Responsible Climate Change Adaptation

RESPONSIBLE CLIMATE CHANGE ADAPTATION EXPLORING, ANALYSING AND EVALUATING PUBLIC AND PRIVATE RESPONSIBILITIES FOR URBAN ADAPTATION TO CLIMATE CHANGE Heleen L.P. Mees COLOFON Thesis committee Promotor: Prof.dr. P.P.J. Driessen Copromotor: Dr. H.A.C. Runhaar Other members: Prof.dr. D. Huitema Prof.dr. A. Jordan Prof.dr. J. Knieling Prof.dr. T.J.M. Spit Prof.dr. C.J.A.M. Termeer Design by Lucas | M-Design • [email protected] Printed by Gildeprint Drukkerijen ISBN: 978-90-6266-368-2 RESPONSIBLE CLIMATE CHANGE ADAPTATION EXPLORING, ANALYSING AND EVALUATING PUBLIC AND PRIVATE RESPONSIBILITIES FOR URBAN ADAPTATION TO CLIMATE CHANGE Verantwoorde Klimaatadaptatie Verkenning, analyse en evaluatie van publieke en private verantwoordelijkheden voor stedelijke aanpassing aan klimaatverandering (met een samenvatting in het Nederlands) Proefschrift ter verkrijging van de graad van doctor aan de Universiteit Utrecht op gezag van de rector magnificus, prof.dr. G.J. van der Zwaan, ingevolge het besluit van het college voor promoties in het openbaar te verdedigen op vrijdag 31 oktober 2014 des ochtends te 10.30 uur door Heleen Lydeke Pascale Mees geboren op 19 februari 1964 te Noordwijk aan Zee. Promotor: Prof.dr. P.P.J. Driessen Copromotor: Dr. H.A.C. Runhaar This PhD research was carried out within the Dutch research programme Knowledge for Climate, Governance of Adaptation (Theme 7), which was funded by the Ministry of Infrastructure and the Environment. See Appendix 10 on page 183 for more information. AcKNOWLEDGEMENTS Right from the beginning this PhD project has been an inspiring, energising, joyful and fullfilling journey. I am very happy that Peter Driessen encouraged me to do a PhD, because he firmly believed I had the right personality and skills to do so. It took me a while to say yes (I had been planning on returning to the business world in order to work in the area of corporate social responsibility), but I have never regretted it for one moment. Therefore, my first and foremost thanks go out to my promotor Peter Driessen. For opening my eyes and making me consider a scientific career; for the very cooperative supervision of my work; for reserving so much of this sparse time to have regular meetings; for the constructive feedback, and for always pushing me towards a solid and logical line of reasoning. I am also very indebted to my copromotor Hens Runhaar, who has been very supportive throughout the process. He proved to be invaluable in giving me detailed feedback, and in being critical at the right moments. I would like to thank all the people with who I cooperated during the execution of my empirical work. In particular I would like to thank several people from the Rotterdam city government, such as Lissy Nijhuis, Chantal Oudkerk-Pool, Daniel Goedbloed, Nick van Barneveld, Arnoud Molenaar and many others. It was a privilege to conduct research in the city of Rotterdam, a frontrunner in climate adaptation, also because of the many passionate civil servants I encountered during my work. Special thanks also go out to Hans van Ammers of the city of Arnhem, Susanne Buijs of the city of Rotterdam and Leendert van Bree of the Netherlands Environmental Assessment Agency for helping and supporting me in the organisation of the two heat stress workshops. I would also like to thank all the people I have interviewed over the last years, both in the Netherlands and in the many foreign cities that I visited. I consider myself lucky that I had the possibility to interview so many interesting and inspiring people from both the public and the private sectors. I am also very grateful for the support and constructive feedback of all my (ex)colleagues of the Environmental Governance Group at Utrecht University, and in particular Clare Barnes, Dries Hegger, Wanda van Enst, Caroline Uittenbroek, Frank van Laerhoven, Jelle Behagel, Greetje Schouten en Miriam Weber. I would also like to thank my PhD colleagues and senior staff of the governance consortium of Knowledge for Climate for the many inspiring meetings and discussions during the last four years. In particular I would like to thank Justin Dijk, Daan van Soest and Marleen van Rijswick for their cooperation on the policy instruments project and for their contribution to the resulting publication (Chapter 6). My thanks also go out to Jennifer Stamatelos, the master student with who I worked on the green roofs project and who generated a lot of useful data. In my personal life, I would first of all like to thank the love of my life, Jan. He was skeptical about my switch to academia, but once he saw how happy it made me, he became my greatest supporter. I would also like to thank my parents who were also very open-minded about my switch to academia. I am also very indebted to my brother Lucas, who put much time and effort into designing the beautiful cover and layout of this thesis. Finally I would like to thank my two sweet sons Jasper and Jeroen for being my paranimphs, as well as all the people in my personal life who are meaningful to me but who I cannot all mention individually. Contents CONTENTS 1. Introduction 11 1.1. Background and problem outline 13 1.2. The importance of adaptation at the urban level 17 1.3. Research objective and questions 18 1.4. Research strategy 22 1.5. Case selection 23 1.6. Research methods and data collection 24 1.7. Structure of the dissertation 25 2. Exploring the Scope of Public and Private Responsibilities for Climate Adaptation 29 2.1. Introduction 30 2.2. Conceptual framework 31 2.3. Challenging factors for the governance of adaptation 35 2.4. Considerations 36 2.5. Illustration: Green roof policy 41 2.6. Conclusion 45 3. Who governs climate adaptation? Getting green roofs for storm-water retention off the ground 49 3.1. Introduction 50 3.2. Governance arrangements in theory 51 3.3. Research method 55 3.4. Green roof policies of Basel, Chicago, London, Rotterdam and Stuttgart 56 3.5. Governance arrangements in practice 57 3.6. Conclusion 63 4. Legitimate adaptive flood risk governance beyond the dikes: the cases of Hamburg, Helsinki and Rotterdam 67 4.1. Introduction 68 4.2. Governance arrangements and their associated legitimacy sources and issues 69 4.3. Research method 72 4.4. Characterisation of the case studies 73 4.5. Legitimacy of the governance arrangements 76 4.6. Conclusion 79 Contents 5. ‘Cool’ governance of a ‘hot’ climate issue: public and private responsibilities for the protection of vulnerable citizens against extreme heat 83 5.1. Introduction 84 5.2. Analytical framework 86 5.3. Methods 88 5.4. Perceived responsibilities and considerations 89 5.5. Actual responsibilities 94 5.6. Conclusion and reflection 98 6. A method for the deliberate and deliberative selection of policy instrument mixes for climate change adaptation 103 6.1. Introduction 104 6.2. Analytical framework 105 6.3. Method 110 6.4. Adaptation measures used for the illustration 111 6.5. Applying the method: an illustration 112 6.6. Conclusion and reflection 119 7. Synthesis of research findings 123 7.1. Introduction 123 7.2. Considerations in theory 124 7.3. Responsibilities in practice 125 7.4. Considerations in practice 128 7.5. The effectiveness, legitimacy and fairness of governance arrangements 133 7.6. Policy instruments for adaptation to climate change 136 7.7. Alternative arrangements 138 8. Conclusions and reflections 145 8.1. Introduction 145 8.2. Overall conclusions on existing and alternative governance arrangements 147 8.3. Reflections 149 8.4. Avenues for future research 151 8.5. What is responsible climate change adaptation? 152 Contents References 155 Appendices Appendix 1 Overview of policy documents used for the document analysis (Chapter 2) 171 Appendix 2 Overview of respondents (Chapter 2) 172 Appendix 3 Overview of respondents (Chapter 3) 173 Appendix 4 Overview of respondents (Chapter 4) 174 Appendix 5 Detailed overview of responsibilities (Chapter 4) 175 Appendix 6 Overview of organisations represented in the two workshops (Chapter 5) 178 Appendix 7 Overview of activities in the 10 foreign cities (Chapter 5) 179 Appendix 8 General assessment of a technical requirement (Chapter 6) 181 Appendix 9 Synthesis of responsibilities for the city of Rotterdam (Chapter 7) 182 Appendix 10 Knowledge for Climate and Governance of Adaptation 183 Summary 185 Samenvatting 191 Curriculum Vitae 197 Contents Figures 1.1 Illustration of the multiple, comparative case study design 22/123 1.2 Structure of the dissertation 26 2.1 Considerations framework 33/53 2.2 Conceptual framework of responsibilities 34/125 5.1 Coverage of low income seniors living alone and seniors’ heat vulnerability index in Toronto 95 Tables 1.1 Overview of empirical cases 23 2.1 Instrumental translation of responsibility 32 2.2 Challenges to the governance of adaptation in relation to considerations of the public-private divide 40 2.3 Responsibilities in the green roof arrangement for Rotterdam 44 3.1 Ideal-typical governance arrangements and their key considerations 52 3.2 Overview of respondents per city 56 3.3 Overview of policy mixes in the five case studies 58 3.4 Overview of governance arrangements and their underlying considerations 59 3.5 Implementation levels of the green roof technology 63 4.1 Analytical framework for legitimacy 71 4.2 Flood risk strategies and water safety levels 73 4.3 Responsibilities for the 3 case studies 75 4.4 Legitimacy sources for the three case studies 78 5.1 Summarised overview of perceived responsibilities and considerations 90 5.2 Summarised overview of observed

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