A three-tiered approach to participatory vulnerability assessment in the Solomon Islands

Greater recognition of the seriousness of global environmental change has led to an increase in research that assesses the vulnerability of households, communities and regions to changing environmental or economic conditions. So far, however, there has been relatively little attention given to how assessments can be conducted in ways that help build capacity for local communities to understand and find their own solutions to their problems. This paper reports on an approach that was designed and used to work with a local grass roots organization in the Solomon Islands to promote inclusivity and participation in decision-making and to build the capacity of the organization to reduce the vulnerability of communities to drivers of change. The process involved working collaboratively with the organization and training its members to conduct vulnerability assessments with communities using participatory and deliberative methods. To make best use of the learning opportunities provided by the research process, specific periods for formal reflection were incorporated for the three key stakeholders involved: the primary researchers; research assistants; and community members. Overall, the approach: (1) promoted learning about the current situation in Kahua and encouraged deeper analysis of problems; (2) built capacity for communities to manage the challenges they were facing; and (3) fostered local ownership and responsibility for problems and set precedents for future participation in decision-making. While the local organization and the communities it serves still face significant challenges, the research approach set the scene for greater local participation and effort to maintain and enhance livelihoods and wellbeing. The outcomes highlight the need for greater emphasis on embedding participatory approaches in vulnerability assessments for communities to benefit fully from the process.     

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.     

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.     

Operationalizing longitudinal approaches to climate change vulnerability assessment

The past decade has seen a proliferation of community-scale climate change vulnerability assessments globally. Much of this work has employed frameworks informed by scholarship in the vulnerability field, which draws upon interviews with community members to identify and characterize climatic risks and adaptive responses. This scholarship has developed a baseline understanding of vulnerability in specific places and industries at particular times. However, given the dynamic nature of vulnerability new methodologies are needed to generate insights on how climate change is experienced and responded to over time. Longitudinal approaches have long been used in sociology and the health sciences to capture the dynamism of human processes, but their penetration into vulnerability research has been limited. In this article, we describe the application of two longitudinal approaches, cohort and trend studies, in climate change vulnerability assessment by analyzing three case studies from the Arctic where the authors applied these approaches. These case studies highlight how longitudinal approaches can be operationalized to capture the dynamism of vulnerability by identifying climate anomalies and trends, and how adaptations develop over time, including insights on themes such as social learning and adaptive pathways.     

Informing adaptation responses to climate change through theories of transformation

Transformative actions are increasingly being required to address changes in climate. As an aid to understanding and supporting informed decision-making regarding transformative change, we draw on theories from both the resilience and vulnerability literature to produce the Adaptation Action Cycles concept and applied framework. The resulting Adaptation Action Cycles provides a novel conceptualisation of incremental and transformative adaptation as a continuous process depicted by two concentric and distinct, yet linked, action learning cycles. Each cycle represents four stages in the decision-making process, which are considered to be undertaken over relatively short timeframes. The concept is translated into an applied framework by adopting a contextual, actor-focused suite of questions at each of the four stages. This approach compliments existing theories of transition and transformation by operationalising assessments at the individual and enterprise level. Empirical validation of the concept was conducted by collaborating with members of the Australian wine industry to assess their decisions and actions taken in response to climate change. The contiguous stages represented in the Adaptation Action Cycles aptly reflected the diverse range of decision-making and action pathways taken in recent years by those interviewed. Results suggest that incremental adaptation decision-making processes have distinct characteristics, compared with those used in transformative adaptation. We provide empirical data to support past propositions suggesting dependent relationships operate between incremental and transformative scales of adaptation.     

Context and climate change: an integrated assessment for Barrow, Alaska

An intensive approach to Barrow, Alaska’s adaptations to climate change and variability during recent decades suggests reconsideration of the interconnected roles of science, policy, and decision-making structures. First, profound uncertainties are inherent in unique interactions among the many natural and human factors affecting Barrow’s vulnerability. Science cannot significantly reduce these uncertainties through extensive approaches, but intensive approaches can reconstruct and update local trends, clarify the underlying dynamics, and harvest experience for policy purposes. Second, sound policies to reduce Barrow’s vulnerability to coastal erosion and flooding must incorporate these profound uncertainties and the multiple values of the community. Minimizing vulnerability to climate change is only one of the community’s interests, and must compete with other interests for limited time, attention, funds and other resources. Third, the community itself is in the best position to understand its own context, to decide on sound policies, and to take responsibility for those decisions. In short, local context matters in science, policy, and decision-making structures for adaptation to climate change and variability. Overall, cognitive constraints may be the most important human dimension of climate change. Factoring the global problem into more tractable local problems would make the most of our cognitive capacity.     

Insights into the composition of household vulnerability from multicriteria decision analysis

Vulnerability is a multidimensional concept associated with high uncertainty in measurement and classification. Developing a vulnerability index from the diverse and often incommensurate data that form the basis of vulnerability assessments is often a core challenge of vulnerability research. Problematically, many vulnerability indices are based on the implicit or explicit assumption that each indicator of vulnerability is of equal importance. In this paper we propose a procedure to engage constructively with the inherent subjectivity and uncertainty of assigning weights to disparate indicators used in vulnerability assessments, using common tools of multicriteria decision analysis (MCDA) and fuzzy logic. To illustrate our proposed methodology, we present a case study of rural livelihood vulnerability in the state of Tamaulipas, México. In our case study, we combine a livelihoods framework with MCDA to weigh household attributes according to their relative importance in driving household vulnerability. This approach requires the explicit articulation of the relationship of each indicator to the umbrella concept (vulnerability) as well as of each indicator to every other indicator. In recognition of the inherent uncertainties involved in assigning any particular unit of analysis to a specific vulnerability class, we use fuzzy logic to create the final categories of household livelihood vulnerability to climatic risk. Our analysis reveals how different structures of livelihood assets and activities contributes to household sensitivity and capacities in a region characterized by variable climatic conditions, stagnant incomes, increasing market stress and declining farm productivity.     

Assessing climate change vulnerability with group multi-criteria decision making approaches

This study developed an approach to assess the vulnerability to climate change and variability using various group multi-criteria decision-making (MCDM) methods and identified the sources of uncertainty in assessments. MCDM methods include the weighted sum method, one of the most common MCDM methods, the technique for order preference by similarity to ideal solution (TOPSIS), fuzzy-based TOPSIS, TOPSIS in a group-decision environment, and TOPSIS combined with the voting methods (Borda count and Copeland’s methods). The approach was applied to a water-resource system in South Korea, and the assessment was performed at the province level by categorizing water resources into water supply and conservation, flood control and water-quality sectors according to their management objectives. Key indicators for each category were profiled with the Delphi surveys, a series of questionnaires interspersed with controlled opinion feedback. The sectoral vulnerability scores were further aggregated into one composite score for water-resource vulnerability. Rankings among different MCDM methods varied in different degrees, but noticeable differences in the rankings from the fuzzy- and non-fuzzy-based methods suggested that the uncertainty with crisp data, rather widely used, should be acknowledged in vulnerability assessment. Also rankings from the voting-based methods did not differ much from those from non-voting-based (i.e., average-based) methods. Vulnerability rankings varied significantly among the different sectors of the water-resource systems, highlighting the need to assess the vulnerability of water-resource systems according to objectives, even though one composite index is often used for simplicity.     

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.     

Constraints,multiple stressors,and stratified adaptation: Pastoralist livelihood vulnerability in a semi-arid wildlife conservation context in Central Kenya

The focus of this study is on how changes in formal and informal institutions have differential impacts across populations in terms of vulnerability of livelihoods to drought, and the unequal processes that shape adaptation to new conditions. Drought vulnerability occurs as a result of exposure and sensitivity to interrelated economic, social, political, and ecological dynamics. There is a need for approaches that can evaluate how the ability to reduce these exposures and sensitivities becomes socially stratified. Building on our understanding of institutional and biophysical constraints in one pastoralist group ranch, we use an approach that draws on quantitative and qualitative data to combine analyses of entitlements, access, and adaptive capacity. We asked how, in a context of changing herding institutions, the ability to adapt to drought and other stressors, is differentiated among actors. We found that herders with higher livestock wealth are more likely to have entitlement sets that include factors that enable access to secure cattle grazing on private wildlife conservation lands, and access to more distant areas with herds of sheep and cattle – two key means of reducing exposure to drought vulnerability, leading to greater coping ability during drought. Those with lower livestock wealth rely disproportionately on illicit, precarious access to external grazing resources. Higher livestock wealth families experienced disproportionately lower sensitivity to drought with smaller losses of cattle, and likely have decreased sensitivity to drought-related market fluctuations, while others are primarily reliant on small stock and/or precarious access pathways. However, rather than naturalize this differential ability as merely increased adaptive capacity for some that are better able to adapt to novel, local conditions, we argue this instead reflects the unequal footing that households find themselves on, in a shifting institutional landscape of structural and relational access constraints and reconfigurations of reciprocity, that are intertwined with interventions by state and non-state actors.     

Framing environmental change in Africa: cross-scale institutional constraints on progressing from rhetoric to action against vulnerability

The reconciliation of national development plans with global priority to mitigate environmental change remains an intractable policy controversy. In Africa, its resolution requires integrating local knowledge into impact assessments without compromising the scientific integrity of the assessment process. This requires better understanding of the communication pathways involved in progressing from frame construction to political action on various environmental issues. The impacts of environmental factors on human health are a common concern in Africa, and it is examined here as a platform for negotiating controversies surrounding the arrogation of global support for local assessments of vulnerability and mitigation. The study focused on the particularities of projected impacts of climate change, and specifically on considerations of the health sector within the context of multivalent international agreements to conduct and use environmental assessments. The analysis addresses limitations of cross-scale communication nodes that are embedded in boundary institutions such as the Country Study Program which is hosted by industrialized nations. The translation of rhetoric into action frames through dynamic vulnerability assessments and critical frame reflection can equally engage indigenous and aided capacity for adapting to environmental change.     

Scale mismatches and their ecological and economic effects on landscapes: A spatially explicit model

Mismatches between the spatial scales of human decision-making and natural processes contribute to environmental problems such as global warming and biodiversity losses. People damage the environment through local activities like clearing land or burning fossil fuels, but the damages only become manifest at larger regional or global scales where no one pays for them. Payments for ecological services like carbon sequestration can correct for these damages caused by scale mismatches. This paper presents a spatially explicit land-use model to investigate the consequences of scale mismatches for pollination and carbon storage services and examine the effect of payment for only carbon storage services. The model integrates processes in multiple spatial scales ranging from the parcel level used by landowners’ decision about deforestation, to the larger scale used by animals to pollinate plants, and finally to the global scale where carbon storage services are supplied. We show that payment for carbon storage services can become an effective mechanism to protect forests at the same time that it creates inequities among landowners in income level.These findings suggest that market-based approaches that focus on conservation of a single ecosystem service may reproduce unequal power relations among landowners.     

Vulnerability: A generally applicable conceptual framework for climate change research

The term ‘vulnerability’ is used in many different ways by various scholarly communities. The resulting disagreement about the appropriate definition of vulnerability is a frequent cause for misunderstanding in interdisciplinary research on climate change and a challenge for attempts to develop formal models of vulnerability. Earlier attempts at reconciling the various conceptualizations of vulnerability were, at best, partly successful. This paper presents a generally applicable conceptual framework of vulnerability that combines a nomenclature of vulnerable situations and a terminology of vulnerability concepts based on the distinction of four fundamental groups of vulnerability factors. This conceptual framework is applied to characterize the vulnerability concepts employed by the main schools of vulnerability research and to review earlier attempts at classifying vulnerability concepts. None of these one-dimensional classification schemes reflects the diversity of vulnerability concepts identified in this review. The wide range of policy responses available to address the risks from global climate change suggests that climate impact, vulnerability, and adaptation assessments will continue to apply a variety of vulnerability concepts. The framework presented here provides the much-needed conceptual clarity and facilitates bridging the various approaches to researching vulnerability to climate change.     

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.     

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.     

Framing the application of adaptation pathways for rural livelihoods and global change in eastern Indonesian islands

In developing countries adaptation responses to climate and global change should be integrated with human development to generate no regrets, co-benefit strategies for the rural poor, but there are few examples of how to achieve this. The adaptation pathways approach provides a potentially useful decision-making framework because it aims to steer societies towards sustainable futures by accounting for complex systems, uncertainty and contested multi-stakeholder arenas, and by maintaining adaptation options. Using Nusa Tenggara Barat Province, Indonesia, as an example we consider whether generic justifications for adaptation pathways are tenable in the local context of climate and global change, rural poverty and development. Interviews and focus groups held with a cross-section of provincial leaders showed that the causes of community vulnerability are indeed highly complex and dynamic, influenced by 20 interacting drivers, of which climate variability and change are only two. Climate change interacts with population growth and ecosystem degradation to reduce land, water and food availability. Although poverty is resilient due to corruption, traditional institutions and fatalism, there is also considerable system flux due to decentralisation, modernisation and erosion of traditional culture. Together with several thresholds in drivers, potential shocks and paradoxes, these characteristics result in unpredictable system trajectories. Decision-making is also contested due to tensions around formal and informal leadership, corruption, community participation in planning and female empowerment. Based on this context we propose an adaptation pathways approach which can address the proximate and systemic causes of vulnerability and contested decision-making. Appropriate participatory processes and governance structures are suggested, including integrated livelihoods and multi-scale systems analysis, scenario planning, adaptive co-management and ‘livelihood innovation niches’. We briefly discuss how this framing of adaptation pathways would differ from one in the developed context of neighbouring Australia, including the influence of the province's island geography on the heterogeneity of livelihoods and climate change, the pre-eminence and rapid change of social drivers, and the necessity to ‘leap-frog’ the Millennium Development Goals by mid-century to build adaptive capacity for imminent climate change impacts.     

Environmental assessments: four under-appreciated elements of design

Environmental assessments generate and/or collect individual research efforts to answer policy-relevant questions and otherwise provide technical advice to decision-makers, typically legislators, international negotiators and regulators. Though one might think first of assessments in terms of the reports that they often produce, the implications of scientific assessment are better understood by viewing assessments as a social processes, rather than principally as a document. Assessment processes are embedded in different sorts of institutional settings, within which scientists, decision-makers, and advocates communicate to define relevant questions for analysis, mobilize certain kinds of experts and expertise, and interpret findings in particular ways. This social process perspective on assessment directs attention beyond the content of assessment reports to encompass questions the design of the social process. In this paper, we focus on four elements of assessment design that are too frequently under-appreciated: assessment context and initiation, science–policy interaction, participation in assessment processes, and assessment capacity. We show how widely these elements vary across five different assessments and discuss the implications of this variation.     

Classifying knowledge on climate change impacts, adaptation, and vulnerability in Europe for informing adaptation research and decision-making: A conceptual meta-analysis

Knowledge on climate change impacts, adaptation, and vulnerability is fragmented, because it is found in disparate case studies which use inconsistent terminology and focus on distinct aspects relevant to adaptation. While large-scale syntheses such as the Assessment Reports of the Intergovernmental Panel on Climate Change provide a high level overview and are useful for international decision-making, there is a need for systematic and flexible access to this research-based knowledge in order to aid future adaptation research and decision-making. Against this background, we present a ‘conceptual’ meta-analysis, a novel approach to meta-analyse studies on climate change impacts, adaptation, and vulnerability in Europe. The meta-analysis results in a classification scheme for relating the diverse studies. This scheme consists of (i) a classification of studies according to the type of adaptation-relevant results they produce and (ii) a hierarchical classification of the regional and thematic context of studies. The implementation of this scheme, for example in the form of a database, overcomes some of the identified gaps of current adaptation knowledge representation. We furthermore present a quantitative analysis of the classified studies that exemplifies how the developed classification scheme can be applied to get a systematic and quantitative overview of the knowledge they contain. Thus, the conceptual meta-analysis and the classification scheme represent a first step towards a systematisation of knowledge on climate change impacts, adaptation, and vulnerability and may be seen as a useful complement to qualitative literature reviews.     

Disaster risk reduction legislations: Is there a move from events to processes?

Disaster research and scholarship is now advocating a shift from focusing on the hazard event to processes that generate vulnerability and loss of resilience to disasters. Disaster legislations are among prominent instruments that can highlight the tensions as well as challenges that are being encountered towards this change in focus. Using textual analysis, this paper presents a study that investigated whether five post-2002 disaster legislations have shifted emphasis from the hazard to the vulnerability and resilience paradigms. The five examples illustrate that while there is a slight change, at least in rhetoric, from response to a prevention focus, disaster legislations largely promote a centralised institutional framework, with inadequate resource commitments and limited participation from vulnerable communities. Consequently, while generalisations simply cannot be made without a wider analysis of many more examples from different countries, the five disaster legislations appear to re-emphasise the response focus with less attention on the processes that reduce vulnerability and enhance resilience. The conclusion is that while the rhetoric has changed, the disaster legislations have not significantly moved from the hazard to vulnerability and resilience focus suggesting that reduction of losses and damages to disasters remains a big challenge     

Adaptation,adaptive capacity and vulnerability

This paper reviews the concept of adaptation of human communities to global changes, especially climate change, in the context of adaptive capacity and vulnerability. It focuses on scholarship that contributes to practical implementation of adaptations at the community scale. In numerous social science fields, adaptations are considered as responses to risks associated with the interaction of environmental hazards and human vulnerability or adaptive capacity. In the climate change field, adaptation analyses have been undertaken for several distinct purposes. Impact assessments assume adaptations to estimate damages to longer term climate scenarios with and without adjustments. Evaluations of specified adaptation options aim to identify preferred measures. Vulnerability indices seek to provide relative vulnerability scores for countries, regions or communities. The main purpose of participatory vulnerability assessments is to identify adaptation strategies that are feasible and practical in communities. The distinctive features of adaptation analyses with this purpose are outlined, and common elements of this approach are described. Practical adaptation initiatives tend to focus on risks that are already problematic, climate is considered together with other environmental and social stresses, and adaptations are mostly integrated or mainstreamed into other resource management, disaster preparedness and sustainable development programs.