Climate Change Vulnerability Assessments: An Evolution of Conceptual Thinking

Vulnerability is an emerging concept for climate science and policy. Over the past decade, efforts to assess vulnerability to climate change triggered a process of theory development and assessment practice, which is reflected in the reports of the Intergovernmental Panel on Climate Change (IPCC). This paper reviews the historical development of the conceptual ideas underpinning assessments of vulnerability to climate change. We distinguish climate impact assessment, first- and second-generation vulnerability assessment, and adaptation policy assessment. The different generations of assessments are described by means of a conceptual framework that defines key concepts of the assessment and their analytical relationships. The purpose of this conceptual framework is two-fold: first, to present a consistent visual glossary of the main concepts underlying the IPCC approach to vulnerability and its assessment; second, to show the evolution of vulnerability assessments. This evolution is characterized by the progressive inclusion of non-climatic determinants of vulnerability to climate change, including adaptive capacity, and the shift from estimating expected damages to attempting to reduce them. We hope that this paper improves the understanding of the main approaches to climate change vulnerability assessment and their evolution, not only within the climate change community but also among researchers from other scientific communities, who are sometimes puzzled by the unfamiliar use of technical terms in the context of climate change.     

Addressing human vulnerability to climate change: Toward a ‘no-regrets’ approach

This paper presents and applies a conceptual framework to address human vulnerability to climate change. Drawing upon social risk management and asset-based approaches, the conceptual framework provides a unifying lens to examine links between risks, adaptation, and vulnerability. The result is an integrated approach to increase the capacity of society to manage climate risks with a view to reduce the vulnerability of households and maintain or increase the opportunities for sustainable development. We identify ‘no-regrets’ adaptation interventions, meaning actions that generate net social benefits under all future scenarios of climate change and impacts. We also make the case for greater support for community-based adaptation and social protection and propose a research agenda.     

Migration as an Adaptation to Climate Change

This article presents a conceptual model to investigate population migration as a possible adaptive response to risks associated with climate change. The model reflects established theories of human migration behaviour, and is based upon the concepts of vulnerability, exposure to risk and adaptive capacity, as developed in the climate change research community. The application of the model is illustrated using the case of 1930s migration patterns in rural Eastern Oklahoma, which took place during a period of repeated crop failures due to drought and flooding.     

Facilitating adaptation of biodiversity to climate change: a conceptual framework applied to the world’s largest Mediterranean-climate woodland

The importance of ecological management for reducing the vulnerability of biodiversity to climate change is increasingly recognized, yet frameworks to facilitate a structured approach to climate adaptation management are lacking. We developed a conceptual framework that can guide identification of climate change impacts and adaptive management options in a given region or biome. The framework focuses on potential points of early climate change impact, and organizes these along two main axes. First, it recognizes that climate change can act at a range of ecological scales. Secondly, it emphasizes that outcomes are dependent on two potentially interacting and countervailing forces: (1) changes to environmental parameters and ecological processes brought about by climate change, and (2) responses of component systems as determined by attributes of resistance and resilience. Through this structure, the framework draws together a broad range of ecological concepts, with a novel emphasis on attributes of resistance and resilience that can temper the response of species, ecosystems and landscapes to climate change. We applied the framework to the world’s largest remaining Mediterranean-climate woodland, the ‘Great Western Woodlands’ of south-western Australia. In this relatively intact region, maintaining inherent resistance and resilience by preventing anthropogenic degradation is of highest priority and lowest risk. Limited, higher risk options such as fire management, protection of refugia and translocation of adaptive genes may be justifiable under more extreme change, hence our capacity to predict the extent of change strongly impinges on such management decisions. These conclusions may contrast with similar analyses in degraded landscapes, where natural integrity is already compromised, and existing investment in restoration may facilitate experimentation with higher risk?options.     

A proposal for a new scenario framework to support research and assessment in different climate research communities

In this paper, we propose a scenario framework that could provide a scenario “thread” through the different climate research communities (climate change – vulnerability, impact, and adaptation - and mitigation) in order to support assessment of mitigation and adaptation strategies and climate impacts. The scenario framework is organized around a matrix with two main axes: radiative forcing levels and socio-economic conditions. The radiative forcing levels (and the associated climate signal) are described by the new Representative Concentration Pathways. The second axis, socio-economic developments comprises elements that affect the capacity for mitigation and adaptation, as well as the exposure to climate impacts. The proposed scenarios derived from this framework are limited in number, allow for comparison across various mitigation and adaptation levels, address a range of vulnerability characteristics, provide information across climate forcing and vulnerability states and span a full century time scale. Assessments based on the proposed scenario framework would strengthen cooperation between integrated-assessment modelers, climate modelers and vulnerability, impact and adaptation researchers, and most importantly, facilitate the development of more consistent and comparable research within and across these research communities.     

A conceptual framework for cross-border impacts of climate change

Climate change impacts, adaptation and vulnerability studies tend to confine their attention to impacts and responses within the same geographical region. However, this approach ignores cross-border climate change impacts that occur remotely from the location of their initial impact and that may severely disrupt societies and livelihoods. We propose a conceptual framework and accompanying nomenclature for describing and analysing such cross-border impacts. The conceptual framework distinguishes an initial impact that is caused by a climate trigger within a specific region. Downstream consequences of that impact propagate through an impact transmission system while adaptation responses to deal with the impact propagate through a response transmission system. A key to understanding cross-border impacts and responses is a recognition of different types of climate triggers, categories of cross-border impacts, the scales and dynamics of impact transmission, the targets and dynamics of responses and the socio-economic and environmental context that also encompasses factors and processes unrelated to climate change. These insights can then provide a basis for identifying relevant causal relationships. We apply the framework to the floods that affected industrial production in Thailand in 2011, and to projected Arctic sea ice decline, and demonstrate that the framework can usefully capture the complex system dynamics of cross-border climate impacts. It also provides a useful mechanism to identify and understand adaptation strategies and their potential consequences in the wider context of resilience planning. The cross-border dimensions of climate impacts could become increasingly important as climate changes intensify. We conclude that our framework will allow for these to be properly accounted for, help to identify new areas of empirical and model-based research and thereby support climate risk management.     

Vulnerability of Aboriginal health systems in Canada to climate change

Climate change has been identified as potentially the biggest health threat of the 21st century. Canada in general has a well developed public health system and low burden of health which will moderate vulnerability. However, there is significant heterogeneity in health outcomes, and health inequality is particularly pronounced among Aboriginal Canadians. Intervention is needed to prevent, prepare for, and manage climate change effects on Aboriginal health but is constrained by a limited understanding of vulnerability and its determinants. Despite limited research on climate change and Aboriginal health, however, there is a well established literature on Aboriginal health outcomes, determinants, and trends in Canada; characteristics that will determine vulnerability to climate change. In this paper we systematically review this literature, using a vulnerability framework to identify the broad level factors constraining adaptive capacity and increasing sensitivity to climate change. Determinants identified include: poverty, technological capacity constraints, socio-political values and inequality, institutional capacity challenges, and information deficit. The magnitude and nature of these determinants will be distributed unevenly within and between Aboriginal populations necessitating place-based and regional level studies to examine how these broad factors will affect vulnerability at lower levels. The study also supports the need for collaboration across all sectors and levels of government, open and meaningful dialogue between policy makers, scientists, health professionals, and Aboriginal communities, and capacity building at a local level, to plan for climate change. Ultimately, however, efforts to reduce the vulnerability of Aboriginal Canadians to climate change and intervene to prevent, reduce, and manage climate-sensitive health outcomes, will fail unless the broader determinants of socio-economic and health inequality are addressed.     

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.     

A conceptual framework for multi-regional climate change assessments for international market systems with long-term investments

A conceptual framework for climate change assessments of international market systems that involve long-term investments is proposed. The framework is a hybrid of dynamic and static modeling. Dynamic modeling is used for those system components for which temporally continuous modeling is possible, while fixed time slices are used for other system components where it can be assumed that underlying assumptions are held constant within the time slices but allowed to vary between slices. An important component of the framework is the assessment of the “metauncertainty” arising from the structural uncertainties of a linked sequence of climate, production, trade and decision-making models. The impetus for proposing the framework is the paucity of industry-wide assessments for market systems with multiple production regions and long-term capital investments that are vulnerable to climate variations and change, especially climate extremes. The proposed framework is pragmatic, eschewing the ideal for the tractable. Even so, numerous implementation challenges are expected, which are illustrated using an example industry. The conceptual framework is offered as a starting point for further discussions of strategies and approaches for climate change impact, vulnerability and adaptation assessments for international market systems.     

Constructing legitimacy for climate change planning: A study of local government in Denmark

Existing research on climate change planning has tended to adopt an overly simplistic approach to analyzing how agency and structure mediate local governments’ responses to climate change. This research contributes to scientific capacity to predict and explain patterns of climate change planning by focusing on the concept of legitimacy and examining its influence upon the dialectic between structure and agency. A conceptual framework foregrounding legitimacy is developed based upon new institutional theory. An initiative to institutionalize climate change planning in Aarhus Municipality, Denmark, is used as a case study to validate four propositions derived from existing research but filtered through the conceptual framework. Validation of the propositions evidences a hierarchy in the salience of different forms of legitimacy, with moral and ethical arguments for undertaking climate change planning having limited social traction in Denmark in the absence of significant extreme climatic events. The analysis also generates thicker, more nuanced explanations for real-world patterns of climate change planning. The findings thereby provide a corrective to a number of assertions made in the literature, notably in relation to the role of agency in the institutionalization of climate change planning.     

Health and climatic hazards: Framing social research on vulnerability,response and adaptation

Floods, windstorms, drought and wildfires have major implications for human health. To date, conceptual advances in analysis of vulnerability and adaptation to climatic hazards from the environmental and social sciences have not been widely applied in terms of health, though key progress is being made particularly in relation to climate change. This paper seeks to take this conceptual grounding further, examining how key themes relate to health concerns, exploring connections with existing health literatures, and developing an organising framework to aid analysis of how vulnerability to health impacts varies within society and how actors make decisions and take action in relation to climatic hazards and health. Social science research on this theme is challenging in part because of the complex mechanisms that link hazard events to health outcomes, and the many-layered factors that shape differential vulnerability and response within changing societal and environmental contexts (including the dual effect of hazards on human health and health systems, and the combination of ‘external’, ‘personal’ and ‘internal’ elements of vulnerability). Tracing a ‘health impact pathway’ from hazard event through health risk effects to health outcomes can provide a research tool with which to map out where the different factors that contribute to vulnerability/coping capacity come into effect.     

农户生计对气候变化的敏感性研究综述

开展农户生计对气候变化的敏感性研究有利于深入认识气候变化与生计的关系,对增强农户的气候变化适应能力和降低生计脆弱性具有重要意义。在梳理不同领域敏感性概念的基础上,阐述了农户生计对气候变化敏感性的科学内涵和研究框架,重点分析了敏感性表征和综合评价指标体系。农户生计对气候变化的敏感性是指气候变化和极端事件对农户生计的影响程度,敏感性表征主要表现在气候变化对自然资源、人类健康、牲畜、资产和收入等方面的影响,不同地区和人群敏感性表征具有差异性。农户生计对气候变化的敏感性随着发展程度提高而下降,生计多样化、基础设施建设等有助于降低气候变化的影响。生计敏感性多为脆弱性研究的一部分,常以可持续生计分析为框架,运用指标评估法进行综合评价。未来研究需要完善敏感性理论框架和研究方法,加强适应的有效性评估,以及开展跨区域或跨时段的生计敏感性对比研究,重点关注生态脆弱和贫困地区。     

Vulnerable or Resilient? A Multi-Scale Assessment of Climate Impacts and Vulnerability in Norway

This paper explores the issue of climate vulnerability in Norway, an affluent country that is generally considered to be resilient to the impacts of climate change. In presenting a multi-scale assessment of climate change impacts and vulnerability in Norway, we show that the concept of vulnerability depends on the scale of analysis. Both exposure and the distribution of climate sensitive sectors vary greatly across scale. So do the underlying social and economic conditions that influence adaptive capacity. These findings question the common notion that climate change may be beneficial for Norway, and that the country can readily adapt to climate change. As scale differences are brought into consideration, vulnerability emerges within some regions, localities, and social groups. To cope with actual and potential changes in climate and climate variability, it will be necessary to acknowledge climate vulnerabilities at the regional and local levels, and to address them accordingly. This multi-scale assessment of impacts and vulnerability in Norway reinforces the importance of scale in global change research.     

Theory and Practice in Assessing Vulnerability to Climate Change andFacilitating Adaptation

We discuss approaches to the assessment of vulnerability to climatevariability and change andattempt to clarify the relationship between the concepts of vulnerability andadaptation. In searchof a robust, policy-relevant framework, we define vulnerability in terms ofthe capacity ofindividuals and social groups to respond to, that is, to cope with, recoverfrom or adapt to, anyexternal stress placed on their livelihoods and well-being. The approach thatwe develop placesthe social and economic well-being of society at the centre of the analysis,focussing on thesocio-economic and institutional constraints that limit the capacity torespond. From thisperspective, the vulnerability or security of any group is determined byresource availability andby the entitlement of individuals and groups to call on these resources. Weillustrate theapplication of this approach through the results of field research in coastalVietnam, highlightingshifting patterns of vulnerability to tropical storm impacts at the household-and community-levelin response to the current process of economic renovation and drawingconclusions concerningmeans of supporting the adaptive response to climate stress. Four prioritiesfor action areidentified that would improve the situation of the most exposed members ofmany communities:poverty reduction; risk-spreading through income diversification; respectingcommon propertymanagement rights; and promoting collective security. A sustainable response,we argue, mustalso address the underlying causes of social vulnerability, including theinequitable distributionof resources.     

A linked vulnerability and resilience framework for adaptation pathways in remote disadvantaged communities

We develop a systems framework for exploring adaptation pathways to climate change among people in remote and marginalized regions. The framework builds on two common and seemingly paradoxical narratives about people in remote regions. The first is recognition that people in remote regions demonstrate significant resilience to climate and resource variability, and may therefore be among the best equipped to adapt to climate change. The second narrative is that many people in remote regions are chronically disadvantaged and therefore are among the most vulnerable to climate change impacts. These narratives, taken in isolation and in extremis, can have significant maladaptive policy and practice implications. From a systems perspective, both narratives may be valid, because they form elements of latent and dominant feedback loops that require articulation for a nuanced understanding of vulnerability-reducing and resilience-building responses in a joint framework. Through literature review and community engagement across three remote regions on different continents, we test the potential of the framework to assist dialogue about adaptation pathways in remote marginalized communities. In an adaptation pathway view, short-term responses to vulnerability can risk locking in a pathway that increases specific resilience but creates greater vulnerability in the long-term. Equally, longer-term actions towards increasing desirable forms of resilience need to take account of short-term realities to respond to acute and multiple needs of marginalized remote communities. The framework was useful in uniting vulnerability and resilience narratives, and broadening the scope for adaptation policy and action on adaptation pathways for remote regions.     

Regional modeling of climate change impacts on smallholder agriculture and ecosystems in Central America

Climate change will have serious repercussions for agriculture, ecosystems, and farmer livelihoods in Central America. Smallholder farmers are particularly vulnerable due to their reliance on agriculture and ecosystem services for their livelihoods. There is an urgent need to develop national and local adaptation responses to reduce these impacts, yet evidence from historical climate change is fragmentary. Modeling efforts help bridge this gap. Here, we review the past decade of research on agricultural and ecological climate change impact models for Central America. The results of this review provide insights into the expected impacts of climate change and suggest policy actions that can help minimize these impacts. Modeling indicates future climate-driven changes, often declines, in suitability for Central American crops. Declines in suitability for coffee, a central crop in the regional economy, are noteworthy. Ecosystem models suggest that climate-driven changes are likely at low- and high-elevation montane forest transitions. Modeling of vulnerability suggests that smallholders in many parts of the region have one or more vulnerability factors that put them at risk. Initial adaptation policies can be guided by these existing modeling results. At the same time, improved modeling is being developed that will allow policy action specifically targeted to vulnerable groups, crops, and locations. We suggest that more robust modeling of ecological responses to climate change, improved representation of the region in climate models, and simulation of climate influences on crop yields and diseases (especially coffee leaf rust) are key priorities for future research.     

Identifying stakeholder-relevant climate change impacts: A case study in the Yakima River Basin,Washington, USA

Designing climate-related research so that study results will be useful to natural resource managers is a unique challenge. While decision makers increasingly recognize the need to consider climate change in their resource management plans, and climate scientists recognize the importance of providing locally-relevant climate data and projections, there often remains a gap between management needs and the information that is available or is being collected. We used decision analysis concepts to bring decision-maker and stakeholder perspectives into the applied research planning process. In 2009 we initiated a series of studies on the impacts of climate change in the Yakima River Basin (YRB) with a four-day stakeholder workshop, bringing together managers, stakeholders, and scientists to develop an integrated conceptual model of climate change and climate change impacts in the YRB. The conceptual model development highlighted areas of uncertainty that limit the understanding of the potential impacts of climate change and decision alternatives by those who will be most directly affected by those changes, and pointed to areas where additional study and engagement of stakeholders would be beneficial. The workshop and resulting conceptual model highlighted the importance of numerous different outcomes to stakeholders in the basin, including social and economic outcomes that go beyond the physical and biological outcomes typically reported in climate impacts studies. Subsequent studies addressed several of those areas of uncertainty, including changes in water temperatures, habitat quality, and bioenergetics of salmonid populations.     

Linkages between vulnerability,resilience, and adaptive capacity

This article uses a systemic perspective to identify and analyze the conceptual relations among vulnerability, resilience, and adaptive capacity within socio-ecological systems (SES). Since different intellectual traditions use the terms in different, sometimes incompatible, ways, they emerge as strongly related but unclear in the precise nature of their relationships. A set of diagnostic questions is proposed regarding the specification of the terms to develop a shared conceptual framework for the natural and social dimensions of global change. Also, development of a general theory of change in SESs is suggested as an important agenda item for research on global change.     

Scales of perception: public awareness of regional and neighborhood climates

Understanding public perceptions of climate is critical for developing an effective strategy to mitigate the effects of human activity on the natural environment and reduce human vulnerability to the impacts of climate change. While recent climate assessments document change among various physical systems (e.g., increased temperature, sea level rise, shrinking glaciers), environmental perceptions are relatively under-researched despite the fact that there is growing skepticism and disconnect between climate science and public opinion. This study utilizes a socio-ecological research framework to investigate how public perceptions compared with environmental conditions in one urban center. Specifically, air temperature during an extreme heat event was examined as one characteristic of environmental conditions by relating simulations from the Weather Research and Forecast (WRF) atmospheric model with self-reported perceptions of regional and neighborhood temperatures from a social survey of Phoenix, AZ (USA) metropolitan area residents. Results indicate that: 1) human exposure to high temperatures varies substantially throughout metropolitan Phoenix; 2) public perceptions of temperature are more strongly correlated with proximate environmental conditions than with distal conditions; and 3) perceptions of temperature are related to social characteristics and situational variables. The social constructionist paradigm explains public perceptions at the regional scale, while experience governs attitude formation at the neighborhood scale.