WATER ALLOCATION IN A CHANGING CLIMATE: INSTITUTIONS AND ADAPTATION

Global warming may profoundly affect temporal and spatial distributions of surface water availability. While climate modelers cannot yet predict regional hydrologic changes with confidence, it is appropriate to begin examining the likely effects of water allocation institutions on society's adaptability to prospective climate change. Such institutions include basic systems of water law, specific statutes, systems of administration and enforcement, and social norms regarding acceptable water-use practices. Both climate and the changing nature of demands on the resource have affected the development and evolution of water allocation institutions in the United States. Water laws and administrative arrangements, for example, have adapted to changing circumstances, but the process of adaptation can be costly and subject to conflict. Analysis of past and ongoing institutional change is used to identify factors that may have a bearing on the costliness of adaptation to the uncertain impacts of global warming on water availability and water demands. Several elements are identified that should be incorporated in the design of future water policies to reduce the potential for disputes and resource degradation that might otherwise result if climate change alters regional hydrology.     

Factors affecting rural landholders’ adaptation to climate change: Insights from formal institutions and communities of practice

This study explores the factors affecting rural landholders’ adaptation to climate change from the perspectives of formal institutions and communities of practice. Semi-structured interviews were conducted with formal institutions (e.g. South Australian government agencies) and communities of practice (e.g. farm systems groups) within two natural resource management regions in South Australia. Both groups noted that rural landholders autonomously adapt to a variety of risks, including those induced by climate variability; however, the types and levels of adaptation varied among individuals as a result of variety of barriers to adaptation. The lack of communication and engagement processes established between formal institutions and communities of practice was one major barrier. The paper presents and discusses a model for transferring knowledge and information on climate change among formal institutions, communities of practice, trusted individual advisors and rural landholders, and for supporting the co-management of climate change across multiple groups in rural agricultural areas in Australia and elsewhere.     

Institutional design propositions for the governance of adaptation to climate change in the water sector

This paper provides an evidence-based contribution to understanding processes of climate change adaptation in water governance systems in the Netherlands, Australia and South Africa. It builds upon the work of Ostrom on institutional design principles for local common pool resources systems. We argue that for dealing with complexities and uncertainties related to climate change impacts (e.g. increased frequency and intensity of floods or droughts) additional or adjusted institutional design propositions are necessary that facilitate learning processes. This is especially the case for dealing with complex, cross-boundary and large-scale resource systems, such as river basins and delta areas in the Netherlands and South Africa or groundwater systems in Western Australia. In this paper we provide empirical support for a set of eight refined and extended institutional design propositions for the governance of adaptation to climate change in the water sector. Together they capture structural, agency and learning dimensions of the adaptation challenge and they provide a strong initial framework to explore key institutional issues in the governance of adaptation to climate change. These institutional design propositions support a “management as learning” approach to dealing with complexity and uncertainty. They do not specify blueprints, but encourage adaptation tuned to the specific features of local geography, ecology, economies and cultures.     

What drives national adaptation? A global assessment

That the climate is changing and societies will have to adapt is now unequivocal, with adaptation becoming a core focus of climate policy. Our understanding of the challenges, needs, and opportunities for climate change adaptation has advanced significantly in recent years yet remains limited. Research has identified and theorized key determinants of adaptive capacity and barriers to adaptation, and more recently begun to track adaptation in practice. Despite this, there is negligible research investigating whether and indeed if adaptive capacity is translating into actual adaptation action. Here we test whether theorized determinants of adaptive capacity are associated with adaptation policy outcomes at the national level for 117 nations. We show that institutional capacity, in particular measures of good governance, are the strongest predictors of national adaptation policy. Adaptation at the national level is limited in countries with poor governance, and in the absence of good governance other presumed determinants of adaptive capacity show limited effect on adaptation. Our results highlight the critical importance of institutional good governance as a prerequisite for national adaptation. Other elements of theorized adaptive capacity are unlikely to be sufficient, effective, or present at the national level where national institutions and governance are poor.     

More than planning: Diversity and drivers of institutional adaptation under climate change in 96 major cities

A key challenge for effective, ongoing urban climate adaptation is to adapt institutions within urban governance. While an extensive foundation of empirical knowledge on urban climate adaptation has accumulated over the last decade, our image of institutional adaptation continues to be dominated by a focus on planning. Whilst understandable, this can obscure a fuller range of areas in which institutional adaptation to climate change is being pursued. Furthermore, methodological path dependency in large-N analysis via a common focus on analyzing formal planning documents risks a skewed perspective as such documents may only offer a partial view. Building on the rich range of work to date assessing climate adaptation in cities, and notwithstanding continued major gaps such as in small-medium cities, we now need to find ways to examine the diversity of institutional adaptation occurring in practice, and to comparatively draw on the situated interpretive knowledge of case experts within individual cities to do so. With this aim in mind, this paper explores institutional adaptation in a specific domain (urban water) in a sample of 96 major cities across six continents through a survey of 319 case experts, examining the diversity of institutional adaptation across contexts and exploratively probing its drivers. Findings show that multiple forms of institutional adaptation are being jointly pursued in cities across all continents, leaning towards ‘softer’ rather than ‘harder’ forms, but nonetheless revealing a wide range of activity. Patterns in drivers suggest a political explanation for institutional adaptation (e.g. involving change agents and political pressure) rather than a rational one (e.g. involving response to climate-related risks and/or extreme events). Overall, there is a need to combine parsimony with expanded interpretive sensibility in advancing large-N research on institutional adaptation diversity in comparative perspective.     

Landscape adaptation to climate change: Local networks,social learning and co-creation processes for adaptive planning

The development of legitimate, operative, and feasible landscape adaptation planning for climate change is dependent on the specific characteristics of the landscape and its inhabitants. Spatial patterns, culture, governance systems, socio-economic structures, planning methods, history, and collectively envisioned futures need to be accommodated. The literature suggests that landscape is a complex and dynamic socio-ecological system, the management and adaptation of which requires systemic and integrative approaches to respond to a wide variety of drivers of change, challenges, and interests. Based on activities developed in 15 European pilot landscapes, we identify some of the key factors and conditions affecting the generation of representative local networks for landscape adaptation to climate change. We illustrate how social learning and co-creation processes can be implemented in them and how their co-produced outcomes can help local communities overcome barriers and address critical issues in adaptive planning. Our results provide a framework for the creation of similar networks in other landscapes, exploring at the same time the interactions between the composition of networks, social learning, and the quality of the co-produced outputs as a fundamental step for the development of Landscape Adaptation Plans to Climate Change.     

Contrasting perspectives on barriers to adaptation in Australian climate change policy

Barriers to adaptation have emerged as key concerns in climate change theory and practice, however there remains little consensus about which barriers are the most significant to different groups and how competing concerns may be addressed. We investigate the significance of different barriers to adaptation for governments, the private sector, and civil society in Australia through a systematic analysis of submissions to the Australian Productivity Commission’s inquiry into barriers to adaptation. Our results show that respondents prioritise barriers differently according to their respective sectors, and that there are competing concerns about which barriers should be addressed first. Nevertheless, some barriers are more persistent in the submissions than others, with governance and policy seen by most groups as being the major impediments to adaptation. We explain the implications of our analysis for adaptation politics and policy.     

The right stuff? informing adaptation to climate change in British Local Government

Local government has a crucial role to play in climate change adaptation, both delivering adaptation strategies devised from above and coordinating bottom-up action. This paper draws on a unique longitudinal dataset to measure progress in adaptation by local authorities in Britain, comparing results from a national-scale survey and follow-up interviews conducted in 2003 with a second wave of research completed a decade later. Whereas a decade ago local authority staff were unable to find scientific information that they could understand and use, we find that these technical-cognitive barriers to adaptation are no longer a major problem for local authority respondents. Thanks to considerable Government investment in research and science brokerage to improve the quality and accessibility of climate information, local authorities have developed their adaptive capacity, and their staff are now engaging with the ‘right’ kind of information in assessing climate change risks and opportunities. However, better knowledge has not translated into tangible adaptation actions. Local authorities face substantial difficulties in implementing adaptation plans. Budget cuts and a lack of political support from central government have sapped institutional capacity and political appetite to address long-term climate vulnerabilities, as local authorities in Britain now struggle even to deliver their immediate statutory responsibilities. Local authority adaptation has progressed farthest where it has been rebranded as resiliency to extreme weather so as to fit with the focus on immediate risks to delivering statutory duties. In the current political environment, adaptation officers need information about the economic costs of weather impacts to local authority services if they are to build the business case for adaptation and gain the leverage to secure resources and institutional license to implement tangible action. Unless these institutional barriers are addressed, local government is likely to struggle to adapt to a changing climate.     

Institutional dimensions of climate change adaptation: insights from the Philippines

Understanding the institutional dimensions of climate change adaptation (CCA) is critical to the adaptation process. The institutional changes that follow the introduction of a CCA measure affect certain areas of governance, including social, political, policy, and other domains that are already exposed to prevailing institutions. Thus, understanding CCA necessitates analysis of the interplays between and among institutions that exist within a hierarchical structure, as well as the examination of how institutions across different scales define the challenges in CCA implementation. This article contributes to this discussion by investigating the challenges in mainstreaming CCA into local land use planning in Albay, Philippines. It applies a four-stage mixed methodology and uses a modified Institutional Analysis and Development framework as its primary analytical guide. Its findings imply that: (1) mainstreaming CCA is a multi-scale, multi-setting endeavour; (2) mainstreaming CCA operationalization involves networks of interacting institutions and institutional arrangements; and (3) addressing the challenges in mainstreaming needs extensive institutional transformations that reach across the various institutional settings within these networks.

POLICY RELEVANCE

This article advocates that, in designing strategies to address the challenges in mainstreaming CCA, analysts, planners, and policy makers must understand that the challenges exist within a network of institutional settings, and that these challenges encompass a chain of institutional interactions or interplays within this network. Accordingly, overcoming these challenges necessitates broad institutional reforms that go beyond the institutional setting where CCA is to be mainstreamed. Moreover, this article suggests that CCA policy making and analysis must focus on the vertical, horizontal, and network linkages and relationships created by institutional arrangements, as well as on the interplays facilitated by these arrangements. More importantly, there is a need to determine whether the institutional interplays between and among existing and planned institutions are complementary, counterproductive, conflicting, overlapping, neutral, or coexisting. Such knowledge will assist policy makers and analysts to understand the existing and potential barriers to, as well as identify opportunities for, adaptation. Consequently, the solutions to address the barriers, and the strategies that can take advantage of the opportunities, can be formulated effectively.     

Adapting California’s water management to climate change

California faces significant water management challenges from climate change, affecting water supply, aquatic ecosystems, and flood risks. Fortunately, the state also possesses adaptation tools and institutional capabilities that can limit vulnerability to changing conditions. Water supply managers have begun using underground storage, water transfers, conservation, recycling, and desalination to meet changing demands. These same tools are promising options for responding to a wide range of climate changes. Likewise, many staples of flood management—including reservoir operations, levees, bypasses, insurance, and land-use regulation—are available for the challenges of increased floods. Yet actions are also needed to improve response capacity. For water supply, a central issue is the management of the Sacramento-San Joaquin Delta, where new conveyance, habitat investments, and regulations are needed to sustain water supplies and protect endangered fish species. For flood management, among the least-examined aspects of water management with climate change, needed reforms include forward-looking reservoir operation planning and floodplain mapping, less restrictive rules for raising local funds, and improved public information on flood risks. For water quality, an urgent priority is better science. Although local agencies are central players, adaptation will require strong-willed state leadership to shape institutions, incentives, and regulations capable of responding to change. Federal cooperation often will be essential.     

Alleviating barriers to urban climate change adaptation through international cooperation

International cooperation on climate change adaptation is regarded as one of the major avenues to reduce vulnerability in developing countries. Nevertheless, it remains unclear which design properties of international arrangements match with specific problems in local adaptation processes. This paper analyses conditions and institutional design options under which international cooperation can facilitate climate adaptation in urban areas in developing countries. We conduct a qualitative meta-analysis of empirical evidence from 23 cases. Using the archetype approach, we identify re-appearing barriers and change factors in urban squatter settlements and municipal public sectors in developing countries. We characterise five generic modes of international cooperation for climate adaptation based on UNFCCC documents, process observation, and literature review. Combining these analyses, we develop testable propositions that explain how specific design options of international arrangements can alleviate barriers and make use of change factors for urban adaptation in developing countries. We find, first, that international cooperation has the most potential to tackle adaptation barriers in squatter settlements if its institutional mechanisms support improvements of procedures and rights in localised state–society interactions. Second, national or regional centres of competence may foster endogenous dynamics in municipal public sectors. Third, national adaptation policies can enable and incentivise municipal adaptation. Fourth, flexible indicators of adaptation benefits are instruments to tailor international decision making and monitoring systems to local needs. We conclude that these insights, the archetypes approach, and a multi-level study design can be used to advance research on international cooperation, barriers, and success factors for climate change adaptation.     

Social capital,individual responses to heat waves and climate change adaptation: An empirical study of two UK cities

It has been claimed that high social capital contributes to both positive public health outcomes and to climate change adaptation. Strong social networks have been said to support individuals and collective initiatives of adaptation and enhance resilience. As a result, there is an expectation that social capital could reduce vulnerability to risks from the impacts of climate change in the health sector. This paper examines evidence on the role social networks play in individuals’ responses to heat wave risk in a case study in the UK. Based on interviews with independently living elderly people and their primary social contacts in London and Norwich, we suggest that strong bonding networks could potentially exacerbate rather than reduce the vulnerability of elderly people to the effects of heat waves. Most respondents interviewed did not feel that heat waves posed a significant risk to them personally, and most said that they would be able to cope with hot weather. Bonding networks could perpetuate rather than challenge these narratives and therefore contribute to vulnerability rather than ameliorating it. These results suggest a complex rather than uniformly positive relationship between social capital, health and adaptation to climate change.     

Institutional Adaptation of Water Resource Infrastructures to Climate Change in Eastern Ontario

Institutional barriers and bridges to local climate change impacts adaptation affecting small rural municipalities and Conservation Authorities (CAs are watershed agencies) in Eastern Ontario (Canada) are examined, and elements of a community-based adaptation strategy related to water infrastructures are proposed as a case-study in community adaptation to climate change. No general water scarcity is expected for the region even under unusually dry weather scenarios. Localized quantity and quality problems are likely to occur especially in groundwater recharge areas. Some existing institutions can be relied on by municipalities to build an effective adaptation strategy based on a watershed/region perspective, on their credibility, and on their expertise. Windows of opportunity or framing issues are offered at the provincial level, the most relevant one in a federal state, by municipal emergency plan requirements and pending watershed source water protection legislation. Voluntary and soon to be mandated climate change mitigation programs at the federal level are other ones.     

Planning for climate change in small islands: Insights from national hurricane preparedness in the Cayman Islands

This paper examines contemporary national scale responses to tropical storm risk in a small island in the Caribbean to derive lessons for adapting to climate change. There is little empirical evidence to guide national planners on how to adapt to climate change, and less still on how to build on past adaptation experiences. The paper investigates the construction of institutional resilience and the process of adaptation to tropical storm risk by the Cayman Islands’ Government from 1988 to 2002. It explains the roles of persuasion, exposure and collective action as key components in developing the ability to buffer external disturbance using models of institutional economics and social resilience concepts. The study finds that self-efficacy, strong local and international support networks, combined with a willingness to act collectively and to learn from mistakes appear to have increased the resilience of the Cayman Islands’ Government to tropical storm risk. The lessons learned from building resilience to storm risk can contribute to the creation of national level adaptive capacity to climate change, but climate change has to be prioritised before these lessons can be transferred.     

The effectiveness of communicative tools in addressing barriers to municipal climate change adaptation: lessons from the Netherlands

Little research has been done on the effectiveness of communicative tools for climate change adaptation. Filling this knowledge gap is relevant, as many national governments rely on communicative tools to raise the awareness and understanding of climate impacts, and to stimulate adaptation action by local governments. To address this knowledge gap, this study focuses on the effectiveness of communicative tools in addressing key municipal barriers to climate change adaptation, by conducting a large N-size empirical study in the Netherlands. This study explores the effectiveness of these tools in theory, by checking whether their goals match the perceived barriers to municipal climate change adaptation, and the effectiveness in practice by analysing whether they are used and perceived as useful. Document analyses have clarified the assumptions underlying the tools. By conducting semi-structured interviews with 84 municipalities the key barriers to climate change adaptation and the use and usefulness of the tools in practice were analysed. The research revealed that the key barriers experienced by municipalities are a lack of urgency, a lack of knowledge of risks and measures, and limited capacity, the first being the primary one. Communicative tools, while being effective in theory, are not sufficiently effective in practice in addressing the key barriers. Municipalities that are not experiencing a sense of urgency to take on adaptation planning are not likely to be activated by the tools. Advanced municipalities need more sophisticated tools. This article concludes with some suggestions to improve the effectiveness of communicative tools.

Key policy insights

• Although effective in theory in addressing key barriers to municipal adaptation planning, the effectiveness in practice of communicative tools is limited.

• To increase their effectiveness in practice, municipalities’ awareness of the existence of the communicative tools needs to be raised.

• Advanced municipalities need more sophisticated tools that are context-specific and address a wide range of climate risks.

• The effectiveness of communicative tools can be improved by embedding them in a wider mix of policy instruments.

     

Exploratory analyses of local institutions for climate change adaptation in the Mongolian grasslands: An agent-based modeling approach

There has been a decrease in grazing mobility in the Mongolian grasslands over the past decades. Sedentary grazing with substantial external inputs has increased the cost of livestock production. As a result, the livelihoods of herders have become more vulnerable to climate variability and change. Sedentary grazing is the formal institutional arrangement in Inner Mongolia, China. However, this may not be an efficient institutional arrangement for climate change adaptation. Self-organized local institutions for climate change adaptation have emerged and are under development in the study area. In this study, we did exploratory analyses of multiple local institutions for climate change adaptation in the Mongolian grasslands, using an agent-based modeling approach. Empirical studies from literature and our field work show that sedentary grazing, pasture rental markets, and reciprocal pasture-use groups are three popular institutional arrangements in the study area. First, we modeled the social–ecological performance (i.e., livelihood benefits to herders and grassland quality) of these institutions and their combinations under different climate conditions. Second, we did exploratory analyses of multiple social mechanisms for facilitating and maintaining cooperative use of pastures among herders. The modeling results show that in certain value-ranges of some model parameters with assumed values, reciprocal pasture-use groups had better performance than pasture rental markets; and the comparative advantage of cooperative use of pastures over sedentary grazing without cooperation becomes more evident with the increase in drought probability. Agent diversity and social norms were effective for facilitating the development of reciprocal pasture-use groups. Kin selection and punishments on free-riders were useful for maintaining cooperation among herders.     

Evaluation of hydrological effect of stakeholder prioritized climate change adaptation options based on multi-model regional climate projections

An integrated process involving participatory and modelling approaches for prioritizing and evaluating climate change adaptation options for the Kangsabati reservoir catchment is presented here. We assess the potential effects of climate change on water resources and evaluate the ability of stakeholder prioritized adaptation options to address adaptation requirements using the Water Evaluation And Planning (WEAP) model. Two adaptation options, check dams and increasing forest cover, are prioritized using pair-wise comparison and scenario analysis. Future streamflow projections are generated for the mid-21^st century period (2021–2050) using four high resolution (~25 km) Regional Climate Models and their ensemble mean for SRES A1B scenario. WEAP simulations indicate that, compared to a base scenario without adaptation, both adaptation options reduce streamflow. In comparison to check dams, increasing forest cover shows greater ability to address adaptation requirements as demonstrated by the temporal pattern and magnitude of streamflow reduction. Additionally, over the 30 year period, effectiveness of check dams in reducing streamflow decreases by up to 40 %, while that of forest cover increases by up to 47 %. Our study highlights the merits of a comparative assessment of adaptation options and we conclude that a combined approach involving stakeholders, scenario analysis, modelling techniques and multi-model projections may support climate change adaptation decision-making in the face of uncertainty.     

Climate policy meets national development contexts: Insights from Kenya and Mozambique

Despite the growth in work linking climate change and national level development agendas, there has been limited attention to their political economy. These processes mediate the winners, losers and potential trade-offs between different goals, and the political and institutional factors which enable or inhibit integration across different policy areas. This paper applies a political economy analysis to case studies on low carbon energy in Kenya and carbon forestry in Mozambique. In examining the intersection of climate and development policy, we demonstrate the critical importance of politics, power and interests when climate-motivated initiatives encounter wider and more complex national policy contexts, which strongly influence the prospects of achieving integrated climate policy and development goals in practice. We advance the following arguments: First, understanding both the informal nature and historical embeddedness of decision making around key issue areas and resource sectors of relevance to climate change policy is vital to engaging actually existing politics; why actors hold the positions they do and how they make decisions in practice. Second, we need to understand and engage with the interests, power relations and policy networks that will shape the prospects of realising climate policy goals; acting as barriers in some cases and as vehicles for change in others. Third, by looking at the ways in which common global drivers have very different impacts upon climate change policy once refracted through national levels institutions and policy processes, it is easier to understand the potential and limits of translating global policy into local practice. And fourth, climate change and development outcomes, and the associated trade-offs, look very different depending on how they are framed, who frames them and in which actor coalitions. Understanding these can inform the levers of change and power to be navigated, and with whom to engage in order to address climate change and development goals.     

Adaptive and risk-based approaches to climate change and the management of uncertainty and institutional risk: The case of future flooding in England

This paper focuses on how scientific uncertainties about future peak flood flows and sea level rises are accounted for in long term strategic planning processes to adapt inland and coastal flood risk management in England to climate change. Combining key informant interviews (n = 18) with documentary analysis, it explores the institutional tensions between adaptive management approaches emphasising openness to uncertainty and to alternative policy options on the one hand and risk-based ones that close them down by transforming uncertainties into calculable risks whose management can be rationalized through cost-benefit analysis and nationally consistent, risk-based priority setting on the other hand. These alternative approaches to managing uncertainty about the first-order risks to society from future flooding are shaped by institutional concerns with managing the second-order, ‘institutional’ risks of criticism and blame arising from accountability for discharging those first-order risk management responsibilities. In the case of river flooding the poorly understood impacts of future climate change were represented with a simplistic adjustment to peak flow estimates, which proved robust in overcoming institutional resistance to making precautionary allowances for climate change in risk-based flood management, at least in part because its scientific limitations were acknowledged only partially. By contrast in the case of coastal flood risk management, greater scientific confidence led to successively more elaborate guidance on how to represent the science, which in turn led to inconsistency in implementation and increased the institutional risks involved in taking the uncertain effects of future sea level rise into account in adaptation planning and flood risk management. Comparative analysis of these two cases then informs some wider reflections about the tensions between adaptive and risk-based approaches, the role of institutional risk in climate change adaptation, and the importance of such institutional dynamics in shaping the framing uncertainties and policy responses to scientific knowledge about them.     

Transforming barriers into enablers of action on climate change: Insights from three municipal case studies in British Columbia,Canada

Despite a wealth of financial, technical, and human capacity in Canadian cities, it remains a challenging task to transform this capacity into effective climate change adaptation and mitigation. Indeed, mitigative and adaptive capacities only represent the potential to achieve the ultimate goals of greenhouse gas and vulnerability reduction. This paper builds on previous explorations of barriers to identify powerful levers by which action can be triggered and sustained at the local level through the study of three municipalities in the Lower Mainland of British Columbia, Canada. The necessity of an explicitly articulated high-level directive, leadership that stimulates an organizational culture of innovation and collaboration, and the ‘institutionalization’ of climate change response measures within standard operating procedures emerged as crucial enablers of action. Addressing a lack of technical, financial, or human resources is less a matter of creating more capacity than of facilitating the effective use of existing resources. This facilitation depends most fundamentally on re-working the path dependent institutional structures, organizational culture and policy-making procedures that have characterized the unsuccessful patterns of climate change policy development in the past. The ultimate goal is to contribute to the ongoing efforts to adapt institutions to the complex and uncertain futures associated with a changing climate, while simultaneously embedding broader sustainability goals in long-range strategic planning.