Assessment of institutional capacity to adapt to climate change in transboundary river basins

Responses to climate change in transboundary river basins are believed to depend on national and sub-national capacities as well as the ability of co-riparian nations to communicate, coordinate, and cooperate across their international boundaries. We develop the first framework for assessing transboundary adaptive capacity. The framework considers six dimensions of transboundary river basins that influence planning and implementation of adaptation measures and represents those dimensions using twelve measurable indicators. These indicators are used to assess transboundary adaptive capacity of 42 basins in the Middle East, Mediterranean, and Sahel. We then conduct a cluster analysis of those basins to delineate a typology that includes six categories of basins: High Capacity, Mediated Cooperation, Good Neighbour, Dependent Instability, Self-Sufficient, and Low Capacity. We find large variation in adaptive capacity across the study area; basins in Western Europe generally have higher capacities to address the potential hazards of climate change. Our basin typology points to how climate change adaptation policy interventions would be best targeted across the different categories of basins.     

Assessment of transboundary river basins for potential hydro-political tensions

This paper presents a systematic, global assessment of transboundary watersheds that identifies regions more likely to experience hydro-political tensions over the next decade and beyond based upon environmental, political, and economic indicators. The development of new water infrastructure in transboundary basins can strain relationships among fellow riparians as the impacts of new dams and diversions are felt across borders. Formal arrangements governing transboundary river basins, such as international water treaties and river basin organizations, provide a framework for dialogue and negotiation, thus contributing to assuaging potential disputes. Our study examines these two issues in tandem − the stresses inherent in development and the mitigating impact of institutions − and maps the risk of potential hydro-political tensions that exist where basins may be ill-equipped to deal with transboundary disputes triggered by the construction of new dams and diversions. We also consider several factors that could exacerbate those hydropolitical tensions in the near future, including changes in terrestrial water storage, projected changes in water variability, per capita gross national income, domestic and international armed conflicts, and recent history of disputes over transboundary waters. The study points to the vulnerability of several basins in Southeast Asia, South Asia, Central America, the northern part of the South American continent, the southern Balkans as well as in different parts of Africa, where new water infrastructure is being built or planned, but formal transboundary arrangements are absent. Moreover, in some of these regions there is a concomitance of several political, environmental and socioeconomic factors that could exacerbate hydropolitical tensions. This study contributes to the understanding of how the recent proliferation of development accompanied with unfavourable socio-economic and environmental indicators may influence global hydropolitical resilience.     

Bringing resilience-thinking into water governance: Two illustrative case studies from South Africa and Cambodia

Resilience is a multidimensional concept that is increasingly used to understand environmental change in hydrological systems. Yet, the current discussion about water governance and resilience remains relatively limited, with resilience typically seen as a normative outcome for governance (i.e., to be resilient against change). Using a theoretical multiplicity approach, we explore how the theories of social-ecological systems (SES), resilience and interactive (water) governance can provide new insights for water governance studies. We propose a resilience–governance framework that captures the partly overlapping but distinct characteristics from these three theories. The framework aims to develop a more nuanced way of using resilience-thinking for water governance, viewing resilience as a function of three capacities (absorptive, adaptive and transformative capacity) and noting the simultaneous existence of three interpretations for resilience (as a property, process and outcome) across different scales. The framework also considers issues of power and equity, which are often missing from resilience framings. We illustrate the framework with two case studies – the Tonle Sap Lake in Cambodia and a small sub-catchment of the Limpopo River Basin in South Africa – to provide two distinct examples of the possibilities of resilient governance. Finally, we consider what the framework suggests more broadly for ongoing discussions around resilience and water governance, including the possibilities for governance to also ‘bounce forward’ – i.e., transform – to a new, improved state. We argue that resilience-thinking may be valuable in understanding governance characteristics and guiding governance processes, in addition to seeing resilience (just) as a normative end-goal. In this way, the article supports an epistemological shift away from focusing on institutional structure, towards capturing the dynamic processes within governing systems.     

Adaptive capacity and its assessment

This paper reviews the concept of adaptive capacity and various approaches to assessing it, particularly with respect to climate variability and change. I find that adaptive capacity is a relatively under-researched topic within the sustainability science and global change communities, particularly since it is uniquely positioned to improve linkages between vulnerability and resilience research. I identify opportunities for advancing the measurement and characterization of adaptive capacity by combining insights from both vulnerability and resilience frameworks, and I suggest several assessment approaches for possible future development that draw from both frameworks and focus on analyzing the governance, institutions, and management that have helped foster adaptive capacity in light of recent climatic events.     

气候变化对跨境水资源影响的适应性评估与管理框架

气候变化增加了国际河流冲突的可能性,加强跨境水资源适应性管理是流域国可持续发展的必然选择。梳理了适应性相关研究的国内外最新进展,认识到适应性管理的关键问题是要发展一套科学评估未来气候变化影响及适应性策略的程序。通过论述气候变化下跨境水资源的适应性评估与管理框架,提出一个气候变化影响决策评估工具,包括信息收集、需求分析、对策分析、综合评估以及实施与调控5个阶段。该项研究将适应性管理与气候变化、定量化脆弱性及适应能力关联评价、成本效益分析、多目标优化决策和动态调控等有机结合,为从跨界层面制定具有针对性的适应性管理对策提供了思路与方法,有利于促进国际河流流域可持续发展。     

National-level factors affecting planned,public adaptation to health impacts of climate change

Our understanding of whether adaptive capacity on a national level is being translated into adaptation policies, programs, and projects is limited. Focusing on health adaptation in Annex I Parties to the UNFCCC, we examine whether statistically significant relationships exist between regulatory, institutional, financial, and normative aspects of national-level adaptive capacity and systematically measured adaptation. Specifically, we (i) quantify adaptation actions in Annex I nations, (ii) identify potential factors that might impact progress on adaptation and select measures for these factors, and (iii) calculate statistical relationships between factors and adaptation actions across countries. Statistically significant relationships are found between progress on adaptation and engagement in international environmental governance, national environmental governance, perception of corruption in the public sector, population size, and national wealth, as well as between responsiveness to health vulnerabilities, population size and national wealth. This analysis contributes two key early empirical findings to the growing literature concerning factors facilitating or constraining adaptation. While country size and wealth are necessary for driving higher levels of adaptation, they may be insufficient in the absence of policy commitments to environmental governance. Furthermore, governance and/or incentive frameworks for environmental governance at the national level may be an important indicator of the strength of national commitments to addressing health impacts of climate change.     

The determinants of vulnerability and adaptive capacity at the national level and the implications for adaptation

We present a set of indicators of vulnerability and capacity to adapt to climate variability, and by extension climate change, derived using a novel empirical analysis of data aggregated at the national level on a decadal timescale. The analysis is based on a conceptual framework in which risk is viewed in terms of outcome, and is a function of physically defined climate hazards and socially constructed vulnerability. Climate outcomes are represented by mortality from climate-related disasters, using the emergency events database data set, statistical relationships between mortality and a shortlist of potential proxies for vulnerability are used to identify key vulnerability indicators. We find that 11 key indicators exhibit a strong relationship with decadally aggregated mortality associated with climate-related disasters. Validation of indicators, relationships between vulnerability and adaptive capacity, and the sensitivity of subsequent vulnerability assessments to different sets of weightings are explored using expert judgement data, collected through a focus group exercise. The data are used to provide a robust assessment of vulnerability to climate-related mortality at the national level, and represent an entry point to more detailed explorations of vulnerability and adaptive capacity. They indicate that the most vulnerable nations are those situated in sub-Saharan Africa and those that have recently experienced conflict. Adaptive capacity—one element of vulnerability—is associated predominantly with governance, civil and political rights, and literacy.     

Resilience: The emergence of a perspective for social–ecological systems analyses

The resilience perspective is increasingly used as an approach for understanding the dynamics of social–ecological systems. This article presents the origin of the resilience perspective and provides an overview of its development to date. With roots in one branch of ecology and the discovery of multiple basins of attraction in ecosystems in the 1960–1970s, it inspired social and environmental scientists to challenge the dominant stable equilibrium view. The resilience approach emphasizes non-linear dynamics, thresholds, uncertainty and surprise, how periods of gradual change interplay with periods of rapid change and how such dynamics interact across temporal and spatial scales. The history was dominated by empirical observations of ecosystem dynamics interpreted in mathematical models, developing into the adaptive management approach for responding to ecosystem change. Serious attempts to integrate the social dimension is currently taking place in resilience work reflected in the large numbers of sciences involved in explorative studies and new discoveries of linked social–ecological systems. Recent advances include understanding of social processes like, social learning and social memory, mental models and knowledge–system integration, visioning and scenario building, leadership, agents and actor groups, social networks, institutional and organizational inertia and change, adaptive capacity, transformability and systems of adaptive governance that allow for management of essential ecosystem services.     

辽宁北部典型流域水生态功能区水生态安全评价

基于流域水生态功能分区的水生态安全评价是指导流域水生态“分类、分区”综合管理的前提,本文在流域中小尺度上依据水生态空间格局分异的自然特征和社会属性,以辽河流域的清河和凡河支流为对象,在流域水生态功能三级分区的基础上,运用“压力-状态-响应模型”（PSR）,通过对流域社会经济压力指标、环境压力指标、城市发展指标、资源环境发展指标、投资指标、治理指标等因素分析,筛选出13个评价指标。利用生态安全综合指数法,将流域水生态安全划分为极不安全、不安全、基本安全、安全、非常安全五个级别。其中,清河流域Ⅳ-5-9、Ⅳ-5-10、Ⅳ-5-11、Ⅳ-5-12、Ⅳ-5-14区处于基本安全,Ⅳ-5-8、Ⅳ-5-13属于不安全;凡河流域4个水生态功能三级区中,Ⅳ-5-1、Ⅳ-5-2、Ⅳ-5-3区属于基本安全、Ⅳ-5-4区为较安全。基于水生态功能分区的水生态安全评价和级别划分可为辽河流域水生态保护与流域生态管理提供科学依据。     

A spatially explicit scenario-driven model of adaptive capacity to global change in Europe

Traditional impact models combine exposure in the form of scenarios and sensitivity in the form of parameters, providing potential impacts of global change as model outputs. However, adaptive capacity is rarely addressed in these models. This paper presents the first spatially explicit scenario-driven model of adaptive capacity, which can be combined with impact models to support quantitative vulnerability assessment. The adaptive capacity model is based on twelve socio-economic indicators, each of which is projected into the future using four global environmental change scenarios, and then aggregated into an adaptive capacity index in a stepwise approach using fuzzy set theory. The adaptive capacity model provides insight into broad patterns of adaptive capacity across Europe, the relative importance of the various determinants of adaptive capacity, and how adaptive capacity changes over time under different social and economic assumptions. As such it provides a context for the implementation of specific adaptation measures. This could improve integrated assessment models and could be extended to other regions. However, there is a clear need for a better theoretical understanding of the adaptive capacity concept, and its relationship to the actual implementation of adaptation measures. This requires more empirical research and coordinated meta-analyses across regions and economic sectors, and the development of bottom-up modelling techniques that can incorporate human decision making.     

河西内陆河流域的水循环特征

本文主要从分析我国西北内陆水循环主要环节出发。揭示河西内陆河流域水循环在山区形成水资源、在平原散失水资源和在人工绿洲产生水循环二元结构、以及水量相互转化和联系的特征；对山区消耗水量，走廊盆地人工绿洲建设引起的地表水与地下水转化的变化及其消耗水量的增加。以及下游水分亏缺等问题作了评价；还对山区与平原绿洲及其之间的局地水循环，西部开发实施黑河和塔里木河综合治理中实现良性循环和传递流域水循环整体概念等问题进行了讨论。     

Narratives,narrations and social structure in environmental governance

Avoiding further aggravation of the consequences of global environmental change remains a complex governance challenge. Social relational structure among actors plays a key role for enhancing the capacity of collaborative approaches to environmental governance. We present an encompassing conceptual framework to advance understanding of the mechanisms that shape dynamics in environmental governance entities. Narrative theory is integrated with insights on group dynamics grounded in social network theory to contextualize local social complexities in governance processes. We assume that social relational structure between actors, and narrations they tell, co-produce narratives and dynamics at the group level. Three important mechanisms that influence dynamics are described: (1) the interplay between collaborative relationships and narrative congruence between individual actors, (2) the characteristics of actors, and (3) the actors’ embeddedness in the wider social structure. A set of testable hypotheses on the interplay between narration, narratives and social relational structure in environmental governance processes is presented. We conclude by discussing why we regard this framework useful to study local and regional governance entities in the context of addressing global environmental change.     

Incorporating resilience into sustainability indicators: An example for the urban water sector

The development and use of indicators is common practice in efforts to promote urban sustainability. Indicators used to measure urban sustainability tend to focus narrowly on describing the current state of the urban system. Although a time series analysis using these indicators may lend insights into trends towards or away from certain ‘sustainability’ goals, existing indicators of urban sustainability do not provide information on the ability or the likelihood that the current system state can be maintained or improved over time. Indicators that incorporate a measure of system resilience would provide useful information on system sustainability. Through development of a new indicator, Water Provision Resilience (WPR), we provide an example of how measures of resilience could be incorporated into sustainability indicators. The new indicator adds six color codings to the existing indicator ‘percent of the population with access to safe water.’ Each color coding represents a measure of the ability of the water system to maintain or improve the current percent of the population with access to safe water in key areas of the water provision sector: supply, infrastructure, service provision, finances, water quality and governance. The metric is then applied to three cities. The goal in developing this metric is to provide a starting point for re-thinking the metrics used to measure progress and sustainability in order to incorporate the ability to absorb and adapt to stresses into sustainability analysis.     

Incorporating stakeholders’ knowledge into assessing vulnerability to climatic hazards: application to the river basin management in Taiwan

There is a growing research interest on the transdisciplinary measurement of vulnerability to climatic hazards from the perspective of integrated river basin management. However, the incorporation of stakeholders’ participation, local knowledge and locally spatial characteristics into the process of such vulnerability assessment is one of the challenges faced by decision-makers, especially in developing countries. This article proposes a novel methodology for assessing and communicating vulnerability to policymaking at the river basin level through a case study of Tachia River basin in Taiwan. The authors used a multicriteria decision analysis to develop an integrated vulnerability index applied to a participatory geographic information system (GIS) to map vulnerability to climatic hazards. Using a GIS-based spatial statistics technique and multivariate analysis, we test the degree to which vulnerabilities are spatially autocorrelated throughout the river basin, explain why clustering of vulnerable areas occurs in specific locations, and why some regions are particularly vulnerable. Results demonstrate that vulnerable areas are spatially correlated across the river basin. Moreover, exposure, biophysical sensitivity, land uses and adaptive capacity are key factors contributing to the formation of localized ‘hot spots’ of similarly and particularly vulnerable areas. Finally, we discuss how the findings provide direction for more effective approaches to river basin planning and management.     

A less disastrous disaster: Managing response to climate-driven hazards in the Cayman Islands and NE Brazil

This paper explores the relationship between disaster risk reduction and long-term adaptive capacity building in two climate vulnerable areas—the Cayman Islands in the Caribbean and Ceará, in NE Brazil. Drawing on past applications of the disaster risk reduction framework, we identify four critical factors that have led to reductions in risk: flexible, learning-based, responsive governance; committed, reform-minded and politically active actors; disaster risk reduction integrated into other social and economic policy processes; and a long-term commitment to managing risk. We find that while the presence of these factors has reduced overall risk in both regions, in Ceará, disaster response as it is currently practiced, has fallen short of addressing the fundamental causes of vulnerability that leave those prone to hazards able to cope in the short term, yet enmeshed in poverty and at risk from the longer-term changes associated with climate change. Although calls for integration of disaster risk management with poverty eradication are not new, there has been insufficient attention paid in the literature on how to foster such integration. Based on the two case studies, we argue that the adoption of good governance mechanisms (such as stakeholder participation, access to knowledge, accountability and transparency) in disaster risk reduction policy may create the policy environment that is conducive to the kind of structural reform needed to build long-term adaptive capacity to climate-driven impacts. We conclude that without a synergistic two-tiered approach that includes both disaster risk reduction and structural reform, disaster risk reduction, in the face of climate changes, will prove to be an expensive and ineffective palliative treatment of changing risks.     

An indicator framework for assessing livelihood resilience in the context of social–ecological dynamics

Livelihood resilience draws attention to the factors and processes that keep livelihoods functioning despite change and thus enriches the livelihood approach which puts people, their differential capabilities to cope with shocks and how to reduce poverty and improve adaptive capacity at the centre of analysis. However, the few studies addressing resilience from a livelihood perspective take different approaches and focus only on some dimensions of livelihoods. This paper presents a framework that can be used for a comprehensive empirical analysis of livelihood resilience. We use a concept of resilience that considers agency as well as structure. A review of both theoretical and empirical literature related to livelihoods and resilience served as the basis to integrate the perspectives. The paper identifies the attributes and indicators of the three dimensions of resilience, namely, buffer capacity, self-organisation and capacity for learning. The framework has not yet been systematically tested; however, potentials and limitations of the components of the framework are explored and discussed by drawing on empirical examples from literature on farming systems. Besides providing a basis for applying the resilience concept in livelihood-oriented research, the framework offers a way to communicate with practitioners on identifying and improving the factors that build resilience. It can thus serve as a tool for monitoring the effectiveness of policies and practices aimed at building livelihood resilience.     

Integrated assessment of changes in flooding probabilities due to climate change

An approach to considering changes in flooding probability in the integrated assessment of climate change is introduced. A reduced-form hydrological model for flood prediction and a downscaling approach suitable for integrated assessment modeling are presented. Based on these components, the fraction of world population living in river basins affected by changes in flooding probability in the course of climate change is determined. This is then used as a climate impact response function in order to derive emission corridors limiting the population affected. This approach illustrates the consideration of probabilistic impacts within the framework of the tolerable windows approach. Based on the change in global mean temperature, as calculated by the simple climate models used in integrated assessment, spatially resolved changes in climatic variables are determined using pattern scaling, while natural variability in these variables is considered using twentieth century deviations from the climatology. Driven by the spatially resolved climate change, the hydrological model then aggregates these changes to river basin scale. The hydrological model is subjected to a sensitivity analysis with regard to the water balance, and the uncertainty arising through the different projections of changes in mean climate by differing climate models is considered by presenting results based on different models. The results suggest that up to 20% of world population live in river basins that might inevitably be affected by increased flood events in the course of global warming, depending on the climate model used to estimate the regional distribution of changes in climate. This article is dedicated to the memory of the late Gerhard Petschel-Held. He was an inspiring colleague, as well as a good friend. His sudden departure leaves me deeply shocked, and I am sure he will sorely be missed by all who had the pleasure of meeting him. Thomas Kleinen     

Navigating climate crises in the Great Barrier Reef

A dramatic escalation of extreme climate events is challenging the capacity of environmental governance regimes to sustain and improve ecosystem outcomes. It has been argued that actors within adaptive governance regimes can help to steer environmental systems toward sustainability in times of crisis. Yet there is little empirical evidence of how acute climate crises are navigated by actors operating within adaptive governance regimes, and the factors that influence their responses. Here, we qualitatively assessed the actions key governance actors took in response to back-to-back mass coral bleaching – an extreme climate event – of the Great Barrier Reef in 2016 and 2017, and explored their perceptions of barriers and catalysts to these responses. This research was, in part, a product of collaboration and knowledge co-production with Great Barrier Reef governance actors aimed at improving responses to climate crises in the region. We found five major categories of activity that actors engaged with in the wake of recurrent mass coral bleaching: assessing the scale and extent of bleaching, sharing information, communicating bleaching to the public, building local resilience, and addressing global threats. These actions were both catalyzed and hindered by a range of factors that fall within different domains of adaptive capacity; such as assets, social organization, and agency. We discuss the implications of our findings as they relate to existing research on adaptive capacity and adaptive governance. We conclude by coalescing insights from our interviews and a participant engagement process to highlight four key ways in which the ability of governance actors, and the Great Barrier Reef governance regime more broadly, can be better prepared for, and more effectively respond to extreme climate events. Our research provides empirical insight into how crises are experienced by governance actors in a large-scale environmental system, potentially providing lessons for similar systems across the globe.     

Global Analysis of Changes in Water Supply Yields and Costs under Climate Change: A Case Study in China

Using China as a case study, a methodology is presented to estimate the changes in yields and costs of present and future water production systems under climate change scenarios. Yield is important to consider because it measures the actual supply available from a river basin. Costs are incurred in enhancing the natural yield of river basins by the construction and operation of reservoirs and ground water pumping systems. The interaction of ground and surface waters within a river basin and instream flow maintenance are also modeled. The water demands considered are domestic, irrigation, and instream flow needs. We found that under climate change the maximum yields of some basins in China may increase or decrease, depending upon location, and that in some basins it may cost significantly more or it may not be possible to meet the demands. While our results for China could be improved with more hydrologic and economic data, we believe that the cost curves developed have suitable accuracy for initial analysis of water supply costs in Integrated Assessment Models.     

Divergent adaptation to climate variability: A case study of pastoral and agricultural societies in Niger

Adaptation is a complex, dynamic, and sometimes unequal process. Stemming from social ecological systems theories of climate change adaptation and adaptive capacity, this case study introduces the concept of ‘divergent’ adaptation. Adaptation is divergent when one user or group's adaptation causes a subsequent reduction in another user or group's adaptive capacity in the same ecosystem. Using the example of pastoral and agricultural groups in northern and southern rainfall zones of Niger, this study illustrates the concept of divergent adaptation by identifying changes to the adaptive capacity of users who are currently engaged in conflicts over access to natural resources. Similar to other studies, we find that expansion of farmland and the consequent loss of pastoral space are restricting pastoral adaptation. Divergent adaptations favoring agricultural livelihoods include cultivating near or around pastoral wells or within pastoral corridors, both of which limit the mobility and entitlements of pastoralists. Institutions rarely secure pastoral routes and access to water points, a problem that is compounded by conflicting modes of governance, low accountability, and corruption. The case study illustrates the need to enhance the adaptive capacity of multiple user groups to reduce conflict, enhance human security, and promote overall resilience.