**2. Analytical framework**

**1. Introduction: adaptation to climate change in water governance**

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the need to adapt to the hydrological impacts of a changing climate [4, 5].

tion solutions that are flexible, increase social capital and enhance learning [6–10].

tive arrangements" to effectively deal with the impacts of climate change [12].

ficient amount of public participation to ensure legitimacy.

According to the World Economic Forum's Global Risks Assessment, water problems are among the biggest threats that humanity is facing in the coming century [1]. In the list of the United Nations Office for Disaster Risk Reduction (UNISDR) disaster statistics, floods and droughts rank in the top three of most experienced climate-related disasters between 1980 and 2011. As climate change affects both the quality and the availability of water in the water system, the provision of basic water-related public services such as water safety, drinking water and sanitation is increasingly under pressure [2, 3]. There is widespread agreement on

While the importance of adaptation is widely recognized, developing effective adaptation solutions is challenged by the high uncertainty connected to the process and impacts of climate change. In the adaptation literature, the importance of flexible adaptation solutions that can be adjusted to new insights about the (experienced) effects of climate change is increasingly emphasized. Under the header of "adaptive capacity", scholars have called for adapta-

In search of adaptive climate adaptation solutions, the emphasis has been placed on governance arrangements. The UNISDR's Global Assessment Report of 2015, for example, emphasizes that dealing with the impacts of climate change require more than a governmental and top-down technical approach [11]. While technical solutions are essential, governance practices that provide the legal, financial and administrative capacities to implement adaptation measures and ensure a sufficient amount of stakeholder participation and public accountability to safeguard the legitimacy of adaptation efforts are equally important. For this reason, the European Water Framework Directive (WFD) also calls on Member States to develop "appropriate administra-

In this chapter, we build on the insight that adaptation to climate change requires more than developing new technical solutions in water management. Just as much, it involves finding new governance arrangements that allocate sufficient (financial, technical and administrative) resources to implement effective adaptation solutions. In addition, because water extremes (droughts and floods) typically affect a wide array of stakeholders dependent on a good management of the water cycle, governance arrangements need to be integrative to facilitate links between different sectors and levels of governance to enhance learning, and facilitate a suf-

A huge challenge for developing adaptive governance arrangements in the water sector lies in the huge variability of hydrological impacts across regions. This chapter comparatively analyses the regional governance contexts of six European regions differently affected by climate change: the city of Badalona (Spain) and Bergen (Norway) where the risk of flash floods and combined sewer overflow (CSO) increases, the Troodos Mountains (Cyprus) and the Lower Tagus basin (Portugal) where droughts deplete fresh water resources for public water supply and irrigation and the Veluwe (the Netherlands) and the Wupper River Basin (Germany) where integrated water resources management is affected. For each region, the chapter analyses governance strengths and weaknesses for adaptation to the hydrological

#### **2.1. Adaptive governance arrangements in the water sector**

Climate change has huge impacts of the water cycle, but these impacts vary across regions [9, 13, 14]. Whereas in southern Europe climate change may increase the risk of droughts and threaten the availability of water, in other parts of Europe a surplus of water is most problematic and riverine, coastal and storm floods are feared. Similarly, the challenges in urban areas (limited run-off and drainage capacities leading to floods and combined sewage overflows) are usually very different than the challenges rural areas face (decreasing groundwater tables and deteriorating groundwater quality). While the driver behind these risks is similar (climate change), the regional impacts of climate change vary greatly, affecting different parts of the water system and different water-services dependent on that system [2, 15, 16].

At the same time, water governance arrangements differ substantially from region to region. Regional water governance is the product of a long, historical process where arrangements have been influenced by specific geophysical, sociocultural and political circumstances that characterized the regional context throughout history [7, 17]. The adaptive capacity literature emphasizes the importance of an institutional fit between new climate adaptation measures and institutionalized water governance practice for an effective implementation of adaptation measures in regional contexts [18]. The question whether contemporary water governance arrangements can effectively respond to the impacts of climate change, should thus not only take account of the regional variability of climate change impacts, but also of the varying nature of existing regional governance contexts.

This regional diversification surrounding the impacts of climate change on the water cycle and the performances of governance arrangements in dealing with those impacts makes any assessment of adaptive capacity in water governance a challenging task. The adaptive capacity literature therefore displays a strong focus on case studies [19, 20]. And while frameworks have been forwarded to assess or score the adaptive capacity of (water) governance institutions (e.g. [8, 19, 21–25]), these assessment frameworks often remain generalist in scope; they specify general criteria for adaptive capacity but often do not take full account of differences in regional demands and performances.

This chapter uses the three layer framework (TLF) for water governance as a tailor-made analytical tool for analyzing the adaptive capacity of regional water governance arrangements. Rather than formulating criteria, this framework distinguishes between three governance "layers" in which adaptation to climate change takes shape: a content, an institutional and a relational layer. These layers provide a structure to analyze governance arrangements for adaptation to climate change in the water sector, without specifying criteria for adaptive capacity a priori. The next paragraph introduces this framework in more detail.

information about the regional impacts of climate change and knowledge about possible

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Second, the "institutional" layer deals with the organizational aspects that support the effective implementation of designed adaptation policies. In the TLF, good institutional capacities entail clear and legally anchored divisions of responsibility, strong legal and administrative capacities (which, for example, includes workforce, management and supervisory qualities, implementing capacities, monitoring capacities) and a robust financing structure. In this layer, the organization behind adaptation policies is described (e.g., do adaptation policies

The third "relational" layer of the framework refers to the requirements placed on the wider governance context of adaptation to climate change. The TLF makes a distinction between culture and ethics, communication and cooperation and participation in this regard. In this report, this is further translated into the extent to which developed adaptation policies establish links between different sectors, the extent to which adaptation governance is clear and open to the public, and

By distinguishing between a content, an institutional and a relational layer, this model helps to better grasp the regional governance challenges posed at the six European research sites: Are challenges mainly related to the content of policy approaches, to institutional arrangements in the water sector or to the relationships and values that underpin water governance? Looking across these regions, this model also contributes to a better understanding of shared governance challenges for adaptation to climate change in the water sector in Europe, as well as of the challenges connected to the governance of certain types of water-related risks.

This chapter applies the TLF to analyze the policy and governance context in six European regions: Badalona city in Spain, Bergen city in Norway, nature area the Veluwe in the Netherlands, the Troodos Mountains in Cyprus, the Wupper River Basin in Germany and the lower Tagus basin in Portugal. In each of these regions, climate change poses different risks. Some areas will experience more (storm) floods, in other areas sewage overflow poses a major problem whereas

Data for this analysis were collected in two steps. First, questionnaires on policy and governance were sent out to stakeholders; the replies provide information on the policy and governance context at the six BINGO research sites. This allowed to identify site-specific policy and governance needs for adaptation to climate change in different sectors that are impacted by climate change. In **Table 1**, an overview is given of the number of questionnaires collected

Second, two in-depth expert-interviews were conducted at each research site to generate insights into the national-level policy and governance context that influences regional adaptation. The expert-interviews were held with (1) a key policymaker and (2) a key scientist working on national adaptation policy in the six countries. **Table 2** lists the organizations

particularly the southern regions face reductions in the quantity and quality of water.

the extent to which stakeholder participation is realized in regional governance contexts.

coping strategies to deal with these regional risks.

**2.3. Methods**

per research site.

interviewed at each site.

rely on technical, legal and/or financial policy instruments?).

#### **2.2. The three layer framework (TLF) for water governance**

The three layer framework (TLF) for water governance, designed by Havekes et al. [26], builds on the governance gaps identified by the Organization for Economic Cooperation and Development (OECD) in its 2011 study on water governance in OECD countries [27]. In this report, the OECD argues that water governance increasingly becomes a decentralized policy responsibility in OECD countries. In this decentralized policy landscape, cooperation between different sectors and across different levels becomes more important to adequately deal with the impacts of climate change. However, in its analysis of water governance in 17 OECD countries, analysts found 7 "governance gaps" that hampered a good coordination between governance levels and policy domains.

The TLF takes the OECD governance gaps as a starting point. It forwards a structure to think about closing these governance gaps with the building blocks for good water governance specified by the Dutch Water Governance Centre. These building blocks include a powerful administrative organization in water management, a clear legal framework for water management, an adequate financing system, a systematic (planning) approach and a sufficient participation of stakeholders. In the TLF, these building blocks are placed in three different layers of water governance (see **Figure 1**).

First, the "content" layer looks into the substance of adaptation policies. Through this layer, adaptation policies are characterized by their degree (are relevant climate-related risks addressed in the policy framework, or do certain risks remain untreated?). In addition, the content layer assesses the available expertise and skills needed to develop relevant adaptation policies in a governance context. In this report, this is further specified in terms of

**Figure 1.** The three layer framework for water governance [26].

information about the regional impacts of climate change and knowledge about possible coping strategies to deal with these regional risks.

Second, the "institutional" layer deals with the organizational aspects that support the effective implementation of designed adaptation policies. In the TLF, good institutional capacities entail clear and legally anchored divisions of responsibility, strong legal and administrative capacities (which, for example, includes workforce, management and supervisory qualities, implementing capacities, monitoring capacities) and a robust financing structure. In this layer, the organization behind adaptation policies is described (e.g., do adaptation policies rely on technical, legal and/or financial policy instruments?).

The third "relational" layer of the framework refers to the requirements placed on the wider governance context of adaptation to climate change. The TLF makes a distinction between culture and ethics, communication and cooperation and participation in this regard. In this report, this is further translated into the extent to which developed adaptation policies establish links between different sectors, the extent to which adaptation governance is clear and open to the public, and the extent to which stakeholder participation is realized in regional governance contexts.

By distinguishing between a content, an institutional and a relational layer, this model helps to better grasp the regional governance challenges posed at the six European research sites: Are challenges mainly related to the content of policy approaches, to institutional arrangements in the water sector or to the relationships and values that underpin water governance? Looking across these regions, this model also contributes to a better understanding of shared governance challenges for adaptation to climate change in the water sector in Europe, as well as of the challenges connected to the governance of certain types of water-related risks.

### **2.3. Methods**

"layers" in which adaptation to climate change takes shape: a content, an institutional and a relational layer. These layers provide a structure to analyze governance arrangements for adaptation to climate change in the water sector, without specifying criteria for adaptive

The three layer framework (TLF) for water governance, designed by Havekes et al. [26], builds on the governance gaps identified by the Organization for Economic Cooperation and Development (OECD) in its 2011 study on water governance in OECD countries [27]. In this report, the OECD argues that water governance increasingly becomes a decentralized policy responsibility in OECD countries. In this decentralized policy landscape, cooperation between different sectors and across different levels becomes more important to adequately deal with the impacts of climate change. However, in its analysis of water governance in 17 OECD countries, analysts found 7 "governance gaps" that hampered a good coordination

The TLF takes the OECD governance gaps as a starting point. It forwards a structure to think about closing these governance gaps with the building blocks for good water governance specified by the Dutch Water Governance Centre. These building blocks include a powerful administrative organization in water management, a clear legal framework for water management, an adequate financing system, a systematic (planning) approach and a sufficient participation of stakeholders. In the TLF, these building blocks are placed in three different

First, the "content" layer looks into the substance of adaptation policies. Through this layer, adaptation policies are characterized by their degree (are relevant climate-related risks addressed in the policy framework, or do certain risks remain untreated?). In addition, the content layer assesses the available expertise and skills needed to develop relevant adaptation policies in a governance context. In this report, this is further specified in terms of

capacity a priori. The next paragraph introduces this framework in more detail.

**2.2. The three layer framework (TLF) for water governance**

226 Achievements and Challenges of Integrated River Basin Management

between governance levels and policy domains.

layers of water governance (see **Figure 1**).

**Figure 1.** The three layer framework for water governance [26].

This chapter applies the TLF to analyze the policy and governance context in six European regions: Badalona city in Spain, Bergen city in Norway, nature area the Veluwe in the Netherlands, the Troodos Mountains in Cyprus, the Wupper River Basin in Germany and the lower Tagus basin in Portugal. In each of these regions, climate change poses different risks. Some areas will experience more (storm) floods, in other areas sewage overflow poses a major problem whereas particularly the southern regions face reductions in the quantity and quality of water.

Data for this analysis were collected in two steps. First, questionnaires on policy and governance were sent out to stakeholders; the replies provide information on the policy and governance context at the six BINGO research sites. This allowed to identify site-specific policy and governance needs for adaptation to climate change in different sectors that are impacted by climate change. In **Table 1**, an overview is given of the number of questionnaires collected per research site.

Second, two in-depth expert-interviews were conducted at each research site to generate insights into the national-level policy and governance context that influences regional adaptation. The expert-interviews were held with (1) a key policymaker and (2) a key scientist working on national adaptation policy in the six countries. **Table 2** lists the organizations interviewed at each site.


**3. Results: governance strengths and weaknesses for adaptation to** 

This section depicts the findings of the analyses of the policy and governance contexts of the six European regions under study for this project. Each subsection starts out with a brief description of the region and the water-related risks brought forward by climate change in the region. This description is followed by an identification of the most important governance strengths and weaknesses for adaptation to the water-related risks. Each subsection ends with a short reflection on the resulting governance needs for effective adaptation to climate change.

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The Troodos Mountains cover roughly 60% of Cyprus. In the area, most of the island's rivers originate. This research has focused on the downstream area of the Peristerona watershed, which is located on the northern slopes of Troodos Mountains [28]. The three main water uses in the watershed are domestic water supply and irrigation, which rely almost exclusively on groundwater resources [29], and the relatively new sector of wastewater treatment and reuse. Being a Mediterranean country, water scarcity has posed a persistent risk to Cyprus' water management [30]. The prolongation of dry periods in the future may increase this risk; it may cause groundwater levels to dwindle and existing boreholes to dry out. At present, water availability for domestic water supply just matches the local demand (e.g. in Kato Moni). Besides excacerbating the existing risk of water scarcity, climate change also brings new risks to the region. A deterioration of water quality due to rising temperatures, for instance, poses a new problem. Furthermore, precipitation patterns may change in the near future, with

extreme rain events being more likely, which implies higher flooding risks [31, 32].

Governance strengths have been identified in the different layers of the TLF, as regards droughts. Connected to the first layer, water governance in the Peristerona watershed is based on a good understanding of the water system. This is reflected in a strong institutional capacity in the second layer. According to the respondents, regional water governance is guided by a clear and legally embedded policy framework, in which roles and responsibilities for daily management have been defined and divided between different authorities. Furthermore, because key economic sectors, such as agriculture, tourism, environment and energy, depend on continuous water supply, there is strong inter-linkage between these sectors, which sup-

These findings are different for the irrigation subdomain, which operates rather independently from the other policy sectors. Irrigation water supply is managed by local associations of landowners (called "irrigation divisions"), who regulate among themselves the allocation of water resources and share the abstraction costs for irrigation. While administrative and financial resources are less well organized, governance arrangements are characterized by a strong involvement of end-users (land owners), which facilitates the development of tailor-

**climate change in six European regions**

**3.1. Cyprus, the Troodos Mountains**

ports adaptation in the third layer.

made governance solutions.

**Table 1.** Questionnaires per research site.


**Table 2.** Expert-interviews per research site.

Both the questionnaires and the interview reports were translated by the local project partners in BINGO, and complemented with a first analysis of the meaning of these results in the regional governance contexts. The questionnaires and interviews were further and systematically analyzed in terms of the TLF by the authors of this chapter. The analyses have been sent back to the local project partners for review.
