The canonization of climate change adaptation: Is adaptation really a policy field?

Eric Massey – Governance of Adaptation Conference – March 22, 2012

The canonization of climate change adaptation: Is adaptation really a policy field?

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Content

Introduction – The novelty of climate change adaptation

Defining a policy field

Applying the definition to UK adaptation

Further questions

Conclusions

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“Climate change is happening and we must adapt before it is too late!”

(Adaptations 1.1)

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The novelty of adaptation

• As a concept and an action at the personal of private level “adaptation” is nothing new.

• As a subject for coordinated policy intervention to solve what is perceived to be a public problem, it is very new.

• It has only been in the last decade of so that it has entered policy agendas of developed and developing countries from the local and regional levels to national and international levels (Orlove 2009, Massey & Bergsma 2008)

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The novelty of adaptation - Europe

Since 2010, EU has new DG climate, with adaptation office.

Since 2004, Eight EU countries have a national adaptation plan (NAP), five are in the works

Since 2005, 33 sub-national regions in Europe have APs

Almost every European country has adaptation policy actions (ca. 800 in 29 countries)

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The novelty of adaptation – Developing world

In the developing world, 44 countries have created National Action Plans for Adaptation.

Within the UNFCCC it is a central agenda item across almost all working groups and a key point of discussion for a post-2012 climate agreement… See Bali Road Map and several COP decisions.

There is dedicated UNFCCC work programme to help all countries understand and effect adaptation…Nairobi Work Programme

Academically there is a body of literature on the theory of what adaptation is, the science of recognizing adaptation opportunities and practical guidance on implementing adaption policies and actions.

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The novelty of adaptation – Financing

In the last decade or so many governments have dedicated hundreds of millions of dollars to implement adaptation (in developing countries)

The World Bank estimates tens of billions per annum up to 2030 will be needed…

Governments are seriously considering how to do this…

Fund Creation / closing date

Origin Amount delivered until Oct 2008

Small Grants Programme

1992 GEF $38.5 mln

Canada CC Development Fund

2000/2006 CIDA $100 mln

LDC Fund 2001 UNFCCC $172 mln Strategic Priority on Adaptation

2004 UNFCCC $50 mln

Special CC Fund

2004 UNFCCC $91 mln

MDG Achievement Fund

2008-2011 Government of Spain, UNDP

Not Known (est. $5.5 mln/year)

Adaptation Fund

2008-2012 UNFCCC / Kyoto Protocol

$50 mln ($80-300 mln/year)

Climate Change Initiative

2007 Rockefeller Foundation

Not Known

Global Climate Change Alliance

2008-2010 European Commission

Not Known (est. $28 mln/year)

German Climate Initiative

2008-2012 German Min. of Environment

Not Known (est. $50 mln/year)

Pilot Program for Climate Resilience

2009-2012 World Bank Not Known (est. $60 mln/year)

(UNFCCC, 2008; Le Goulven, 2008; Müller, 2008 and UNDP, 2007). N.A. = not available, est.=estimated and mln=million.

All this in the last 10 years

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The Convention – 1992 (very little said)

Article 4: Countries shall…• Implement & publish programs that

facilitate adequate adaptation…

• Cooperate in preparing for adaptation…

• Developed countries shall assist developing meet the cost of adaptation.

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Questions

Given that adaptation is now widely recognized as one of the cornerstones of international & domestic climate policy…

1. Can it’s emergence constitute the development of a new policy field in countries where adaptation policy & procedures are being developed?

2. If yes, what were the forces and dynamics that shaped its emergence? - How do new policy fields emerge?

3. What does the emergence of a new policy field say about patterns of governance?

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What is a policy field…

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As a unit of analysis policy fields are widely studied in the social sciences, but…

It is always a field with an adjectival moniker that is studied e.g. environmental policy, agricultural policy, climate policy etc.

Policy fields are taken as a given, a de facto tapestry for which to apply social science theories.

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As a result the study of policy fields in the policy literature, what they are and how they might emerge devoid of their adjectival prefix has been little touched.

So much so that no robust definition of what a policy field is exists nor how one might characterize them.

Textbooks, seminal articles, and even the “Encyclopedia of Public Administration and Public Policy” and the “Handbook of Public Policy” offer no definition for policy field, domain sector, area etc.

Even though the term/s are used liberally!

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Defining Policy Fields

It was the political sociologists, not the policy scientists that begin to take up the study of policy fields.

Laumann & Knoke (1981, 83 & 87) began studying actors and institutions inside and outside governments in what they called policy domains.

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Defining Policy Fields

Policy fields were social constructs that could defined by one of three perspectives:

1. Substantive nature – the subjects they covered

2. Institutional nature – the institutions that dealt with a particular issue

3. Cultural nature – a shared belief in problems and solutions surrounding an issue

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Defining Policy Fields (or not) – policy scientists - flirtation

May, Sapotichne & Workman (2006) “more or less established areas of policy that give meaning to common problems and have integrative properties”

Birkland (2001) “the substantive area of policy over which participants in policy making compete and compromise, such as the environmental domain or the health domain”

Arts, Leroy & van Tatenhove (2006) no definition but say, PFs have policy arrangements which make up the substance and organization of the field in terms of, “policy discourses, coalitions, rules of the game and resources”

Howlett, Ramesh & Perl (2009) allude to domains as a policy subsystem that consist of actors, institutions and ideas within a particular interest sector

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Bit of a problem

If we want to determine if adaptation is a policy field so as to study its emergence,

Then we need a solid, robust definition so we know what we are looking for.

We have to construct one

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Constructing a definition

Let’s dissect the term “field” from the term “policy” and see what can be said about policy.

The idea being if we can broadly understand what policy is then we can append the domain name.

This is what Colebatch (2009) does.

Looks at how the term “policy” explains, shapes and validates “the process of governing”

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Policy is order: Provides structure for and consistency to

decision making activities.

Order can come with fixed institutions/organizations and individuals that have authorized decision making capabilities.

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Policy is authority: Decisions flow from legitimate

authorities charged with governing.

Decisions are endorsed and recognized as being legitimate.

Minister, etc.

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Policy is expertise: Specialized knowledge &

interest in governing. Governing is not random

There has to be knowledge, interest and ideas on how to solve or manage public issues

Expertise exists inside and outside government.

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Policy is… Order Authority Expertise

Policy Field is ... Substantive Institutional Cultural

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A definition, finally!

A policy field is Substantive Authority

The authority to make decisions over an issue or problem so as to produce legitimate policy outputs.

Examples could be legislation, regulations, rules, policy programs, judicial rulings

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A policy field is Institutional Order

Assuming that substantive authority exists we might also assume that institutional order exists as well.

Authority sits institutions and it is the institutions which legitimize the products of substantive authority

There has to be order to the policy field

Examples: Ministries, ministerial offices, agencies, parliamentary committees

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A policy field is Substantive Expertise

IO and SA rely on a shared normative belief that government • Should be involved in the process of managing an issue• And in the existence of specialized knowledge and interest in

managing an issue

SE exists inside & outside government, organizationally and rhetorically

SE, the actors & products steer authority & shape the order of a policy field

Examples: Issues, papers reports & lobby groups, steering groups, think tanks

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A policy field is:

A unit of governing in the socio-political system of a country where there exist three pillars working in tandem to support each other in the management of a public issue or set of issues: Substantive authority, institutional order, and substantive expertise.

Without the existence of all three a policy field does not exist.

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ExamplesSubstantive authority Institutional order Substantive expertise

Public laws/legislation Ministry Policy proposals

Policy measures & programs Ministerial office Policy papers

Regulations/rules Agencies Issue papers

Procedures/plans Parliamentary committees Research programs

Judicial rulings Special departments Reports and studies

Materiel resources/government expenditure Academic articles

Hearings & official inquiries Advisory bodies

Steering groups

Task forces

Interest/lobby groups

Policy/issue networks

Academic courses

Experts

Think tanks

NGOs

Unions

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Adaptation in the United Kingdom

Tried to identify examples of SA, IO and SE at local, regional and national level

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Adaptation in the United KingdomSubstantive authority Institutional order Substantive expertise

2008 Climate Change Act DEFRA's Adapting to Climate Change Programme

Adaptation Sub-Committee

Adaptation Policy Framework UKCIP Cross-governmental working group on adaptation

National Adaptation Programme Environment Agency adaptation office (Regional) Climate Change Partnerships

Government department adaptation plans

Natural England adaptation office Climate UK

DCL 2008 Performance monitoring programme

UKCCP Nottingham Declaration

National Indicator 188: Planning to adapt to climate change

Local & Regional Adaptation Partnership Board

Local Government Association

Local Adaptation Advisory Panel

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Adaptation in the United Kingdom

There are multiple, clear examples of SA,IO,& SE in the UK

We might indeed conclude that adaptation is a policy field there.

BUT there are still problems to solve…

My conclusion is more intuitive than empirical at this point.

What I did not do is set a threshold level for each element so that a positive determination of a policy field could be confirmed.

UK “ideal case”, but what about other countries?

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Determination and thresholds

To what degree do IO, SA, SE have to be present?

Should there be a numeric metric? Maybe not as each element would exist in different numbers.

Would expect more SE than SA and IO

If a ministry exits, then we might assume that a policy field exists… so no need to test for other elements.

But if no ministry, as with adaptation, how much of the others should there be?

Work has begun on this.

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Conclusions

These questions are important if we are to study the emergence and coalescence of policy fields, like adaptation.

Why is the study of policy field emergence important?

1. As policy scientist, one of the main things we study is policy development and change. BUT no suitable theory exists on policy fields. Current theories study development and change such as MS, PE & ACF study development & change within existing fields

(As a result I look at it through theories of pluralism, institutionalism, elitism and public choice)

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Conclusions

2. Adaptation is a major and expensive undertaking, perhaps it is a fad, perhaps not. At present governments, private organizations and academicians are investing considerable time and effort in the issue.

We therefore should and need to study not just the issue itself but its origins and emergence into the governing sphere.

Doing so might reveal new forms and patterns of governance.

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Thank You

Grazie

Merci

Dank U

Danke

Tak

Gracias Spasibo

Documents

The canonization of climate change adaptation: Is adaptation really a policy field?