气候变化背景下的洪涝风险稳健决策方法评述

分析了深度不确定性内涵及其特点,包括情景不确定、决策后果不确定和决策方案不确定,指出了传统洪涝风险决策方法过于依赖于气候变化预测结果,未能充分考虑深度不确定性及提供稳健决策。给出了国际上处理深度不确定性的稳健决策方法理论基础,并介绍了被广泛应用于洪涝风险领域的鲁棒决策、信息差距及适应对策路径3种稳健决策方法。对比分析发现,鲁棒决策法有完备的适应措施定量评估体系但计算量大且不易理解;信息差距法可解决不能以概率表式的不确定性问题,而未考虑适应对策的失效情景;适应对策路径法提供可视化的决策路径,未能充分考虑社会经济的不确定性。提出未来可综合鲁棒决策和适应对策路径优点,为减少不确定性、降低洪涝灾害风险、制定适应气候变化策略提供参考。     

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

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

Reflexive adaptation for resilient water services: Lessons for theory and practice

‘Adaptive management’ concern attempts to manage complex social-ecological and socio-technical systems in nimble ways to enhance their resilience. In this paper, three forms of adaptive management are identified, ‘scientific’ forms focused on collation of scientific data in response to management experiments, but more recent developments adding processes of collaboration as well as emphasising the need for reflexivity, that is, conscious processes of opening up debates to different perspectives and values. While reflexive adaptive management has been increasingly discussed in theory, there is a lack of examples of what its application means in practice.As a response, this paper examines an ‘Adaptive Planning Process’ (APP), seeking to apply reflexive adaptive management as a means to improve climate resilience in the UK water sector. The APP’s three inter linked workshops – Aspiration, Scenario and Roadmapping – were co-developed and trialled in a water utility. By describing and justifying the choices made in the development of the APP, the paper aims to reveal some of the challenges that arise when trying to design processes that achieve reflexive adaptation.The paper concludes that, if applied to planning for climate change, reflexive adaptation has the potential to explore multiple value positions, highlight different potential futures and acknowledge (and hence, partly address) power differentials, and therefore to offer the possibility of real change. On the basis of the trial, we argue that through tapping the depth and breadth of internal knowledge the APP process created the potential for decision making to be joined up across different parts of the utility, and hence offering new strategies and routes for addressing uncertainties and delivering more resilient water services.     

Advancing the use of scenarios to understand society’s capacity to achieve the 1.5 degree target

With a range of potential pathways to a sustainable future compatible with the Paris Agreement 1.5 °C target, scenario analysis has emerged as a key tool in studies of climate change mitigation and adaptation. A wide range of alternative scenarios have been created, and core amongst these are five socio-economic scenarios (Shared Socio-economic Pathways or SSPs) and four emission scenarios (Representative Concentration Pathways or RCPs). Whilst mitigation scenarios (the Shared Policy Assumptions, or SPAs) have been developed for each SSP-RCP combination, describing the actions necessary to match the climate pathway of the RCP, there has not yet been a systematic approach to address whether and how these actions can be enabled in practice.We present a novel and transferable framework to understand society’s capacity to achieve the 1.5 °C target, based on four participatory case studies using the SSP-RCP scenarios. The methodology builds on a framework for categorising different types of societal capitals and capacities and assessing their impact on the potential to implement different types of mitigation actions. All four case studies show that SSP1 has the highest potential to reach the target. Although environmental awareness is high in both SSP1 and SSP4, continued social inequalities in SSP4 restrict society’s capacity to transform, despite economic growth. In the two least environmentally-aware SSPs, SSP3 and SSP5, the transformation potential is low, but the view on capitals and capacities nonetheless helps identify opportunities for actors to develop and implement mitigation actions.The study highlights that techno-economic assessments of climate strategies need to be complemented by consideration of the critical role played by social and human capital, and by societal capacity to mobilise and create these capitals despite different socio-economic trends. These capitals and capacities are essential to enable the rapid innovation, behavioural change and international co-ordination needed to achieve the 1.5 °C target.     

Divergent adaptation to climate variability: A case study of pastoral and agricultural societies in Niger

Adaptation is a complex, dynamic, and sometimes unequal process. Stemming from social ecological systems theories of climate change adaptation and adaptive capacity, this case study introduces the concept of ‘divergent’ adaptation. Adaptation is divergent when one user or group's adaptation causes a subsequent reduction in another user or group's adaptive capacity in the same ecosystem. Using the example of pastoral and agricultural groups in northern and southern rainfall zones of Niger, this study illustrates the concept of divergent adaptation by identifying changes to the adaptive capacity of users who are currently engaged in conflicts over access to natural resources. Similar to other studies, we find that expansion of farmland and the consequent loss of pastoral space are restricting pastoral adaptation. Divergent adaptations favoring agricultural livelihoods include cultivating near or around pastoral wells or within pastoral corridors, both of which limit the mobility and entitlements of pastoralists. Institutions rarely secure pastoral routes and access to water points, a problem that is compounded by conflicting modes of governance, low accountability, and corruption. The case study illustrates the need to enhance the adaptive capacity of multiple user groups to reduce conflict, enhance human security, and promote overall resilience.     

Situated adaptation: Tackling the production of vulnerability through transformative action in Sri Lanka’s Dry Zone

Drawing attention to the production of vulnerability across scales in Sri Lanka, we contribute to knowledge of why certain people and social groups are vulnerable. We build our contribution on the theoretical application of ‘situated adaptation’. A situated analytical approach identifies, assesses, and responds to the everyday realities and politics of those living in climate changed environments. It highlights uneven geographies of vulnerability and opportunity, while identifying new imaginations and possibilities for transformative action that counter the production of vulnerability. We illustrate the utility of ‘situated adaptation’ by filling an empirical gap relating to experiences of political-economic and environmental change in Sri Lanka’s Dry Zone. We detail situated experiences by drawing on field research in the Anuradhapura District, revealing how the lives and livelihoods of farmer participants are structured by a productivity-vulnerability paradox. We demonstrate how a prevalent adaptation-development paradigm (whereby development and adaptation programs co-exist in theory and practice) is unable to address the structural drivers of vulnerability in Sri Lanka’s Dry Zone. A situated adaptation approach both explains why this is the case and highlights opportunities for alternative transformative actions, potentially identifying a more democratic and egalitarian politics of co-determining socionatural change.     

Planning for the past: Local temporality and the construction of denial in climate change adaptation

Climate change is upon us. While debates continue over how to mitigate emissions, it is evident that many parts of the world will need to adapt to an increasingly unstable climate. However, the persistence of climate denial presents a significant barrier to climate change response; if a future in which the climate has dramatically changed cannot be imagined, there is little motivation to act. Using qualitative interview data, our research investigates community responses to climate change adaptation planning in a coastal region of Australia identified as highly vulnerable to future sea level rise. While the local council engaged in extensive consultation to develop an adaptation plan, community opposition to proposed development changes ultimately resulted in a ‘wait and see’ response. We show how the community’s local understandings of place informed temporalities that led to a practice of climate denial. We outline three processes by which climate denial is socially organised: anchoring the past via historical reference; projecting continuity through a nostalgic lens of managing disaster; and enclosing the present by prioritising existing economic value. We show how these processes result in the social organisation of climate denial, and an inability to plan for a climate changed future.     

Facilitating adaptation to global climate change: perspectives from experts and decision makers serving the Florida Keys

Slivers of land amidst the world’s third largest barrier reef, the Florida Keys provide unique insights on the emerging challenges associated with adaptation to global climate change. While political will and public awareness are gradually shifting on the imposing risks, analysis of survey responses from experts and decision makers serving the Florida Keys (federal, state and local personnel) reveals insufficient resources, limited direction and leadership, and lack of institutional frameworks to facilitate the adaptation process. Against this backdrop, we investigate experts and decision makers’ interest in an array of adaptation measures including their willingness to support a proposed ‘Community Adaptation Fund’ (CAF) to mobilize resources and lay the foundation for adaptation initiatives in the Florida Keys. We also explore potential funding sources for establishing the proposed CAF, and test the feasibility of a diverse set of financing mechanisms. We discuss implications of our findings in the context of enhancing adaptive capacity in the Florida Keys and beyond.     

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

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

What do we know about UK household adaptation to climate change? A systematic review

The UK Government’s first National Adaptation Programme seeks to create a ‘climate-ready society’ capable of making well-informed and far-sighted decisions to address risks and opportunities posed by a changing climate, where individual households are expected to adapt when it is in their interest to do so. How, and to what extent, households are able to do this remains unclear. Like other developed countries, research on UK adaptation has focused predominately on public and private organisations. To fill that gap, a systematic literature review was conducted to understand what actions UK households have taken in response to, or in anticipation of, a changing climate; what drives or impedes these actions; and whether households will act autonomously. We found that UK households struggle to build long-term adaptive capacity and are reliant upon traditional reactive coping responses. Of concern is that these coping responses are less effective for some climate risks (e.g. flooding); cost more over the long-term; and fail to create household capacity to adapt to other stresses. While low-cost, low-skill coping responses were already being implemented, the adoption of more permanent physical measures, behavioural changes, and acceptance of new responsibilities are unlikely to happen autonomously without further financial or government support. If public policy on household adaptation to climate change is to be better informed than more high-quality empirical research is urgently needed.     

Informing national adaptation for sustainable development through spatial systems modelling

Acute climate-change hazards, such as floods or storm surges, can affect a nation’s built and natural environment assets that are critical for development and achievement of the Sustainable Development Goals (SDGs). To reduce the impacts of such acute climate-change hazards and safeguard development, national decision-makers require evidence on where and how hazards affect SDG achievement to better inform adaptation. Here, we develop a systems methodology that spatially models the impacts of climate-change hazards across a nation’s entire built and natural environment assets and its interdependent influences on the SDG targets to inform national adaptation. We apply our methodology in Saint Lucia through a participatory approach with decision-makers across 18 government ministries, academia, and the private sector. Results reveal that acute climate-change hazards can affect half of Saint Lucia’s assets across 22 sectors, which can influence 89% of all SDG targets. Application of our methodology provided evidence on where and how to prioritise adaptation, thereby helping to add spatial granularity to 52 measures under Saint Lucia’s National Adaptation Plan (NAP) as well as specificity on how limited capacity for cross-sectoral coordination can be directed to safeguard SDG targets. Adaptation does not necessarily imply investing in physical asset protection: results show the need to protect critical natural environments which provide important adaptation services to the built environment. As more nations develop and revise their NAPs and Nationally Determined Contributions under the Paris Agreement, strategic planning across sectors – as demonstrated in Saint Lucia – will be critical to facilitate adaptation that safeguards SDG achievement.     

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

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

Using portfolio theory to guide reforestation and restoration under climate change scenarios

The general problem addressed by this study is that of designing a decision support system for planned adaptation to climate change that uses the principles of modern portfolio theory to minimise risk and maximise return of adaptive actions in an environment of deep uncertainty over future climate scenarios. Here we show how modern portfolio theory can use the results of a climate change impact model to select an optimal set of seed sources to be used in regenerating forests of white spruce in an environment of multiple, equally plausible future climates. This study shows that components of solutions are not selected to perform equally well across all plausible futures; but rather, that components are selected to specialise in particular climate scenarios. The innovation of this research rests in demonstrating that the powerful and widely used principles of quantifying and planning for risk and return in the uncertain environment of asset markets can be applied successfully to serve the objectives of planned adaptation to climate change.     

Addressing human vulnerability to climate change: Toward a ‘no-regrets’ approach

This paper presents and applies a conceptual framework to address human vulnerability to climate change. Drawing upon social risk management and asset-based approaches, the conceptual framework provides a unifying lens to examine links between risks, adaptation, and vulnerability. The result is an integrated approach to increase the capacity of society to manage climate risks with a view to reduce the vulnerability of households and maintain or increase the opportunities for sustainable development. We identify ‘no-regrets’ adaptation interventions, meaning actions that generate net social benefits under all future scenarios of climate change and impacts. We also make the case for greater support for community-based adaptation and social protection and propose a research agenda.     

《巴厘行动计划》以来适应气候变化谈判进展及未来需求分析

回顾了《巴厘行动计划》以来形成的与适应气候变化议题相关的国际决议及谈判进展,分析了这些决议对推动发展中国家适应气候变化进程的可能作用和面临的障碍,综述了发展中国家和发达国家对“2015气候协议”的利益诉求和建议。作者认为：《巴厘行动计划》以来,《联合国气候变化框架公约》下适应气候变化方面的谈判取得了较明显的进展,建立了适应委员会、国家适应计划进程和应对损失与危害的国际机制等;资金、技术研发、推广和使用、政策法规、机构设置与能力、信息等是提高发展中国家适应气候变化的限制因素;资金、技术转让和能力建设仍是“2015气候协议”谈判的重点和难点。针对非洲集团和小岛屿国家联盟全球适应目标和应对气候变化造成的损失与危害的补偿的提议,作者建议加强科学研究,开发评估方法和工具,探讨气候自然变率和人类活动导致的气候变化影响的归因;同时建议中国进一步加强适应气候变化的南南合作。     

The strengths and weaknesses of future visioning approaches for climate change adaptation: A review

Adaptation to climate change is about planning for the future while responding to current pressures and challenges. Adaptation scientists are increasingly using future visioning exercises embedded in co-production and co-development techniques to assist stakeholders in imagining futures in a changing climate. Even if these exercises are growing in popularity, surprisingly little scrutiny has been placed on understanding the fundamental assumptions and choices in scenario approaches, timeframes, scales, or methods, and whether they result in meaningful changes in how adaptation is being thought about. Here, we unpack key insights and experiences across 62 case studies that specifically report on using future visioning exercises to engage stakeholders in climate change adaptation. We focus on three key areas: 1) Stakeholder diversity and scales; 2) Tools, methods, and data, and 3) Practical constraints, enablers, and outcomes. Our results show that most studies focus on the regional scale (n = 32; 52%), involve mainly formal decision makers and employ vast array of different methods, tools, and data. Interestingly, most exercises adopt either predictive (what will happen) and explorative (what could happen) scenarios while only a fraction use the more normative (what should happen) scenarios that could enable more transformative thinking. Reported positive outcomes include demonstrated increases in climate change literacy and support for climate change adaptation planning. Unintended and unexpected outcomes include increased anxiety in cases where introduced timeframes go beyond an individual’s expected life span and decreased perceived necessity for undertaking adaptation at all. Key agreed factors that underpin co-production and equal representation, such as gender, age, and diversity, are not well reported, and most case studies do not use reflective processes to harness participant feedback that could enable more robust methodology development. This is a missed opportunity in developing a more fundamental understanding of how these exercises can effectively shift individual and collective mindsets and advance the inclusion of different viewpoints as a pathway for more equitable and just climate adaptation.     

The effect of vulnerability on climate change mitigation policies

Climate change is likely to adversely affect many countries throughout the world, but the responses of different countries to this threat vary widely. Attempts to explain the differences in countries’ mitigative policies have been largely deficient. This study seeks to assess the degree to which vulnerability may improve the level of explanation of adopted mitigation policies, studying over 90 countries between 1990 and 2011. Vulnerability is defined to be comprised of two basic factors: impacts (expected damages due to climate change) and adaptive capacity (the ability to adjust to these damages). As there may be a gap between declared and implemented policies, these components of mitigation policy are examined separately. In addition, other variables which mediate between these ‘extreme ends’ of mitigation policies are tested.The effect of vulnerability on climate change mitigation policies is examined by multiple regressions, incorporating a wide range of control variables. The results indicate that climate impacts do not affect mitigation policies. Adaptive capacity has a positive effect on the level of declared policy, but this effect becomes insignificant once implemented policy is examined. However, other tests suggest a possible transition from declarations to actions by high adaptive capacity countries. This finding suggests that high adaptive capacity countries do not view mitigation and adaptation as substitutes. Further analyses indicate that the insignificancy of impacts is caused by the uncertainty in their assessment.     

SSPs from an impact and adaptation perspective

The Shared Socioeconomic Pathways (SSPs) offer benefits for communities concerned with climate change adaptation research and actions (IAV), but some challenges need to be overcome in order to facilitate active IAV involvement in SSP use. This essay summarizes potential benefits, challenges, and possible strategies for enhancing the value of the SSP approach for IAV communities.     

Scenario archetypes reveal risks and opportunities for global mountain futures

Mountain social-ecological systems (MtSES) are transforming rapidly due to changes in multiple environmental and socioeconomic drivers. However, the complexity and diversity of MtSES present challenges for local communities, researchers and decision makers seeking to anticipate change and promote action towards sustainable MtSES. Participatory scenario planning can reveal potential futures and their interacting dynamics, while archetype analysis aggregates insights from site-based scenarios. We combined a systematic review of the global MtSES participatory scenarios literature and archetype analysis to identify emergent MtSES archetypal configurations. An initial sample of 1983 rendered 42 articles that contained 142 scenarios within which were 852 ‘futures states’. From these future states within the scenarios, we identified 59 desirable and undesirable futures that were common across studies. These ‘common futures’ were grouped into four clusters that correlated significantly with three social-ecological factors (GDP per capita, income inequality, and mean annual temperature). Using these clusters and their associated significant factors, we derived four MtSES scenario archetypal configurations characterized by similar key adaptation strategies, assumptions, risks, and uncertainties. We called these archetypes: (1) “revitalization through effective institutions and tourism”; (2) “local innovations in smallholder farming and forestry”; (3) “upland depopulation and increased risk of hazards”; and (4) “regulated economic and ecological prosperity”. Results indicate risks to be mitigated, including biodiversity loss, ecosystem degradation, cultural heritage change, loss of connection to the land, weak leadership, market collapse, upland depopulation, increased landslides, avalanches, mudflows and rock falls, as well as climate variability and change. Transformative opportunities lie in adaptive biodiversity conservation, income diversification, adaptation to market fluxes, improving transport and irrigation infrastructure, high quality tourism and preserving traditional knowledge. Despite the uncertainties arising from global environmental changes, these archetypes support better targeting of evidence-informed actions across scales and sectors in MtSES.