Institutional dynamics: Resilience,vulnerability and adaptation in environmental and resource regimes

Like all social institutions, governance systems that address human–environment relations – commonly know as environmental or resource regimes – are dynamic. Although analysts have examined institutional change from a variety of perspectives, a particularly puzzling feature of institutional dynamics arises from the fact that some regimes linger on relatively unchanged even after they have become ineffective, while others experience state changes or even collapse in the wake of seemingly modest trigger events. This article employs the framework developed to study resilience, vulnerability, and adaptation in socio-ecological systems (the SES framework) in an effort to illuminate the conditions leading to state changes in environmental and resource regimes. Following a discussion of several conceptual issues, it examines institutional stresses, stress management mechanisms, and the changes that occur when interactive and cumulative stresses overwhelm these mechanisms. An important conclusion concerns the desirability of thinking systematically about institutional reform in a timely manner, in order to be prepared for brief windows of opportunity to make planned changes in environmental regimes when state changes occur.     

Exploring social barriers to adaptation: Insights from Western Nepal

As the challenges and opportunities posed by climate change become increasingly apparent, the need for facilitating successful adaptation and enhancing adaptive capacity within the context of sustainable development is clear. With adaptation high on the agenda, the notion of limits and barriers to adaptation has recently received much attention within both academic and policymaking spheres. While emerging literature has been quick to depict limits and barriers in terms of natural, financial, or technologic processes, there is a clear shortfall in acknowledging social barriers to adaptation. It is against such a backdrop that this paper sets out to expose and explore some of the underlying features of social barriers to adaptation, drawing on insights from two case studies in the Western Nepal. This paper exposes the significant role of cognitive, normative and institutional factors in both influencing and prescribing adaptation. It explores how restrictive social environments can limit adaptation actions and influence adaptive capacity at the local level, particularly for the marginalised and socially excluded. The findings suggest a need for greater recognition of the diversity and complexity of social barriers, strategic planning and incorporation at national and local levels, as well as an emphasis on tackling the underlying drivers of vulnerability and social exclusion.     

Climate policy at the local level: Insights from California

Local governments in the United States have been hotbeds of climate change activity. Recently, states have sought to incorporate these primarily voluntary actions into broader climate change mitigation programs. Using the example of California, a national leader in U.S. climate policy, this article examines the scope for effectiveness of local climate action and assesses factors related to adoption of local climate policies. The analysis draws on two original surveys of city and county governments, designed to learn about adoption of comprehensive policy tools (emission inventories and climate action plans) and programs in specific areas (energy, water, land use, transportation). Adoption rates are fairly high and growing; by mid 2010 roughly 70% of all jurisdictions were already engaged or planning to engage in comprehensive climate actions, up from roughly 50% in 2008. The adoption of specific programs varies with the degree of local government authority in different sectors, and is generally higher for programs targeting municipal facilities and operations than those targeting residents and businesses. Population size, household income, and strong support from local leaders and the public are all associated with higher rates of adoption, particularly for comprehensive actions. Partisan attitudes are more important for comprehensive actions than for programs in specific areas such as energy efficiency and renewable energy, mirroring the findings of state and national public opinion surveys, which find broader support for actions like clean energy than for explicit climate change-oriented actions. Qualitative analysis reveals additional keys to success, including partnering with other local governments and private organizations and leveraging cost savings and other potential co-benefits of action. As states move to incorporate local actions into broader plans, mandates will also play an increasing role in setting a floor for local efforts.     

Smallholder adaptation to climate change: dynamics and limits in Northern Ghana

Climate change and land degradation result in decreasing yields and crop failures in Northern Ghana and have caused further impoverishment of Ghana’s poorest region. Farmers have diversified their livelihoods to adapt to uncertain environmental conditions in various ways. While traditionally a diversification of the production and migration were the prime means of adaptation, many farmers have started to intensify their production by adopting shallow groundwater irrigation for vegetable gardening for Ghana’s urban markets. This has helped to cope with a changing environment, ameliorated poverty and reversed rural–urban migration, while the local hydrology curbed an over-exploitation of groundwater resources, commonly associated with an uncontrolled farmer-driven expansion of groundwater irrigation. This research confirms that farmer-driven small-scale irrigation can play an important role in the process of climate change adaptation. However, while farmers tried to integrate in the larger economy, they have become subject to market failures that in their essence are caused by unfair and unpredictable patterns of global trade. It is this double exposure to global environmental change and economic globalization that need to be taken into consideration when local adaptive capacities are discussed. Many convincing arguments call for the revision of some of the most unfair and devastating economic practices; however, the need to enhance adaptive capacity towards global climate change for poor parts of the population in the south should be added to the discussion.     

Cultural barriers to climate change adaptation: A case study from Northern Burkina Faso

Human adaptation to climate change is a heterogeneous process influenced by more than economic and technological development. It is increasingly acknowledged in the adaptation to climate change literature that factors such as class, gender and culture play a large role when adaptation strategies are either chosen or rejected at the local scale. This paper explores adaptation strategies by focusing on livelihood diversification in the face of the most recent of recurrent droughts in the Sahel. It is shown that for Fulbe, one of the two main ethnic groups in the small village in Northern Burkina Faso studied, culture acts as a major barrier to embracing four of the most successful livelihood strategies: labour migration, working for development projects, gardening, and the engagement of women in economic activities.     

Scholarly networks on resilience,vulnerability and adaptation within the human dimensions of global environmental change

This paper presents the results of a bibliometric analysis of the knowledge domains resilience, vulnerability and adaptation within the research activities on human dimensions of global environmental change. We analyzed how 2286 publications between 1967 and 2005 are related in terms of co-authorship relations, and citation relations.The number of publications in the three knowledge domains increased rapidly between 1995 and 2005. However, the resilience knowledge domain is only weakly connected with the other two domains in terms of co-authorships and citations. The resilience knowledge domain has a background in ecology and mathematics with a focus on theoretical models, while the vulnerability and adaptation knowledge domains have a background in geography and natural hazards research with a focus on case studies and climate change research. There is an increasing number of cross citations and papers classified in multiple knowledge domains. This seems to indicate an increasing integration of the different knowledge domains.     

Climate change in California: scenarios and approaches for adaptation

Even with aggressive global action to reduce greenhouse gas emissions, the climate will continue to change for decades due to previous emissions and the inertia in biogeophysical and social systems. Therefore, as a complement to mitigation actions, society must also focus on enhancing its capacity to adapt to the unavoidable impacts of climate change that we are already experiencing and will continue to experience over the next few decades. Resource managers, regional planners, and government agencies need to consider climate risks in their planning. We provide an overview of climate change scenarios for California and suggestions on the use of climate projections in state and regional planning efforts in the future.     

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.     

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.     

Flame and fortune in California: The material and political dimensions of vulnerability

This paper seeks to clarify and refine the assertion that vulnerability exists as both a material, condition and discursive construct. Building off of previous scholarship analyzing the production of, vulnerabilities, we present a conceptual framework that illuminates how material vulnerabilities are translated into political vulnerabilities and ossified in the policy realm. We argue that specifying components of, and relationships between, the material and political aspects of vulnerability will result in a more sophisticated articulation of vulnerability as a recursive process. In order to achieve this level of analysis we propose a spatial–historical analytic approach that blends point-in-time and, empirically driven analysis with robust historical and political economic analysis. We use the largest urban wildfire – in terms of dwellings lost – in California's history to show how the persistent disconnection between material and political forms of vulnerability has, over time, resulted in contradictory landscapes where homes are intentionally placed in landscapes vulnerable to wildfires with reduced fire protection. Spatial historical analysis of the Tunnel Fire reveals how representations of vulnerability oftentimes deviate from lived experiences, engendering responses of exploitation, ignorance, mobilization and resistance. This framework also recognizes how these responses can create new vulnerabilities while also maintaining, deepening and diminishing existing material conditions. Finally, relational analysis illuminates how factors generating vulnerability in fire areas also contribute to and reinforce vulnerabilities within other parts of cities like Oakland, California.     

Heat vulnerability and adaptation of low-income households in Germany

Heat waves associated with global warming are a significant hazard to human health, and they particularly endanger low-income households. In this study, we systematically analyze how the different components of heat vulnerability are related to household income, and present empirical evidence on the determinants of heat adaptation, focusing on the role of income. We contribute the first empirical analysis of heat vulnerability using household-level data at the national level, based on a longitudinal survey, including data points for 10,226 households in Germany in the period 2012–2020. Our results indicate that low income households are significantly more heat sensitive and have lower adaptive capacity than high income households, measured inter alia by health status, household composition, and economic and psychological resources to implement adaptation measures. However, heat hazard and exposure levels are comparable between income groups, hence there is no sorting of richer households into less hazardous or exposed locations on a national scale. We also contribute robust empirical evidence on the factors influencing household decisions to implement technical adaptation measures (e.g. installation of air conditioning), ultimately showing that the adaptation behavior of the most vulnerable households (e.g. people with poor health conditions or the elderly) is not limited by financial constraints.     

Assessing vulnerability of selected farming communities in the Philippines based on a behavioural model of agent's adaptation to global environmental change

Behavioural models that allow simple representation of the complexity of human–environment links are important in vulnerability assessment because they allow the analysis of human adaptive processes in a changing environment. This paper applies an agent-based framework that considers the behavioural model of farmers in three villages in a municipality in the Philippines. Agent-based modelling is a useful policy tool for simulating the effects of different adaptation options on reducing vulnerability because it allows representation of not only the dynamic changes in climate and market but also the dynamic adaptive process of different groups of communities to the impacts of these changes. Model simulations of adaptation options under various global change scenarios showed that production support would significantly reduce future vulnerability only if complemented with appropriate market support. It is thus important for policy to provide a complementary bundle of adaptation measures. Lack of money and information are the most important reasons for not applying available technical adaptation measures, which currently hinder reduction of vulnerability in selected villages in the municipality. Social networks, which play an important role in adapting to environmental changes, are limited to relatives and neighbours, who are important sources of informal credit.     

Linking development to climate adaptation: Leveraging generic and specific capacities to reduce vulnerability to drought in NE Brazil

To respond to climate impact, poor agricultural households in less developed regions rely on different types of assets that define their overall adaptive capacity (AC). However not all assets build capacity equally. In this study we argue that building AC requires a combination of interventions that address not only climate-related risks (specific capacity) but also the structural deficits (e.g., lack of income, education, health, political power) (generic capacity) that shape vulnerability. Focusing on rainfed agriculture in NE Brazil, we investigate how households leverage and combine generic and specific capacities to reduce vulnerability. Particularly we explore: 1) the relative importance of different kinds of capacity in shaping vulnerability on these households and 2) how the level of generic capacities (particularly as a result of Brazil’s anti-poverty program Bolsa Família) influences the adoption of specific ones. We find that both kinds of capacity matter, as relatively higher levels of generic capacity (in terms of income in general, and climate-neutral income specifically) are associated with higher levels of specific capacity (irrigation). In addition we find that while Bolsa Família has been positive in increasing income, it has not been sufficient to manage the risk of food insecurity during drought events, suggesting a 'poverty trap' in which families are constantly coping with drought but failing to overcome the conditions that make them vulnerable. Our findings indicate that in order to decrease climate vulnerability of poor agricultural households, development interventions, such as anti-poverty programs, have to go beyond cash transfer and should incorporate risk management policies that enhance synergies between generic and specific capacities.     

Urban vulnerability and adaptation to heatwaves: a case study of Graz (Austria)

The increasing frequency of heatwaves, particularly in urban contexts, is one of the perceptible consequences of climate change. A city’s vulnerability to these heatwaves must be determined to develop proper adaptation measures. This article addresses the vulnerability of a medium-sized city in Central Europe, Graz, to heatwaves. Based on secondary data and primary data gathered from expert interviews, we identified certain determinants of vulnerability for the city: temperature, proportion of open and green spaces to developed areas, construction period of buildings, distribution of age and poverty risk, adaptation strategies used, and risk perception levels assessed for decision makers in the city administration. Certain city districts can be classified as particularly vulnerable. A high level of risk perception was detected among all decision makers and some adaptation measures have already been enacted. In particular, inter-organizational collaboration in adaptation networks works effectively. A deficit in efficient communication between researchers, policy makers, and members of the public was perceived to be the main barrier. This case study exemplifies the assessment of a city’s vulnerability to heatwaves on the basis of particular determinants and can be applied to many other cities.

Policy relevance

The method applied revealed potential improvements and opportunities on the policy level. Strong networks for climate change adaptation are most effective if regular meetings take place, allowing trust and friendship to grow between decision makers. More target-group-oriented information is needed. Emergency organizations, in particular, need more information, because the perception of heatwave risks has only been based thus far on personal experiences. By establishing a central authority, more information could be provided on heatwaves in cities. The need to raise the perception of members of the population and motivate them to take personal responsibility during disasters was emphasized by interviewed decision makers. This can be supported by providing advice during heatwaves through newspapers, TV, and radio. People in risk groups and their relatives could be trained in workshops. City areas that are at high risk should be marked on maps to make relevant information more tangible for decision makers.     

气候变化与海洋生态系统：影响、适应和脆弱性——IPCC AR6 WGⅡ报告之解读

IPCC第六次评估报告(AR6)第二工作组报告第三章开展了气候变化对海洋的影响和风险,以及生态系统及其服务功能、脆弱性和适应评估。AR6明确指出,人为气候变化已经并将继续显著地改变全球和区域海洋的气候影响驱动因子,包括海温升高、海平面上升、海洋酸化和缺氧,以及营养盐浓度变化等海洋物理和化学因子。例如,20世纪80年代以来全球海洋热浪发生的频率已增加了1倍,到21世纪末期可能增加4～8倍。气候影响驱动因子的变化已经对海洋和海岸带生态系统造成了广泛而深远的影响:1)海洋变暖使得海洋物种自1950年代以来以(59.2±15.5) km/(10 a)的速率向极地方向迁移,导致热带海域生物量减少,中纬度海区热带化,极地和亚极地海区浮游植物生长期提前;2)频繁发生的海洋热浪事件已经接近甚至超过了某些海洋生物的耐受极限或其气候临界点,如暖水珊瑚的大规模白化、死亡,海草和大型海藻的大面积消失;3)海洋变暖、缺氧和酸化使得河口区生物群落结构改变,赤潮等有害藻华事件频发,近海和大洋浮游植物生物量和初级生产力下降;4)海平面上升导致海岸带红树林、盐沼和海草床等生态系统的退化;5)未来全球海洋生态系统面临的风险将不断加剧,尤其是在热带和北冰洋海区。其中,当全球升温1.5℃时(最快到21世纪40年代,SSP5-8.5情景),暖水珊瑚礁预计将减少70％～90％;当升温2℃时,几乎所有的(>99％)暖水珊瑚礁将会消失。目前人类社会采取的一些措施(如建立海洋保护区和红树林生态修复)已越来越不能应对日益增长的气候风险,迫切需要发展变革性的行动措施,推动海洋生态系统恢复力的发展,并需尽快采取强有力的减排措施以减缓全球变暖的影响。     

Data and processes linking vulnerability assessment to adaptation decision-making on climate change in Norway

The article focuses on the use of climate change vulnerability assessments in a local decision-making context, with particular reference to recent studies in Norway. We focus on two aspects of vulnerability assessments that we see as key to local decision-making: first, the information generated through the assessments themselves, and second, the institutional linkages to local level decision-making processes. Different research approaches generate different types of data. This is rarely made explicit, yet it has important implications for decision-making. In addressing these challenges we propose a dialectic approach based on exchange, rather than integration of data from different approaches. The focus is on process over product, and on the need for anchoring vulnerability assessments in local decision-making processes. In conclusion, we argue that there is unlikely to be one single ‘correct’ assessment tool or indicator model to make vulnerability assessments matter at a local level.     

气候变化影响适应和脆弱性评估报告进展：IPCC AR5到AR6的新认知

IPCC第六次评估报告第二工作组(IPCC AR6 WGⅡ)重点关注气候变化的影响、风险、适应性和脆弱性。报告以最新的数据、翔实的证据、多元的方法定量评估了气候变化对自然和人类系统的影响。相比于AR5,AR6 WGⅡ取得了以下进展:1)内容上明确了气候变化的影响归因于人为气候强迫、非气候因子作用和天气敏感性识别等三类;气候变化带来的127个关键风险将变得广泛、普遍或不可逆转,将全球变暖限制在1.5℃,可大大减少气候变化对自然和人类系统的损失和破坏,指出来适应转型的重要性;2)在评估方法上,AR6采用了最新的SSPs和RCPs组合的SSPs情景,综合性更强;3) AR6对风险和解决方案的关注有所增加,并在AR5的基础上明确了5个“关注理由(RFCs)”的关键风险面临的风险水平将在较低的全球变暖水平上变为高到极高;4) AR6明确了气候行动的紧迫性,将适应和减缓相结合以支持气候恢复力(CRD)发展,指出了立即行动以应对气候风险的重要性和紧迫性。     

Linking vulnerability, adaptation, and resilience science to practice: Pathways, players, and partnerships

Vulnerability, adaptation and resilience are concepts that are finding increasing currency in several fields of research as well as in various policy and practitioner communities engaged in global environmental change science, climate change, sustainability science, disaster risk-reduction and famine interventions. As scientists and practitioners increasingly work together in this arena a number of questions are emerging: What is credible, salient and legitimate knowledge, how is this knowledge generated and how is it used in decision making? Drawing on important science in this field, and including a case study from southern Africa, we suggest an alternative mode of interaction to the usual one-way interaction between science and practice often used. In this alternative approach, different experts, risk-bearers, and local communities are involved and knowledge and practice is contested, co-produced and reflected upon. Despite some successes in the use and negotiation of such knowledge for ‘real’ world issues, a number of problems persist that require further investigation including the difficulties of developing consensus on the methodologies used by a range of stakeholders usually across a wide region (as the case study of southern Africa shows, particularly in determining and identifying vulnerable groups, sectors, and systems); slow delivery of products that could enhance resilience to change that reflects not only a lack of data, and need for scientific credibility, but also the time-consuming process of coming to a negotiated understanding in science–practice interactions and, finally, the need to clarify the role of ‘external’ agencies, stakeholders, and scientists at the outset of the dialogue process and subsequent interactions. Such factors, we argue, all hinder the use of vulnerability and resilience ‘knowledge’ that is being generated and will require much more detailed investigation by both producers and users of such knowledge.