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.     

Between adaptability and the urge to control: making long-term water policies in the Netherlands

Triggered by recent flood catastrophes and increasing concerns about climate change, scientists as well as policy-makers increasingly call for making long-term water policies to enable a transformation towards flood resilience. A key question is how to make these long-term policies adaptive so that they are able to deal with uncertainties and changing circumstances. The paper proposes three conditions for making long-term water policies adaptive, which are then used to evaluate a new Dutch water policy approach called ‘Adaptive Delta Management’. Analysing this national policy approach and its translation to the Rotterdam region reveals that Dutch policy-makers are torn between adaptability and the urge to control. Reflecting on this dilemma, the paper suggests a stronger focus on monitoring and learning to strengthen the adaptability of long-term water policies. Moreover, increasing the adaptive capacity of society also requires a stronger engagement with local stakeholders including citizens and businesses.     

An examination of governance within extended producer responsibility policy regimes in North America

Extended producer responsibility seeks to integrate environmental impacts into the product lifecycle and achieve greater economic efficiencies in the management of products at end of life. For such integration to be actualized, however, producers may need to be accorded greater programmatic authority and flexibility than is often in some EPR policies that stipulate defined roles for other entities along the product chain. The proper allocation of responsibility among the parties and, in particular, the roles of the producers and local authorities remains a principal component of EPR policy construction. The analysis outlines four broad categories of financial and programmatic responsibility that currently reside within EPR programs in North America. The article concludes with recommendations for a research agenda to further define the governance characteristics that result in effective and efficient EPR programs.     

Environmental policy expansion in the EU: the intriguing case of bioinvasion regulation

ABSTRACT

While bioinvasion was an issue of low political salience in Europe, a new regulation addressing it was adopted in 2014 with strong support. This article analyzes the making of the regulation as an intriguing case of policy expansion amid economic crisis. Based on theoretical literature on drivers of EU policy integration and policy dismantling, alternative plausible explanations are explored. Our main finding is that development of economic policy consensus among member states on trade-environment nexus was crucial for progress towards regulatory action. Policy consensus has been driven by a confluence of three domestic factors: trade liberalization, market disintegration, and changing ideas about the desirability of EU-level law, with the European Commission as policy entrepreneur. Low political salience has also had an important effect. It has increased the influence of transnational conservation alliances, which have played a significant catalytic role in building consensus by shifting consciousness to economic reward of policy action vs inaction, and bringing international models for legislative reform to the EU jurisdiction.     

Local energy governance in post-Fukushima Japan: a survey of citizen willingness to participate in local energy policy deliberations

Employing a social survey, this paper examines citizen attitudes towards local energy governance in the aftermath of the Great East Japan Earthquake and the subsequent nuclear power plant accident. The survey found that public comment and random sampling citizen deliberation led to a greater willingness to participate in discussions of municipal heating and power (energy) policy for a resilient community than did conventional citizen committee membership. The former mechanisms provided opportunities for individuals with considered viewpoints to participate in a public dialogue on energy and environment issues in post-disaster Japan. Respondents who did not have clear ideas about a roadmap for nuclear power generation showed a lower willingness to participate in local energy policy formulation processes.     

Conflict and collective action in Tonle Sap fisheries: adapting governance to support community livelihoods

This paper presents the results of action research conducted from 2009 to 2015 on the dynamics of resource conflict concerning fisheries and livelihoods in the Tonle Sap Lake, as well as the institutional context and strategies for institutional adaptation to address such conflicts equitably. Over the past 15 years, Cambodia has made significant advances in building the policy framework, regulations and institutions to support community‐based fisheries management and increase the sector's contribution to the rural economy. However, fundamental challenges of increased resource conflict and loss of livelihoods by the most vulnerable remain. Key sources of conflict include destructive and illegal fishing practices, clearing of flooded forests, competing uses of land and water, and overlapping resource claims. Addressing these challenges requires collective action by all key actors: local fishers, the private sector, civil society, development partners, and government from the local to the national level. We identify and elaborate upon four governance priorities: (1) clarify roles and responsibilities in fisheries management; (2) link civil society and government efforts in law enforcement; (3) strengthen partnerships for livelihoods development; and (4) integrate fisheries management into decentralised development planning.     

Contrasting stories on overcoming governance challenges: the implementation of the EU Water Framework Directive in the Netherlands

The European Union Water Framework Directive (WFD) has provided the European Member States with a range of interacting governance challenges. This article studies three of these (the need for new administrative arrangements, public participation, and the enforced strict time frame). It questions how these interacting governance challenges were addressed in implementing the WFD in the Netherlands – a particularly interesting country since the European Commission assesses its implementation process in relatively positive terms, while an in-depth study reported on in this article tells a contrasting story. Based on this study, the article concludes that especially the interaction effects between the governance challenges may help us to better understand the outcome of the WFD-implementation process, and to provide more suitable advice as to how to improve the implementation process in future rounds.     

Adaptive co-management and network learning in the Room for the River programme

Adaptive co-management and learning are paramount for integrated flood risk management. Relevant literature focuses on adaptation at the level of physical and societal systems. The level of projects and programmes is largely overlooked, but they comprise interventions that adapt our physical systems and they provide opportunities for learning to contribute to transitions of societal systems. This paper aims to increase understanding on how learning takes place and can be stimulated within a programme. The mixed-method case study of Room for the River, a €2.3 billion programme for flood risk management, shows that a programme can be organised using various governance arrangements to stimulate learning and be a means for adaptive co-management to deliver upon environmental objectives.     

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.     

Assessing the sustainability of water governance systems: the sustainability wheel

We present and test a conceptual and methodological approach for interdisciplinary sustainability assessments of water governance systems based on what we call the sustainability wheel. The approach combines transparent identification of sustainability principles, their regional contextualization through sub-principles (indicators), and the scoring of these indicators through deliberative dialogue within an interdisciplinary team of researchers, taking into account their various qualitative and quantitative research results. The approach was applied to a sustainability assessment of a complex water governance system in the Swiss Alps. We conclude that the applied approach is advantageous for structuring complex and heterogeneous knowledge, gaining a holistic and comprehensive perspective on water sustainability, and communicating this perspective to stakeholders.     

Environmental performance policy indicators for the public sector: the case of the defence sector

The development of environmental performance policy indicators for public services, and in particular for the defence sector, is an emerging issue. Despite a number of recent initiatives there has been little work done in this area, since the other sectors usually focused on are agriculture, transport, industry, tourism and energy. This type of tool can be an important component for environmental performance evaluation at policy level, when integrated in the general performance assessment system of public missions and activities. The main objective of this research was to develop environmental performance policy indicators for the public sector, specifically applied to the defence sector. Previous research included an assessment of the environmental profile, through the evaluation of how environmental management practices have been adopted in this sector and an assessment of environmental aspects and impacts. This paper builds upon that previous research, developing an indicator framework--SEPI--supported by the selection and construction of environmental performance indicators. Another aim is to discuss how the current environmental indicator framework can be integrated into overall performance management. The Portuguese defence sector is presented and the usefulness of this methodology demonstrated. Feasibility and relevancy criteria are applied to evaluate the set of indicators proposed, allowing indicators to be scored and indicators for the policy level to be obtained.     

Tracking the implementation of green credit policy in China: top-down perspective and bottom-up reform

The Chinese government has introduced the green credit policy to mitigate the environmental impact of industrialization by reining in credit loans to companies and projects with poor environmental performance. This research investigated the implementation of the green credit policy both at the national and provincial levels. Our results show that the green credit policy is not fully implemented. The wide-ranging impact on high-polluting and high energy-consuming industries, vague policy details unclear implementing standards, and lack of environmental information are the main problems in the implementation of the green credit policy in China. On the other hand, the practice at local level (Jiangsu Province) is more practical by integrating green credit policy with the environmental performance rating system. Finally, suggestions are outlined to improve China's green credit policy.     

Managing water through change and uncertainty: comparing lessons from the adaptive co-management literature to recent policy developments in England

Water management is set to become increasingly variable and unpredictable, in particular because of climate change. This paper investigates the extent to which water policy in England provides an enabling environment for ‘adaptive co-management’, which its proponents claim can achieve the dual objective of ecosystem protection and livelihood sustainability under conditions of change and uncertainty. Five policy categories are derived from a literature review, and are used to conduct a directed content analysis of seven key water policy documents. The findings reveal that although, in part, English water policy serves as an enabling environment for adaptive co-management, there is a level of discrepancy between substantive aspects of the five policy categories and water policy in England. Addressing these discrepancies will be important if English water policy is to allow for the emergence of processes, like adaptive co-management, that are capable of coping with the challenges that lie ahead.     

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.     

The importance of skillful community leaders: understanding municipal pesticide policy change in Calgary and Halifax

This paper focuses on policy change under scientific uncertainty. This is done by exploring two case studies of Canadian pesticide policy evolution applied to Sabatier's ‘Advocacy Coalition Framework’. ‘Stakeholder’ and ‘narrative policy’ analyses are emphasised to understand pesticide policy changes in Calgary (public education without a restrictive by-law) and Halifax (restrictive by-law). The parallel case studies consist of qualitative interviews with members of pesticide policy advisory committees in each city and a content analysis of local newspaper articles. Key resources mobilised by coalitions to achieve their policy goals include skillful leadership, and the use by those leaders of the media to disseminate coalition narratives. Further, the context of policy change contributed to the scenarios whereby pro-by-law grassroots activists were particularly successful in Halifax and anti-by-law city employees were most influential in Calgary.     

Stakeholders' views towards flood risk management in the Paz River catchment area of Guatemala and El Salvador

The river Paz is a transboundary river that flows through Guatemala and El Salvador. Its frequent floods endanger the lives and livelihoods of downstream communities. Attempts have previously been made to develop flood management programmes for this watershed. However, these approaches were generally made by high-level governmental institutions with few if any contributions from floodplain communities and other stakeholders. Recognising that public consultation is a key aspect in flood management programmes, we intend in this work to extract different stakeholders' views regarding current and future flooding and flood management programmes in the Paz River basin. This is achieved using Future Scenarios Workshops with a projected time horizon of 30 years. The exercise was expected to identify consensual short- and medium–long-term flood management strategies for the Paz River basin that draws on input from inhabitants of flood-prone areas and other stakeholders.     

Using a worldview lens to examine complex policy issues: a historical review of bushfire management in the South West of Australia

The scale and intensity of bushfire activity in Australia is likely to increase as a result of climate change. Effective bushfire management policy measures are therefore essential to minimise the interrelated social, environmental and economic impacts of fire in the landscape. This paper presents a historical review of bushfire management in the South West of Australia (SW): a bushfire prone and biodiverse region. Using a worldview framework to analyse key policy documents and literature, the paper demonstrates that the evolution of complex policy sectors such as bushfire management, is influenced not only by scientific and technical developments but also as a result of changing worldviews. Adapting the Integrative Worldview Framework (IWF), seven worldview categories that dominated particular periods of history in Australia are presented. These worldview categories are then used to examine the evolution of bushfire management practice, policy and institutional arrangements relevant to the SW. The argument presented herein is that a better understanding of worldviews and how they influence complex and contentious policy fields such as bushfire management, is useful for policy analysis, reflexive practice and research. The paper suggests an integrative worldview approach, which enables opportunities for exchanges and constructive conflict between stakeholders and agencies with diverse worldviews, could contribute to creating more sustainable bushfire management. Finally, it is argued that opportunities for Indigenous and Western worldview exchanges in the bushfire management sector, through collaborative knowledge partnerships could assist the sector in both management practice and policy formulation.     

Drivers of social equity in renewable energy at the municipal level: the case of local Japanese energy policy and preferences

ABSTRACT

Recent research has allowed us to quantify the costs and benefits of adopting renewable energy in specific municipalities, but how do these outcomes vary among communities at the national scale? This study uses survey responses from 47 Japanese municipalities to model these impacts and identifies key technological, social, and demographic factors that shape which communities benefit more from the renewable energy transition. On average, introducing renewable energy improves social equity, any financial burden on electricity prices is born most by wealthier residents, not the poor, and towns are predisposed to benefit from renewables no matter the amount introduced. To improve these impacts, towns can increase the amount of solar they host, or they can adjust the amount of CO2 emissions, PM emissions, tax revenue, jobs gained, or unpopular renewable power plants in their town. However, preferences and demographics matter as well. Age, education, and local preferences in favor of employment and community development all significantly relate to equity potential outcomes. Policymakers should consider adjusting their local energy priorities using these levers if they hope to engineer a renewable energy transition that is both positive and popular for their constituents.     

Inclusive municipal solid waste management policy in Nigeria: engaging the informal economy in post-2015 development agenda

The problem of municipal solid waste has remained intractable in Nigeria despite the state’s central role in municipal solid waste management (MSWM). Policy and reforms of the MSWM system have invariably excluded the informal economy, with this exclusion frequently reinforced by uncritical implementation of neo-liberal development policies. Yet, the informal economy fortuitously remains active in solid waste collection, recycling, and disposal. This article is the aggregate outcome of an 8-year multi-stakeholder engagement in MSWM in Nigerian cities. It draws on insights from first-hand qualitative engagement with informal waste workers, interviews with key stakeholders, policy documents, and relevant literature to situate the Nigerian informal waste economy within current international development discourse. While highlighting the implications of social acceptance and inclusion of the waste economy in post-2015 MSWM and development policy, the study notes the lack of an articulate policy on MSWM in Nigeria and canvasses a specific policy to integrate the ubiquitous informal waste economy in MSWM. The paper suggests that inclusion per sé is central to the sustainable development goals (SDGs), and argues that an inclusive MSWM policy in Nigeria is desirable as it maps onto the SDGs which aim to improve lives in the post-2015 development era.     

Alberta's oil sands reclamation policy trajectory: the role of tense layering,policy stretching,and policy patching in long-term policy dynamics

As the Canadian oil sands development matures, an increasingly important policy activity is reclamation. Reclamation has received limited attention compared with the broader discussion of oil sands expansion, however, and its past direction and future trajectory are unclear. Recent moves to reform the policy in Alberta have been interpreted simultaneously as a major change and a marginal adaptation to the existing framework. This article employs a historical-institutional perspective to help reconcile this debate and further understanding of changes to Alberta's oil sands reclamation policies over the past half century. It traces the factors and outlines the processes which have driven its evolution since 1963 with special attention paid to the 2011 Oil Sands Progressive Reclamation Strategy, the most recent attempt to reform oil sands reclamation policy. The article reveals a complex long-term pattern of policy development in which processes of ‘tense layering’ of new initiatives on top of old elements resulted in a constantly shifting policy landscape as existing policy instruments and settings were ‘stretched’ to cover new circumstances but failed to resolve tensions between successive policy layers. After 1993, however, a more reflective process was put into place in which policy feedback informed alterations intended to reduce or remove tensions between successive layers. Such a policy ‘patching’ process is shown to have helped resolve tensions associated with earlier stretching of the existing regime and adds to the vocabulary of more general studies of policy dynamics.