Toward a roadmap for leadership: Stakeholder drivers for building natural-disaster resilient

seaport systems

Austin Becker, PhD Kaitlyn Cox, J.D.

Andrew Peterman, PhD

1

Austin Becker, PhD Assistant Professor of Coastal Planning, Policy, and Design Departments of Marine Affairs and Landscape Architecture University of Rhode Island

2

Andrew Peterman, PhD Consultant, Energy & Climate Change Arup

Kaitlyn Cox, J.D. Master of Marine Affairs Candidate University of Rhode Island Roger Williams University School of Law

Overview

• Motivation & background • Exploratory research questions • Method • Preliminary finding

– Proposed definition for adaptation leadership – Proposed framework for leadership drivers

• Next steps

3

How can seaport stakeholders develop approaches that reduce climate-related risk?

And, what’s in it for them?

4

Previous case study work suggests a disconnect in adaption planning

5 Becker, A. et al. (In press).

Port of Gulfport

• Container port • High exposure • Recent hurricane (Katrina) • Unique resilience strategy • 30 stakeholders interviewed

• Energy port • High exposure • NO recent hurricane • 27 stakeholders

interviewed

1) GULFPORT, MS 2) PROVIDENCE, RI

Port disaster impacts distribute to all stakeholders… …Current policy did not reflect stakeholder concerns

6

0% 25% 50% 75% 100%

Direct damages (n=45)

Indirect costs (n= 25)

Intangible consequences(n=53)

% of impacts mentioned in interviews vs. policy documents

Interviews only (n=58)

Documents only (n=18)

Both interviews and documents

0% 25% 50% 75% 100%

Direct damages (n=45)

Indirect costs (n=25)

Intangible consequences (n=54)

Types of costs borne by stakeholders

Internal port

Economic/Contractual

Public policy (Inc. state/fedtaxpayers)Community/EnvironmentalGroups

128 potential resilience strategies (identified in Gulfport and Providence)

Becker et al. In Press

8

0

20

40

60

80Internal Port

Economic/Contractual

FederalGovernment

StateGovernment

LocalGovernment

Community/Environmental

Research/Academia

# of strategies stakeholder poised to implement

9

(Ekstrom and Moser 2010).

Leadership - critical at any stage in the adaptation process - maybe most important in initiating the process and sustaining momentum over time…. - can help overcome barriers - lack of or ineffective leadership can create barriers

Lack of leadership is a key barrier…

…But what does leadership really mean and what’s in it for the leaders?

Research Objectives

1. Define “leadership” with respect to climate adaptation of seaport systems

2. Create testable framework for adaptation leadership drivers

10

KEYWORDS Leadership Action Responsibility Driver Incentive Motivation Influence Goal Objective Value Resource Jurisdiction Vulnerability

Literature scan & iterative induction

Climate change

Governance

Leadership

Initial finding: No clear roadmap for developing

leadership

12

The climate literature mentions leadership frequently, but rarely defines it explicitly. Governance provides guidance to understand complex stakeholder systems and align incentives with actions. The leadership literature focuses more on how organizations lead, as opposed to why they might invest in leadership activities.

1. Towards definition for adaptation leadership for port stakeholders

13

Adaption leaders in the seaport system are those stakeholders who use their resources

to initiate actions that make the system, or components thereof, more resilient to climate

change and natural disasters.

Who? Stakeholder organizations Does what? Invest / Initiate / Interact / Elaborate / Develop / Advocate Why? Prepare port system / Reduce risk and vulnerability / Realize adaptation goals

Internal Port

Emergency Response

Public Policy

Economic & Contractual

Academia/Research

Community & Environmental

$ Capital

Political will

Staff resources

STAKEHOLDERS RESOURCES

PROFIT POWER

MANDATE LEGITIMACY

PUBLIC GOOD

DRIVERS

14

Knowledge/Expertise

Adaptation Leadership Action Framework

128 port resilience strategies (identified in Gulfport and Providence)

Becker et al. In Press

Examples to test the framework Ex. Resilience

Strategy Create post-storm

rebuilding requirements

Elevate existing structures

Factor resilience into operations & maintenance

program

Develop local partnerships

16

Ex. Stakeholder

Public Policy

Internal Port

Economic/Contractual

Community/Environmental

Ex. Resource

Expertise/Knowledge Capital ($)

Political Will Staff Resources

Expertise/Knowledge Staff Resources

Capital ($) Staff Resources

Expertise/Knowledge Political Will

Staff Resources

Ex. Driver

Profit? Public Good?

Mandate ?

Profit ? Power?

Mandate? Legitimacy?

Profit? Power?

Public Good?

Conclusion • Proposed definition of adaption leader for

seaport systems

• Proposed framework for leadership incentives – Who, invests what, why

• Next step is testing the framework:

– How does adaptation/resilience investment track to these drivers for different types of stakeholders?

– How can we better align incentives for investment with the goals of the different stakeholders?

17

Questions and feedback

Funding support from URI Research Office

18

Contact: Austin Becker, PhD Assistant Professor of Coastal Planning, Policy, and Design

Departments of Marine Affairs and Landscape Architecture University of Rhode Island

HTTP://WEB.URI.EDU/ABECKER EMAIL: ABECKER@URI.EDU

References

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Aakre, S. and D. T. G. Rübbelke (2010). "Objectives of public economic policy and the adaptation to climate change." Journal of Environmental Planning and Management 53(6): 767-791. Adger, W. N., et al. (2009). "Are there social limits to adaptation to climate change?" Climatic change 93(3-4): 335-354. Anguelovski, I. and J. Carmin (2011). "Something borrowed, everything new: innovation and institutionalization in urban climate governance." Current Opinion in Environmental Sustainability 3(3): 169-175. Becker, A., et al. (2013). "A Method and Typology to Assess Impacts of Hurricanes on Seaport Stakeholder Clusters: A Case Study of Gulfport, MS.” Becker, A., et al. (2012). "Climate change impacts on international seaports: knowledge, perceptions, and planning efforts among port administrators." Climatic change 110(1-2): 5-29. Becker, A., et al. "Towards seaport resilience for climate change adaptation: Stakeholder perceptions of hurricane impacts in Gulfport (MS) and Providence (RI)." Progress in Planning(0). Buysse, K. and A. Verbeke (2003). "Proactive environmental strategies: a stakeholder management perspective." Strategic management journal 24(5): 453-470. Corfee-Morlot, J., et al. (2011). "Multilevel risk governance and urban adaptation policy." Climatic change 104(1): 169-197. de Langen, P. W. (2006). "Stakeholders, conflicting interests and governance in port clusters." Research in Transportation Economics 17: 457-477. Egri, C. P. and S. Herman (2000). "Leadership in the North American environmental sector: Values, leadership styles, and contexts of environmental leaders and their organizations." Academy of Management Journal 43(4): 571-604. Ekstrom, J. A. and S. C. Moser (2014). "Identifying and overcoming barriers in urban climate adaptation: Case study findings from the San Francisco Bay Area, California, USA." Urban Climate 9(0): 54-74. Epstein, M. J. and M.-J. Roy (2001). "Sustainability in Action: Identifying and Measuring the Key Performance Drivers." Long Range Planning 34(5): 585-604. Fankhauser, S., et al. (1999). "Weathering climate change: some simple rules to guide adaptation decisions." Ecological Economics 30(1): 67-78. Flugman, E., et al. (2012). "Facilitating adaptation to global climate change: perspectives from experts and decision makers serving the Florida Keys." Climatic change 112(3-4): 1015-1035. Ford, J. D., et al. (2011). "A systematic review of observed climate change adaptation in developed nations." Climatic change 106(2): 327-336. Hall, P. V., et al. (2013). "Environmental innovation and the role of stakeholder collaboration in West Coast port gateways." Research in Transportation Economics 42(1): 87-96. Hallegatte, S. (2009). "Strategies to adapt to an uncertain climate change." Global environmental change 19(2): 240-247. Hjerpe, M., et al. (2014). "“There is nothing political in it”: triggers of local political leaders' engagement in climate adaptation." Local Environment: 1-19. Karassin, O. (2009). "Mind the Gap: Knowledge and Need in Regulating Adaptation to Climate Change." Geo. Int'l Envtl. L. Rev. 22: 383. Karlsson, C., et al. (2011). "Looking for leaders: Perceptions of climate change leadership among climate change negotiation participants." Global Environmental Politics 11(1): 89-107. Lichtenstein, B. B., et al. (2006). "Complexity leadership theory: An interactive perspective on leading in complex adaptive systems.” Maak, T. and N. M. Pless (2006). "Responsible leadership in a stakeholder society–a relational perspective." Journal of Business Ethics 66(1): 99-115. Mansouri, M., et al. (2010). "A policy making framework for resilient port infrastructure systems." Marine Policy 34(6): 1125-1134. McEvoy, D., et al. (2008). "Adaptation and mainstreaming of EU climate change policy: an actor-based perspective." CEPS Policy Brief(149). McEvoy, D., et al. (2010). "Framing adaptation to climate-related extreme events." Mitigation and Adaptation Strategies for Global Change 15(7): 779-795. Meijerink, S. and S. Stiller (2013). "What kind of leadership do we need for climate adaptation? A framework for analyzing leadership objectives, functions, and tasks in climate change adaptation." Environment and Planning C: Government and Policy 31(2): 240-256. Moser, S. C. and J. A. Ekstrom (2010). "A framework to diagnose barriers to climate change adaptation." Proceedings of the National Academy of Sciences 107(51): 22026-22031. Parola, F. and S. Maugeri (2013). "Origin and taxonomy of conflicts in seaports: Towards a research agenda." Research in Transportation Business & Management 8(0): 114-122. Robinson, W. S. (1951). "The Logical Structure of Analytic Induction." American sociological review 16(6): 812-818. Saul, U. and C. Seidel (2011). "Does leadership promote cooperation in climate change mitigation policy?" Climate Policy 11(2): 901-921. Schreurs, M. A. (2008). "From the bottom up local and subnational climate change politics." The Journal of Environment & Development 17(4): 343-355. Sippel, M. and T. Jenssen (2009). "What about local climate governance? A review of promise and problems.” Stoker, G. (1998). "Governance as theory: five propositions." International social science journal 50(155): 17-28. Termeer, C., et al. (2011). "The regional governance of climate adaptation: a framework for developing legitimate, effective, and resilient governance arrangements." Climate law 2(2): 159-179. Tompkins, E. L., et al. (2008). "Scenario-based stakeholder engagement: Incorporating stakeholders preferences into coastal planning for climate change." Journal of Environmental Management 88(4): 1580-1592. Zhang, K., et al. (2000). "Twentieth-century storm activity along the US east coast." Journal of Climate 13(10): 1748-1761.

EXTRA SLIDES BELOW

20

21

Identify vulnerabilities

Identify, assess & select

strategies

Implement strategies

Monitor & evaluate

Revise & share lessons

learned ADAPTATION

WHAT CAN WE DO?

WHAT CAN WE EXPECT?

WHAT CAN WE LEARN?

Process of adjustment to climate and its effects, in order to moderate harm or exploit beneficial opportunities

(IPCC 2012).

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Ex. Resilience Strategy

Ex. Stakeholder Ex. Resource Ex. Driver

Create post-storm rebuilding

requirements

Public Policy Expertise/Knowledge Capital ($)

Political Will Staff Resources

Profit? Public Good?

Mandate ?

Elevate existing structures

Internal Port Expertise/Knowledge Staff Resources

Profit ? Power?

Mandate? Legitimacy?

Factor resilience into operations &

maintenance program

Economic/Contractual Capital ($) Staff Resources

Profit? Power?

Develop local partnerships

Community/Environmental

Expertise/Knowledge Political Will

Staff Resources

Public Good?

Examples to test the framework

Some choice selections…

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“Factor which causes a particular phenomenon to happen or develop” (Oxford Dictionary, 2010)

“With regard to adaptation to climate change, the main determinant of the motivation to adapt—what an actor wants to do…”(Grothmann, 2005)

“Direct climatic condition prompts adaptation less often than the economic and social effects or implications of the climatic stimuli that are fundamental in triggering adaptive responses…Decisions on adaptation are rarely made in response to climate stimuli alone”(Smit and Pilifosova 2003)

“At the present time, climate adaptation is a new policy domain with few exogenous drivers of action” (Anguelovski and Carmin 2011)

Successful changes in the face of climate change will depend heavily on the “incentive to adapt”(Fankhauser, Smith et al. 1999)

“Individuals look at new problems, tasks, and solutions through the lens of their preexisting values, preferences, beliefs, norms, and experiences” (Moser and Ekstrom 2010)

Vin diagram of where drivers/stakeholder overlap

THE CONTEXT Vulnerable Port Systems Direct Impacts: damaging storms & sea level rise Indirect Impacts: economic profitability, environmental sustainability, etc. Long-Term Effects Action or inaction today regarding climate change adaptation and natural disaster resilience has long-term effects (Adger, Dessai et al. 2009) Leadership Uncertainty Port resilience research reveals a lack of clarity concerning leadership in building port resilience around the United States

2

PORT STAKEHOLDERS

Internal Port

Port authority

terminal management

trade organizations

Economic/Contractual

Insurance

Tenants

Shipping agents

Stevedors

Importers/exporters

Trade organizations

Manufacturers

Customs brokers

Public Policy

Local

Regional

National

International

Environmental/Community

Local Residents

Environmental NGOs

Academia/Research

Universities

Scholars

Emergency Response

12

Lack of Leadership

“no lead agency, guidance, directive, or mandate to undertake assessment, short-term perspective that prevents effective integration of climate change” “lack of governance structure” “lack of or limited actual jurisdiction over option” (Ekstrom and Moser 2014)

6

32

Literature Scan “Leadership”

“the action of leading a group of people or an organization” and “the state or position of being a leader” (OED, 2014)

“when there is no mandate, law, job description, or public demand yet for adaptation planning, leaders are required to initiate the process” (Moser and Ekstrom 2010)

“champions are persons who use their skills and resources to advocate and try get accepted a new idea” (Meijerink and Stiller 2013)

“the presence of local champions is central to a program being initiated and maintained over time”(Anguelovski and Carmin 2011)

Lack of Leadership Barrier Climate adaptation literature has identified the lack of leadership as a barrier to climate adaptation and resilience measures (Becker, A.H., et al, 2014, Ekstrom and Moser 2014)

Literature Scan “Governance”

“the interactions between public and/or private entities ultimately aiming at the realization of collective goals” (Termeer, Dewulf et al. 2011)

“represents the elaboration of strategies and the development of policies of the port spaces with the goal of constructing an attractive business environment for the private operators and therefore improving the port competitive nature” (Parola and Maugeri 2013)

“governance is a crucial component in the achievement of effective climate planning and action” (Anguelovski and Carmin 2011)

“(climate) impacts can be dealt with on many levels of the port's business, from forward planning and strategic governance, through the maintenance regimes of the physical infrastructure to human resources management” (Scott, McEvoy et al. 2013)

PORT STAKEHOLDERS

Port authority Terminal management Trade organizations Insurance Tenants Shipping agents Stevedors Importers/exporters Trade organizations Manufacturers Customs brokers

Local Regional National International Local Residents Environmental NGOs Universities Scholars Emergency Response

Who can be a leader?

Leaders may emerge at: – Various levels

• Governmental; organizational; individual – Across many scales

• International; national; local (Saul and Seidel 2011, Flugman, Mozumder et al. 2012)

There is no right or wrong person that fits the role as leader, rather any individual or entity that is appropriately driven may take the lead on making seaport resilient to climate change (Moser and Ekstrom 2010).

DRIVER DEFINITION: Seaports & Climate Resilience

A determining factor based upon a particular value or belief that triggers a response and motivates a stakeholder to act.

Drivers may be determined by Value the port system holds to a stakeholder (Mansouri, Nilchiani et al. 2010)

Goals and strategies to achieve goals (Norchi, 2009)

Changes to port system over time (Hall, O'Brien et al. 2013)

Geographical location (Sippel and Jenssen 2009)

Economic structure (Sippel and Jenssen 2009)

Public policy (Sippel and Jenssen 2009)

Social factors (Sippel and Jenssen 2009)

General preference of stakeholder (Sippel and Jenssen 2009)

…or the motivation may be unknown (Hall, O'Brien et al. 2013)

DRIVERS

POWER

PROFIT

MANDATE

PUBLIC GOOD

LEGITIMACY

Capacity to Lead RESOURCES Financial Resources (Moser and Ekstrom 2010, Tompkins, Emma L., et al, 2008)

Human Resources (staff, expertise, skill) (Anguelovski and Carmin 2011, Ekstrom and Moser 2014, McEvoy, Lonsdale et al. 2008)

Political Support (Anguelovski and Carmin 2011, Ekstrom and Moser 2014)

Time (Hallegatte 2009)

Knowledge (Buysse and Verbeke 2003, McEvoy, Lonsdale et al. 2008, Moser and Ekstrom 2010)

Organizational Competency (Buysse and Verbeke 2003)

Management Procedures (Buysse and Verbeke 2003)

Legislation (Hall, O'Brien et al. 2013)

Litigation (Hall, O'Brien et al. 2013)

Public forum (Hall, O'Brien et al. 2013)

Jurisdiction (Anguelovski and Carmin 2011)

METHODS LITERATURE SCAN

– Climate Adaptation – Climate Resilience – Port Resilience – Urban & City Climate Policy – Environmental Planning & Management – Disaster/Hazard Resilience – Stakeholder (Action, Engagement, Leadership)

KEYWORDS

– Leadership; action; responsibility – Driver; incentive; motivation; influence; goal; objective; value – Resource; jurisdiction – Vulnerability

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Critical - Economic engines at every scale

Constrained - Dependent on specific and environmentally-sensitive locations

Complex – Multiple stakeholders across space and time

Ports: Critical, complex, constrained

(Asariotis and Benamara 2012; Notteboon and Winkelmans 2003; EPA 2011; AAPA 2013)

Becker, A., et al. (2013), “A note on climate change adaptation for seaports: A challenge for global ports, a challenge for global society.” Journal of Climatic Change.

45

Ports and port cities in harm’s way

Port decisions do not always account for stakeholder concerns

46

Oct. 29, 2012 “Super storm” Sandy

Climate change challenges

47

Doubling of Cat 4 and 5 tropical storms

Inland flooding

1-in-100 year storm event of today

1-in-3 year storm event of 2100

Sea levels to rise 0.75 – 1.9 meters by 2100

47

http://www.cargolaw.com/2008nightmare_jaxcrane.html

Photograph: Guy Reynolds/Dallas Morning News/AP

(Bender et al. 2010; Grinsted et al. 2013; Rahmstorf 2010; Emanuel 2013; IPCC 2012; Tebaldi et al. 2012)

48

1) Direct damages (e.g., structures, equipment, freight, land, etc.)

2) Indirect costs (e.g., lost wages, business interruptions, cleanup costs)

3) Intangible consequences (e.g., quality of life, environmental damages, loss of essential services)

(IPCC 2012)

Cascading consequences for port cities

Rotten Meat From Katrina Still in Gulfport Neighborhood

Majority of 115 impacts: Intangible consequences

49

0

10

20

30

40

50

60

Direct damages(n=40)

Indirect costs (n=25) Intangibleconsequences (n=50)

GulfportProvidenceBoth

Ports concerned, but little action thus far

N=93

50

4%

31%

81%

0% 50% 100%

Has adaptation plan

Feels informed aboutclimate impacts

Impacts should beaddressed by ports

Ports answering "Yes" (Becker et al 2010)

Ports have few formal plans that address adaptation

51

28%

18%

16%

12%

8%

4%

0% 25% 50% 75% 100%

Part of design guidelines or standards

Holds staff meetings to discussadaptation

Carries specific climate change insurance

Addressed in strategic plan

Funded as line item in budget

Has specific adaptation policy document

% of ports that had policy/plan N = 89

128 port resilience strategies (identified in Gulfport and Providence)

Becker et al. In Press

53

0

20

40

60

80Internal Port

Economic/Contractual

FederalGovernment

StateGovernment

LocalGovernment

Community/Environmental

Research/Academia

# of strategies stakeholder poised to implement

Internal Port

Economic &

Contractual

Academia &

Research

Public Policy

Community &

Environmental

Power Improve the

Human Condition

Prominence

Profit

Port stakeholders Status Quo Resilience

Incentives?

Common incentive?

54

Construction – 10 years

Permitting & Regulatory Process – 10 years

Engineering & Design – 5 years

55

Actual working life – >75 years Project Design Life – 50 years

5-10 yrs

My career (~35 years)

The rest of my life (~55 years)

My child’s life (~100 years)

My grandchild’s life (~105 years)

Time

I year

Fundamental shift…

Examples – For testing “Develop a long range adaptation plan”

56

Who? State Government

Invest what? Capital ($) Political Will Staff

Why?

Protect state economy? Ensure well-being of future

generations? Achieve political agenda?

“Construct or modify features on port lands” Who? Port Operator

Invest what? Capital ($) Staff

Why?

Protect future profit? Improve competitive position?

Directed by mandate?