Inclusive approaches to urban climate adaptation planning and implementation in the Global South

As cities increasingly engage in climate adaptation planning, many are seeking to promote public participation and facilitate the engagement of different civil society actors. Still, the variations that exist among participatory approaches and the merits and tradeoffs associated with each are not well understood. This article examines the experiences of Quito (Ecuador) and Surat (India) to assess how civil society actors contribute to adaptation planning and implementation. The results showcase two distinct approaches to public engagement. The first emphasizes participation of experts, affected communities, and a wide array of citizens to sustain broadly inclusive programmes that incorporate local needs and concerns into adaptation processes and outcomes. The second approach focuses on building targeted partnerships between key government, private, and civil society actors to institutionalize robust decision-making structures, enhance abilities to raise funds, and increase means to directly engage with local community and international actors. A critical analysis of these approaches suggests more inclusive planning processes correspond to higher climate equity and justice outcomes in the short term, but the results also indicate that an emphasis on building dedicated multi-sector governance institutions may enhance long-term programme stability, while ensuring that diverse civil society actors have an ongoing voice in climate adaptation planning and implementation.

Policy relevance

Many local governments in the Global South experience severe capacity and resource constraints. Cities are often required to devolve large-scale planning and decision-making responsibilities, such as those critical to climate adaptation, to different civil society actors. As a result, there needs to be more rigorous assessments of how civil society participation contributes to the adaptation policy and planning process and what local social, political, and economic factors dictate the way cities select different approaches to public engagement. Also, since social equity and justice are key indicators for determining the effectiveness and sustainability of adaptation interventions, urban adaptation plans and policies must also be designed according to local institutional strengths and civic capacities in order to account for the needs of the poor and most vulnerable. Inclusivity, therefore, is critical for ensuring equitable planning processes and just adaptation outcomes.     

What happens after climate change adaptation projects end: A community-based approach to ex-post assessment of adaptation projects

Over the last decade, hundreds of climate change adaptation projects have been funded and implemented. Despite the importance of these first-generation adaptation projects for establishing funders and implementors’ “best practices,” very little is known about how early adaptation projects have endured, to what ends, and for whom. In this article, I propose a community-based methodology for ex-post assessment of climate change adaptation projects. This methodology contributes to recognitional justice by asking the individuals and collectives tasked with sustaining adaptation initiatives to define adaptation success and what criteria for success should be assessed. I apply this subjective assessment approach in 10 communities across Ecuador that participated in an internationally funded adaptation project that concluded in 2015. My analysis draws together participatory mapping, walking interviews with local leaders, participant observation, and surveys with former project participants. The results highlight that even adaptation projects that were deemed highly successful at their closure have uncertain futures. I find that the sustainability mechanisms that were envisioned by project implementors have not functioned, and communities are shouldering the burden of reviving failing adaptation interventions. These findings highlight that the current model of episodic funding for climate change adaptation projects and evaluation processes needs to be revisited to acknowledge the long-term challenges faced by communities. This analysis also calls attention to the importance of ex-post assessment for adaptation projects and the potential of subjective assessment approaches for building more ontological and epistemological pluralism in understandings of successful climate change adaptation.     

Successful adaptation to climate change across scales

Climate change impacts and responses are presently observed in physical and ecological systems. Adaptation to these impacts is increasingly being observed in both physical and ecological systems as well as in human adjustments to resource availability and risk at different spatial and societal scales. We review the nature of adaptation and the implications of different spatial scales for these processes. We outline a set of normative evaluative criteria for judging the success of adaptations at different scales. We argue that elements of effectiveness, efficiency, equity and legitimacy are important in judging success in terms of the sustainability of development pathways into an uncertain future. We further argue that each of these elements of decision-making is implicit within presently formulated scenarios of socio-economic futures of both emission trajectories and adaptation, though with different weighting. The process by which adaptations are to be judged at different scales will involve new and challenging institutional processes.     

The Inclusion of Stakeholder Knowledge and Perspectives in Integrated Assessment of Climate Change

Over the past few decades Integrated Assessment (IA) has emerged as an approach to link knowledge and action in a way that is suitable to accommodate uncertainties, complexities and value diversities of global environmental risks. Responding to the complex nature of the climate problem and to the changing role of climate change in the international climate policy process, the scientific community has started to include stakeholder knowledge and perspectives in their assessments. Participatory Integrated Assessment (PIA) is in its early stage of development. Methodology varies strongly across PIA projects. This paper analyzes four recent IA projects of climate change that included knowledge or perspectives from stakeholders in one-way or another. Approaches and methods used turn out to differ in whether stakeholders are involved actively or passively, whether the approach is bottom-up or top-down, and whether the different functions in the IA process are open or closed to stakeholder input. Also, differences can be seen in the degree to which boundaries are pre-set that limit the roles and domains of competencies attributed to each scientific or non-scientific participant (so-called boundary work). The paper discusses pros and cons of the various approaches identified, and outlines heuristics and considerations to assist those who plan, design or fund new IA processes with stakeholder input on what approaches best to choose in view of the objectives for stakeholder involvement, in view of the role that the IA plays in the overall risk management process and in view of considerations regarding boundary work.     

Equity and efficiency in adaptation finance: initial experiences of the Adaptation Fund

The Adaptation Fund, established under the Kyoto Protocol of the United Nations Framework Convention on Climate Change (UNFCCC), has now been approving funding for adaptation projects for more than two years. Given its particular institutional status and specific focus on concrete adaptation, it is particularly relevant to study the initial experiences of it for any future upscaling of international adaptation finance, despite the fact that its own resources are getting scarce. Alternative rationales for allocating funds, based on equity and efficiency concerns at both international and subnational levels, are here tested against the criteria and priorities of the Fund and decisions made on project approval. It is concluded that equity concerns appear to be the primary motivation and that allocation is de facto made between states rather than by considering inequity between subnational communities. However, the currency of vulnerability for determining equitable outcomes in allocation decisions has not been formalized, despite its central importance to the Fund. Instead, uniform national caps have been introduced. Such an equality approach can be considered inequitable. Finally, it is noted that although the Adaptation Fund Board has continuously developed its proposal review practices and adopted a learning-by-doing approach, it should provide both a further specification of the evaluation criteria and a compilation of best practices from approved proposals, and moreover enhance the transparency of the review process, all of which would clarify its core priorities for current and future project proponents.     

Resilient livelihoods in an era of global transformation

Much as development’s understanding of livelihoods became intertwined with notions of sustainability in the late 1990s, today livelihoods analysis is taking up the rise of resilience in the development and climate change adaptation communities of practice. The emergent concept of resilient livelihoods risks perpetuating problematic framings of both socio-ecological and livelihoods dynamics that limit the effectiveness of development and adaptation interventions. In this paper, I connect recent contributions to the livelihoods and socio-ecological resilience literatures to define resilient livelihoods as projects aimed at the achievement of well-being in a manner that preserves existing systems of meaning, order, and privilege. These projects (re)produce socio-ecologies, deeply human assemblages of socio-cultural and biotic elements. So framed, the idea of resilient livelihoods centers meaning, power, difference, and agency in both livelihoods and socio-ecological dynamics. It opens up new understandings of the character, sources, and importance of resilience in livelihoods, allows for the identification of new indicators of livelihoods fragility, points to previously-overlooked sources of potential livelihoods transformation and change, and suggests sites of productive engagement between development and adaptation interventions and transformation and change.     

Examination of climate risk using a modified uncertainty matrix framework—Applications in the water sector

Previous climate risk assessments provide important methodological insights into how to derive tractable research questions and the appropriate use of data under uncertainty, as well as identifying steps that benefit from stakeholder involvement. Here we propose the use of a framework for the systematic and objective exploration of climate risk assessments. The matrix facilitates a breakdown of information about aim and context, main results, methodological choices, stakeholder involvement, sources and characteristics of uncertainties and overall weaknesses. We then apply the matrix to three risk assessments in the water sector to explore some methodological strengths and weaknesses of approaches strongly linked to climate model outputs (top-down) versus those that originate from local knowledge of climate exposures (bottom-up), and demonstrate that closer integration with social and physical sciences is more likely to yield robust climate risk assessments.     

Effects of stakeholder input on voluntary sustainability standards

Voluntary sustainability standards can be powerful tools for incentivizing sustainable production practices. Most standards rely on stakeholder input to gain legitimacy and set levels of achievement for businesses at an appropriate level. Yet, the effects of stakeholder input are contentious. Whereas some see stakeholder input leading to more stringent standards, others believe stakeholder input dilutes standards and renders them toothless. I intervene into this debate through an analysis of the effects of stakeholder comments on eight different voluntary sustainability standards. Drawing on an original dataset of 7945 stakeholder comments submitted during public comment periods between 2012 and 2019, I answer three interrelated research questions. First, who comments on sustainability standards and are some groups better represented than others? Second, what types of input do stakeholders provide? Third, which stakeholder comments result in observable changes to the content of sustainability standards? I find that industry groups are over-represented compared to other stakeholder groups. I also find that comments intended to weaken the stringency of sustainability standards are more likely to be implemented than comments intended to strengthen their stringency or other types of comments. A key implication is that stakeholder input is more likely to weaken or maintain the status quo of sustainability standards than strengthen them.     

A typology of adaptation actions: A global look at climate adaptation actions financed through the Global Environment Facility

Climate change impacts threaten existing development efforts and achieving future sustainability goals. To build resilience and societal preparedness towards climate change, integration of adaptation into development is being increasingly emphasized. To date, much of the adaptation literature has been theoretical, reflecting the absence of empirical data from activities on the ground. However, the Funds established under the United Nations Framework Convention on Climate Change and managed by the Global Environment Facility, the Least Developed Countries Fund, the Special Climate Change Fund and the Strategic Priority for Adaptation, have approved financing for 133 adaptation projects in 70 countries with sufficient documented experience to allow for initial categorization and evaluation. This article provides the first substantial compendium of adaptation actions identified through the allocation and disbursement of these Funds and organizes these actions into a generalized typology of adaptation activities. The information obtained sheds new insight into what adaptation is, in practice, and suggests some next steps to strengthen the empirical database. Ten types of overarching adaptation activities were identified through an analysis of 92 projects financed through these Funds. This paper analyzes these adaptation activities and compares them with theoretical constructs of adaptation typologies. We find that many of the early ideas and concepts advanced by theoreticians are consistent with results from the field. The adaptation categories that recur the most in Global Environment Facility projects are enabling and relatively inexpensive measures, such as those related to capacity building, policy reform, and planning and management. However, a rich panoply of technical actions ranging from information and communications technology, to early warning systems, to new or improved infrastructure, are also identified as common project goals. Future refinements of the costs of various adaptation actions, the mixture of technical and management options, and evaluating the efficacy of actions implemented, will be key to informing the future global adaptation agenda.     

Europe adapts to climate change: Comparing National Adaptation Strategies

For the last two decades, European climate policy has focused almost exclusively on mitigation of climate change. It was only well after the turn of the century, with impacts of climate change increasingly being observed, that adaptation was added to the policy agenda and EU Member States started to develop National Adaptation Strategies (NASs). This paper reviews seven National Adaptation Strategies that were either formally adopted or under development by Member States at the end of 2008. The strategies are analysed under the following six themes. Firstly, the factors motivating and facilitating the development of a national adaptation strategy. Secondly, the scientific and technical support needed for the development and implementation of such a strategy. Thirdly, the role of the strategy in information, communication and awareness-raising of the adaptation issue. Fourthly, new or existing forms of multi-level governance to implement the proposed actions. Fifthly, how the strategy addresses integration and coordination with other policy domains. Finally, how the strategy suggests the implementation and how the strategy is evaluated. The paper notes that the role of National Adaptation Strategies in the wider governance of adaptation differs between countries but clearly benchmarks a new political commitment to adaptation at national policy levels. However, we also find that in most cases approaches for implementing and evaluating the strategies are yet to be defined. The paper concludes that even though the strategies show great resemblance in terms of topics, methods and approaches, there are many institutional challenges, including multi-level governance and policy integration issues, which can act as considerable barriers in future policy implementation.     

Bridging the gap: linking climate-impacts research with adaptation planning and management

A critical challenge in supporting climate change adaptation is improving the linkage between climate-impacts and vulnerability research and public and private planning and management decisions. We highlight the need for bottom-up/top-down vulnerability assessment, bringing together bottom-up knowledge of existing vulnerabilities with top-down climate-impact projections, as a transparent basis for informing decisions intended to reduce vulnerability. This approach can be used to evaluate the likelihood of crossing identified thresholds of exposure, and to evaluate alternative adaptation strategies based on their ability to reduce sensitivity to projected changes in exposure and their robustness across uncertainty in future outcomes. By identifying thresholds for which adaptive capacity is limited in particular systems, adaptation and mitigation become complements where the magnitudes of climate change at which such thresholds cluster can help to define mitigation targets.     

Cascades of green: A review of ecosystem-based adaptation in urban areas

Climate change impacts increase pressure on challenges to sustainability and the developmental needs of cities. Conventional, “hard” adaptation measures are often associated with high costs, inflexibility and conflicting interests related to the dense urban fabric, and ecosystem-based adaptation (EbA) has emerged as a potentially cost-efficient, comprehensive, and multifunctional approach. This paper reviews and systematises research on urban EbA. We propose an analytical framework that draws on theory from ecosystem services, climate change adaptation and sustainability science. It conceptualises EbA in terms of five linked components: ecological structures, ecological functions, adaptation benefits, valuation, and ecosystem management practices.Our review identified 110 articles, reporting on 112 cities, and analysed them using both quantitative statistical and qualitative content analysis. We found that EbA research in an urban context is fragmented due to different disciplinary approaches and concepts. Most articles focus on heat or flooding, and the most studied ecological structures for reducing the risk of such hazards are green space, wetlands, trees and parks. EbA is usually evaluated in bio-geophysical terms and the use of economic or social valuations are rare. While most articles do not mention specific practices for managing ecological structures, those that do imply that urban EbA strategies are increasingly being integrated into institutional structures. Few articles considered issues of equity or stakeholder participation in EbA.We identified the following challenges for future EbA research. First, while the large amount of data generated by isolated case studies contributes to systems knowledge, there is a lack of systems perspectives that position EbA in relation to the wider socio-economic and bio-geophysical context. Second, normative and ethical aspects of EbA require more thought, such as who are the winners and losers, especially in relation to processes that put people at risk from climate-related hazards. Third, there is room for more forward-looking EbA research, including consideration of future scenarios, experimentation in the creation of new ecological structures and the role of EbA in transformative adaptation.     

气候变化对中国水资源影响的适应性评估与管理框架

通过论述气候变化对中国水资源影响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,它包括：未来气候变化对中国水资源潜在影响的定性描述分析、半定量与定量分析以及适应性对策评估。由于不同气候区域所面临的水资源问题不同,选择中国4个典型案例区域,并确定不同的目标进行气候变化适应性管理综合研究,提出了甄别气候变化影响和适应性管理的新的思路、框架与方法论。该项研究为应对未来气候变化影响的水资源规划与风险管理提供了途径与方法。     

气候变化对中国水资源影响的适应性评估与管理框架

 通过论述气候变化对中国水资源影响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,它包括：未来气候变化对中国水资源潜在影响的定性描述分析、半定量与定量分析以及适应性对策评估。由于不同气候区域所面临的水资源问题不同,选择中国4个典型案例区域,并确定不同的目标进行气候变化适应性管理综合研究,提出了甄别气候变化影响和适应性管理的新的思路、框架与方法论。该项研究为应对未来气候变化影响的水资源规划与风险管理提供了途径与方法。     

Towards understanding governance for sustainable urban water management

Shifting from traditional, large, centralised infrastructure to alternative, distributed technologies is widely accepted as essential for enabling sustainable water management. Despite technical advances in sustainable urban water management over recent decades, the shift from traditional to more sustainable approaches remains slow. Current research on socio-institutional barriers suggests this poor implementation relates to a limited understanding of the different forms of governance needed to support alternative approaches, rather than the potential ineffectiveness of the technologies and practices. While some governance scholars express preferences for ideal hierarchical, market or network governance approaches, others suggest a hybrid of these approaches may be more appropriate for achieving sustainability. Currently, there is limited commentary about the potential characteristics of sustainable urban water governance. To extend the current scholarship, this paper systematically draws on the tacit knowledge of expert sustainability practitioners to identify potential governance characteristics of sustainable urban water management. In comparison with current urban water scholarship, which is supportive of a network governance approach at a conceptual level, the results strongly suggest that sustainability practitioners see the need for hybrid governance arrangements at a practical and operational level. These hybrid arrangements tended to comprise network and hierarchical approaches with market governance instruments. These insights from practitioners to help identify future research needs, focused on examining interaction among governance approaches at a variety of scales and locations.     

Towards extended shared socioeconomic pathways: A combined participatory bottom-up and top-down methodology with results from the Barents region

A major challenge in planning for adaptation to climate change is to assess future development not only in relation to climate but also in relation to social, economic and political changes that affect the capacity for adaptation or otherwise play a role in decision making. One approach is to use scenario methods. This article presents a methodology that combines top-down scenarios and bottom-up approaches to scenario building, with the aim of articulating local so-called extended socio-economic pathways. Specifically, we used the Shared Socioeconomic Pathways (SSPs) of the global scenario framework as developed by the climate research community to present boundary conditions about potential global change in workshop discussion with local and regional actors in the Barents region. We relate the results from these workshops to the different elements of the global SSPs and discuss potential and limitations of the method in relation to use in decision making processes.     

Variations in approaches to urban climate adaptation: Experiences and experimentation from the global South

In recent years, an increasing number of local governments are recognizing the impact of climate change on different urban sectors. This has led many to pursue climate adaptation planning, seeking to achieve preparedness through reducing vulnerability and enhancing resilience of populations, assets, and municipal operations. Although cities typically share these common goals, many are electing to pursue different planning approaches. In this paper, we examine three climate adaptation planning approaches in the cities of Quito (Ecuador), Surat (India), and Durban (South Africa) and analyze the trade-offs associated with different planning pathways and different forms of stakeholder involvement. We assess the potentials and limitations of these different approaches, including their implications for enhancing government integration and coordination, promoting participation and adaptive capacity of vulnerable groups, and facilitating overall urban resilience. We find that, in order to gain widespread commitment on adaptation, sustained political leadership from the top, departmental engagement, and continued involvement from a variety of stakeholders are integral to effective decision-making and institutionalization of programs in the long run. When climate adaptation is advanced with a focus on learning, awareness, and capacity building, the process will likely lead to more sustained, legitimate, and comprehensive adaptation plans and policies that enhance the resilience of the most affected urban areas and residents.     

Operationalizing the Adaptation Fund: challenges in allocating funds to the vulnerable

The Adaptation Fund of the Kyoto Protocol marks a change in the international climate change financing architecture due to its independence from official development assistance, direct access and the majority of developing countries in governance. A major goal of the Adaptation Fund is to finance concrete adaptation projects and programmes in developing countries that are particularly vulnerable to the effects of climate change. The presented analysis considers the results of operationalization of the fund between 2008 and 2010, and the role vulnerability had in the allocation of funds. The definition of ‘vulnerability’ remains broad and currently does not allow for a prioritization in the allocation of funds. Criteria like ‘level of vulnerability’ or ‘adaptive capacity’ still need to be specified. The possibilities for the Adaptation Fund Board to implement a vulnerability-oriented funding approach are limited by the legal basis of the Kyoto Protocol and the principle of a country-driven approach. The effective support of vulnerable communities primarily depends on the institutional capacities and the institutional arrangement at the national level and the quality of analysis the adaptation projects and programmes are based on.     

REDD+ projects and national-level Readiness processes: a case study from Kenya

The Bali Action Plan and Cancun agreements on Reducing Emissions from Deforestation and forest Degradation, plus forest conservation, sustainable management of forests and enhancement of forest carbon stocks (REDD+) have encouraged demonstration activities as part of Readiness and a step towards national approaches. This has enabled important growth in pilot and demonstration projects. Yet an understanding about how these projects are connected and contribute to national-level technical, policy, and institutional preparedness (Readiness) for REDD+ is lacking. This article examines the linkages between national processes and the private-sector-driven Kasigau Corridor REDD+ project in Kenya. The study reveals interesting cross-scale interactions that have increased over time and have high potential for harnessing national-level processes through lessons from the project level. Key innovations from the Kasigau Corridor Project include the implementation of REDD+ in dry forests, operationalization of conservation easements in the context of REDD+, and demonstration of potential ways of obtaining upfront finance for REDD+. The study also provides a number of key recommendations for Kenya and REDD+ in general, including official endorsement of stand-alone REDD+ projects under national Readiness schemes and exploring jurisdictional and nested REDD+ approaches. Additionally, more accommodating national-level frameworks for attracting private-sector engagement and investments, and for integrating, scaling-out, or scaling-up lessons from such projects, would be needed to enhance national REDD+ Readiness.     

Voices of young biosphere stewards on the strengths,weaknesses, and ways forward for 74 UNESCO Biosphere Reserves across 83 countries

Young stakeholders are key actors in social-ecological systems, who have the capacity to be agents of sustainability transformation but are also at high risk of exclusion in the unfolding of global change challenges. Despite the focus of sustainability on future generations, there has been little research effort aimed at understanding young actors’ roles as biosphere stewards. In this work we investigate how young stakeholders perceive and participate in the implementation of sustainability objectives in 74 Biosphere Reserves of the United Nations Educational, Scientific and Cultural Organization’s (UNESCO) the Man and the Biosphere (MAB) Programme across 83 countries, through participatory group workshops, individual surveys and grey literature review. We explore to what extent youth perceptions are aligned or not with current understandings of Biosphere Reserves and how young stakeholders are acting in pursuit of Biosphere Reserve objectives. We find that young stakeholders have a comprehensive understanding of the opportunities and challenges faced by environmental governance, such as resilience and adaptation to global change and the governance challenges of implementing adaptive co-management and increasing stakeholder participation. We also show that young stakeholders can be active participants in a wide range of activities that contribute to achieving conservation and development goals in their territories. They are particularly concerned with youth participation within all levels of Biosphere Reserve functioning and with the creation of sustainable livelihood opportunities that will allow future generations to remain in their native territories. Our study provides evidence of the importance of young stakeholder knowledge and perspectives as central actors in conservation and development initiatives, like Biosphere Reserves, and of the need to increase young stakeholder integration and participation within environmental governance.