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.     

Governing climate change for a just city: challenges and lessons from Maputo,Mozambique

As new forms of governance for climate change emerge in African cities, will they enable emancipatory and socially progressive transformations or will they exacerbate existing inequality, poverty and vulnerability patterns? This paper presents one of the case studies developed by UN-Habitat Cities and Climate Change Initiative in Maputo, Mozambique. The case analyses first, the production of urban vulnerabilities under climate change, and second, the existing governance arrangements for climate change in the city. Building on the lessons of the case study, the paper argues that to ensure that new forms of climate change governance lead to socially and environmentally just outcomes climate change interventions should, at least, meet two conditions: first, they should consider the close interactions between social and ecological elements and, specially, how patterns of urban inequality interact with environmental factors; second, they should recognise the opportunities in African cities through a broad notion of governance that looks beyond the government as the sole agent of urban change.     

Special section: advancing the role of cities in climate governance – promise,limits, politics

This special issue contributes to scholarly debates about the role of cities in global climate governance, reflecting on the promise, limits, and politics of cities as agents of change. It takes an empirically-informed approach drawing on multiple diverse geographical and political contexts. Overall, the special issue aims to stimulate reflection and debate about where understanding and practice needs improvement to advance the role of cities in global climate governance. Key questions that are addressed in the special issue include: To what extent do real world experiences confirm or disconfirm the high expectations of cities as agents and sites of change in addressing global climate change as expressed in urban climate governance literature? In what ways do internal political dynamics of cities enable or constrain urban climate governance? How is climate governance in cities enabled and constrained by interactions with broader governance levels? In what ways can climate governance in cities be advanced through critical attention to the previous issues?     

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.     

Framing Climate Change for Public Deliberation: What Role for Interpretive Social Sciences and Humanities?

Public deliberation is increasingly marshalled as a viable avenue for climate governance. Although climate change can be framed in multiple ways, it is widely assumed that the only relevant public meaning of climate change is that given by the natural sciences. Framing climate change as an inherently science-based public issue not only shields institutional power from scrutiny, but it can also foster an instrumental approach to public deliberation that can constrain imaginative engagement with present and future socio-environmental change. By fostering the normative value of pluralism as well as the substantive value of epistemic diversity, the interpretive social sciences and humanities can assist in opening up public deliberation on climate change such that alternative questions, neglected issues, marginalized perspectives and different possibilities can gain traction for policy purposes. Stakeholders of public deliberation are encouraged to reflect on the orchestration of the processes by which climate change is defined, solutions identified and political collectives convened.     

Managing for Multiple Resources Under Climate Change: National Forests

This study explores potential adaptation approaches in planning and management that the United States Forest Service might adopt to help achieve its goals and objectives in the face of climate change. Availability of information, vulnerability of ecological and socio-economic systems, and uncertainties associated with climate change, as well as the interacting non-climatic changes, influence selection of the adaptation approach. Resource assessments are opportunities to develop strategic information that could be used to identify and link adaptation strategies across planning levels. Within a National Forest, planning must incorporate the opportunity to identify vulnerabilities to climate change as well as incorporate approaches that allow management adjustments as the effects of climate change become apparent. The nature of environmental variability, the inevitability of novelty and surprise, and the range of management objectives and situations across the National Forest System implies that no single approach will fit all situations. A toolbox of management options would include practices focused on forestalling climate change effects by building resistance and resilience into current ecosystems, and on managing for change by enabling plants, animals, and ecosystems to adapt to climate change. Better and more widespread implementation of already known practices that reduce the impact of existing stressors represents an important “no regrets” strategy. These management opportunities will require agency consideration of its adaptive capacity, and ways to overcome potential barriers to these adaptation options.     

Adaptation as a Political Process: Adjusting to Drought and Conflict in Kenya’s Drylands

In this article, we argue that people’s adjustments to multiple shocks and changes, such as conflict and drought, are intrinsically political processes that have uneven outcomes. Strengthening local adaptive capacity is a critical component of adapting to climate change. Based on fieldwork in two areas in Kenya, we investigate how people seek to access livelihood adjustment options and promote particular adaptation interests through forming social relations and political alliances to influence collective decision-making. First, we find that, in the face of drought and conflict, relations are formed among individuals, politicians, customary institutions, and government administration aimed at retaining or strengthening power bases in addition to securing material means of survival. Second, national economic and political structures and processes affect local adaptive capacity in fundamental ways, such as through the unequal allocation of resources across regions, development policy biased against pastoralism, and competition for elected political positions. Third, conflict is part and parcel of the adaptation process, not just an external factor inhibiting local adaptation strategies. Fourth, there are relative winners and losers of adaptation, but whether or not local adjustments to drought and conflict compound existing inequalities depends on power relations at multiple geographic scales that shape how conflicting interests are negotiated locally. Climate change adaptation policies are unlikely to be successful or minimize inequity unless the political dimensions of local adaptation are considered; however, existing power structures and conflicts of interests represent political obstacles to developing such policies.     

Testing the scoping phase of a bottom-up planning guide designed to support Australian Indigenous rangers manage the impacts of climate change on cultural heritage sites

Since the early 1990s archaeologists have suggested archaeological and cultural heritage sites (cultural sites) will face major challenges from anthropogenic climate change. While techniques to manage such impacts are emerging, no planning tools exist for bottom-up, community-based management of the issue. This paper forms part of an overarching research project that aims to fill this gap by developing a bottom-up planning guide (the Guide). The paper tests the first of the proposed Guide’s five phases: the scoping phase. It presents the results of workshops conducted with two Australian Indigenous rangers groups. While existing studies document Indigenous peoples’ perceptions of climate change in general, none have focussed on their perceptions of impacts on cultural heritage sites. Here, Indigenous rangers related strong perceptions of particular climate change impacts on specific cultural sites in particular bio-regions. While the rangers were actively engaged with sites, they felt site management should be extended in the face of additional threats from climate change. Rangers were able to nominate a preferred methodological approach, based on a risk analysis of biophysical hazards, as well as local adaptive capacity building in the face of governance challenges. Various barriers to adaptation planning and resource limitations were identified but these were not regarded as insurmountable in terms of the current project. Testing of the scoping phase of the Guide suggested rangers had a strong organisational capacity to achieve practical adaptation results.     

Dynamics of local governance in natural resource conservation in the Okavango Delta,Botswana

There has been a shift in natural resource management worldwide. This paper describes how modern institutions and policies influence management and shape access to and utilization of resources by rural communities in the Okavango Delta, Botswana. It is rooted in the framework of adaptive co‐governance within social‐ecological systems, and employs a critical literature review to analyse access to and use of natural resources in rural Botswana. Prior to the establishment of community‐based natural resource management (CBNRM) in Botswana in 1989, resource governance was dominated by strong traditional institutions that were responsible for natural resource management and decision‐making. Contemporary natural resource governance is characterized by a bureaucratic system that invariably undermines the role of traditional institutions in natural resource governance. Findings indicate that policies and regulatory instruments deny rural communities adequate access to and utilization of resources available within their immediate environment. In spite of an orientation towards an anthropocentric approach to natural resource management (as in the case of CBNRM), the current governance system continues to undermine the inclusion of local resource users as legitimate stakeholders in the decision‐making process.     

Contesting governance of indigenous forests in New Zealand: The case of the West Coast Forest Accord

This paper uses the concept of ‘governance’ and the related notion of ‘multi-layered’ forest management decision making as an overarching framework for analysis of conflict between different stakeholder groups with contrasting perceptions about ‘appropriate’ use of indigenous forests in a New Zealand case study. In New Zealand, recent institutional reforms inspired by neo-liberal policy agendas have led to substantial conflicts between segments of society over the ‘appropriate’ governance of remnant indigenous forests. This study focuses on the West Coast Forest Accord (WCFA) as an illustration of the attempt to change governance structures of indigenous forest management by re-regulating the indigenous forest industry. It is argued that by seeking to accommodate multiple stakeholder interests, in particular industry, community and environmental groups, the WCFA was doomed to fail, as multiple, and often conflicting, stakeholder agendas focused on the goal of ‘sustainable management’ of indigenous forests could no longer be reconciled. Notwithstanding the shift in emphasis from government towards governance in the recent literature, the study findings confirm a continuing strong role by the state as an actor in the forestry sector in New Zealand.     

From disaster management to adaptive governance? Governance challenges to achieving resilient food systems in Australia

Building resilient food systems in the context of climate change and increased natural disasters depends on governance being more ‘adaptive’. Through a case study of events surrounding the extensive flooding that occurred in Queensland, Australia, in 2011, this paper examines how governance settings and processes affected food system actors’ engagement with three aspects of adaptive governance – responsibility, participation and collaboration – as those actors sought to ensure food availability and access during the crisis. We found that, despite the existence of formal governance instruments committed to disaster management, food security and resilience at local, state and national levels, responsibilities for ensuring food supply during a disaster were not clearly articulated. Responsibility was largely assumed by supermarkets, who in turn increased the influence of retailer–government coalitions. The participation of non-supermarket food system actors in governance was low, and there was limited collaboration between local, and other, levels of governance. The policy challenge is to ensure that responsibility, participation and collaboration become a stronger foci for adaptive governance during and after a disaster such as flooding.     

Evaluating Adaptive Governance Approaches to Sustainable Water Management in North-West Thailand

Adaptive governance is advanced as a potent means of addressing institutional fit of natural resource systems with prevailing modes of political–administrative management. Its advocates also argue that it enhances participatory and learning opportunities for stakeholders over time. Yet an increasing number of studies demonstrate real difficulties in implementing adaptive governance ‘solutions’. This paper builds on these debates by examining the introduction of adaptive governance to water management in Chiang Mai province, north-west Thailand. The paper considers, first, the limitations of current water governance modes at the provincial scale, and the rationale for implementation of an adaptive approach. The new approach is then critically examined, with its initial performance and likely future success evaluated by (i) analysis of water stakeholders’ opinions of its first year of operation; and (ii) comparison of its governance attributes against recent empirical accounts of implementation difficulty and failure of adaptive governance of natural resource management more generally. The analysis confirms the potentially significant role that the new approach can play in brokering and resolving the underlying differences in stakeholder representation and knowledge construction at the heart of the prevailing water governance modes in north-west Thailand.     

Climate change in mountain regions: how local communities adapt to extreme events

This paper examines how local communities adapt to climate change and how governance structures can foster or undermine adaptive capacity. Climate change policies, in general, and disaster risk management in mountain regions, in particular, are characterised by their multi-level and multi-sectoral nature during formulation and implementation. The involvement of numerous state and non-state actors at local to national levels produces a variety of networks of interaction and communication. The paper argues that the structure of these relational patterns is critical for understanding adaptive capacity. It thus proposes an expanded concept of adaptive capacity that incorporates (horizontal and vertical) actor integration and communication flow between these actors. The paper further advocates the use of formal social network analysis to assess these relational patterns. Preliminary results from research on adaptation to climate change in a Swiss mountain region vulnerable to floods and other natural hazards illustrate the conceptual and empirical significance of the main arguments.     

Responding to climate change as a transformative stressor through metro-regional planning

This paper characterises climate change as a “transformative stressor”. It argues that institutional change will become increasingly necessary as institutions seek to reorientate governance frameworks to better manage the transformative stresses created by climate change in urban environments. Urban and metropolitan planning regimes are identified as central institutions in addressing this challenge. The operationalisation of climate adaptation is identified as a central tenet of a comprehensive urban response to the transformative stresses that climate change is predicted to create. Operationalisation refers to climate adaptation becoming incorporated, codified and implemented as a central tenet of urban planning governance. This paper has three purposes. First, it examines conceptual perspectives on the role of transformative stressors in compelling institutional change. Second, it establishes a conceptual approach that characterises climate change as a transformative stressor requiring institutional change within planning frameworks. Third, it reports emergent results and analysis from an empirical inquiry which examines how the metro-regional planning regime of Southeast Queensland has responded to climate change as a transformative stressor via institutional change and the operationalisation of climate adaptation.     

Adaptation in Practice: How Managers of Nature Conservation Areas in Eastern England are Responding to Climate Change

Although good general principles for climate change adaptation in conservation have been developed, it is proving a challenge to translate them into more detailed recommendations for action. To improve our understanding of what adaptation might involve in practice, we investigated how the managers of conservation areas in eastern England are considering climate change. We used a written questionnaire and semi-structured interviews to collect information from managers of a range of different conservation areas. Topics investigated include the impacts of climate change perceived to be of the greatest importance; adaptation goals being set; management actions being carried out to achieve these goals; sources of information used; and perceived barriers to taking action. We identified major themes and issues that were apparent across the sites studied. Specifically, we found ways in which adaptation had been informed by past experience; different strategies relating to whether to accept or resist change; approaches for coping with more variable conditions; ways of taking a large-scale approach and managing sites as networks; some practical examples of aspects of adaptive management; and examples of the role that other sectors can play in both constraining and increasing a conservation area’s capacity to adapt. We discuss the relevance of these findings to the growing discussion in conservation about identifying adaptation pathways for different conservation areas and a potential progression from a focus on resilience and incremental change to embracing “transformation.” Though adaptation will be place-specific, we believe these findings provide useful lessons for future action in both England and other countries.     

Sustaining Ecological Integrity with Respect to Climate Change: A Fuzzy Adaptive Management Approach

A fuzzy adaptive management framework is proposed for evaluating the vulnerability of an ecosystem to losing ecological integrity as a result of climate change in an historical period (ex post evaluation) and selecting the best compensatory management action for reducing potential adverse impacts of future climate change on ecological integrity in a future period (ex ante evaluation). The ex post evaluation uses fuzzy logic to test hypotheses about the extent of past ecosystem vulnerability to losing ecological integrity and the ex ante evaluation uses the fuzzy minimax regret criterion to determine the best compensatory management action for alleviating potential adverse impacts of climate change on ecosystem vulnerability to losing ecological integrity in a future period. The framework accounts for uncertainty regarding: (1) the relationship between ecosystem vulnerability to losing ecological integrity and ecosystem resilience; (2) the relationship between ecosystem resilience and the extent to which observed indicators of ecological integrity depart from their thresholds; (3) the extent of future climate change; and (4) the potential impacts of future climate change on ecological integrity and ecosystem resilience. The adaptive management element of the framework involves using the ex post and ex ante evaluations iteratively in consecutive time segments of the future time period to determine if and when it is beneficial to adjust compensatory management actions to climate change. A constructed example is used to demonstrate the framework.     

Vulnerability of Fraser River sockeye salmon to climate change: A life cycle perspective using expert judgments

Fraser River sockeye salmon have been the basis for a major commercial fishery shared by Canada and the United States, and an important cultural foundation for many aboriginal groups; they are also of huge ecological significance throughout the Fraser Basin. The potential for altered aquatic habitat and temperature regimes due to climate change is an important concern for Fraser River sockeye salmon. This paper characterizes the vulnerability of Fraser River sockeye salmon to future climate change using an approach that is novel on three counts. First, previous efforts to assess the vulnerability of salmon to climate change have largely focused on only part of the life cycle, whereas we consider climate vulnerability at all stages in the life cycle. Second, we use the available scientific literature to provide a basis for structuring and eliciting judgments from fisheries science and management experts who research and manage these systems. Third, we consider prospects for mitigating the effects of climate change on sockeye salmon. Tests showed that participants’ judgments differentiated in statistically significant ways among questions that varied in terms of life stages, spawning regions and climate scenarios. The consensus among participants was that Fraser River sockeye are most vulnerable to climate change during the egg and returning adult stages of the life cycle. A high temperature scenario was seen as imposing the greatest risk on sockeye stocks, particularly those that migrate to the upper reaches of the Fraser River system and spawn earlier in the summer. The inability to alter water temperature and the highly constrained nature of sockeye management, with competing gear types and sequential fisheries over a long distance, suggest the potential to mitigate adverse effects is limited. Fraser River sockeye already demonstrate a great deal of adaptive capacity in utilizing heterogeneous habitats in different river sub-basins. This adaptability points to the potential value of policies to make stocks more resilient to uncertain futures.     

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.     

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.     

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.