D.L.T. Hegger

Niche Management and its Contribution to Regime Change: The Case of Innovation in Sanitation

Abstract Strategic niche management (SNM) implies that new technologies are applied in so-called niches, in which they are protected against mainstream market selection. A major question currently subject to debate is through which processes niches can bring about any wider changes at the level of socio-technical regimes. This paper examines this question, using present-day developments in innovation in sanitation in Western Europe as an example. It is concluded that although SNM theorists emphasize the importance of (first- and second-order) learning, such learning processes are often hampered in practice. This may be due to the fact that existing niche-based approaches put too much emphasis on technological experimentation rather than on experimentation with forms of social organization. Therefore, attention should be redirected to sustainability concepts and guiding principles rather than technologies. As an addition to existing approaches, the authors suggest and elaborate on a new form of niche management called conceptual niche management.

Assessing Stability and Dynamics in Flood Risk Governance

European urban agglomerations face increasing flood risks due to urbanization and the effects of climate change. These risks are addressed at European, national and regional policy levels. A diversification and alignment of Flood Risk Management Strategies (FRMSs) can make vulnerable urban agglomerations more resilient to flooding, but this may require new Flood Risk Governance Arrangements (FRGAs) or changes in existing ones. While much technical knowledge on Flood Risk Management is available, scientific insights into the actual and/or necessary FRGAs so far are rather limited and fragmented. This article addresses this knowledge gap by presenting a research approach for assessing FRGAs. This approach allows for the integration of insights from policy scientists and legal scholars into one coherent framework that can be used to identify Flood Risk Management Strategies and analyse Flood Risk Governance Arrangements. In addition, approaches for explaining and evaluating (shifts in) FRGAs are introduced. The research approach is illustrated by referring to the rise of the Dutch risk-based approach called ‘multi-layered safety’ and more specifically its application in the city of Dordrecht. The article is concluded with an overview of potential next steps, including comparative analyses of FRGAs in different regions. Insights in these FRGAS are crucial to enable the identification of action perspectives for flood risk governance for actors at the level of the EU, its member states, regional authorities, and public-private partnerships.

Toward successful joint knowledge production for climate change adaptation: lessons from six regional projects in the Netherlands

In the domain of climate change adaptation, joint knowledge production (JKP) through intensive cooperation between scientists, policy-makers, and other actors is often proposed as a means to reconcile supply and demand for knowledge. Regional adaptation projects in the Netherlands form prominent examples of this. However, there is a lack of systematic empirical studies on how JKP can be done successfully. Here, we take the next step toward generating design principles for JKP. We do so by carrying out a comparative analysis of six Dutch adaptation projects using a previously developed assessment framework. Project documents were studied, and 30 semi-structured interviews were held with researchers, policy-makers, and financiers in the projects. Based on project comparisons, we derive and elaborate on two design principles for JKP. First, the most successful projects managed to create what we term a protected space for knowledge development while establishing connections with ongoing policy processes. Successful JKP seems to be more likely in cases in which actors make a conscious decision for the institutional location of the project on the research-policy nexus, whereby the coordinating entity has some characteristics of a boundary organization. Second, specific resources, including facilities, boundary objects, and specific competencies increase the chance for success.

Toward design principles for joint knowledge production projects: lessons from the deepest polder of The Netherlands

In various countries, actors try to reconcile climate science and policy through joint knowledge production (JNP). While many conceptual analyses of JNP exist, empirical studies that actually try to assess JNP processes are rare. This paper aims to fill this gap through an empirical analysis of the ‘Hotspot Zuidplaspolder’ project in which scientists, policymakers and other actors collaboratively looked for ways to ‘climate proof’ existing plans for urban development in one of the deepest polders of the Netherlands. The analysis is done by identifying and explaining the credibility and salience of the knowledge produced as well as the perceived legitimacy of the JNP process. Seven success factors derived from existing literature were used in the analysis. Stakeholders appeared to evaluate this project as positive, but the analysis shows that criteria and thresholds regarding success differ between the actors involved. We found three underlying design principles that should be followed to enhance the success of future JNP projects. First, it is necessary to organize several instances for reflection on the project processes. Second, new reward structures are needed to stimulate actors to take new initiatives and come up with creative ideas. Third, projects and programs should provide room to make mistakes and learn from them. This first set of empirical design principles for JNP is useful but should be further refined and nuanced in order to better deal with the social complexity of climate change and other wicked problems.

Toward more resilient flood risk governance

Countries all over the world face increasing flood risks because of urbanization and the effects of climate change. In Europe, flooding is the most common of all natural disasters and accounts for the largest number of casualties and highest amount of economic damage. The current scientific debate on how urban agglomerations can be made more resilient to these flood risks includes a discussion on how a diversification, coordination, and alignment of flood risk management strategies (FRMSs), including flood risk prevention through proactive spatial planning, flood defense, flood risk mitigation, flood preparation, and flood recovery, can contribute to flood resilience. Although effective implementation of FRMSs can be considered a necessary precondition for resilience, efficient and legitimate flood risk governance can enhance this societal resilience to flooding. Governance and legal research has the potential to provide crucial insights into the debate on how to improve resilience. Yet the social sciences have only looked into this issue in a fragmented manner, often without a comparative scope. This special feature addresses this knowledge gap by focusing on the scope and workings of FRMSs, but also on cross-cutting topics such as uncertainties, distributional effects, solidarity, knowledge management, and citizen participation. The papers included in this feature are written by both policy analysts and legal scholars. The above-mentioned issues are thus approached via a multidisciplinary perspective. All papers convincingly show that one-size-fits-all solutions for appropriate and resilient flood risk governance arrangements do not exist. Governance arrangements should be tailored to the existing physical, socio-cultural, and institutional context. This requires an open and transparent debate between scientists and practitioners on the normative starting point of flood risk governance, a clear division of responsibilities, the establishment of connectivity between actors, levels, and sectors through bridging mechanisms, and adequate knowledge infrastructures, both nationally and internationally

Recurrent Governance Challenges in the Implementation and Alignment of Flood Risk Management Strategies: a Review

In Europe increasing flood risks challenge societies to diversify their Flood Risk Management Strategies (FRMSs). Such a diversification implies that actors not only focus on flood defence, but also and simultaneously on flood risk prevention, mitigation, preparation and recovery. There is much literature on the implementation of specific strategies and measures as well as on flood risk governance more generally. What is lacking, though, is a clear overview of the complex set of governance challenges which may result from a diversification and alignment of FRM strategies. This paper aims to address this knowledge gap. It elaborates on potential processes and mechanisms for coordinating the activities and capacities of actors that are involved on different levels and in different sectors of flood risk governance, both concerning the implementation of individual strategies and the coordination of the overall set of strategies. It identifies eight overall coordination mechanisms that have proven to be useful in this respect.

Joint knowledge production for climate change adaptation: what is in it for science?

Both in literature and in practice, it is claimed that joint knowledge production (JKP) by researchers, policy makers, and other societal actors is necessary to make science relevant for addressing climate adaptation. Although recent assessments of JKP projects have provided some arguments in favor of their societal merit, much less is known about their scientific merit. We explored the latter by developing a conceptual framework addressing characteristics of doing JKP as well as hypotheses on potential merits and pitfalls in terms of its process, output, and impact for science. Semistructured interviews with six environmental science research leaders as well as discussions with five researchers involved in past JKP projects were used to start operationalizing the framework into criteria and compiling a survey. This survey was filled out by 144 researchers involved in Knowledge for Climate, a large Dutch multiactor research program. The findings suggest that, at least in the context of recently carried out Dutch climate adaptation projects, JKP contributes to a broader empirical knowledge base; more reflexivity on the part of researchers; and more publications for policy makers. We conclude this paper by formulating next research steps, including evaluating what would be a proper balance between more versus less participatory forms of scientific knowledge production.

Flood risk mitigation in Europe: how far away are we from the aspired forms of adaptive governance?

Flood mitigation is a strategy that is growing in importance across Europe. This growth corresponds with an increasing emphasis on the need to learn to live with floods and make space for water. Flood mitigation measures aim at reducing the likelihood and magnitude of flooding and complement flood defenses. They are being put in place through the implementation of actions that accommodate (rather than resist) water, such as natural flood management or adapted housing. The strategy has gained momentum over the past 20 years in an effort to improve the sustainability of flood risk management (FRM) and facilitate the diversification of FRM in the pursuit of societal resilience to flooding. Simultaneously, it is increasingly argued that adaptive forms of governance are best placed to address the uncertainty and complexity associated with social-ecological systems responding to environmental challenges, such as flooding. However, there have been few attempts to examine the extent to which current flood risk governance, and flood mitigation specifically, reflect these aspired forms of adaptive governance. Drawing from EU research into flood risk governance, conducted within the STAR-FLOOD project, we examine the governance of flood mitigation in six European countries: Belgium, England, France, the Netherlands, Poland, and Sweden. Using in-depth policy and legal analysis, as well as interviews with key actors, the governance and implementation of flood mitigation in these countries is evaluated from the normative viewpoint of whether, and to what extent, it can be characterized as adaptive governance. We identify five criteria of adaptive governance based on a comprehensive literature review and apply these to each country to determine the “distance” between current governance arrangements and adaptive governance. In conclusion, the flood mitigation strategy provides various opportunities for actors to further pursue forms of adaptive governance. The extent to which the mitigation strategy is capable of doing so varies across countries, however, and its role in stimulating adaptive governance was found to be strongest in Belgium and England.

End User Perspectives on the Transformation of Sanitary Systems

In various Western European countries pilot projects have been set-up in which new waste water management technologies are being experimented in a domestic setting. Domestic end-users often play a crucial role in these projects: ranging from being the main initiators to being the key factor in their collapse. This chapter presents a theoretical appreciation of end-user roles and perspectives in sanitary niche experiments, and develops a toolkit to better understand and experiment with end-user roles and perspectives in new sanitation projects. Subsequently, this theoretical framework is used to analyze two pilot projects in the Netherlands (Sneek and Culemborg). The chapter concludes that an end-user view is instrumental in getting demonstration projects realized as it opens up new ways to link sanitary solutions to end-users’ socio-cultural concerns. Furthermore, such an end-user view allows for the successful development and implementation of new sanitation concepts, linking sanitation systems and end-users in various ways.

Connecting water science and policy in India: lessons from a systematic water governance assessment in the city of Ahmedabad

Cities in the Global South are facing high climate vulnerabilities. Still, systematic insights in factors that stimulate or impede governance capacity are less widely available than those in the Global North. Moreover, translating relevant scientific insights into policy and practice is often problematic. Hence, there is a need for feasible interactive approaches that may facilitate integration between science and policy. In this paper, we assess to what extent the City Blueprint Approach may facilitate such meaningful science-policy interaction. This approach has been developed in the context of Watershare and the European Innovation Partnership on Water. We discuss the content of the approach and reflect on the process of applying it in the case of Ahmedabad, India. First, we carried out an overall assessment of Ahmedabad’s trends, pressures, and integrated water resources management. Important challenges of Ahmedabad are water pollution, water scarcity (decline of groundwater levels), heat risk and urbanisation. Second, a governance capacity assessment provided a clearer understanding of the main enabling and limiting conditions that determine the city’s ability to govern these challenges. It was found that the governance conditions regarding learning, stakeholder engagement and implementing capacity are most in need of improvement. Next, we zoomed in on a specific development in which these limiting governance conditions were better developed: Ahmedabad’s Heat Action Plan. Based on our results and experiences, we reflect on the generalisability of the findings on the City Blueprint Approach (CBA)’s usefulness for improving science-policy interactions and water governance to India as well as the Global South more generally.