Adaptive capacity and human cognition: The process of individual adaptation to climate change

Adaptation has emerged as an important area of research and assessment among climate change scientists. Most scholarly work has identified resource constraints as being the most significant determinants of adaptation. However, empirical research on adaptation has so far mostly not addressed the importance of measurable and alterable psychological factors in determining adaptation. Drawing from the literature in psychology and behavioural economics, we develop a socio-cognitive Model of Private Proactive Adaptation to Climate Change (MPPACC). MPPACC separates out the psychological steps to taking action in response to perception, and allows one to see where the most important bottlenecks occur—including risk perception and perceived adaptive capacity, a factor largely neglected in previous climate change research. We then examine two case studies—one from urban Germany and one from rural Zimbabwe—to explore the validity of MPPACC to explaining adaptation. In the German study, we find that MPPACC provides better statistical power than traditional socio-economic models. In the Zimbabwean case study, we find a qualitative match between MPPACC and adaptive behaviour. Finally, we discuss the important implications of our findings both on vulnerability and adaptation assessments, and on efforts to promote adaptation through outside intervention.     

Urban vulnerability to temperature-related hazards: A meta-analysis and meta-knowledge approach

Research on urban vulnerability has grown considerably during recent years, yet consists primarily of case studies based on conflicting theories and paradigms. Assessing urban vulnerability is also generally considered to be context-dependent. We argue, however, that it is possible to identify some common patterns of vulnerability across urban centers and research paradigms and these commonalities hold potential for the development of a common set of tools to enhance response capacity within multiple contexts. To test this idea we conduct an analysis of 54 papers on urban vulnerability to temperature-related hazards, covering 222 urban areas in all regions of the world. The originality of this effort is in the combination of a standard metaanalysis with a meta-knowledge approach that allows us not only to integrate and summarize results across many studies, but also to identify trends in the literature and examine differences in methodology, theoretical frameworks and causation narratives and thereby to compare “apples to oranges.” We find that the vast majority of papers examining urban vulnerability to temperature-related hazards come from an urban vulnerability as impact approach, and cities from middle and low income countries are understudied. One of the challenges facing scholarship on urban vulnerability is to supplement the emphasis on disciplinary boxes (e.g., temperature–mortality relationships) with an interdisciplinary and integrated approach to adaptive capacity and structural drivers of differences in vulnerability.     

Identifying hot spots of security vulnerability associated with climate change in Africa

Given its high dependence on rainfed agriculture and its comparatively low adaptive capacity, Africa is frequently invoked as especially vulnerable to climate change. Within Africa, there is likely to be considerable variation in vulnerability to climate change both between and within countries. This paper seeks to advance the agenda of identifying the hot spots of what we term “climate security” vulnerability, areas where the confluence of vulnerabilities could put large numbers of people at risk of death from climate-related hazards. This article blends the expertise of social scientists and climate scientists. It builds on a model of composite vulnerability that incorporates four “baskets” or processes that are thought to contribute to vulnerability including: (1) physical exposure, (2) population density, (3) household and community resilience, and (4) governance and political violence. Whereas previous iterations of the model relied on historical physical exposure data of natural hazards, this paper uses results from regional model simulations of African climate in the late 20th century and mid-21st century to develop measures of extreme weather events—dry days, heat wave events, and heavy rainfall days—coupled with an indicator of low-lying coastal elevation. For the late 20th century, this mapping process reveals the most vulnerable areas are concentrated in Chad, the Democratic Republic of the Congo, Niger, Somalia, Sudan, and South Sudan, with pockets in Burkina Faso, Ethiopia, Guinea, Mauritania, and Sierra Leone. The mid 21st century projection shows more extensive vulnerability throughout the Sahel, including Burkina Faso, Chad, Mali, northern Nigeria, Niger, and across Sudan.     

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.     

Climate change policy responses for Canada's Inuit population: The importance of and opportunities for adaptation

We identify and examine how policy intervention can help Canada's Inuit population adapt to climate change. The policy responses are based on an understanding of the determinants of vulnerability identified in research conducted with 15 Inuit communities. A consistent approach was used in each case study where vulnerability is conceptualized as a function of exposure-sensitivity to climatic risks and adaptive capacity to deal with those risks. This conceptualization focuses on the biophysical and human determinants of vulnerability and how they are influenced by processes and conditions operating at multiple spatial-temporal scales. Case studies involved close collaboration with community members and policy makers to identify conditions to which each community is currently vulnerable, characterize the factors that shape vulnerability and how they have changed over time, identify opportunities for adaptation policy, and examine how adaptation can be mainstreamed. Fieldwork, conducted between 2006 and 2009, included 443 semi-structured interviews, 20 focus groups/community workshops, and 65 interviews with policy makers at local, regional, and national levels. Synthesizing findings consistent across the case studies we document significant vulnerabilities, a function of socio-economic stresses and change, continuing and pervasive inequality, and magnitude of climate change. Nevertheless, adaptations are available, feasible, and Inuit have considerable adaptive capacity. Realizing this adaptive capacity and overcoming adaptation barriers requires policy intervention to: (i) support the teaching and transmission of environmental knowledge and land skills, (ii) enhance and review emergency management capability, (iii) ensure the flexibility of resource management regimes, (iv) provide economic support to facilitate adaptation for groups with limited household income, (v) increase research effort to identify short and long term risk factors and adaptive response options, (vi) protect key infrastructure, and (vii) promote awareness of climate change impacts and adaptation among policy makers.     

Examining barriers and opportunities for sustainable adaptation to climate change in Interior Alaska

Human adaptation to climate change is comprised of “adjustments” in response to (or anticipation of) climatic impacts. Adaptation does not necessarily imply favorable or equitable change, nor does it automatically imply sustainable use of ecosystems. “Sustainable adaptation” in this case implies strategic, collective action to respond to or anticipate harmful climate change to reduce disruption to key resource flows and adverse effects on general well-being. This research examined social-ecological system responses to recent warming trends in the remote northwest region of Interior Alaska using a unique vulnerability and adaptive capacity assessment (VA) approach that integrated indigenous observations and understanding of climate (IC) with western social and natural sciences. The study found that Alaska Native communities that were historically highly mobile and flexible across the landscape for subsistence hunting are increasingly restricted by the institutional rigidity of the regulatory system for wildlife and subsistence management. This has resulted in negative impacts to game harvest access and success threatening food security and community well-being. This suggests that policies limiting the ability of natural resource-dependent societies to be flexible, diversify, or innovate can threaten livelihoods and exacerbate vulnerability. Nevertheless, opportunities for sustainable adaptation exist where wildlife management is adaptive and includes an understanding of and response to climate variability and slow-onset climate change with the human dimensions of subsistence hunting for more effective “in-season” management.     

Public perceptions of rainfall change in India

People’s perceptions of changes in local weather patterns are an important precursor to proactive adaptation to climate change. In this paper, we consider public perceptions of changes in average rainfall in India, analyzing the relationship between perceptions and the instrumental record. Using data from a national sample survey, we find that local instrumental records of precipitation are a strong predictor of perceived declines in rainfall. Perceptions of decreasing rainfall were also associated with perceptions of changes in extreme weather events, such as decreasing frequency of floods and severe storms, increasing frequency of droughts, and decreasing predictability of the monsoon. Higher social vulnerability—including low perceived adaptive capacity and greater food and livelihood dependence on local weather—was also associated with perceptions of decreasing rainfall. While both urban and rural respondents were likely to perceive local changes in precipitation, we show that rural respondents in general were more sensitive to actual changes in precipitation. Individual perceptions of changes in local climate may play an important role in shaping vulnerability to global climate change, adaptive behavior, and support for adaptation and mitigation policies. Awareness of local climate change is therefore particularly important in regions where much of the population is highly exposed and sensitive to the impacts of climate change.     

Quantifying urban water supply security under global change

Urban water supply security is commonly measured in terms of per capita water availability at the city level. However, the actual services that citizens receive are influenced by several components, including (1) a city's access to water, (2) infrastructure for its treatment, storage and distribution, (3) financial capital for building and maintaining infrastructure, and (4) management efficacy for regulating and operating the water system. These four types of "capital" are required for the provision of public water supply services. A fifth capital “community adaptation” is needed when public services are insufficient. Here, we develop and test an integrated framework for the quantification of urban water supply security based on these five capitals. “Security” involves three dimensions: 1) the level of system function (i.e., supply services); 2) risks to these services; and 3) robustness of system functioning. We apply this Capital Portfolio Approach (CPA) to seven urban case studies selected from a wide range of hydro-climatic and socio-economic regions on four continents. Detailed data on urban water infrastructure and services were collected in two cities, and key stakeholder interviews and household surveys were conducted in one city. Additional cities were assessed based on publicly available utility and globally available datasets. We find that in cities with high levels of public services, adaptive capacity remains inactive, while cities with high levels of water insecurity rely on community adaptation for self-provision of services. Inequality in the capacity to adapt leads to variable levels of urban water security and the vulnerability of the urban poor. Results demonstrate the applicability of the presented framework for the assessment of individual urban water systems, as well as for cross-city comparison of any type of cities. We discuss implications for policy and decision-making.     

Accessing adaptation: Multiple stressors on livelihoods in the Bolivian highlands under a changing climate

Smallholder farmers continuously confront multiple social and environmental stressors that necessitate changes in livelihood strategies to prevent damages and take advantage of new opportunities, or adaptation. Vulnerability, meaning susceptibility to harm, is attributable to social determinants that limit access to assets, leading to greater exposure and sensitivity to stressors and a limited capacity to adapt. Stressors and adaptation are intertwined because stressors deplete resources available for adaptation, while adaptation may erode resources available to respond to future stressors. We present empirical evidence demonstrating the interactions of multiple stressors and adaptations over time through a case study of indigenous farmers in highland Bolivia. We examine how farmers perceive the stress on their livelihoods, their strategies for adapting to these threats, and the influence of past adaptation and exposure on vulnerability under increasing climatic change. We find that vulnerability changes over time as multiple stressors, such as land scarcity and delayed seasonal rainfall, compound, simultaneously reducing access and demanding the expenditure of household assets for adaptation, including natural capital (water and land), human capital (including labor), and financial, physical, and social capital. To reduce vulnerability over time, constraints on access to key resources must be addressed, allowing households the flexibility to reduce their exposure and improve their adaptive capacity to the multiple stressors they confront.     

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.     

Vulnerability of Aboriginal health systems in Canada to climate change

Climate change has been identified as potentially the biggest health threat of the 21st century. Canada in general has a well developed public health system and low burden of health which will moderate vulnerability. However, there is significant heterogeneity in health outcomes, and health inequality is particularly pronounced among Aboriginal Canadians. Intervention is needed to prevent, prepare for, and manage climate change effects on Aboriginal health but is constrained by a limited understanding of vulnerability and its determinants. Despite limited research on climate change and Aboriginal health, however, there is a well established literature on Aboriginal health outcomes, determinants, and trends in Canada; characteristics that will determine vulnerability to climate change. In this paper we systematically review this literature, using a vulnerability framework to identify the broad level factors constraining adaptive capacity and increasing sensitivity to climate change. Determinants identified include: poverty, technological capacity constraints, socio-political values and inequality, institutional capacity challenges, and information deficit. The magnitude and nature of these determinants will be distributed unevenly within and between Aboriginal populations necessitating place-based and regional level studies to examine how these broad factors will affect vulnerability at lower levels. The study also supports the need for collaboration across all sectors and levels of government, open and meaningful dialogue between policy makers, scientists, health professionals, and Aboriginal communities, and capacity building at a local level, to plan for climate change. Ultimately, however, efforts to reduce the vulnerability of Aboriginal Canadians to climate change and intervene to prevent, reduce, and manage climate-sensitive health outcomes, will fail unless the broader determinants of socio-economic and health inequality are addressed.     

适应性治理与气候变化：内蒙古草原案例分析与对策探讨

适应性治理通过边学边做,针对各地方的社会经济条件、自然生态系统、地方知识文化等基本特征,基于一个动态、自下而上和自组织的过程不断测试和修正制度安排与知识体系,形成一个旨在解决实际问题的循环过程。通过内蒙古3个地区案例的对比分析研究,基于对其气候变化风险和社会脆弱性的评估,发现其在气候变化影响下形成的不同程度的社会脆弱性正是源于不同的草原利用机制和基于此的社会合作机制。正是因为3个案例地的牧民有着不同的社会资本和社会记忆,所以他们面对极端天气导致的自然灾害时,采取了不同的应对方式,有的牧户可以依赖于社会资本移动牲畜来渡过难关,有的牧户则可以在嘎查范围内重启社会记忆,通过合理安排草场利用和移动牲畜提高自身的抗灾能力,而有的牧户则只能通过买草料独立抗灾。这样不同的结果有力证明了适应性治理在提升这些地区气候变化应对能力方面的必要性和可行性。在地区层面引入适应性治理,可以满足各利益相关方的需求,有利于自然、社会及管理的多学科协同,与“未来地球计划”的协同设计、协同实施和协同推广理念不谋而合,是“未来地球”思想在气候变化适应研究中的实践。     

Adaptive capacity and its assessment

This paper reviews the concept of adaptive capacity and various approaches to assessing it, particularly with respect to climate variability and change. I find that adaptive capacity is a relatively under-researched topic within the sustainability science and global change communities, particularly since it is uniquely positioned to improve linkages between vulnerability and resilience research. I identify opportunities for advancing the measurement and characterization of adaptive capacity by combining insights from both vulnerability and resilience frameworks, and I suggest several assessment approaches for possible future development that draw from both frameworks and focus on analyzing the governance, institutions, and management that have helped foster adaptive capacity in light of recent climatic events.     

A spatially explicit scenario-driven model of adaptive capacity to global change in Europe

Traditional impact models combine exposure in the form of scenarios and sensitivity in the form of parameters, providing potential impacts of global change as model outputs. However, adaptive capacity is rarely addressed in these models. This paper presents the first spatially explicit scenario-driven model of adaptive capacity, which can be combined with impact models to support quantitative vulnerability assessment. The adaptive capacity model is based on twelve socio-economic indicators, each of which is projected into the future using four global environmental change scenarios, and then aggregated into an adaptive capacity index in a stepwise approach using fuzzy set theory. The adaptive capacity model provides insight into broad patterns of adaptive capacity across Europe, the relative importance of the various determinants of adaptive capacity, and how adaptive capacity changes over time under different social and economic assumptions. As such it provides a context for the implementation of specific adaptation measures. This could improve integrated assessment models and could be extended to other regions. However, there is a clear need for a better theoretical understanding of the adaptive capacity concept, and its relationship to the actual implementation of adaptation measures. This requires more empirical research and coordinated meta-analyses across regions and economic sectors, and the development of bottom-up modelling techniques that can incorporate human decision making.     

Multi-temporal assessment of vulnerability to climate change: insights from the agricultural sector in Mexico

Vulnerability to climate change was evaluated for three different time periods: 1990, 2000, and 2010. Our objective was to discuss the scope of a multi-temporal assessment of vulnerability. The method used 55 indicators—with emphasis on the agricultural sector in Mexico—of which 27 were updated for the year 2010 and 33 were retrospectively estimated for the year 1990. The results show that in the 20-year study period, the exposure of the municipalities (and inhabitants) has increased, and sensitivity and adaptive capacity have decreased. The number of municipalities vulnerable to climate change declined over the 20-year period. We found that calculating vulnerability by adding exposure and sensitivity and subtracting adaptive capacity (E?+?S???AC) can lead to unintentional underestimation of total vulnerability. When rating vulnerability, care must be taken in what is reported: the results differ for the number of inhabitants versus the number of municipalities. Our previous published vulnerability evaluation was for the year 2000, so we wanted to evaluate the sensitivity of some variables and the vulnerability formula itself we used in that moment. It is possible to evaluate the vulnerability multi-temporally, which allows to evaluate the sensibility and calibration of the variables and indicators used and the reconsideration of their application.     

Identifying thresholds and barriers to adaptation through measuring climate sensitivity and capacity to change in an Australian primary industry

Primary producers, including graziers, crop farmers and commercial fishers are especially vulnerable to climate change because they depend on highly climate-sensitive natural resources. Adaptation to climate change will make a major difference to the severity of the impacts experienced. However, individuals (resource users) can erect sometimes seemingly peculiar barriers to potential adaptation options that need to be addressed if adaptation is to be effective. Our aim was to understand the nature of barriers to change for cattle graziers in the northern Australian rangelands. We conceptualised barriers as adverse reactions where resource users are unlikely to contemplate adaptations that threaten core values or perceptions about themselves. We assumed that resource users that were more sensitive to climate change impacts—or more dependent on the resource—were more proximate to thresholds of coping and thus more likely to erect barriers, especially people with little adaptive capacity. Given that climate sensitivity and adaptive capacity are important components of vulnerability, our approach was to conduct a vulnerability assessment to identify potential but important barriers to change. Data from 240 graziers suggest that graziers in northern Australia might be especially vulnerable to climate change because their identity, place attachment, low employability, weak networks and dependents can make them sensitive to change, and their sensitivity can be compounded by a low adaptive capacity. We argue that greater attention needs to be placed on the social context of climate change impacts and on the processes shaping vulnerability and adaptation, especially at the scale of the individual.     

The art of adaptation: Living with climate change in the rural American Southwest

As adaptation has come to the forefront in climate change discourse, research, and policy, it is crucial to consider the effects of how we interpret the concept. This paper draws attention to the need for interpretations that foster policies and institutions with the breadth and flexibility to recognize and support a wide range of locally relevant adaptation strategies. Social scientists have argued that, in practice, the standard definition of adaptation tends to prioritize economic over other values and technical over social responses, draw attention away from underlying causes of vulnerability and from the broader context in which adaptive responses take place, and exclude discussions of inequality, justice, and transformation. In this paper, we discuss an alternate understanding of adaptation, which we label “living with climate change,” that emerged from an ethnographic study of how rural residents of the U.S. Southwest understand, respond to, and plan for weather and climate in their daily lives, and we consider how it might inform efforts to develop a more comprehensive definition. The discussion brings into focus several underlying features of this lay conception of adaptation, which are crucial for understanding how adaptation actually unfolds on the ground: an ontology based on nature–society mutuality; an epistemology based on situated knowledge; practice based on performatively adjusting human activities to a dynamic biophysical and social environment; and a placed-based system of values. We suggest that these features help point the way toward a more comprehensive understanding of climate change adaptation, and one more fully informed by the understanding that we are living in the Anthropocene.     

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.     

Climate change in arid lands and Native American socioeconomic vulnerability: The case of the Pyramid Lake Paiute Tribe

The case of the Pyramid Lake Paiute Tribe exemplifies tribal vulnerabilities as a result of climate change. Preliminary socio-economic data and analysis reveal that the tribe’s vulnerability to climate change is related to cultural and economic dependence on Pyramid Lake, while external socio-economic vulnerability factors influence adaptive capacity and amplify potential impacts. Reduced water supplies as a consequence of climate change would result in a compounded reduction of inflows to Pyramid Lake, thus potentially impacting the spawning and sustenance of a cultural livelihood, the endangered cui-ui fish (Chasmistes cujus). Meanwhile, limited economic opportunities and dwindling federal support constrain tribal adaptive capacity. Factors that contribute to tribal adaptive capacity include: sustainability-based values, technical capacity for natural resource management, proactive initiatives for the control of invasive-species, strong external scientific networks, and remarkable tribal awareness of climate change.     

The role of adaptive capacity in incremental and transformative adaptation in three large U.S. Urban water systems

Urban water systems need to serve increasing numbers of people under a changing climate. Studies of systems facing extreme events, such as drought, can clarify the nature of adaptive capacity and whether this might support incremental (marginal changes) or transformative adaptation (fundamental system shifts) to climate change. We conducted comparative case studies of three major metropolitan water systems in the United States to understand how actions taken in response to drought affected adaptive capacity and whether the adaptive capacity observed in these systems fosters the preconditions needed for transformative adaptation. We find that while there is ample evidence of existing and potential adaptive capacity, this can be either enabled or diminished by the specific actions taken and their cascading effects on other parts of the system. We also find social dimensions, such as public acceptance, learning, trust, and collaboration, to be as critical as physical elements of adaptive capacity in urban water systems. Finally, we suggest that changes in practices initiated during drought, combined with sustained engagement, collaboration, and education, can lead to substantial and long-lasting changes in values around water, a precursor to transformative adaptation.