Institutional innovation in urban governance: The case of climate change adaptation

Urban governance systems need to be adaptive to deal with emerging uncertainties and pressures, including those related to climate change. Realising adaptive urban governance systems requires attention to institutions, and in particular, processes of institutional innovation. Interestingly, understanding of how institutional innovation and change occurs remains a key conceptual weakness in urban climate change governance. This paper explores how institutional innovation in urban climate change governance can be conceptualised and analysed. We develop a heuristic involving three levels: (1) “visible” changes in institutional arrangements, (2) changes in underlying “rules-in-use”, and (3) the relationship to broader “governance dilemmas”. We then explore the utility of this heuristic through an exploratory case study of urban water governance in Santiago, Chile. The approach presented opens up novel possibilities for studying institutional innovation and evaluating changes in governance systems. The paper contributes to debates on innovation and its effects in urban governance, particularly under climate change.     

Towards socially just adaptive climate governance: the transformative potential of conflict

Conflict is an important factor in ongoing climate change debates and its role in management is under increasing scrutiny. In this paper, I present the results of an advanced discourse analysis that analyses trends in the relationship between conflict and climate change. I present two primary discourses dominate discussion: (i) climate as a security risk and (ii) climate as one of many factors affecting power relations that may lead to conflict. Both narratives implicitly or explicitly discuss climate conflict as a cause–outcome relationship, and further primarily construct conflict and climate change within normative frames. Yet, conflict has transformative potential and can be incorporated into management in ways that harness its capacity to drive innovation and lead to more robust and just adaptive governance. I argue for a shift in the discursive frame from a cause– outcome-oriented approach to a process-driven approach, one that treats conflict as an integral part of adaptive governance processes, thus being more just and equitable. Such a shift in focus can lead to positive on ground climate adaptation outcomes, in ways that respect rather than are counter-intuitive to dominant political and societal imbalances and institutional structures.     

Climate change adaptation in the urban planning and design research: missing links and research agenda

This paper investigates the extent and the nature of how the urban planning literature has addressed climate change adaptation. It presents a longitudinal study of 157 peer-reviewed articles published from 2000 to 2013 in the leading urban planning and design journals whose selection considered earlier empirical studies that ranked them these journals. The findings reveal that the years 2006–07 represent a turning point, after which climate change studies appear more prominently and consistently in the urban planning and design literature; however, the majority of these studies address climate change mitigation rather than adaptation. Most adaptation studies deal with governance, social learning, and vulnerability assessments, while paying little attention to physical planning and urban design interventions. This paper identifies four gaps that pertain to the lack of interdisciplinary linkages, the absence of knowledge transfer, the presence of scale conflict, and the dearth of participatory research methods. It then advocates for the advancement of participatory and collaborative action research to meet the multifaceted challenges of climate change.     

Climate adaptation management and institutional erosion: insights from a major Canadian port

This paper performs an institutional analysis of the adaptation to climate change by ports, through a case study of the port of Vancouver, Canada. While previous literature has demonstrated the value of informal institutions for filling gaps left by formal institutions, the role of failed informal institutions has received less attention. Our analysis reveals how, in the case of an unprecedented challenge like climate adaptation, relying on informal institutions with less agency can actually erode the strength of existing institutions in a form of negative institutional plasticity. In this case, emerging polycentric governance was unsuccessful, unable to construct clearly demarcated responsibilities due to impedance by the path dependence of the current federalist system. The latter works well for traditional infrastructure investments with a closed pool of stakeholders, but not for ports where multiple scales of embeddedness, both horizontally and vertically, produce a collective action problem with no mechanism for resolution.     

Urban climate change and sustainability planning: an analysis of sustainability and climate change discourses in local government plans in Canada

This paper clarifies the competing discourses of sustainability and climate change and examines the manifestation of these discourses in local government planning. Despite the increasingly significant role of sustainability and climate change response in urban governance, it is unclear whether local governments are constructing different discourses that may result in conflicting approaches to policy-making. Using a governmentality approach, this paper dissects the contents of 15 Canadian local governments’ sustainability plans. The findings show that there are synergies and tensions between discourses of sustainability and climate change. Both share discursive space and shape local governance rationalities, though climate change response logics are not necessarily highlighted even where the action could result in greenhouse gas (GHG) emission reductions. In some cases, existing GHG intensive practices are being rebranded as ‘sustainable’. This suggests a tension between discourses of sustainability and climate change that may complicate attempts to address climate change through local sustainability planning.     

Governance innovations for climate change adaptation in urban Denmark

Urban areas worldwide are challenged by climate change and urban flooding. Within the academic literature, adaptive measures that can be integrated into other issues such as recreation, nature reserves, and social issues are considered the way forward. Adaptation has recently become a mandatory planning theme for Danish municipalities, which in the absence of established practices are struggling to find the best institutional set-up to address adaptation as an integrated issue. Based on a case study of an integrated project organised as a partnership, this article identifies and discusses governance challenges that must be addressed if municipalities are to benefit from synergies through integrated projects. The municipality in question has established a partnership with housing organisations, foundations, and a utility company as well as facilitated a dialogue with citizens and institutions to address flooding threats and social issues at the neighbourhood scale. Because of strong political and leadership support, funding from partners, and good project facilitation both partners and politicians are enthusiastic about the project and its potential. Several challenges, however, needed to be addressed, particularly in relation to clashing norms from different governance paradigms. This is an issue requiring more attention both in research and practice.     

The local governance of climate change: new tools to respond to old limitations in Esmeraldas,Ecuador

This article argues that climate change, seen as a socially constructed anticipation of natural disasters and a future-risk that plays out in present politics, is enabling the emergence of new modes of governance in cities of the global south. The article focuses on the process by which the city of Esmeraldas, Ecuador, developed a Climate Change Adaptation and Mitigation Strategy. Within the context of climate change adaptation, Esmeraldas mobilised new discourses, stakeholders, and planning mechanisms to address pre-existing urban planning and development limitations. This discursively enabled the municipality's ongoing governance project by leveraging resources, creating consensus, and informing practice. Climate change adaptation thus became an important mechanism for engaging with local priorities, particularly those of the most vulnerable populations, and for bridging the gap between the formal world of policymaking and the reality of life in the city, which is more often structured by informality.     

The role of scale in integrating climate change adaptation and mitigation in cities

By using a scale framework, we examine how cross-scale interactions influence the implementation of climate adaptation and mitigation actions in different urban sectors. Based on stakeholder interviews and content analysis of strategies and projects relevant to climate adaptation and mitigation in the cities of Copenhagen and Helsinki, we present empirical examples of synergies, conflicts and trade-offs between adaptation and mitigation that are driven by the cross-scale interactions. These examples show that jurisdictional and institutional scales shape the implementation of adaptation and mitigation strategies, projects and tasks at the management scale, creating benefits of integrated solutions, but also challenges. Investigating the linkages between adaptation and mitigation through a scale framework provides new knowledge for urban climate change planning and decision-making. The results increase the understanding of why adaptation and mitigation are sometimes handled as two separate policy areas and also why attempts to integrate the two policies may fail.     

Adapting to changing climate risk by local government in New Zealand: institutional practice barriers and enablers

Adaptation to climate change has been reviewed in several developed nations, but in none where consideration of the effects of climate change is required by statute and devolved to local government. We examine the role of institutional arrangements, the players operating under them, the barriers and enablers for adaptation decision-making in the developed nation of New Zealand. We examine how the roles and responsibilities between national, regional and local governments influence the ability of local government to deliver long-term flexible responses to changing climate risk. We found that the disciplinary practices of law, engineering and planning, within legal frameworks, result in the use of static mechanisms which create inflexible responses to changing risk. Several enablers are identified that could create greater integration between the different scales of government, including better use of national policy instruments, shared professional experience, standardised information collection and risk assessment methods that address uncertainties. The framing of climate risk as dynamic and changing that differentiates activities over their lifetime, development of mechanisms to fund transitions towards transformational change, are identified as necessary conditions for delivering flexible responses over time.     

Old ways for new days: Australian Indigenous peoples and climate change

ABSTRACT

This paper explores how Australia's Indigenous peoples understand and respond to climate change impacts on their traditional land and seas. Our results show that: (i) Indigenous peoples are observing modifications to their country due to climate change, and are doing so in both ancient and colonial time scales; (ii) the ways that climate change terminology is discursively understood and used is fundamental to achieving deep engagement and effective adaptive governance; (iii) Indigenous peoples in Australia exhibit a high level of agency via diverse approaches to climate adaptation; and (iv) humour is perceived as an important cultural component of engagement about climate change and adaptation. However, wider governance regimes consistently attempt to “upscale” Indigenous initiatives into their own culturally governed frameworks - or ignore them totally as they “don't fit” within neoliberal policy regimes. We argue that an opportunity exists to acknowledge the ways in which Indigenous peoples are agents of their own change, and to support the strategic localism of Indigenous adaptation approaches through tailored and place-based adaptation for traditional country.     

Windows of opportunity: addressing climate uncertainty through adaptation plan implementation

There is a pressing need for municipalities and regions to create urban form suited to current as well as future climates, but adaptation planning uptake has been slow. This is particularly unfortunate because patterns of urban form interact with climate change in ways that can reduce, or intensify, the impact of overall global change. Uncertainty regarding the timing and magnitude of climate change is a significant barrier to implementing adaptation planning. Focusing on implementation of adaptation and phasing of policy reduces this barrier. It removes time as a decision marker, instead arguing for an initial comprehensive plan to prevent maladaptive policy choices, implemented incrementally after testing the micro-climate outcomes of previous interventions. Policies begin with no-regrets decisions that reduce the long-term need for more intensive adaptive actions and generate immediate policy benefits, while gradually enabling transformative infrastructure and design responses to increased climate impacts. Global and local indicators assume a larger role in the process, to evaluate when tipping points are in sight. We use case studies from two exemplary municipal plans to demonstrate this method's usefulness. While framed for urban planning, the approach is applicable to natural resource managers and others who must plan with uncertainty.     

Climate change collaboration among natural resource management agencies: lessons learned from two US regions

It has been argued that regional collaboration can facilitate adaptation to climate change impacts through integrated planning and management. In an attempt to understand the underlying institutional factors that either support or contest this assumption, this paper explores the institutional factors influencing adaptation to climate change at the regional scale, where multiple public land and natural resource management jurisdictions are involved. Insights from two mid-western US case studies reveal that several challenges to collaboration persist and prevent fully integrative multi-jurisdictional adaptation planning at a regional scale. We propose that some of these challenges, such as lack of adequate time, funding and communication channels, be reframed as opportunities to build interdependence, identify issue-linkages and collaboratively explore the nature and extent of organisational trade-offs with respect to regional climate change adaptation efforts. Such a reframing can better facilitate multi-jurisdictional adaptation planning and management of shared biophysical resources generally while simultaneously enhancing organisational capacity to mitigate negative effects and take advantage of potentially favourable future conditions in an era characterised by rapid climate change.     

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.     

Transformative climate change adaptation: bridging existing approaches with post-foundational insights on justice

ABSTRACT

Climate adaptation is a complex policy domain, spanning multiple sectors, scales and actors, and wherein those most at risk have the least power. The influence of linear positivist models of science uptake are proving ineffective in a world with increasingly concentrated wealth and power, institutional barriers, and rapidly growing risks facing the many. A plurality of approaches is needed to better examine those dynamics of climate adaptation which are often invisible in models of science uptake – equity, the value of contestation, path dependency – and to consider how to empower communities to find solutions. In this conceptual paper, we argue that bridging existing positivist and interpretivist methods with insights from post-foundational theory so as to underpin pluralism and re-orient ethical principles of justice, strengthens the capacity of social research to support transformative climate adaptation. Principles are proposed to facilitate such bridging.     

Harnessing community energy: the keys to climate mitigation policy adoption in US municipalities

Many US municipalities are engaged in climate change mitigation planning or efforts to reduce their communities' greenhouse gas emissions. However, most have adopted very few policies to implement their climate change mitigation goals, and many others are not pursuing climate change mitigation at all. This study examines municipalities' approaches to energy and climate issues and identifies the “keys to success” that influence the extent to which they adopt climate change mitigation policies.

Prior researchers have characterised climate change mitigation efforts as an example of multi-level governance, in which policies are formulated through a variety of networks and interactions between government actors and civil society. I find that municipalities that engage community interests and coordinate with neighbouring jurisdictions in their energy and climate planning processes are far more likely to adopt meaningful policies and conclude that such multi-level governance approaches are actually critical to the success of climate change mitigation planning.     

Formulating and implementing climate change laws and policies in the Philippines,Mexico (Chiapas), and South Africa: a local government perspective

Faced with the prospects of a changing climate, a small but increasing number of countries are developing legal and regulatory frameworks that explicitly address climate change. Moreover at least some of these laws and policies carve out substantial roles for local governments. The present paper surveys three countries from different regions in the Global South that have developed or are developing such laws and policies: the Philippines (Asia-Pacific), Mexico and more specifically its State of Chiapas (Latin America), and South Africa (Africa). It examines those experiences through two different lenses. The paper first reviews the steps by which those laws or policies were developed. For this review, criteria for effective consultative processes are proposed. The study then examines the three climate change laws or policies per se. To this end, a framework including four modes of multi-level urban climate governance (governing by regulation, governing through enabling, governing by provision, governing with representation and consultation) is utilised. The paper ends with synthetic conclusions as to which experiences represent promising practices, and what other lessons are relevant for countries embarking on such processes.     

Multi-level coordination of climate change adaptation: by national hierarchical steering or by regional network governance?

The institutional structure and public service delivery apparatus required to meet the future effects of climate change already exist in Norway. However, there are huge challenges in coordinating these institutions at different authority levels for climate change adaptation purposes. Based upon a broad case study, this article presents how local actors consider the multi-level coordination of different levels of government and policy sectors to function today, which are the mechanisms that are used and what are the coordination challenges that are identified. Based upon the challenges revealed, this article discusses how best can the government-level institutions be organised for better goal attainment. We argue here that the elected regional level in Norway – the counties – has a huge potential to act as a multi-level coordination actor.     

Local governments in the driving seat? A comparative analysis of public and private responsibilities for adaptation to climate change in European and North-American cities

The division of responsibilities between public and private actors has become a key governance issue for adaptation to climate change in urban areas. This paper offers a systematic, comparative analysis of three empirical studies which analysed how and why responsibilities were divided between public and private actors for the governance of local urban climate adaptation. For 20 governance arrangements in European and North-American cities, the divisions of responsibilities and the underlying rationales of actors for those divisions were analysed and compared. Data were gathered through content analysis of over 100 policy documents, 97 in-depth interviews and 2 multi-stakeholder workshops. The comparative analysis reveals that local public authorities are the key actors, as they bear the majority of responsibilities for climate proofing their cities. In this stage of policy emergence, local authorities are clearly in the driving seat. It is envisaged that local public authorities need to more actively engage the different private actors such as citizens, civil society and businesses through governance networks along with the maturation of the policy field and the expected acceleration of climate impacts in the coming decades.     

Moving from agenda to action: evaluating local climate change action plans

Climate change is conventionally recognised as a large-scale issue resolved through regional or national policy initiatives. However, little research has been done to directly evaluate local climate change action plans. This study examines 40 recently adopted local climate change action plans in the US and analyses how well they recognise the concepts of climate change and prepare for climate change mitigation and adaptation. The results indicate that local climate change action plans have a high level of ‘awareness’, moderate ‘analysis capabilities’ for climate change, and relatively limited ‘action approaches’ for climate change mitigation. The study also identifies specific factors influencing the quality of these local jurisdictional plans. Finally, it provides policy recommendations to improve planning for climate change at the local level.