Presenting a Framework to Analyze Local Climate Policy and Action in Small and Medium-Sized Cities
Abstract
:1. Introduction
2. Literature Review and Synthesis of an Analytical Framework
2.1. Cluster I: The Local Government Organization Involved in Local Climate Policy
2.1.1. Input
2.1.2. Throughput
2.1.3. Output
2.2. Cluster II: Characteristics of the Local Environment
2.3. Cluster III: The Local Action Arena
2.4. Cluster IV: External Issue Networks
2.5. Cluster V: Influence Exercised by Higher Levels of Government
2.6. Cluster VI: Output, viz. Intended Climate Action
2.7. Cluster VII: Major External Events
2.8. Cluster VIII: Outcome
2.9. Synthesis and Presenting a Framework to Analyze Local Climate Action
3. Research Design and Methodology
3.1. Case Selection
3.2. Data Collection
3.3. Data Analysis
3.4. Limitations
4. Case Study Histories
4.1. Local Climate Policy in The Netherlands
4.2. Case Histories
4.2.1. The Municipality of Enschede
4.2.2. The Municipality of Hengelo
4.2.3. The Municipality Hof van Twente
4.2.4. The Municipality of Tubbergen
4.3. Overview of Climate Actions and Policy Instruments Used
5. Results and Discussion
5.1. Overview and Comparison of Case Studies
5.2. Results of the Comparative Analysis on Factors Enabling Local Climate Action
5.3. Discussion
6. Conclusions
Acknowledgments
Author Contributions
Conflicts of Interest
Appendix A. Results of the Comparative Analysis with Background Information per Item
Enschede | Hengelo | Hof van Twente | Tubbergen | |
---|---|---|---|---|
Municipal organisation: Input | ||||
Financial resources | +/− | + | +/− | − |
Indicator: degree to which the local government has budget available that can be allocated to climate change policy capacity. | Limited capacity financed | Substantial budget allocated | Limited capacity financed | No budget allocated to climate policy |
Fiscal health | −− | + | +/− | − |
Indicator: information provided financial debts the municipality has on its annual budget, including information on municipalities being subjected to financial supervision by central government | Used to be on the national ‘Artikel 12’ list of municipalities with financial debts. | Positive balance. | Financial balance regressed but has improved (positive balance). | Budget presented in 2015 scrutinized by Province of Overijssel as risky. |
Legal authority | N/A | N/A | N/A | N/A |
Indicator: Degree of knowledge, experience and expertise regarding climate policy and running of related projects. | Some internal knowledge and expertise. However, a lot of knowledge is outsourced. No experience at the level of citizens. | High internal knowledge and expertise. Solid knowledge base. Little outsourcing. However, little knowledge at the level of citizens. | Some internal knowledge and expertise with sustainability expert. Experienced on citizen level. | Mandatory, reactive, external knowledge. Limited expertise. |
Use of technology (e.g., to monitor) | N/A | N/A | N/A | N/A |
Indicator: all municipalities outsources monitoring to other organisations, in particular consultancy agencies and engineering companies. | ||||
Indicator: legal authority municipalities in The Netherlands have. They are the same for the four municipalities analysed for this study. | ||||
Size | ++ | ++ | − | − |
Indicator: no. of inhabitants (with local government staff mirroring size in terms of inhabitants). | 159,000 | 81,000 | 35,000 | 21,000 |
Council type | N/A | N/A | N/A | N/A |
Indicator: They are the same for all municipalities in The Netherlands (hence, for all four municipalities analysed for this study). | ||||
Municipal organisation: Throughput | ||||
Political support (by City Council) | + | + | +/− | − |
Indicator: | Council supports climate policy by College of Mayor and Aldermen (with minor amendments) | Council supports climate policy by College of Mayor and Aldermen (with minor amendments) | Council supports climate policy by College of Mayor and Aldermen, but opposes some major projects | Climate change is not an issue among the City Council members. |
Public leadership/“political will” to act/local catalyst | +/− | ++ | + | − |
Indicator: | Catalysts in the past, no recent catalysts found. Perhaps a catalyst at project/operational level. | Multiple catalysts present. Sustainability team engaged, waste dep. most catalyst. Creative. Water catalyst. | Potential of catalysing alderman who was catalyst in the past. Former alderman water catalyst. | Absent. Civil servants lack time and resources. No motivation to go beyond. |
Inter-department coordination/policy integration | +/− | + | +/− | − |
Indicator: Degree of inter-department coordination on climate policy and actions. | Sufficiently established coordination organized around projects (at operational level). | Relatively well−established coordination between municipal departments (between sustainability team, waste, water, construction). | Sufficiently established coordination | Little coordination regarding climate change actions, because the latter is hardly considered an issue. |
Knowledge management | +/− | ++ | + | − |
Indicator: Degree of knowledge management. Presence of knowledge management infrastructure. | Some knowledge management, but mostly outsourced. | Strong knowledge base. | Proper knowledge management | Hardly any knowledge management. Knowledge externalised. |
Policy plan mitigation (goals) | + | ++ | + | − |
Indicator: clearly defined, ambitious goals | Rather ambitious; municipality wants to become a frontrunner. | Very ambitious. municipality wants to have an exemplary role, and wants to become a frontrunner. | Rather ambitious; municipality wants to have an exemplary role. | Hardly ambitious |
Policy plan mitigation (means/action plan) | − | ++ | + | − |
Indicator: sound, feasible action plan which clearly links goals, means and climate actions | Rather poor. Focus on ‘quick wins’. | Very sound | Good | Poor |
Policy plan adaptation (goals) | + | ++ | + | − |
Indicator: clearly defined, ambitious goals | Rather ambitious | Very ambitious | Rather ambitious | Hardly ambitious |
Policy plan (means/action plan) | +/− | ++ | + | +/− |
Indicator: sound, feasible action plan which clearly links goals, means and climate actions | Relatively sound | Very sound | Good | Relatively sound |
Commitment of staff implementing policy instruments | +/− | ++ | + | − |
Indicator: | Municipality outsources management of projects. Hence, depend a lot on commitment by external market organisations. Committed to projects in built environment and self−governing actions. Achievements not specifically attributed to specific actions. Lack of argumentation in support of how to achieve ambitious goals. | Personal commitment of staff members on broad array of actions among regarding mitigation. Also committed to adaptation actions. Commitment lower among non−climate officers. | High commitment to achieving climate mitigation goals. Trust in empowerment of citizens expressed by financial investments in citizen-led projects. High degree of citizen co-production and participation. | Low commitment to both mitigation and adaptation action. Both or not prioritized. |
Little commitment to adaptation. | ||||
Monitoring and evaluation | + | +/− | + | −− |
Indicator: Municipality monitors climate policy and performance thereof frequently, and anticipates with feedback loop to policy | Present. Multi year monitoring with reflection in new policies. | Some loosely coupled monitoring efforts | Present. Multi year monitoring with reflection in new policies. | Absent. |
Municipal organisation: Output | ||||
Policy instruments | +/− | + | + | − |
Indicator: Total of instruments presented in Table 2 and Table 3 | Rather limited set of instruments | Large set of instruments | Large set of instruments | Poor set of instruments |
Municipal governing by authority | ++ | ++ | + | +/− |
Indicator: interpretation of appliance characteristics governing mode to local governments’ governing style (using regulatory instruments, economic incentives and contracting parties to govern by hierarchy). | The municipality used a lot of economic incentives, and contracted many parties in climate actions. | The municipality used a lot of economic incentives, and contracted many parties in climate actions. It also sets progressive regulatory standards | The municipality used a lot of economic incentives. | Except for mandatory energy efficiency regulations for buildings (which all Dutch municipalities do) not much. |
Municipal self-governing | + | ++ | ++ | +/− |
Indicator: interpretation of appliance characteristics governing mode to local governments’ governing style. | Local government taking on some projects itself. | A large set of projects executed by local government itself. | A large set of projects executed by local government itself. | A limited set of projects executed by local government (e.g., LED street lighting). |
Municipal governing by provision | − | +/− | − | N/A |
Indicator: interpretation of appliance characteristics governing mode to local governments’ governing style. | Little involvement in energy infrastructure projects. This is managed via contracts (hence, governing by authority). | Mun. Hengelo is somewhat involved in management of a local district heating project | Little involvement in energy infrastructure projects. This is managed via contracts (hence, governing by authority). | Not relevant. |
Municipal governing through enabling | +/− | +/− | ++ | − |
Indicator: interpretation of appliance characteristics governing mode to local governments’ governing style. | Developing capacity to support citizens (hiring trainee to develop plan, etc.). | Limited support of citizens’ initiatives (but mostly in other domains) | Extensive support of citizens’ initiatives. | No support of citizens’ initiatives. |
Characteristics of the local environment | ||||
Demographic characteristics (SES, education) | −− | +/− | + | + |
Indicator SES: income per capita (in Euros; 2013) | 20,600 | 23,200 | 25,500 | 25,100 |
Indicator education: highly educated (%; 2015) | 25% | 29% | 23% | 19% |
Environmental group activity | +/− | +/− | ++ | + |
Indicator: presence of active citizen-led low carbon initiative. | In development, but hardly organized. | In development, but hardly organized. | Well organized, professional citizens’ cooperative having realized multiple projects. | Organized, relatively professional citizens’ cooperative having realized one solar project. |
Vulnerability to climate change/climate change risk | +/− | +/− | + | + |
Indicator: degree to which the municipality is vulnerable to climate change related extreme weather events. | The municipality experienced several floodings of infrastructural works (e.g., viaducts) in recent years. Even the city centre was flooded shortly following extreme precipitation. Economic activities were, however, not endangered. | The municipality experienced several floodings of infrastructural works (e.g., viaducts) in recent years. Economic activities were, however, not endangered. | Due to the main economic activities in the municipality being agricultural vulnerability to extreme precipitation and drought in summer is considerable. | Due to the main economic activities in the municipality being agricultural vulnerability to extreme precipitation and drought in summer is considerable. |
Environmental stress | + | +/− | + | + |
Indicator: Pollution to the environment due to economic activities. | Recent accidents with factories catching fire and emitting pollutants into environment. e.g., serious pollution of canal. | Potential risks with presence of metal industry, and railway transport carrying toxic substances. | Serious soil pollution due to former presence of factory producing asbestos−holding products. Agri−soil pollution due to manure surplus. | Serious soil pollution due to dumping of toxic wastes (“Teerkuil”). |
Presence of carbon intensive industry | ++ | + | +/− | − |
Indicator: Presence of carbon intensive industry, e.g., in municipal business parks. | Presence of construction sector industry, as well as large-sized factories (e.g., wheel tires). | Presence of chemistry and metal industry. Has decreased in size. | Some industry. Mostly agri-economic activity (live stock holders) | Hardly any industry. Mostly agri-economic activity (live stock holders) |
Presence of energy infrastructure | + | ++ | + | − |
Indicator: Presence of district heating infrastructure. | Present, but already used. | Present, but in development and can still be used for EE purposes. In addition, biogas infrastructure in development. | Present, but already used. In addition, biogas infrastructure in development. | Absent. |
Available space for deployment of RES | +/− | + | ++ | ++ |
Indicator: Space (in ha.’s) available on which RES parks can be established in theory. | Limited space available (in existing business areas). | Substantial space made available for deployment of RES plants in large-sized business area. | Large amount of space available for solar parks, bio-energy generation. Does, however, not apply to wind parks. | Large amount of space available for solar parks, bio-energy generation. Does, however, not apply to wind parks. |
Local action arena | ||||
Presence of process manager | ++ | + | +/− | − |
Indicator: local government has agents available (either tasked or hired) to manage processes in local projects | Multiple process managers available, both in own staff and hired. | Process managers available, both in own staff and hired. | Projects processes are mostly managed external organisation like the local low carbon citizens cooperative | There are no climate projects in which processes can be readily managed. |
Support by local leaders/civic capacity | +/− | +/− | ++ | ++ |
Indicator: presence of local leaders and organized citizenry who support climate actions and related projects. | Limited presence substantial civic capacity to run local climate actions. | Limited presence substantial civic capacity to run local climate actions. | Presence substantial civic capacity to run local climate actions (via ‘ECHT’). | Presence substantial civic capacity to run local climate actions (via ‘Energiek Vasse’). |
Partnerships with private organisations | ++ | ++ | ++ | − |
Indicator: collaborative ties with local industry and local business firms to run local climate actions | Multiple collaboration ties with private organisations to run climate actions | Multiple collaboration ties with private organisations to run climate actions | Multiple collaboration ties with private organisations to run climate actions | Rather absent. |
External issue networks | ||||
Collaborative ties with other local governments | ++ | ++ | + | − |
Indicator: Degree of activity in inter-municipal/regional climate network(s) | Heavily involved in regional and national municipal networks. Hosts regional network. | Heavily involved Heavily involved in regional and national municipal networks. | Involved in regional and national municipal networks. | Somewhat involved in regional network, but hardly on climate issues. |
Involvement/membership of climate change issue networks (e.g., ICLEI, CoM, Climate Alliance) | ++ | ++ | + | − |
Indicator: | Involvement multiple national and international climate networks (i.e., CoM). Also in adaptation issues. | Involvement multiple national and international climate networks (ICLEI). Also in adaptation issues. | Involvement a national climate network. Also in adaptation issues. | Not active. |
Influence exercised by higher government levels | ||||
Alignment with agendas of central and regional governments | + | − | + | ++ |
Indicator: Sharing vision, goals, and strategic plans by central and regional governments | Aligns with goals, plans higher governments | Prefers a rather independent positions. Does not align goals and plan necessarily. | Aligns with goals, plans higher governments, especially with those of the provincial government. | Aligns goals and plans well with higher governments, but in other domains than climate change policy. |
Presence of inter-governmental support schemes | + | + | + | − |
Indicator: Municipality uses intergovernmental support scheme to build climate capacity and/or fund local projects. Financial sum of subsidy. | Municipality uses subsidies by national and provincial government. | Municipality uses subsidies from provincial government, EU. There is even a subsidy for adaptation. | The municipality uses a 1 M euro scheme from provincial government to build local capacity (with citizens). | The Municipality uses a subsidy from provincial government to finance an ‘energy front office’ so that citizens can get advice. |
Major external events | ||||
(geo-)political events | N/A | N/A | N/A | N/A |
(geo-)physical events/natural disasters | N/A | N/A | N/A | N/A |
Economic events | N/A | N/A | N/A | N/A |
Major external events were the same to the municipalities. We have no reason to believe that they had a serious impact on local climate policies and actions of the municipalities investigated. | ||||
Intended climate action (output) | ||||
Installing EE and/or RES plants and infrastructure | + | ++ | + | + |
Indicator: Indicator: size and intensity of total set of mitigation projects (see Appendix F) | ||||
Energy efficient behaviour (by local citizens and organizations) | N/A | N/A | N/A | N/A |
Indicator: Citizens reached by awareness raising campaign who indicate to lower fossil energy consumption. | ||||
Installing infrastructure to cope with extreme weather events | +/− | ++ | +/− | +/− |
Indicator: size and intensity of total set of adaptation projects (see Appendix F). | ||||
Outcome | ||||
GHG emission reduction | N/A | N/A | N/A | N/A |
Resilience | N/A | N/A | N/A | N/A |
Co-benefits | N/A | N/A | N/A | N/A |
No information was found regarding policy outcome in terms of the above mentioned criterions (except for predictions on GHG emissions, etc., which we deem not suitable as a reliable reflection of outcome indicators). |
Appendix B. Climate Change Mitigation Policies in Enschede
Appendix C. Climate Change Adaptation Policies in Hengelo
Appendix D. Climate Change Mitigation Policies in Hof van Twente
Appendix E. On the Role of Local Government in Tubbergen vis-à-vis Climate Change Mitigation
Appendix F. Overview of Projects per Municipality Differentiated between Adaptation and Mitigation
Enschede | Hengelo | Hof van Twente | Tubbergen | |
---|---|---|---|---|
Mitigation |
|
|
|
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Adaptation |
|
|
|
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Cluster I: Municipal Organisation |
Input |
- Financial resources |
- Fiscal health |
- Legal authority |
- Staff (expertise) |
- Technology |
- Size |
- Council type |
Throughput |
- Political support (by council) |
- Solid policy plan (clear goals and sound strategy) |
- Commitment (by staff) |
- Public leadership/presence of a local catalyst |
- Inter-department coordination |
- Knowledge management |
- Monitoring and evaluation |
Output |
- Policy instruments |
- Municipal governing mode (authority, self-governing, provision, enabling) |
Cluster II: Characteristics of the Local Environment |
- Demographic characteristics (SES, income, education) |
- Environmental group activity |
- Vulnerability to climate change |
- Environmental stress |
- Presence of carbon intensive industry |
- Presence of energy infrastructure |
- Available space for deployment of RES |
Cluster III: The Local Action Arena |
- Presence of process manager |
- Support by local leaders |
- Partnerships with private organisations |
Cluster IV: External Issue Networks |
- Collaborative ties with other local governments |
- Involvement in/membership of climate change issue network(s) |
Cluster V: Influence Exercised by Higher Government Levels |
- Alignment with agendas of higher level governments |
- Presence of inter-governmental support schemes |
Cluster VI: Major External Events |
- (Geo-)Political events |
- (Geo-)Physical events/natural disasters |
- Major economic events |
Cluster VII: Intended Climate Action (Output/Projects) |
- Installing energy efficiency and/or RES technology |
- Energy efficient behaviour (by local citizens and organizations) |
- Installing infrastructure to cope with extreme weather events |
Cluster VIII: Outcome |
- GHG emission reduction |
- Resilience |
- Climate co-benefits |
Actions | Enschede | Hengelo | Hof van Twente | Tubbergen |
---|---|---|---|---|
Readjusted local spatial plan | √ | |||
Readjusted local sewer plan | √ | √ | √ | |
Participates in ‘Climate Active Cities’ initiative | √ | √ | ||
CC Adaptation policy is part of water policy | √ | √ | √ | √ |
Responsibilities are predominantly with/or shifted to the Water Board | √ | √ | √ | |
Participates in issue network | ||||
Construction of water infrastructure to cope with extreme weather events | √ | |||
Research conducted | √ | |||
Water panel to cope with citizens requests | √ | |||
Attention to Urban Heat Stress | √ | |||
Awareness raising among citizens | √ | |||
Supporting establishment of sustainable roofs to contain water | √ |
Actions | Enschede | Hengelo | Hof van Twente | Tubbergen |
---|---|---|---|---|
Shareholder in renewable energy producing (waste) company (‘Twence’) | √ | √ | √ | √ |
Measures in public buildings (to increase energy efficiency or to use RET; often solar panels) | √ | √ | √ | √ |
Energy efficient street lightening (LED) | √ | √ | √ | |
Participating in central government’s SLOK program | √ | √ | ||
Participating in programs by provincial government | √ | √ | ||
Monitoring and evaluation actions | √ | √ | ||
Subsidy to support adoption of RETs by citizens | √ | √ | √ | |
Participation in local RET projects (at district level) | √ | √ | √ | |
Active in regional issue network | √ | √ | √ | |
Signatory of Covenant of Mayors | √ | √ | ||
Signatory of Millenium Cities | √ | |||
Signatory of ICLEI | √ | |||
Supporting low carbon citizens’ initiative | √ | |||
Sustainable municipal car fleet | √ | √ | √ | |
Sustainable energy infrastructure (e.g., district heating) | √ | |||
Arrangements with housing associations vis-à-vis near zero energy housing | √ | √ | √ | |
Research | √ | √ | √ | √ |
Awareness raising among local citizens | √ | √ | √ | |
Discouragement of high carbon options (shale gas, etc.) | √ | |||
Smart metre implementation plan (at district level) | √ | |||
Low interest loans to citizens | √ | |||
Energieloket (front office) | √ | √ | √ | √ |
Energy audits | √ | √ | √ | |
Pilot projects | √ | √ | √ |
Enschede | Hengelo | Hof van Twente | Tubbergen | |
---|---|---|---|---|
Municipal organisational Input | ||||
Financial resources | +/− | + | +/− | − |
Fiscal health | −− | + | +/− | +/− |
Legal authority | N/A | N/A | N/A | N/A |
Staff (expertise) | + | ++ | + | − |
Technology | N/A | N/A | N/A | N/A |
Size | ++ | ++ | − | − |
Council type | N/A | N/A | N/A | N/A |
Municipal organisational Throughput | ||||
Political support (by council) | + | + | +/− | − |
Public leadership/“political will” to act/local catalyst | +/− | ++ | + | − |
Inter-department coordination/policy integration | +/− | + | +/− | − |
Knowledge management | +/− | ++ | + | − |
Policy plan mitigation (goals) | + | ++ | + | − |
Policy plan mitigation (means/action plan) | − | ++ | + | − |
Policy plan adaptation (goals) | + | ++ | + | − |
Policy plan (means/action plan) | +/− | ++ | + | +/− |
Commitment (of staff) | +/− | ++ | + | − |
Monitoring and evaluation | + | +/− | + | − |
Municipal organisational Output | ||||
Policy instruments | +/− | + | + | − |
Municipal governing by authority | ++ | ++ | + | +/− |
Municipal self-governing | + | ++ | ++ | +/− |
Municipal governing by provision | − | +/− | − | − |
Municipal governing though enabling | +/− | +/− | ++ | − |
Characteristics of local environment | ||||
Demographic characteristics (SES, education) | −− | +/− | + | + |
Environmental group activity (RESCOOP) | +/− | +/− | ++ | + |
Vulnerability to climate change/climate change risk | +/− | +/− | + | + |
Environmental stress | + | +/− | + | + |
Presence of carbon intensive industry | ++ | + | +/− | − |
Presence of energy infrastructure | + | ++ | + | − |
Available space for deployment of RES | +/− | + | ++ | ++ |
Local action arena | ||||
Presence of process manager | ++ | + | +/− | − |
Support by local leaders/civic capacity | +/− | +/− | ++ | ++ |
Partnerships with private organisations | ++ | ++ | ++ | − |
External issue networks | ||||
Collaboration with other local governments | ++ | ++ | + | − |
Involvement in/membership of issue networks | ++ | ++ | + | − |
Influence exercised by higher government levels | ||||
Alignment with agendas of central and regional governments | + | − | + | ++ |
Presence of inter-governmental support schemes | + | + | + | − |
Intended climate actions/projects | ||||
Installing energy efficiency and/or RES technology | + | ++ | + | + |
Energy efficient behaviour (by local citizens and organizations) | N/A | N/A | N/A | N/A |
Installing infrastructure to cope with extreme weather events | +/− | ++ | +/− | +/− |
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Hoppe, T.; Van der Vegt, A.; Stegmaier, P. Presenting a Framework to Analyze Local Climate Policy and Action in Small and Medium-Sized Cities. Sustainability 2016, 8, 847. https://doi.org/10.3390/su8090847
Hoppe T, Van der Vegt A, Stegmaier P. Presenting a Framework to Analyze Local Climate Policy and Action in Small and Medium-Sized Cities. Sustainability. 2016; 8(9):847. https://doi.org/10.3390/su8090847
Chicago/Turabian StyleHoppe, Thomas, Arjen Van der Vegt, and Peter Stegmaier. 2016. "Presenting a Framework to Analyze Local Climate Policy and Action in Small and Medium-Sized Cities" Sustainability 8, no. 9: 847. https://doi.org/10.3390/su8090847