of the American Water Resources Association (JAWRA) 47(1):81‐92. DOI: 10.1111/j.1752‐1688.2010.00490.x Abstract: Regional climate varies on interannual and decadal time scales that in turn affect annual streamflows, flood risks, and reservoir storage deficits in mid‐summer. However, these variable elements of the climate system are generally not included in water resources operating policies that attempt to preserve a balance between flood risk and other water resources system objectives. A methodology for incorporating El Niño‐Southern Oscillation (ENSO) information in designing flood control curves is investigated. An optimization‐simulation procedure is used to develop a set of ENSO‐conditioned flood control rule curves that relate streamflow forecasts to flood control evacuation requirements. ENSO‐conditioned simulated flood risk and storage deficits under current operating policy are used to calibrate a unique objective function for each ENSO classification. Using a case study for the Columbia River Basin, we demonstrate that ENSO‐conditioned flood control curves constructed using the optimization‐simulation procedure consistently reduce storage deficits at a number of interrelated projects without increasing flood risk. For the Columbia Basin, the overall improvements in reservoir operations are relatively modest, and (in isolation) might not motivate a restructuring of flood control operations. However, the technique is widely applicable to a wide range of water resources systems and/or different climate indices.     

Increasing uptake of low impact urban design and development: The role of sustainability assessment systems

Abstract

‘Market transformation’ of the significant urban development industry towards more sustainable practices is not moving at great pace. Design and assessment systems that may promote uptake of more sustainable urban design and development are reviewed briefly followed by a comparison between building and neighbourhood scales. For the latter there is a dearth of design and assessment tools for the residential built environment and of indicators to monitor progress towards sustainable development. Local authorities increasingly require an integrated approach to data collection and inclusion of infrastructure service providers in design, assessment and monitoring of urban development and associated environmental effects. By examining attempts to increase uptake of more sustainable residential development, the potential for tools and indicators at the neighbourhood scale to reduce environmental impact of the built environment is highlighted. It is recommended that built environment initiatives need to be combined with research into behavioural changes to achieve the desired outcome of a sustainable built environment and to increase the dialogue between communities, developers and local authorities.