Multiple adaptation types with mitigation: A framework for policy analysis

Effective climate policy will consist of mitigation and adaptation implemented simultaneously in a policy portfolio to reduce the risks of climate change. Previous studies of the tradeoffs between mitigation and adaptation have implicitly framed the problem deterministically, choosing the optimal paths for all time. Because climate change is a long-term problem with significant uncertainties and opportunities to learn and revise, critical tradeoffs between mitigation and adaptation in the near-term have not been considered. We propose a new framework for considering the portfolio of mitigation and adaptation that explicitly treats the problem as a multi-stage decision under uncertainty. In this context, there are additional benefits to near-term investments if they reduce uncertainty and lead to improved future decisions. Two particular features are fundamental to understanding the relevant tradeoffs between mitigation and adaptation: (1) strategy dynamics over time in reducing climate damages, and (2) strategy dynamics under uncertainty and potential for learning. Our framework strengthens the argument for disaggregating adaption as has been proposed by others. We present three stylized classes of adaptation investment types as a conceptual framework: short-lived “flow” spending, committed “stock” investment, and lower capacity “option” stock with the capability of future upgrading. In the context of sequential decision under uncertainty, these subtypes of adaptation have important tradeoffs among them and with mitigation. We argue that given the large policy uncertainty that we face currently, explicitly considering adaptation “option” investments is a valuable component of a near-term policy response that can balance between the flexible flow and committed stock approaches, as it allows for the delay of costly stock investments while at the same time allowing for lower-cost risk management of future damages.     

Modeling adaptation as a flow and stock decision with mitigation

An effective policy response to climate change will include, among other things, investments in lowering greenhouse gas emissions (mitigation), as well as short-term temporary (flow) and long-lived capital-intensive (stock) adaptation to climate change. A critical near-term question is how investments in reducing climate damages should be allocated across these elements of a climate policy portfolio, especially in the face of uncertainty in both future climate damages and also the effectiveness of yet-untested adaptation efforts. We build on recent efforts in DICE-based integrated assessment modeling approaches that include two types of adaptation—short-lived flow spending and long-lived depreciable adaptation stock investments—along with mitigation, and we identify and explore the uncertainties that impact the relative proportions of policies within a response portfolio. We demonstrate that the relative ratio of flow adaptation, stock adaptation, and mitigation depend critically on interactions among: 1) the relative effectiveness in the baseline of stock versus flow adaptation, 2) the degree of substitutability between stock and flow adaptation types, and 3) whether there exist physical limits on the amount of damages that can be reduced by flow-type adaptation investments. The results indicate where more empirical research on adaptation could focus to best inform near-term policy decisions, and provide a first step towards considering near-term policies that are flexible in the face of uncertainty.     

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.     

The principal-agent problem and climate change adaptation on public lands

Climate change presents clear risks to natural resources, which carry potential economic costs. The limited nature of physical, financial, human and natural resources means that governments, as managers of natural resources, must make careful decisions regarding trade-offs and the potential future value of investments in climate change adaptation. This paper presents cost-benefit analysis of scenarios to characterise economic benefits of adaptation from the perspective of a public institution (the provincial government) and private agents (forest licensees). The example provided is the context of assisted migration strategies for regenerating forests that are currently being implemented in British Columbia to reduce future impacts of climate change on forests. The analysis revealed positive net present value of public investment in assisted migration across all scenarios under a range of conditions; however, private sector agents face disincentives to adopt these strategies. Uncertainty about how the costs, benefits and risks associated with climate change impacts will be distributed among public institutions and private actors influences incentives to adapt to climate change (the “principal-agent problem”) and further complicates adaptation. Absent development of risk-sharing mechanisms or re-alignment of incentives, uptake of assisted migration strategies by private agents is likely to be limited, creating longer-term risks for public institutions. Analyzing incentives and disincentives facing principals and agents using a well-known tool (cost-benefit analysis) can help decision-makers to identify and address underlying barriers to climate change adaptation in the context of public lands management.     

Hurricane Sandy and adaptation pathways in New York: Lessons from a first-responder city

Two central issues of climate change have become increasingly evident: Climate change will significantly affect cities; and rapid global urbanization will increase dramatically the number of individuals, amount of critical infrastructure, and means of economic production that are exposed and vulnerable to dynamic climate risks. Simultaneously, cities in many settings have begun to emerge as early adopters of climate change action strategies including greenhouse gas mitigation and adaptation. The objective of this paper is to examine and analyze how officials of one city – the City of New York – have integrated a flexible adaptation pathways approach into the municipality's climate action strategy. This approach has been connected with the City's ongoing response to Hurricane Sandy, which struck in the October 2012 and resulted in damages worth more than US$19 billion. A case study narrative methodology utilizing the Wise et al. conceptual framework (see this volume) is used to evaluate the effectiveness of the flexible adaptation pathways approach in New York City. The paper finds that Hurricane Sandy serves as a “tipping point” leading to transformative adaptation due to the explicit inclusion of increasing climate change risks in the rebuilding effort. The potential for transferability of the approach to cities varying in size and development stage is discussed, with elements useful across cities including the overall concept of flexible adaptation pathways, the inclusion of the full metropolitan region in the planning process, and the co-generation of climate-risk information by stakeholders and scientists.     

Can agriculture support climate change adaptation, greenhouse gas mitigation and rural livelihoods? insights from Kenya

Changes in the agriculture sector are essential to mitigate and adapt to climate change, meet growing food demands, and improve the livelihoods of poor smallholder producers. What agricultural strategies are needed to meet these challenges? To what extent are there synergies among these strategies? This paper examines these issues for smallholder producers in Kenya across several agroecological zones. Several practices emerge as triple wins, supporting climate adaptation, greenhouse gas mitigation, and profitability goals. In particular, integrated soil fertility management and improved livestock feeding are shown to provide multiple benefits across all agroecological zones examined. Triple wins of other agricultural practices are limited to specific agroecological zones. Irrigation and soil and water conservation, for example, are essential for adaptation, mitigation, and profitability in arid areas. The results suggest that agricultural investments targeted toward these triple-win strategies will have the greatest payoff in terms of increased resilience of farm and pastoralist households and global climate change mitigation. To reap the benefits of triple-win strategies will require that policymakers, researchers, and practitioners move away from isolated approaches focused on either adaptation or mitigation or rural income generation toward a more holistic assessment of joint strategies as well as their tradeoffs and synergies.     

Assessment of the climate preparedness of 30 urban areas in the UK

Cities are increasingly aware of the need to mitigate greenhouse gas emissions and adapt to changes in weather patterns leading to the production of urban climate change plans. The few existing systematic studies of these plans have focused on either adaptation or mitigation issues, and are typically based on surveys completed by city officials rather than analysis of documented evidence. To gain insight into the status of adaptation and mitigation action across the UK, climate change documents from 30 urban areas (representing ~28 % of the UK’s population) were analysed. An Urban Climate Change Preparedness Score, which could be applied to other urban areas outside the UK, has been devised for comparative analysis. This analysis characterizes progress against (i) Assessment, (ii) Planning, (iii) Action, and (iv) Monitoring, for both adaptation and mitigation. The Preparedness Score allows a quantitative comparison of climate change strategies across the urban areas analysed. This methodology can be transferred to other countries and makes an international comparison of urban areas and their climate change adaptation and mitigation plans possible. We found that all areas acknowledge climate change being a threat and that adaptation and mitigation planning and action is required. However, two urban areas did not have official adaptation or mitigation plans. Typically, mitigation activities across all cities were more advanced than adaptation plans. Emissions reduction targets ranged from 10 %–80 % with differing baselines, timeframes and scopes, for defining and meeting these targets. Similar variability was observed across adaptation plans. Several reasons for these differences are considered, but particularly notable is that a combination of incentives and regulation seem to stimulate more comprehensive strategies and action in many urban areas.     

Can adaptation and mitigation be complements?

It is often claimed that mitigation of greenhouse gases and adaptation to climate change are complementary strategies. If this means that it will usually be optimal to use both mitigation and adaptation to deal with climate change; and that a perceived increase in the damages caused by climate change should require an increase in both mitigation and adaptation, then simple economic analysis would support such an interpretation. However, complementarity has a more technical meaning in economics, which implies if the costs of mitigation fell, then the optimal response would be to increase the level of both mitigation and adaptation. We develop a range of economic models to explore the relationship between mitigation and adaptation; and show that in general adaptation and mitigation will be substitutes. We also find that it is possible for complementarity to occur in the special case where adaptation costs depend on the amount of mitigation.     

Overlooked ocean strategies to address climate change

The U.N. Framework Convention on Climate Change’s (UNFCCC’s) Paris Agreement—which aims to limit climate change and increase global resilience to its effects—was a breakthrough in climate diplomacy, committing its Parties to develop and update national climate plans. Yet the Parties to the Agreement have largely overlooked the effect of climate change on ocean-based communities, economies, and ecosystems—as well as the role that the ocean can play in mitigating and adapting to climate change. Because the ocean is an integral part of the climate system, stronger inclusion of ocean issues is critical to achieving the Agreement’s goals. Here we discuss four ocean-climate linkages that suggest specific responses by Parties to the Agreement connected to 1) accelerating climate ambition, including via sustainable ocean-based mitigation strategies; 2) focusing on CO₂ emissions to address ocean acidification; 3) better understanding ocean-based mitigation; and 4) pursuing ocean-based adaptation. These linkages offer a more complete perspective on the reasons strong climate action is necessary and inform a systematic approach for addressing ocean issues under the Agreement to strengthen climate mitigation and adaptation.     

Encouraging clean energy investment in developing countries: what role for aid?

A large portion of foreign assistance for climate change mitigation in developing countries is directed to clean energy facilities. To support international mitigation goals, however, donors must make investments that have effects beyond individual facilities. They must reduce barriers to private-sector investment by generating information for developers, improving relevant infrastructure, or changing policies. We examine whether donor agencies target financing for commercial-scale wind and solar facilities to countries where private investment in clean energy is limited and whether donor investments lead to more private investments. On average, we find no positive evidence for these patterns of targeting and impact. Coupled with model results that show feed-in tariffs increase private investment, we argue that donor agencies should reallocate resources to improve policies that promote private investment in developing countries, rather than finance individual clean energy facilities.

Policy relevance

We suggest that international negotiations could usefully shift the focus of climate change finance towards adaptation in exchange for mitigation-improving policy reforms in developing countries. There is little evidence that mitigation-related financing is having broader effects on energy production, so new financial arrangements should be the focus of future negotiations. Additionally, international donors should focus efforts on reforming policies to attract private investment.     

Building SSPs for climate policy analysis: a scenario elicitation methodology to map the space of possible future challenges to mitigation and adaptation

The scientific community is now developing a new set of scenarios, referred to as Shared Socio-economic Pathways (SSPs) that will be contrasted along two axes: challenges to mitigation, and challenges to adaptation. This paper proposes a methodology to develop SSPs with a “backwards” approach based on (i) an a priori identification of potential drivers of mitigation and adaptation challenges; (ii) a modelling exercise to transform these drivers into a large set of scenarios; (iii) an a posteriori selection of a few SSPs among these scenarios using statistical cluster-finding algorithms. This backwards approach could help inform the development of SSPs to ensure the storylines focus on the driving forces most relevant to distinguishing between the SSPs. In this illustrative analysis, we find that energy sobriety, equity and convergence prove most important towards explaining future difference in challenges to adaptation and mitigation. The results also demonstrate the difficulty in finding explanatory drivers for a middle scenario (SSP2). We argue that methodologies such as that used here are useful for broad questions such as the definition of SSPs, and could also be applied to any specific decisions faced by decision-makers in the field of climate change.     

适应气候变化政策机制的国际经验与启示

中国高度重视适应气候变化工作,实行减缓与适应并重的应对气候变化原则,已出台适应气候变化相关的战略、规划等一系列政策文件。但总体来看,中国适应气候变化政策与行动尚处于起步阶段,面临着法规制度缺位、监测评估不足、组织协调机制不完善等挑战,适应气候变化政策的类型、数量和力度都明显弱于减缓。为完善中国适应气候变化政策与机制的框架设计,文中梳理了相关研究、《联合国气候变化框架公约》下的适应气候变化国际机制及主要国家经验,提出了一套完整闭环的适应气候变化核心决策流程及关键支撑机制,并重点从开展法制建设、制定适应战略（计划）、建立监测评估机制、构建协调机制和完善资金机制等五方面,归纳了主要国家的经验与启示,最终研究提出完善我国适应气候变化政策与机制框架设计的建议,包括加快建立和完善适应气候变化法制建设、加快构建国家适应气候变化的政策体系、加快完善国家适应气候变化的机制设计、加强适应气候变化支撑能力建设、推动适应气候变化的国际合作等。     

Weather extremes and street life in India—Implications of Fuzzy Cognitive Mapping as a new tool for semi-quantitative impact assessment and ranking of adaptation measures

The potential impacts of progressing climate change are alarming. Some adverse consequences are now unavoidable and adaptation measures are increasingly needful. This poses enormous challenges for emerging megacities in the Global South, which barely manage in current weather conditions. This paper introduces Fuzzy Cognitive Mapping as a new tool for structured, semi-quantitative assessments of climate change impacts and adaptation measures.Fuzzy Cognitive Mapping is used to evaluate differences in sensitivities to heatwaves and rainstorms across socio-economic groups and for the ranking of useful adaptation options, based on 188 individual interviews to the impacts of extreme weather events in Hyderabad, India. The results of this multi-stakeholder assessment indicate that rainstorms affect low-income residents more than heatwaves, while the opposite is true for medium-income respondents. The latter are also less seriously affected by extreme weather in general. Profession, though, not income determines the kind of impact that people feel most affected by. Individual characteristics like age and gender do not significantly explain differences in the data, but religion does. This is because, in Hyderabad, Muslims live in the older, less serviced and more affected parts of the city. However, semi-quantitative scenario analyses suggest that, under future climate change, many parts of the city will become increasingly exposed to the effects of extreme weather. Planned investments in urban infrastructure will be seriously challenged by climate change and preventive adaptation measures are urgently needed to at least maintain the current level of quality of life. Investments in the health infrastructure appear to be most effective in reducing the impact of heatwaves and investments in the traffic infrastructure most effective in reducing the impact of rainstorms. However, looking at heat and rain events together—which is realistic as they are both projected to increase and often occur in the same year—reveals that investments in water infrastructure and management have greatest potential to reduce impacts across all localities and on all social groups, particularly the lower-income classes. This is because first-order impacts caused by inadequate water infrastructure often give rise to second- or third-order impacts. Addressing the root cause is the most effective way to break cause-and-effect chains and prevent proliferation of negative consequences. Similar studies are suggested in other cities in order to support adaptation mainstreaming in complex urban environments. Fuzzy Cognitive Mapping proved a useful, semi-quantitative tool for climate change impact and adaptation assessments.     

Assessing mitigation-adaptation scenarios for reducing catastrophic climate risk

Countries can use both mitigation and adaptation strategies to protect their citizens from catastrophic risk posed by climate change (e.g., shift in the jet stream). A nation can mitigate by reducing CO₂ emissions, which reduces the probability of a catastrophic event; it can adapt by altering the infrastructure so that damages can be reduced in the event a catastrophe is realized. Herein we add to the current literature by extending the endogenous risk framework into a dynamic framework permitting analysis of both mitigation and adaptation while allowing for the dynamic process of global climate change. Our results suggest adaptation to catastrophe is a small fraction of the national climate protection budget relative to mitigation when nations cooperate fully, when damages are both continuous and catastrophic, and when nations have a short planning horizon. Adaptation becomes more important relative to mitigation when nations are unlikely to cooperate, when damages are mainly catastrophic, or when the nation’s planning horizon increases.     

A method to estimate climate-critical construction materials applied to seaport protection

Climate adaptation for coastal infrastructure projects raises unique challenges because global-scale environmental changes may require similar projects to be completed in many locations over the same time frame. Existing methods to forecast resource demand and capacity do not consider this phenomenon of a global change affecting many localities and the resulting increased demand for resources. Current methods do not relate to the most up-to-date climate science information, and they are too costly or too imprecise to generate global, regional, and local forecasts of “climate-critical resources” that will be required for infrastructure protection. They either require too much effort to create the many localized designs or are too coarse to consider information sources about local conditions and structure-specific engineering knowledge. We formalized the concept of a “minimum assumption credible design” (MACD) to leverage available local information (topography/bathymetry and existing infrastructure) and the essential engineering knowledge and required construction materials (i.e., a design cross-section template). The aggregation of the resources required for individual local structures then forecasts the resource demand for global adaptation projects. We illustrate the application of the MACD method to estimate the demand for construction materials critical to protect seaports from sea-level-rise-enhanced storm surges. We examined 221 of the world’s 3,300+ seaports to calculate the resource requirements for a coastal storm surge protection structure suited to current upper-bound projections of two meters of sea level rise by 2100. We found that a project of this scale would require approximately 436 million cubic meters of construction materials, including cement, sand, aggregate, steel rebar, and riprap. For cement alone, ∼49 million metric tons would be required. The deployment of the MACD method would make resource forecasts for adaptation projects more transparent and widely accessible and would highlight areas where current engineering knowledge or material, engineering workforce, and equipment capacity fall short of meeting the demands of adaptation projects.     

An EPIC model-based wheat drought risk assessment using new climate scenarios in China

There is considerable research interest in future agro-drought risk assessment, since the increasing severity of climate change-related hazards poses a great threat to global food security. Wheat is the most important staple crop in the world, and China’s wheat production has long been impacted by drought. The frequency, intensity, and duration of droughts may increase due to climate change and stressing the need for robust assessment methods for drought risk, as well as adaptation and mitigation strategies. This paper investigates a method for assessing future wheat drought risk using climate scenarios and a crop model. We illustrate the utility of such an approach by assessing the risk of wheat drought under climate change scenarios in China using the Environmental Policy Integrated Climate model. Results show that the risk level of wheat drought is highest under scenario RCP8.5, followed by RCP4.5, RCP6.0, and RCP2.6, in descending order. If current climate change trends continue, wheat drought risk in China will be at risk levels between RCP6.0 and RCP8.5 by the end of the twenty-first century. The wheat drought risk assessment shows a “low-risk, high-risk, low-risk” spatial pattern starting in the spring wheat-planting regions in northern China and progressing to the winter wheat-planting regions in southern China. Significant differences were observed across regions, but in all RCP scenarios, the relative high-risk zones are the Huang-Huai Winter Wheat Region and the North Winter Wheat Region. In addition, wheat drought risk mitigation and adaptation strategies in China are proposed.     

Strategies to enhance adaptability: Technological change,sustainable growth and free trade

This article proposes three broad interrelated strategies - stimulating technological change, sustainable economic growth and free, unsubsidized trade - to enhance future adaptability to global (including climate) change and some principles for developing the social, legal and economic frameworks necessary to effect these strategies. The proposals are based upon an examination of the present and potential contributions of the strategies to sustainability, adaptability, and mitigation (limitation) of environmental changes, and the various synergies between these strategies. The strategies and principles would meet criteria which recognize that climate change is inevitable, that any climate change will occur in the context of already-occurring global change due to other agents of change, and that reducing vulnerability to these other changes will increase the future adaptability to climate change. Specifically, the strategies should: (a) increase the ability to feed, clothe and shelter the world's expanding population regardless of the agent of change; (b) reduce vulnerability of forests, habitats and biological diversity to demographic and other environmental stresses; (c) be compatible with mitigation measures; (d) be independent of results from more detailed and accurate site-specific impacts assessments which will be unavailable for several years; (e) be implementable today; and (f) have clear benefits now and in the future.The author is Manager, Science & Engineering, Office of Policy Analysis. The views expressed in this article are the author's rather than those of the Department of the Interior or the U.S. Government.     

The use of scenarios as the basis for combined assessment of climate change mitigation and adaptation

Scenarios are used to explore the consequences of different adaptation and mitigation strategies under uncertainty. In this paper, two scenarios are used to explore developments with (1) no mitigation leading to an increase of global mean temperature of 4 °C by 2100 and (2) an ambitious mitigation strategy leading to 2 °C increase by 2100. For the second scenario, uncertainties in the climate system imply that a global mean temperature increase of 3 °C or more cannot be ruled out. Our analysis shows that, in many cases, adaptation and mitigation are not trade-offs but supplements. For example, the number of people exposed to increased water resource stress due to climate change can be substantially reduced in the mitigation scenario, but adaptation will still be required for the remaining large numbers of people exposed to increased stress. Another example is sea level rise, for which, from a global and purely monetary perspective, adaptation (up to 2100) seems more effective than mitigation. From the perspective of poorer and small island countries, however, stringent mitigation is necessary to keep risks at manageable levels. For agriculture, only a scenario based on a combination of adaptation and mitigation is able to avoid serious climate change impacts.     

The need for and use of socio-economic scenarios for climate change analysis: A new approach based on shared socio-economic pathways

Socio-economic scenarios constitute an important tool for exploring the long-term consequences of anthropogenic climate change and available response options. A more consistent use of socio-economic scenarios that would allow an integrated perspective on mitigation, adaptation and residual climate impacts remains a major challenge. We assert that the identification of a set of global narratives and socio-economic pathways offering scalability to different regional contexts, a reasonable coverage of key socio-economic dimensions and relevant futures, and a sophisticated approach to separating climate policy from counter-factual “no policy” scenarios would be an important step toward meeting this challenge. To this end, we introduce the concept of “shared socio-economic (reference) pathways”. Sufficient coverage of the relevant socio-economic dimensions may be achieved by locating the pathways along the dimensions of challenges to mitigation and to adaptation. The pathways should be specified in an iterative manner and with close collaboration between integrated assessment modelers and impact, adaptation and vulnerability researchers to assure coverage of key dimensions, sufficient scalability and widespread adoption. They can be used not only as inputs to analyses, but also to collect the results of different climate change analyses in a matrix defined by two dimensions: climate exposure as characterized by a radiative forcing or temperature level and socio-economic development as classified by the pathways. For some applications, socio-economic pathways may have to be augmented by “shared climate policy assumptions” capturing global components of climate policies that some studies may require as inputs. We conclude that the development of shared socio-economic (reference) pathways, and integrated socio-economic scenarios more broadly, is a useful focal point for collaborative efforts between integrated assessment and impact, adaptation and vulnerability researchers.