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.

     

The Adaptive Capacity Wheel: a method to assess the inherent characteristics of institutions to enable the adaptive capacity of society

Climate change potentially brings continuous and unpredictable changes in weather patterns. Consequently, it calls for institutions that promote the adaptive capacity of society and allow society to modify its institutions at a rate commensurate with the rate of environmental change. Institutions, traditionally conservative and reactive, will now have to support social actors to proactively respond through planned processes and deliberate steps, but also through cherishing and encouraging spontaneous and autonomous change, as well as allowing for institutional redesign. This paper addresses the question: How can the inherent characteristics of institutions to stimulate the capacity of society to adapt to climate change from local through to national level be assessed? On the basis of a literature review and several brainstorm sessions, this paper presents six dimensions: Variety, learning capacity, room for autonomous change, leadership, availability of resources and fair governance. These dimensions and their 22 criteria form the Adaptive Capacity Wheel. This wheel can help academics and social actors to assess if institutions stimulate the adaptive capacity of society to respond to climate change; and to focus on whether and how institutions need to be redesigned. This paper also briefly demonstrates the application of this Adaptive Capacity Wheel to different institutions.     

The adaptive capacity of institutions in the spatial planning,water, agriculture and nature sectors in the Netherlands

The climate change problem calls for a continuously responding society. This raises the question: Do our institutions allow and encourage society to continuously adapt to climate change? This paper uses the Adaptive Capacity Wheel (ACW) to assess the adaptive capacity of formal and informal institutions in four sectors in the Netherlands: spatial planning, water, agriculture and nature. Formal institutions are examined through an assessment of 11 key policy documents and informal institutions are analysed through four case studies covering each sector. Based on these ACW analyses, both sector-specific and more general strengths and weaknesses of the adaptive capacity of institutions in the Netherlands are identified. The paper concludes that the most important challenge for increasing institutional adaptive capacity lies in combining decentralized, participatory approaches with more top-down methods that generate leadership (visions, goals) standards, instruments, resources and monitoring.     

The evolution of regional cross-border water regimes,the case of Deltarhine

In this study, we look at the evolution of a cooperative water regime in the delta of the Rhine catchment. In a Dutch–German case study, we focus on cross-border cooperation on the local and regional scale, describing and analyzing how a remarkably resilient and robust transboundary water regime has evolved over the course of 50 years. Context-, interest- and knowledge-based explanations contribute important insights into the evolution of the Deltarhine regime, and it is shown that the legal, institutional and socio-economic context shapes and constrains regional cross-border cooperation. Surprisingly in this regard, we find that European water directives have not yet played a decisive, catalyzing role for policy harmonization across borders. Finally, we show that key individuals play a crucial role in regime formation and development. We suggest that the presence of entrepreneurs and leaders adds explanatory power to current conceptual frameworks in international river basin management, thus meriting further research.     

Leadership within regional climate change adaptation networks: the case of climate adaptation officers in Northern Hesse,Germany

In the climate adaptation literature, leadership tends to be an understudied factor, although it may be crucial for regional adaptation governance. This article shows how leadership can be usefully conceptualized and operationalized within regional governance networks dealing with climate adaptation. It applies an integrative framework inspired by complexity leadership theory, distinguishing several leadership functions to enhance the adaptive capacity of regional networks. We focus on one specific institutional innovation, appointed climate adaptation officers, who seek to connect science and governance practice, and to mainstream climate adaptation. Our question is twofold: What is the potential of climate adaptation officers to advance the adaptation agenda and to what extent did their establishment and working practice mirror the various leadership functions needed to raise the adaptive capacity of the regional network they operated in? The integrative leadership framework structures the analysis of climate adaptation officers forming part of a government-funded project seeking to enhance adaptation to climate variability in the central German region of Northern Hesse. The data consist of interviews with scientists and regional authority employees and project documentation including an evaluation. We find that climate adaptation officers raised awareness for climate adaptation and helped to shape and implement a number of projects within the overall KLIMZUG programme, highlighting impeding and enabling factors. The process of setting up this institutional innovation involved all forms of leadership functions and is an example of vertical mainstreaming. Its operation involved most clearly enabling and connective leadership functions and is an example of horizontal mainstreaming.     

Climate-proof planning for flood-prone areas: assessing the adaptive capacity of planning institutions in the Netherlands

It is generally acknowledged that adapting low-lying, flood-prone deltas to the projected impacts of climate change is of great importance. Deltas are densely populated and often subject to high risk. Climate-proof planning is, however, not only a new but also a highly complex task that poses problems for existing institutional and administrative structures, which are the product of times in which climate issues were of little importance. This paper assesses the capacity of the historically grown Dutch planning institutions to promote climate-proof planning for flood-prone areas. The Adaptive Capacity Wheel provides the methodological framework. The analysis focuses on two planning projects in the west of the Netherlands: the Zuidplas Polder project at the regional level and the Westergouwe project at the local level. It is shown that the planning institutions involved in these projects enable climate-proof planning, but to a limited extent. They face five institutional weaknesses that may cause risks on the long term. To climate-proof urban developments in flood-prone areas, it is necessary to break through the strong path–dependent development of planning institutions and to build in more flexibility in existing rules and procedures.