Evaluating the suitability of policy instruments for urban flood risk reduction

ABSTRACT

City governments have access to a range of policy instruments to reduce flood risk, but choosing among these tools is challenging. This article identifies fourteen different policy instruments that could contribute to urban flood risk reduction and draws on interviews with expert stakeholders to score these instruments across eight evaluation criteria. The results indicate which policy tools the interviewees consider to be most and least suitable and illuminate the trade-offs inherent in instrument selection. Complementary relationships between the various instruments are also considered in the context of instrument mixes – combinations of multiple policy tools designed to maximise urban flood risk reduction.     

Reflexive governance: exploring the concept and assessing its critical potential for sustainable development. Introduction to the special issue

ABSTRACT

Elaborated in publications on transition management, sustainability governance and deliberative environmental governance, ‘reflexive governance’ addresses concerns about social-ecological vulnerabilities, flawed conceptualisations of human-nature relations fragmented governance regimes and conditions for a sustainability transition. Key barriers to reflexive government include unavoidable politics; the influence of broader discursive systems that shape actors’ strategic interests; and structural and deliberate limitations to the range of admitted epistemological understandings, normative perspectives and material practices. Against this background, the contributions to the special issue provide novel conceptual linkages between reflexive governance and boundary objects, intercultural dialogue, conflict management heuristics, discourse linguistics, theories of the policy cycle and reflexive law, network and learning theories, and Lasswell’s ‘developmental constructs’. Based on the contributions, we identify five inherent conceptual tensions of reflexive governance: between the openness of horizontal learning processes and the desired direction towards sustainable development; between reflexive governance as a normative or procedural concept; between expected learning orientations and other, strategic orientations; between governance as a precondition for reflexivity and reflexive learning as a precondition for reorganized governance structures; and between reflexivity as an open-ended, evolutionary process and the need to strategically defend the space for reflexivity against powerful groups with an interest in the status quo.     

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.     

Mind the gap: institutional considerations for gender-inclusive climate change policy in Sub-Saharan Africa

This paper positions climate change against the backdrop of gender, premised on the understanding that neither climate change impacts nor responses are gender neutral, therefore institutions need to respond accordingly. Institutions play a central role in facilitating policy effects and forming major nodes of interaction as well as determining the accentuation of risk. Drawing on examples from different parts of Sub-Saharan Africa, the paper seeks to elucidate why women should be placed at the heart of climate change interventions. Establishing the appropriate connections between gender and climate change will enhance the opportunities for problem-solving and can increase the efficiency and effectiveness of policy-making. The gendered aspects of climate change and environmental relations are analysed by using an African feminist approach as the theoretical framework to expand and expound upon this position. This paper also investigates institutional matters pertaining to the management of environmental resources and highlights some of the constraints that need to be overcome in order to ensure the inclusion and empowerment of women in the management of these resources. It concludes by calling for a thorough understanding of the gender-based power relations in the agendas and activities of environmental governance institutions at all levels in society.     

A framework for assessing the accountability of local governance arrangements for adaptation to climate change

Accountability has hardly been studied in the governance of climate change adaptation. This paper develops a framework for assessing the accountability of interactive governance arrangements for local adaptation. This framework is based on five important accountability mechanisms: Clear responsibilities and mandates, Transparency, Political oversight, Citizen control and Checks and sanctions. For illustration purposes, the proposed framework is applied to the case of a Dutch local adaptation governance arrangement. The application shows that the five proposed mechanisms and their operationalizations offer a valid assessment of the accountability of such arrangements. It also raises some challenges, such as the tensions between accountability and flexibility, legitimacy and effectiveness; the potentially important roles of trust and of the political skills of central actor(s) in the arrangement in raising accountability, and the potential need to distinguish between arrangements for policy planning and for service delivery.     

Evaluating Japanese policy instruments for the promotion of renewable energy sources

In Japan, the Renewable Portfolio Standard (RPS) and the Feed-in-Tariff (FIT) have been used for the exploitation of renewable energy sources (RES). Although these are significant to enhance the use of RES, the RES penetration is not reaching the expected percentage. The identification of their strengths/weaknesses will allow their improvement for achieving the target. This paper concerned the evaluation of RPS and FIT using a multi-criteria evaluation method. First, official data/information were used to assess their performance using the method. Second, national experts were asked about their performance to verify the outcomes. We found FIT was more effective than RPS.     

Pragmatics of Policy: The Compliance of Dutch Environmental Policy Instruments to European Union Standards

Despite a general decrease in Dutch environmental emission trends, it remains difficult to comply with European Union (EU) environmental policy targets. Furthermore, environmental issues have become increasingly complex and entangled with society. Therefore, Dutch environmental policy follows a pragmatic line by adopting a flexible approach for compliance, rather than aiming at further reduction at the source of emission. This may be politically useful in order to adequately reach EU targets, but restoration of environmental conditions may be delayed. However, due to the complexity of today’s environmental issues, the restoration of environmental conditions might not be the only standard for a proper policy approach. Consequently this raises the question how the Dutch pragmatic approach to compliance qualifies in a broader policy assessment. In order to answer this question, we adapt a policy assessment framework, developed by Hemerijck and Hazeu (Bestuurskunde 13(2), 2004), based on the dimensions of legitimacy and policy logic. We apply this framework for three environmental policy assessments: flexible instruments in climate policy, fine-tuning of national and local measures to meet air quality standards, and derogation for the Nitrate Directive. We conclude with general assessment notes on the appliance of flexible instruments in environmental policy, showing that a broad and comprehensive perspective can help to understand the arguments to put such policy instruments into place and to identify trade-offs between assessment criteria.     

Cui bono: the Scottish Climate Challenge Fund and community benefits

This study adopted an open-ended exploratory approach to elicit the perspectives of a selection of six Climate Challenge Fund projects. This central idea is that communities' perspective on attempted carbon reduction initiative in their areas has use in other contexts and could enable better design of such interventions in future. The main finding was that emphasising local benefits was conducive to their achieving local involvement in the project. The results of this research should be tested in other contexts. Three broad implications for the design of community carbon reduction initiatives are raised in assuming these outcomes are correct. First, the community hosting such initiatives should be perceived to hold a degree of power over the project. Second, central authorities should not be overly prohibitive about the motivations of those participating in such projects. Finally, the use of non-environmental messaging has value in shifting people to more pro-environmental behaviours.     

Towards networked governance: improving interagency communication and collaboration for disaster risk management and climate change adaptation in Australia

Major disasters, such as bushfires or floods, place significant stress on scarce public resources. Climate change is likely to exacerbate this stress. An integrated approach to disaster risk management (DRM) and climate change adaptation (CCA) could reduce the stress by encouraging the more efficient use of pooled resources and expertise. A comparative analysis of three extreme climate-related events that occurred in Australia between 2009 and 2011 indicated that a strategy to improve interagency communication and collaboration would be a key factor in this type of policy/planning integration. These findings are in accord with the concepts of Joined-up Government and Network Governance. Five key reforms are proposed: developing a shared policy vision; adopting multi-level planning; integrating legislation; networking organisations; and establishing cooperative funding. These reforms are examined with reference to the related research literature in order to identify potential problems associated with their implementation. The findings are relevant for public policy generally but are particularly useful for CCA and DRM.     

Planning,governance and rural futures in Australia and the USA: revisiting the case for rural regional planning

Rural regions in post-industrial countries confront significant new challenges, particularly in relation to climate, biodiversity, unconventional resource development and energy. Yet at a time when the contours of these challenges are still being sketched, and preliminary, planned interventions undertaken, the practice of rural planning finds itself at a low ebb. We examine two ‘critical cases’, one each from Australia and the USA, to explore the issues and options for capacity of rural regional planning to surmount these new challenges. Our examination indicates the urgent need for a renewed discourse on rural regional planning.     

Significant developments in sustainable development law and governance: A proposal

This article develops a practical proposal for progress on sustainable development law. It examines the prospects for an international sustainable development law to provide a framework for more effective, coherent governance. Sustainable development law is briefly defined and an analytical framework is provided. Different degrees of integration between economic, social and environmental law are described. Certain principles of international law related to sustainable development are also highlighted. It is argued that these principles may serve to guide law‐makers and jurists where social, economic and environmental law and policy conflict or overlap. Continuing, underlying questions of sustainable development governance are addressed and its global frameworks analysed. The article also focuses on the 2002 World Summit on Sustainable Development, held in Johannesburg in August‐September 2002, and its specific mandate for the United Nations Commission on Sustainable Development (UNCSD) to take related legal developments into account. The article advances a proposal: that governments, economic, social and environmental intergovernmental organizations and other actors establish a ‘network of inquiry’ with members from relevant groups, including legal and academic organizations, and other expert groups, in order to follow, research, analyse and debate legal developments in a balanced way.     

Population viability analysis as a tool in wildlife conservation policy: With reference to Australia

Wildlife conservation policy for endangered species restoration follows a six-phase process. Population viability analysis (PVA) can play a major contributing role in four of these. PVA, as discussed here, is a technique where extinction vulnerabilities of small populations are estimated using computer simulation modeling. The benefits and limitations of using PVA in wildlife decision and policy processes are reviewed based on our direct experience. PVA permits decision makers to set time frames for management, estimate the required magnitude of restoration efforts, identify quantitative targets for species recovery, and select, implement, monitor, and evaluate management strategies. PVA is of greatest value for rare species policy and management. However, a limitation of PVA simulation models is that they are constrained by the amount of biological data available, and such data are difficult to obtain from small populations that are at immediate risk of extinction. These problems may be overcome with improved models and more data. Our experience shows benefits of PVA far outweigh its limitations, and applications of the approach are most useful when integrated with decision analysis and completed within an adaptive management philosophy. PVAs have been carried out for 14 Victorian species and less used elsewhere in Australia. Management and recovery plans are developed from these PVAs. We recommend that PVA be used to guide research programs, develop conservation strategies, and inform decision and policy making for both endangered and nonendangered species because it can significantly improve many aspects of natural resource policy and management.     

Early action to reduce greenhouse gas emissions before the commitment period of the Kyoto protocol: advantages and disadvantages

Current “business as usual” projections suggest greenhouse gas emissions from industrialized nations will grow substantially over the next decade. However, if it comes into force, the Kyoto Protocol will require industrialized nations to reduce emissions to an average of 5% below 1990 levels in the 2008–2012 period. Taking early action to close this gap has a number of advantages. It reduces the risks of passing thresholds that trigger climate change “surprises.” Early action also increases future generations' ability to choose greater levels of climate protection, and it leads to faster reductions of other pollutants. From an economic sense, early action is important because it allows shifts to less carbon-intensive technologies during the course of normal capital stock turnover. Moreover, many options for emission reduction have negative costs, and thus are economically worthwhile, because of paybacks in energy costs, healthcare costs, and other benefits. Finally, early emission reductions enhance the probability of successful ratification and lower the risk of noncompliance with the protocol. We discuss policy approaches for the period prior to 2008. Disadvantages of the current proposals for Credit for Early Action are the possibility of adverse selection due to problematic baseline calculation methods as well as the distributionary impacts of allocating a part of the emissions budget already before 2008. One simple policy without drawbacks is the so-called baseline protection, which removes the disincentive to early action due to the expectation that businesses may, in the future, receive emission rights in proportion to past emissions. It is particularly important to adopt policies that shift investment in long-lived capital stock towards less carbon-intensive technologies and to encourage innovation and technology development that will reduce future compliance costs.     

A methodological framework and tool for assessing the climate change related risks in the banking sector

Although climate change risks have been studied for a number of economic sectors, banking has received relatively little attention. The paper proposes a methodology and an associated decision-support tool for quantifying, in monetary terms, the risks for banks from the exposure of their loan recipients and/or applicants to climate change. The framework and tool are applied to a case study based on input from a Greek bank; results indicate that climate change risks for banks are considerable, and thus decision makers need to estimate their magnitude and possibly consider these within the credit management process, and in environmental planning.     

Choosing policy instruments for controlling ozone depleting substances in a developing context: the case of Chile

Chile ratified the Montreal Protocol in 1990 which sets out an agenda for the reduction and then elimination of ozone depleting substances (ODS); however, by 1998 the country had not yet defined a strategy to encourage greater compliance, so that in the same year the National Environmental Commission decided to examine the policy options available. This paper examines the process followed to develop this strategy. As a first step it was necessary to look at how far the implicit policy of "business as usual" could be stretched without jeopardizing Chile's compliance obligations. A second step included quantifying compliance costs and their impact on different policy instruments and so policy choice. Finally, the attitudes of decision-makers or participants were identified, by interviews with officials of the different public agents involved, in order to weigh their views about policy. A strategy was proposed, based on this information, which the Chilean regulator has used, although not in its entirety. The methodology developed could well be useful for developing-country Protocol signatories building their own appropriate compliance strategy.     

Barriers and enablers to climate change adaptation in hierarchical governance systems: the case of Vietnam

Governments fulfil important roles in increasing the adaptive capacity of local communities to respond to climate change impacts, particularly in developing countries. Existing studies on how governments enable and constrain the ways in which local level communities learn and build their adaptive capacity, however, generally adopt network or market-oriented types of governance. However, the most vulnerable regions to climate change impact in the world are generally governed through hierarchical policy systems. This research aims to understand how the hierarchical policy system in Vietnam creates enables and/or constrains the policy capacity of policy actors to contribute to effective climate change adaptation. We conducted interviews (n?=?26) with key actors at multiple levels of government. Our findings show the importance of clear legal institutions, available financing for implementing policies, and the training of governmental staff, particularly at district and commune levels where the policy capacities are generally too low to deal with climate change impacts. We conclude that any efforts to support local actors (i.e. smallholder farmers) should include investments in policy capacity to ensure uptake and upscaling of adaptation actions more broadly.     

Participatory GIS and its application in governance: the example of air quality and the implications for noise pollution

Abstract

Participatory GIS (geographic information systems) is designed to use community mapping exercises to produce spatial representations of local knowledge. The ideals of Participatory GIS revolve around the concept of public participation in the use of spatial data leading to increased community involvement in policy-setting and decision-making (Weiner et al., Community participation and geographic information systems, in: Craig et al., Community participation and geographic information systems, London: Taylor & Francis, 2002). This paper reports on findings from two case studies, one relating to assessments of air quality and how Participatory GIS has been used in the UK to improve local government policy, and the second on assessments of noise pollution. It concludes by discussing a caveat on the use of Participatory GIS for environmental governance, which is that, ideally, only issues on which participants are likely to have direct experiential knowledge should be targeted.     

Linking climate policy across economic sectors: A case for green growth in Nepal

While the energy sector is the largest global contributor to greenhouse gas (GHG) emissions, the agriculture, forestry, and other land use (AFOLU) sector account for up to 80% of GHG emissions in the least developed countries (LDCs). Despite this, the nationally determined contributions (NDCs) of LDCs, including Nepal, focus primarily on climate mitigation in the energy sector. This paper introduces green growth—a way to foster economic growth while ensuring access to resources and environmental services—as an approach to improving climate policy coherence across sectors. Using Nepal as a case country, this study models the anticipated changes in resource use and GHG emissions between 2015 and 2030, that would result from implementing climate mitigation actions in Nepal's NDC. The model uses four different scenarios. They link NDC and policies across economic sectors and offer policy insights regarding (1) energy losses that could cost up to 10% of gross domestic product (GDP) by 2030, (2) protection of forest resources by reducing the use of biomass fuels from 465 million gigajoules (GJ) in 2015 to 195 million GJ in 2030, and (3) a significant reduction in GHG emissions by 2030 relative to the business-as-usual (BAU) case by greater use of electricity from hydropower rather than biomass. These policy insights are significant for Nepal and other LDCs as they seek an energy transition towards using more renewable energy and electricity.     

Hybrid governance tensions fuelling self-reflexivity in Alternative Food Networks: the case of the Brussels GASAP (solidarity purchasing groups for peasant agriculture)

This paper applies the concept of Hybrid Governance to the analysis of the GASAP (Groupe d’Achats Solidaires de l’Agriculture Paysanne), a solidarity-based producers–consumers network established in Brussels in 2006. The Hybrid Governance concept allows to capture the role of key governance tensions in driving the self-organisation, scaling out and self-reflexive dynamics of Alternative Food Networks (AFNs). The approach provides a multifaceted and sound socio-political account of the ways AFNs arise, self-organise, associate and build networks in the pursuit of their food allocation objectives, often facing a contradictory socio-institutional environment. Three types of governance tensions, i.e. organisational, resource, and institutional, as well as the interactions among them, are analysed throughout the life-course of the GASAP network. The analysis identifies three phases in the GASAP’s life-course, showing how governance tensions and their interrelations arise and play a critical role in conditioning the overall development of the organisation through time. The paper concludes with highlighting prospective values of the hybrid governance approach for the analysis of AFNs in general. These values relate to: the role of the hybrid approach in illuminating on key drivers behind the scaling out of AFNs; the hybrid governance as a tool to conceptualise and sustain the self-reflexive capacity of local food initiatives and the ways by which this approach unravels challenges to build cooperative alliances and networks among a diversity of agents in the food arena.     

A systems approach to the evaluation of natural resource management initiatives

Adopting a new paradigm for natural resource and environmental policy that emphasises continuous change, adaptation and learning demands a new approach to evaluation to enable improvements in the way these initiatives contribute to sustainable resource use. Evaluation is fundamental to identifying change, supporting an adaptive approach that is flexible enough to meet the challenge of change, and enabling learning at individual, community, institutional and policy levels. Based on a consideration of changing approaches to natural resource management (NRM) policy and observations and experiences in the practical assessment of on-the-ground initiatives, the authors develop a set of principles for evaluation in NRM that: (a) addresses evaluation from a systems perspective, (b) links objective to consequence, (c) considers the fundamental assumptions and hypotheses that underpin core policy or program objectives, (d) is grounded in the natural resource, policy/institutional, economic, socio-cultural and technological contexts of implementation in practice, (e) establishes practical and valid evaluation criteria by which change can be monitored and assessed, (f) involves methodological pluralism including both quantitative and qualitative methods to ensure rigour and comprehensiveness in assessment, and (g) integrates different disciplinary perspectives (i.e. social, economic, environmental, policy and technological). The paper develops a systems-based evaluation framework that incorporates these principles and also recognises the multiple levels and nested nature of NRM policy, namely: problem characterisation, policy formulation and intent, program logic, and on-ground implementation. Finally, we demonstrate its utility through application to three contrasting Australian case studies: a community-based Integrated Catchment Management policy implementation; a resource information delivery system; and the development of a Decision Support System.