A framework for assessing social structure in community governance of sustainable urban drainage systems: insights from a literature review

Muwafu, Simon Peter; Rölfer, Lena; Scheffran, Jürgen; Costa, María Máñez Article — Published Version A framework for assessing social structure in community governance of sustainable urban drainage systems: insights from a literature review Mitigation and Adaptation Strategies for Global Change Provided in Cooperation with: Springer Nature Suggested Citation: Muwafu, Simon Peter; Rölfer, Lena; Scheffran, Jürgen; Costa, María Máñez (2024) : A framework for assessing social structure in community governance of sustainable urban drainage systems: insights from a literature review, Mitigation and Adaptation Strategies for Global Change, ISSN 1573-1596, Springer Netherlands, Dordrecht, Vol. 29, Iss. 5, https://doi.org/10.1007/s11027-024-10136-2 This Version is available at: https://hdl.handle.net/10419/315327 Standard-Nutzungsbedingungen: Die Dokumente auf EconStor dürfen zu eigenen wissenschaftlichen Zwecken und zum Privatgebrauch gespeichert und kopiert werden. 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If the documents have been made available under an Open Content Licence (especially Creative Commons Licences), you may exercise further usage rights as specified in the indicated licence. http://creativecommons.org/licenses/by/4.0/ Vol.:(0123456789) Mitig Adapt Strateg Glob Change (2024) 29:42 https://doi.org/10.1007/s11027-024-10136-2 1 3 ORIGINAL ARTICLE A framework forassessing social structure incommunity governance ofsustainable urban drainage systems: insights fromaliterature review SimonPeterMuwafu1· LenaRölfer3· JürgenScheffran2· MaríaMáñezCosta1 Received: 2 August 2023 / Accepted: 12 April 2024 / Published online: 25 April 2024 © The Author(s) 2024 Abstract The utilization of Sustainable Urban Drainage Systems (SUDS) as Nature-based Solutions (NBS) holds significant promise for enhancing resilience against climate changeinduced flooding and promoting community well-being in urban areas of Sub-Saharan Africa. While existing research predominantly emphasizes technical aspects within the NBS framework, understanding the socio-governance dynamics at the community level is equally imperative, particularly given the decentralized nature of SUDS. This study aims to complement the prevailing technical focus by examining the social dimensions of community governance related to SUDS implementation. Through a literature review, key determinants of social structure influencing successful community governance in SUDS management are identified, and categorized into actors, resources, discourses, and rules of engagement. An innovative assessment framework comprising 65 indicators is proposed to evaluate these determinants, offering a comprehensive tool for scholars and practitioners. By integrating social considerations into SUDS management practices, this research seeks to inform policy formulation and strategies tailored to Sub-Saharan African cities, facilitating equitable and participatory urban stormwater management initiatives crucial for addressing climate change challenges. Keywords Urban Stormwater Management· Green Infrastructure· Sub-Saharan Cities· Adaptation· Policy Arrangement Approach· Literature review 1 Introduction Urban areas globally, especially in Sub-Saharan Africa, grapple with significant challenges in managing stormwater runoff effectively, amidst the challenges of rapid urbanization, population growth, and inadequate drainage infrastructure. (WMO 2019; IPCC 2022a, b) These * Simon Peter Muwafu simon.muw[email protected] 1 Helmholtz-Zentrum Hereon GERICS-Deutsches Institut Für Klimaservices, Hamburg, Germany 2 Institute ofGeography, University ofHamburg, Hamburg, Germany 3 Faculty ofSustainability, Leuphana University Lüneburg, Lüneburg, Germany Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 42 Page 2 of 19 difficulties are compounded by the escalating impacts of climate change, which exacerbate flooding risks and strain existing water management systems (UN-Habitat 2014). In response, Sustainable Urban Drainage Systems (SUDS) have emerged as promising solutions, leveraging nature-based approaches to mitigate hydrological imbalances (Charlesworth et al. 2017). SUDS, incorporating green infrastructure elements like rain gardens and green roofs, mimic nature’s ability to manage stormwater runoff by capturing, treating, and reusing it (Davis and Naumann 2017; Depietri and McPhearson 2017. Notably, SUDS are primarily managed at the local or community levels, necessitating community-level governance for inclusive decision-making and tailored project implementation to meet specific local needs (Evans 2011). Community governance, emphasizing local management and decision-making, plays a pivotal role in addressing community needs, enhancing capacity, and promoting wellbeing within the context of SUDS implementation (Totikidis, Armstrong, & Francis, 2005). Through participatory processes, community governance identifies and implements activities, enhancing adaptive capacity and addressing vulnerabilities exacerbated by climate change (Ayers and Forsyth 2009; Reid etal. 2009). However, the influence of social structure determinants significantly shapes the collaborative and participatory nature of community governance, such as in the case of SUDS (Dorst etal. 2022). These determinants, encompassing social factors, guide interactions among community members, governance procedures, and policy processes related to accountability and effectiveness (Máñez etal. 2014; Fazey etal. 2021). Understanding the impact of these social determinants within the community governance framework of SUDS is essential for guiding decision-making processes and enhancing community organization (Mguni etal. 2016a). Despite the significance of social structures, a notable knowledge gap exists concerning their specific influence on the integration of community governance into urban stormwater policy frameworks, especially regarding SUDS utilization in Sub-Saharan Africa. To address this gap, our study aims to explore the intricate relationship between social structures and effective community governance mechanisms of SUDS for urban stormwater management in the Sub-Saharan context. Through literature review and the Policy Arrangement Approach (Arts and Goverde 2006; Liefferink 2006), we aim to identify key social structure determinants shaping successful community governance patterns within nature-based urban stormwater management systems. Specifically, our study intends to achieve the following objectives: i) Review existing literature on social structure determinants influencing successful community governance, particularly in the context of urban stormwater management. ii) Propose a novel framework for assessing social structure determinants in the integration of community governance of SUDS into policy frameworks. iii) Discuss the practical implications of assessing social structure determinants for informing policy design and implementation strategies in Sub-Saharan African cities. This study’s significance lies in its ability to guide the development of customized stormwater management policies. Our newly developed framework for evaluating social structure determinants in integrating community governance of SUDS underscores the importance of organized integration in strategy processes. It acknowledges diverse forms of authority and the dynamic nature of change in implementation at the community level, a novel approach not previously applied to SUDS. By empowering Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 Page 3 of 19 42 communities to shape their urban environments, our approach fosters resilience and promotes sustainable development practices rooted in local contexts. 2 Methodology We follow a three-step approach to achieve the aforementioned objectives, including a literature review, analysis, and conceptualization. 2.1 Literature review In the first step, we conducted a thorough literature search in December 2022, using the SCOPUS database. This search is integral to our research synthesis methodology, which involves selecting, evaluating, and synthesizing relevant existing literature on the topic (Xiao and Watson, 2019). Our goal was to gather diverse studies on governance in implementing nature-based solutions for stormwater management, with a specific focus on SubSaharan African cities. We chose the SCOPUS database for its broad coverage, multidisciplinary content, and advanced indexing capabilities, enhancing the likelihood of capturing a relevant body of literature. To expand our investigation, we explored additional sources like Web of Science, Cross-ref, Google Scholar, ResearchGate, and Academia. Using a combination of OR/AND Boolean search criteria, we utilized selected keywords aligned with the concept domains of our research questions. The keywords, “nature-based solutions,” OR “green infrastructure,” aimed to explore various aspects of stormwater management through strategically planned natural spaces. We also included “sustainable urban drainage” keywords to focus on sustainable approaches. Recognizing the importance of community involvement, incorporating ’planning’ OR ‘management’ keywords was crucial for gathering literature on the strategic planning and effective management of nature-based solutions, covering policy frameworks, implementation strategies, and project management approaches. Region-specific keywords ’Africa’ and ’Sub-Saharan’ refined the focus to the African context. This approach aimed to balance exhaustiveness and precision in our search (Xiao and Watson 2019). To establish inclusion and exclusion criteria, we defined a specific timeframe (2011–2022) to capture noticeable shifts in literature and discourses regarding naturebased solutions. This period also aligns with significant advancements in the field. In the subsequent phase, we limited the search to English literature to ensure linguistic coherence. Articles were selected by reading titles and abstracts, prioritizing those addressing subSaharan African contexts. The authors had the freedom to incorporate articles with potential regional significance for sub-Saharan contexts. From the initially identified 87 articles, 47 were deemed relevant after excluding those primarily addressing water systems, stormwater quality, pollution, sanitation, stormwater runoff modeling, and urban forestry. 2.2 Analysis In the second step, the selected literature was carefully analyzed to identify concepts, arguments, and findings that contribute to defining the critical determinants associated with various dimensions of the policy arrangement approach, which are pertinent to the research objective. This analysis encompasses discussions that potentially affect the communitylevel governance of SUDS (Fig.1). Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 42 Page 4 of 19 The policy arrangement approach used as a foundation for the analysis links structural, social, and political changes to everyday shifts in policy implementation. For instance, community-based governance, as a policy arrangement, stabilizes the structure and content of a specific policy domain at a particular policymaking level or across multiple levels (Leroy and Arts 2006). This approach comprises four interconnected dimensions, with three focusing on organizational or structural aspects: actors and coalitions, formal and informal rules, and resources and associated power. The fourth dimension pertains to substance, encompassing discourses reflecting actors’ perspectives. Changes in one dimension correspondingly impact the others (Liefferink 2006). The interplay between the four dimensions is depicted through a tetrahedron, as shown in the Fig.2 below. In this study, community governance of SUDS involves coordinating the organizational and policy processes and the interactions between different social and political community Fig.1 Three-step approach for developing an assessment framework of social structure determinants of community governance of SUDS Fig. 2 Model of the Policy Arrangement Approach (adapted from (Arts and Goverde 2006)) Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 Page 5 of 19 42 actors towards a common public objective of enhancing the sustainability and equity of urban stormwater management using SUDS. The actors involved in the community governance of SUDS potentially include public and private stakeholders such as landowners, community planners, urban planning professionals, and civil society organizations (Qiao etal. 2019). Resources include community-level financial resources and facilities, knowledge and skills resources, and land priorities. The rules of the game include the formal and informal norms that define the actions of community actors during the implementation of SUDS. At the same time, discourses refer to community-level attitudes and perspectives toward SUDS (Qiao etal. 2018). Community change processes can be complex and nonlinear as different actors engage in various ways, potentially leading to solutions and disparities due to varying perspectives on the challenges (Carmen etal. 2021). 2.3 Conceptualization ofindicators In the third step, indicators are formulated based on this analysis to assess the diverse determinants identified in the literature. These indicators aid in identifying the most crucial issues within each of the four dimensions and facilitate the measurement of the performance of these dimensions within the community governance of SUDS for stormwater management. 3 A framework forassessing social structure determinants inlocal community level governance ofSUDS 3.1 Dimensions andsocial structure determinants The summary of social structure determinants that affect the community governance of SUDS is categorized according to the four dimensions of the policy arrangement approach: actors, resources, discourses, and rules of the game, as depicted in Table1. 3.2 Actors In sub-Saharan cities, the community governance of SUDS involves a range of actors and stakeholders. Public stakeholders may include government officials and local authority representatives responsible for urban planning and infrastructure development (Herslund and Mguni 2019). Private stakeholders, on the other hand, may include landowners, property developers, and consultants involved in urban planning and design. In addition, civil society organizations, community planners, and urban planning professionals may also play a role in the community governance of SUDS (Mguni etal. 2016a, b). The levels and rates of collaboration in developing and implementing strategies for sustainable and effective stormwater runoff management while considering the needs and viewpoints of local communities are primarily influenced by the participation of these actors (Williams etal. 2018). The range of actors involved in the community governance of SUDS has a significant impact not only on the level and quality of local leadership but also on the allocation of responsibility, which in turn affects the involvement of stakeholders in implementing SUDS (Sutherland etal. 2016). Community perceptions of risk, which are shaped by the local understanding of preparedness, are often influenced by factors such as actors’ knowledge Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 42 Page 6 of 19 levels, academic involvement, and the level of innovation in the community (Dodman and Mitlin 2013; Williams etal. 2020; Sañudo-Fontaneda and Robina-Ramírez 2019). These factors can facilitate the implementation of new and creative ideas, productive collaborations, and effective governance, all of which are central to the implementation and management of SUDS (Herslund and Mguni 2019). Education campaigns can help to increase the adoption of SUDS among private stakeholders by promoting awareness of the benefits of SUDS, such as improved stormwater management, reduced flooding, and improved water quality (Bredhauer 2016; Armitage etal. 2013). However, the time needed for implementing or managing SUDS can be a significant factor in determining private stakeholders’ level of engagement, as it may require substantial investments in time and resources (Olumuyiwa 2014). Therefore, it is essential to consider the perspectives and priorities of private stakeholders and the potential barriers they may face when developing and implementing SUDS strategies. Addressing these barriers can help to ensure that private stakeholders are fully engaged in promoting sustainable stormwater management practices. 3.3 Resources Access to sufficient community resources is essential for successfully implementing SUDS in sub-Saharan cities. These resources encompass a range of financial, infrastructural, technical, and knowledge-based assets at the local level (Winter 2016). Financial resources can be used to invest in the necessary infrastructure, such as permeable pavements, rain Table 1 Key social structure determinants that influence community governance organized by the four dimensions of the Policy Arrangement Approach DIMENSION SOCIAL STRU CTU RE DETERMINANTS ACTORS • Community leadership and allocation of responsibility • Community innovation • Technical skills and competencies • Private stakeholder involvement • Academia involvement RESOURCES • Community priorities for funding from both public and private sources • Community financial incentives • Priorities for land use and development by both public and private entities • Human resources • Knowledge of SUDS DISCOURSES • Management strategies and planning processes • Environment regeneration and protection • Knowledge of suds ecosystem services • Community participation • Communication and information dissemination RULES OF THE GAME • Regulatory frameworks and legislative support • Cultural norms, values, and local languages • Quality and reliability of community politics • Equitable treatment of all partners • Gender Roles and Equality Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 Page 7 of 19 42 gardens, and green roofs, which can help to reduce runoff and improve stormwater management (Cettner and Ashley 2014). Technical knowledge and experience levels within the community can also be critical in successfully implementing SUDS (Armitage 2011). Community training programs and educational materials can help to increase awareness of SUDS, influence the availability of labor to oversee implementation, and promote the adoption of sustainable practices. The technical expertise of community members can also be leveraged to support the design, installation, and maintenance of SUDS infrastructure (Bredhauer 2016; du Toit etal. 2018). In addition to financial and technical resources, space availability for SUDS implementation is also essential. Community land priorities, such as designating spaces and areas for green infrastructure, can play a critical role in promoting effective stormwater management (du Toit etal. 2018). The availability of land for SUDS implementation is crucial in areas where land is scarce or competition for land use is high (Mguni etal. 2016a, b). Finally, market incentives can also play a role in motivating the uptake of SUDS. For example, tax incentives or rebates may encourage homeowners or businesses to invest in SUDS infrastructure, while financial incentives may motivate developers to incorporate SUDS into their projects (Ndeketeya and Dundu 2019). 3.4 Discourses The discourses surrounding the community governance of SUDS are crucial in determining the structure of local governance arrangements, decision-making processes, and power distribution within the community (Herslund and Mguni 2019). These discourses, which may include local neighborhood meetings, community forums, social groups, and other communication channels, refer to the various forms of communication and exchange of ideas, information, and opinions among community members regarding the governance of their community (Williams etal. 2020). The discourses may also reflect the values and beliefs of community members, as well as their social and political attitudes and perspectives toward environmental sustainability programs (Sañudo-Fontaneda and RobinaRamírez 2019). In addition to shaping community norms and rules for behavior, practical community governance discourses necessitate active engagement, respect for diverse perspectives, and a willingness to engage in constructive dialogue. Engaging in such dialogues can nurture a sense of community ownership and collective responsibility for the community’s welfare. This involves empowering residents and stakeholders to actively and meaningfully participate in making decisions, managing, and implementing projects or initiatives that directly influence their lives and well-being. Consequently, these inclusive practices contribute to more effective and sustainable governance (Mulligan etal. 2020). Community-level discourses can also influence management strategies and planning processes for the implementation of SUDS, community awareness of and reliance on the ecosystem services provided by SUDS, as well as the community’s inclinations towards post-flood environmental regeneration and protection (Shackleton etal. 2015). 3.5 Rules ofthegame Rules of the game, whether formal or informal, play a crucial role in shaping the behavior of community actors during the implementation of SUDS. Formal rules may be established through regulatory frameworks or legislative support, guiding issues such as zoning, land Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 42 Page 8 of 19 use, environmental protection, risk mapping, emergency planning, and water management (Ndeketeya and Dundu 2019). These formal rules ensure compliance and accountability among community actors (Qiao et al. 2019). However, informal rules, such as cultural norms and local languages, are critical in shaping behavior and determining social rules. For example, community members may have cultural practices that influence how they interact with the environment or other community members. Similarly, local languages may determine how information is communicated and disseminated among community members, influencing the effectiveness of communication strategies (du Toit etal. 2018). Gender roles and equality are also important considerations when it comes to the implementation of SUDS. Women, for example, may have different roles and responsibilities within the community that may affect their participation in SUDS projects (Dodman and Mitlin 2013). Ensuring equitable treatment of all community partners is also essential for building trust and transparency in local political actions and promoting cooperation among stakeholders involved in the implementation or management of SUDS (Dodman and Mitlin 2013). 3.6 Indicators forassessing social structure determinants As depicted in Table2, a set of indicators has been developed to render the social structure determinants more concrete and practical for assessing the potential integration of community governance of SUDS into local urban stormwater management frameworks. These indicators have been specifically designed to facilitate a comprehensive evaluation of community governance in the context of SUDS governance. They serve as a tool for measuring the performance of the social structure determinants and the various dimensions of the policy arrangement within community governance. Through carefully assessing these elements, it becomes feasible to identify specific dimensions within community governance that may exhibit deficiencies or vulnerabilities. This identification, in turn, creates valuable opportunities for implementing targeted interventions and strategic actions to address these specific dimensions. The objective is to enhance the overall effectiveness of community governance and enable a seamless integration of SUDS into local urban stormwater management frameworks. The assessment of these indicators can be conducted through interviews with relevant stakeholders or stakeholder groups who have a stake or are affected by the SUDS governance processes, both at the individual and system levels. Each indicator’s performance can be evaluated using a predefined scale, such as low, medium, or high, which can be calibrated, based on the community stakeholders’ capacities to engage with involvement and participation in SUDS governance processes, such as design and management. The overall performance of indicators at the system level can be evaluated using a weighted average rating. This involves assigning specific weights to each indicator based on its relative importance within the community governance framework. The performance ratings of all indicators are then multiplied by their respective weights and added to calculate the weighted average rating, providing a comprehensive measure of the system’s effectiveness. This approach allows for a holistic assessment that considers the collective impact of various indicators and their significance in managing the community governance aspects being evaluated. It is essential to acknowledge that there may not be a need to evaluate all indicators within the framework in a given assessment. The evaluation process can be context-specific and selective, with indicators chosen from different framework dimensions based on the Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 Page 15 of 19 42 4.5 Innovation andcollaboration assessment foreffective governance Broadening the assessment to evaluate community innovation, technical skills, private stakeholder engagement, and academia involvement is a recognition of the nuanced and location-specific traits within local adaptation arenas in sub-Saharan communities (Dodman and Mitlin 2013). This evaluation becomes a crucial tool in shaping SUDS solutions that are tailored to the unique challenges of each community. By acknowledging the distinct context and characteristics, the assessment ensures that SUDS initiatives are not onesize-fits-all but rather responsive to the intricacies of each local environment. Furthermore, the assessment of private stakeholders and academia involvement unveils opportunities to synergize local insights with external expertise. This strategic integration not only opens avenues for private sector investments in stormwater management but also enriches the decision-making processes with diverse perspectives. The collaboration between local and external actors further enhances the robustness of SUDS initiatives, fostering innovation and efficiency. 4.6 Cultural andenvironmental adjustment The governance assessment framework places a significant focus on evaluating the influence of integrating cultural values into the design and governance of SUDS. Tailoring assessments to diverse cultural and environmental contexts in sub-Saharan Africa underscores the need to cultivate local knowledge. This approach ensures that vulnerability assessments not only identify key factors but also facilitate the seamless integration of evaluation outcomes into actionable steps within planning processes. The framework, therefore, underscores the dynamic relationship between cultural values, local knowledge generation, and the effective implementation of SUDS initiatives. 5 Conclusion This study presents a novel assessment framework rooted in the policy arrangement approach to evaluate social determinants influencing community governance in SUDS implementation. By exploring dimensions such as community actors, resources, discourses, and rules of the game, this holistic approach provides insights into the intricate dynamics of community governance systems. The development of 65 indicators offers a comprehensive tool for researchers and practitioners to delve into the complexities of SUDS management. The contextual nuances within the sub-Saharan context underscore the importance of tailored assessments that account for local adaptation arenas. Moreover, the emphasis on community knowledge and participation highlights the significance of inclusivity in SUDS projects. However, challenges persist in assessing ecological and economic factors, as well as broader issues beyond community control, such as state support and resource distribution. While this study primarily focuses on social structure determinants, addressing these challenges will be crucial for advancing community governance of SUDS. Future research should strive to develop strategies that effectively navigate these complexities, ensuring equitable and sustainable management of nature-based urban stormwater systems. Mitig Adapt Strateg Glob Change (2024) 29:42 1 3 42 Page 16 of 19 Author contributions Simon Muwafu conceived the idea, conducted the literature search and formal analysis, and drafted the initial manuscript. Simon Muwafu and Lena Rölfer devised the research design. María Máñez Costa and Jürgen Scheffran provided guidance and supervision. All authors critically revised and approved the final version, resulting in a comprehensive contribution to the sustainable urban drainage systems field. Funding Open Access funding enabled and organized by Projekt DEAL. Data availability We do not analyze or generate any datasets. One can obtain relevant materials from the references below. Declarations Conflict of interest The authors declare no competing interests. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. References Anderson P, Okereke C, Rudd A, Parnell S (2013) Regional assessment of Africa. 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