IPCC 第五次评估报告关于适应气候变化与可持续发展的新认知

IPCC发布的《气候变化2014：影响、适应和脆弱性》进一步提升了国际社会对于适应气候变化和可持续发展的认识水平,主要表现在：适应气候变化的研究视角从自然生态脆弱性转向更为广泛的社会经济脆弱性及人类的响应能力;阐明了气候风险与社会发展的关系,明确了适应在气候灾害风险管理中的积极作用;提出了减少脆弱性和暴露度及增加气候恢复能力的有效适应原则;提出了适应极限的概念,指出这一概念对于适应气候变化的政策含义;提出了保障社会可持续发展的气候恢复能力路径;强调要注重适应与减缓的协同作用和综合效应,指出转型适应是应对气候变化影响的必要选择。报告认为,气候变化、影响、适应及社会经济过程不再是一个简单的单向线性关系,需要纳入统一的系统框架下予以认识和理解。     

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.     

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.     

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.     

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.     

Firm relocation as adaptive response to climate change and weather extremes

Growing scientific evidence suggests that human-induced climate change will bring about large-scale environmental changes such as sea-level rise and coastal flooding, extreme weather events and agricultural disruptions. The speed and extent of these changes and the expected impacts on social and corresponding economic and industrial systems are now moving to the forefront of debates. In this paper, we argue that climate change will lead to significant disruptions to firms which might ultimately create the necessity of a geographical shift of firm and industrial activities away from regions highly affected by climate change. Such a shift might become necessary due to (1) direct disruptions through climate change impacts on firm operations, for instance through droughts, floods, or sea level rise, and due to (2) disruptions in a firm's supplier, buyer or resource base that lead to flow-on effects and adverse consequences for a firm. We propose a framework for integrating firm relocation decisions into firm adaptive responses to climate change. The framework consists of three assessment steps: the level of risk from climate change impacts at a firm's location, the feasibility of relocation, and associated costs and benefits. We apply the framework to two case examples. The first case of electricity distribution firms in Victoria/Australia illustrates how the relocation (undergrounding) of cables could decrease the vulnerability of distribution networks to bushfires and the risk of electricity-caused fires, but would require significant investments. The second case of firms in the Australian pastoral industry points to geographic diversification of pastoral land holdings as possible adaptation option, but also to constraints in form of availability of suitable properties, ties to local communities, and adverse impacts on biodiversity. Implications for adaptation research and practice are outlined.     

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.     

What makes internationally-financed climate change adaptation projects focus on local communities? A configurational analysis of 30 Adaptation Fund projects

There is much scholarly and policy interest in the role that international finance could play in closing the financing gap for community adaptation initiatives. Despite the interest, the overall amount of international adaptation finance that has reached local recipients remains low. What makes internationally-financed climate change adaptation projects focus on investment at the community level is particularly poorly understood. This study systematically assesses conditions that influence the focus on vulnerable local communities in internationally-financed adaptation projects. Using the Adaptation Fund (AF) under the Kyoto Protocol as the case study, we apply fuzzy-set Qualitative Comparative Analysis (QCA) to analyze 30 AF projects to identify specific configurations of conditions that lead to a stronger or weaker community focus in project design. We find that the absence of high exposure to projected future climate risks is a necessary condition for a weaker community focus in AF projects. Three configurations of sufficient conditions are identified that lead to a stronger community focus. They involve the contextual factors of projected future climate risks, civil society governance, and access modality to AF financing. In particular, AF projects with a stronger community focus are stimulated by the sole presence of higher exposure to projected future climate risks in a group of countries, and by the complementary roles of civil society governance and the access modality to the AF in others. These findings contribute new insights on how to enhance local inclusiveness of global climate finance.     

Common property rights, adaptive capacity, and response to forest disturbance

This paper reports the results of a statistical analysis which measures the effects of adaptive capacity on forest conditions in response to a prior disturbance. Particular emphasis is placed on common property rights as a form of institutional adaptive capacity. Common property rights are delineated in terms of rights of access, withdrawal, management, exclusion, and alienation. Using statistical analysis of 326 forest user groups from 13 countries in the database of the International Forestry Resources and Institutions (IFRI) program, the effects on user group rankings of forest conditions are estimated with a probability model. Overall, the results indicate that user groups with more complete property rights are more likely to rank forest conditions favorably. However, the effects of property rights also depend on the level of other forms of adaptive capacity such as the organizational capacity of the group and the number of rival user groups.     

Ranking the adaptive capacity of nations to climate change when socio-political goals are explicit

The typical categories for measuring national adaptive capacity to climate change include a nation's wealth, technology, education, information, skills, infrastructure, access to resources, and management capabilities. Resulting rankings predictably mirror more general rankings of economic development, such as the Human Development Index. This approach is incomplete since it does not consider the normative or motivational context of adaptation. For what purpose or toward what goal does a nation aspire, and in that context, what is its adaptive capacity? This paper posits 11 possible national socio-political goals that fall into the three categories of teleological legitimacy, procedural legitimacy, and norm-based decision rules. A model that sorts nations in terms of adaptive capacity based on national socio-political aspirations is presented. While the aspiration of maximizing summed utility matches typical existing rankings, alternative aspirations, including contractarian liberalism, technocratic management, and dictatorial/religious rule alter the rankings. An example describes how this research can potentially inform how priorities are set for international assistance for climate change adaptation.     

Stakeholder engagement in adaptation interventions: an evaluation of projects in developing nations

Institution-oriented, top-down and community-oriented, bottom-up stakeholder approaches are evaluated for their ability to enable or constrain the implementation of adaptation in developing nations. A systematic review approach is used evaluate the project performance of 18 adaptation projects by three of the Global Environment Facility's (GEF) adaptation programmes (the Strategic Priority for Adaptation (SPA), the Special Climate Change Fund (SCCF), and the National Adaptation Programs of Action (NAPA)) according to effectiveness, efficiency, equity, legitimacy, flexibility, sustainability, and replicability. The ten SPA projects reviewed performed highest overall, especially with regards to efficiency, legitimacy, and replicability. The five SCCF projects performed the highest in equity, flexibility, and sustainability, and the three NAPA-related projects were the highest-performing projects with regards to effectiveness. A comparison of top-down and bottom-up approaches revealed that community stakeholder engagement in project design and implementation led to higher effectiveness, efficiency, equity, flexibility, legitimacy, sustainability, and replicability. Although low institutional capacity constrained both project success and effective community participation, projects that hired international staff to assist in implementation experienced higher overall performance. These case studies also illustrate how participatory methods can fail to genuinely empower or involve communities in adaptation interventions in both top-down and bottom-up approaches. It is thus crucial to carefully consider stakeholder engagement strategies in adaptation interventions.Policy relevanceWhile adaptation is now firmly on the policy and research agenda, actual interventions to reduce vulnerability and enhance resilience remain in their infancy, and there is limited information on the factors that influence the successful implementation of adaptation in developing areas. Engaging stakeholders in assessing vulnerability and implementing adaptation interventions is widely regarded to be an important factor for adaptation implementation and success. However, no study has evaluated the effects of stakeholder engagement in the actual implementation of adaptation initiatives. Effective stakeholder engagement is challenging, especially in a developing nation setting, due to high levels of poverty, inadequate knowledge on adaptation options, weak institutions, and competing interests to address more immediate problems related to poverty and underdevelopment. In this context, this article documents and characterizes stakeholder engagement in adaptation interventions supported through the GEF, examining how top-down or bottom-up stakeholder approaches enable or constrain project performance.     

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.     

Understanding the causes and consequences of differential decision-making in adaptation research: Adapting to a delayed monsoon onset in Gujarat,India

Weather variability poses numerous risks to agricultural communities, yet farmers may be able to reduce some of these risks by adapting their cropping practices to better suit changes in weather. However, not all farmers respond to weather variability in the same way. To better identify the causes and consequences of this heterogeneous decision-making, we develop a framework that identifies (1) which socio-economic and biophysical factors are associated with heterogeneous cropping decisions in response to weather variability and (2) which cropping strategies are the most adaptive, considering economic outcomes (e.g., yields and profits). This framework aims to understand how, why, and how effectively farmers adapt to current weather variability; these findings, in turn, may contribute to a more mechanistic and predictive understanding of individual-level adaptation to future climate variability and change. To illustrate this framework, we assessed how 779 farmers responded to delayed monsoon onset in fifteen villages in Gujarat, India during the 2011 growing season, when the monsoon onset was delayed by three weeks. We found that farmers adopted a variety of strategies to cope with delayed monsoon onset, including increasing irrigation use, switching to more drought-tolerant crops, and/or delaying sowing. We found that farmers’ access to and choice of strategies varied with their assets, irrigation access, perceptions of weather, and risk aversion. Richer farmers with more irrigation access used high levels of irrigation, and this strategy was associated with the highest yields in our survey sample. Poorer farmers with less secure access to irrigation were more likely to push back planting dates or switch crop type, and economic data suggest that these strategies were beneficial for those who did not have secure access to irrigation. Interestingly, after controlling for assets and irrigation access, we found that cognitive factors, such as beliefs that the monsoon onset date had changed over the last 20 years or risk aversion, were associated with increased adaptation. Our framework illustrates the importance of considering the complexity and heterogeneity of individual decision-making when conducting climate impact assessments or when developing policies to enhance the adaptive capacity of local communities to future climate variability and change.     

Beyond generic adaptive capacity: exploring the adaptation space of the water supply and wastewater sector of the Stockholm region, Sweden

This paper examines the processes by which the generic adaptive capacity of a system is translated into adaptation to climate change, what form it takes, and what factors facilitate or restrain such processes. This is done by an in-depth analysis of climate change adaptation in the Water supply and Wastewater (WW) sector of the Stockholm region. Observed adaptations are categorized in terms of building adaptive capacity and implementing adaptive decisions, and these measures are analyzed using a model of the adaptation process based on organizational learning theories. In particular, the concept of an organization’s actual adaptation space is defined and used as a means to understand the adaptation options that different WW organizations can pursue, as well as why such options might be pursued. The paper finds that most adaptation measures in the WW sector of the Stockholm region are aimed at building the adaptive capacity of the sector. It also finds that the extent to which adaptation measures can be pursued by the WW organizations is determined principally by how able the organization is to justify the additional resources required for adaptation. The analysis shows that there are two main routes to address this: use of climate knowledge to argue that adaptation is needed, and reference to rules and regulations to show that it is required.     

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.     

Climate change and extreme weather events: can developing countries adapt?

Developing countries are vulnerable to extremes of normal climatic variability, and climate change is likely to increase the frequency and magnitude of some extreme weather events and disasters. Adaptation to climate change is dependent on current adaptive capacity and the development models that are being pursued by developing countries. Various frameworks are available for vulnerability and adaptation (V&A) assessments, and they have both advantages and limitations. Investments in developing countries are more focused on recovery from a disaster than on the creation of adaptive capacity. Extreme climatic events create a spiral of debt burden on developing countries. Increased capacity to manage extreme weather events can reduce the magnitude of economic, social and human damage and eventually, investments, in terms of borrowing money from the lending agencies. Vulnerability to extreme weather events, disaster management and adaptation must be part of long-term sustainable development planning in developing countries. Lending agencies and donors need to reform their investment policies in developing countries to focus more on capacity building instead of just investing in recovery operations and infrastructure development.     

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.     

Local collective action: Adaptation to coastal erosion in the Monkey River Village,Belize

Successful adaptation to environmental change and variability is closely connected with social groups’ ability to act collectively, but many social-ecological challenges exceed local adaptive capacity which necessitate assistance from governmental institutions. Few studies have investigated how local collective action can be used to enrol external support for adaptation. This paper reduces this research gap by analysing a locally driven adaptation process in response to coastal erosion in Monkey River Village, Belize. Drawing on literature on adaptation and political ecology, we examine the different strategies the local residents have used over time to influence government authorities to support them in curbing the coastal erosion. Our findings show that the local mobilisation generated government support for a temporary sea defence and that collective strategies emerge as a response to threats to a place specific way of life. Our case illustrates that it was essential that the villagers could ally with journalists, researchers and local NGOs to make their claims for protection heard by the government. The paper contributes to adaptation research by arguing that local collective action, seen as contestation over rights to protection from environmental change, can be a means for places and communities not prioritised by formal policies to enrol external support for adaptation. Our study supports and adds to the perspective that attention to formal arrangements such as adaptation policy alone has limited explanatory power to understand collective responses to change.     

Adaptive capacity contributing to improved agricultural productivity at the household level: Empirical findings highlighting the importance of crop insurance

Understanding the factors that give rise to greater or lesser adaptive capacity among households with in a community could allow government interventions to target the right groups of people. In this paper we study such factors, making use of a household survey administered in the Indian state of Odisha. In the survey, we queried respondents for the adaptations that they had engaged in to deal with the risk of drought, as well as a number of indicators for adaptive capacity taken from the literature. We found a large number of indicators of adaptive capacity to correlate with one or more adaptations taken. However, many of these indicators, while increasing the likelihood that one adaptation would be taken, also decreased the likelihood that another would be taken, and hence were not unambiguous determinants of greater adaptive capacity in general. One indicator, access to crop insurance, stood out as particularly effective: it correlated with an increased likelihood of engaging in two separate yield-raising adaptations, and correlated with a decreased likelihood of engaging in two additional adaptations that would have the effect of reducing yields. The results suggest that further attention to crop insurance may be warranted, as well as further research to determine if the other indicators may be effective in other contextual settings.