Assessment of institutional capacity to adapt to climate change in transboundary river basins

Responses to climate change in transboundary river basins are believed to depend on national and sub-national capacities as well as the ability of co-riparian nations to communicate, coordinate, and cooperate across their international boundaries. We develop the first framework for assessing transboundary adaptive capacity. The framework considers six dimensions of transboundary river basins that influence planning and implementation of adaptation measures and represents those dimensions using twelve measurable indicators. These indicators are used to assess transboundary adaptive capacity of 42 basins in the Middle East, Mediterranean, and Sahel. We then conduct a cluster analysis of those basins to delineate a typology that includes six categories of basins: High Capacity, Mediated Cooperation, Good Neighbour, Dependent Instability, Self-Sufficient, and Low Capacity. We find large variation in adaptive capacity across the study area; basins in Western Europe generally have higher capacities to address the potential hazards of climate change. Our basin typology points to how climate change adaptation policy interventions would be best targeted across the different categories of basins.     

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.     

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.     

Dynamic adaptive pathways in downscaled climate change scenarios

The parallel scenario process enables characterization of climate-related risks and response options to climate change under different socio-economic futures and development prospects. The process is based on representative concentration pathways, shared socio-economic pathways, and shared policy assumptions. Although this scenario architecture is a powerful tool for evaluating the intersection of climate and society at the regional and global level, more specific context is needed to explore and understand risks, drivers, and enablers of change at the national and local level. We discuss the need for a stronger recognition of such national-scale characteristics to make climate change scenarios more relevant at the national and local scale, and propose ways to enrich the scenario architecture with locally relevant details that enhance salience, legitimacy, and credibility for stakeholders. Dynamic adaptive pathways are introduced as useful tools to draw out which elements of a potentially infinite scenario space connect with decision-relevant aspects of particular climate-related and non-climate-related risks and response options. Reviewing adaptation pathways for New Zealand case studies, we demonstrate how this approach could bring the global-scale scenario architecture within reach of local-scale decision-making. Such a process would enhance the utility of scenarios for mapping climate-related risks and adaptation options at the local scale, involving appropriate stakeholder involvement.     

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.     

Social identity, perception and motivation in adaptation to climate risk in the coffee sector of Chiapas, Mexico

Most investigation into climate adaptation to date has focused on specific technological interventions and socio-economic aspects of adaptive capacity. New perspectives posit that socio-cognitive factors may be as or more important in motivating individuals to take adaptive actions. Recent research indicates that incorporating insights from motivation theory can enhance theorization of adaptive capacity. Yet unexplored, and what we propose here, is the addition of social identity to models of adaptive capacity and adaptation. To apply this conceptual framework, the first author undertook in-depth interviews with a sample of farmers who had participated in broader surveys the previous year to explore their perceptions of their social identity, climate-related information and its sources, and climate risk. These interviews elicited compelling evidence that social identity mediates between risk perception and adaptation through its influence on motivation. Interviews revealed significant links between social identity and perception of information, risk perception and adaptation, of which the most salient were the relative credibility and legitimacy of information sources (related to us vs. them social group differentiation); the role of coffee organizations; and ethnicity and geographic marginalization. Strong in-group identity and perceptions of potentially influential out-groups such as the scientific community appear to particularly influence perception and use of information. These findings have rich policy implications for adaptation management and merit further investigation to identify how, where and why social identity plays a role in climate-risk perception, motivation and adaptation in other geographic areas of vulnerability worldwide.     

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.     

Adaptation,adaptive capacity and vulnerability

This paper reviews the concept of adaptation of human communities to global changes, especially climate change, in the context of adaptive capacity and vulnerability. It focuses on scholarship that contributes to practical implementation of adaptations at the community scale. In numerous social science fields, adaptations are considered as responses to risks associated with the interaction of environmental hazards and human vulnerability or adaptive capacity. In the climate change field, adaptation analyses have been undertaken for several distinct purposes. Impact assessments assume adaptations to estimate damages to longer term climate scenarios with and without adjustments. Evaluations of specified adaptation options aim to identify preferred measures. Vulnerability indices seek to provide relative vulnerability scores for countries, regions or communities. The main purpose of participatory vulnerability assessments is to identify adaptation strategies that are feasible and practical in communities. The distinctive features of adaptation analyses with this purpose are outlined, and common elements of this approach are described. Practical adaptation initiatives tend to focus on risks that are already problematic, climate is considered together with other environmental and social stresses, and adaptations are mostly integrated or mainstreamed into other resource management, disaster preparedness and sustainable development programs.     

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

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

U.S. National Forests adapt to climate change through Science–Management partnerships

Developing appropriate management options for adapting to climate change is a new challenge for land managers, and integration of climate change concepts into operational management and planning on United States national forests is just starting. We established science–management partnerships on the Olympic National Forest (Washington) and Tahoe National Forest (California) in the first effort to develop adaptation options for specific national forests. We employed a focus group process in order to establish the scientific context necessary for understanding climate change and its anticipated effects, and to develop specific options for adapting to a warmer climate. Climate change scientists provided the scientific knowledge base on which adaptations could be based, and resource managers developed adaptation options based on their understanding of ecosystem structure, function, and management. General adaptation strategies developed by national forest managers include: (1) reduce vulnerability to anticipated climate-induced stress by increasing resilience at large spatial scales, (2) consider tradeoffs and conflicts that may affect adaptation success, (3) manage for realistic outcomes and prioritize treatments that facilitate adaptation to a warmer climate, (4) manage dynamically and experimentally, and (5) manage for structure and composition. Specific adaptation options include: (1) increase landscape diversity, (2) maintain biological diversity, (3) implement early detection/rapid response for exotic species and undesirable resource conditions, (4) treat large-scale disturbance as a management opportunity and integrate it in planning, (5) implement treatments that confer resilience at large spatial scales, (6) match engineering of infrastructure to expected future conditions, (7) promote education and awareness about climate change among resource staff and local publics, and (8) collaborate with a variety of partners on adaptation strategies and to promote ecoregional management. The process described here can quickly elicit a large amount of information relevant for adaptation to climate change, and can be emulated for other national forests, groups of national forests with similar resources, and other public lands. As adaptation options are iteratively generated for additional administrative units on public lands, management options can be compared, tested, and integrated into adaptive management. Science-based adaptation is imperative because increasing certainty about climate impacts and management outcomes may take decades.     

Exploring social barriers to adaptation: Insights from Western Nepal

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

Adaptation: Sensitivity to Natural Variability, Agent Assumptions and Dynamic Climate Changes

The role of adaptation in impact assessment and integrated assessment of climate policy is briefly reviewed. Agriculture in the US is taken as exemplary of this issue. Historic studies in which no adaptation is assumed (so-called "dumb farmer") versus farmer-agents blessed with perfect foresight (so-called "clairvoyant farmer") are contrasted, and considered limiting cases as compared to "realistic farmers." What kinds of decision rules such realistic farmer-agents would adopt to deal with climate change involves a range of issues. These include degrees of belief the climate is actually changing, knowledge about how it will change, foresight on how technology is changing, estimation of what will happen in competitive granaries and assumptions about what governmental policies will be in various regions and over time. Clearly, a transparent specification of such agent-based decision rules is essential to model adaptation explicitly in any impact assessment. Moreover, open recognition of the limited set of assumptions contained in any one study of adaptation demands that authors clearly note that each individual study can represent only a fraction of plausible outcomes. A set of calculations using the Erosion Productivity Impact Calculator (EPIC) crop model is offered here as an example of explicit decision rules on adaptive behavior on climate impacts. The model is driven by a 2xCO₂ regional climate model scenario (from which a "mock" transient scenario was devised) to calculate yield changes for farmer-agents that practice no adaptation, perfect adaptation and 20-year-lagged adaptation, the latter designed to mimic the masking effects of natural variability on farmers' capacity to see how climate is changing. The results reinforce the expectation that the likely effects of natural variability, which would mask a farmer's capacity to detect climate change, is to place the calculated impacts of climate changes in two regions of the US in between that of perfect and no adaptation. Finally, the use of so-called "hedonic" methods (in which land prices in different regions with different current average climates are used to derive implicitly farmers' adaptive responses to hypothesized future climate changes) is briefly reviewed. It is noted that this procedure in which space and time are substituted, amounts to "ergodic economics." Such cross-sectional analyses are static, and thus neglect the dynamics of both climate and societal evolution. Furthermore, such static methods usually consider only a single measure of change (local mean annual temperature), rather than higher moments like climatic variability, diurnal temperature range, etc. These implicit assumptions in ergodic economics make use of such cross-sectional studies limited for applications to integrated assessments of the actual dynamics of adaptive capacity. While all such methods are appropriate for sensitivity analyses and help to define a plausible range of outcomes, none is by itself likely to define the range of plausible adaptive capacities that might emerge in response to climate change scenarios.     

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。     

气候变化对跨境水资源影响的适应性评估与管理框架

气候变化增加了国际河流冲突的可能性,加强跨境水资源适应性管理是流域国可持续发展的必然选择。梳理了适应性相关研究的国内外最新进展,认识到适应性管理的关键问题是要发展一套科学评估未来气候变化影响及适应性策略的程序。通过论述气候变化下跨境水资源的适应性评估与管理框架,提出一个气候变化影响决策评估工具,包括信息收集、需求分析、对策分析、综合评估以及实施与调控5个阶段。该项研究将适应性管理与气候变化、定量化脆弱性及适应能力关联评价、成本效益分析、多目标优化决策和动态调控等有机结合,为从跨界层面制定具有针对性的适应性管理对策提供了思路与方法,有利于促进国际河流流域可持续发展。     

Context Matters: What Shapes Adaptation to Water Stress in the Okanagan?

This paper describes two case studies of demand-side water management in the Okanagan region of southern British Columbia, Canada. The case studies reveal important lessons about how local context shapes the process of adaptation; in these cases, adaptation to rising and changing water demand under a regime of increasingly limited supply in a semi-arid region. Both case studies represent examples of water meter implementation, specifically volume-based pricing in a residential area and as a compliance tool in a mainly farming district. While the initiative was successful in the residential setting, agricultural metering met with stiff resistance. These cases suggest many factors shape the character of the adaptation process, including: interpretation of the signal relative to context, newness of the approach, consumer values, and local and provincial political agendas. Although context has been explored in resource management circles, thus far climate change adaptation research has not adequately discussed the embeddedness of adaptation. In other words, how context matters and what aspects of context, unrelated to climate change, could encourage or thwart the act of adapting. This study is a simple illustration of the potential drivers, barriers and enabling factors that have influenced the adaptation process of water management decisions in the Okanagan.     

适应气候变化研究中的常见术语辨析

适应气候变化在国际公约谈判及国内适应实践中成为重要的关注内容,明晰适应相关的术语含义具有科学参考价值和实践指导意义。本文通过比较适应相关术语认为,适应是行为方式或对策措施的界定,可不需量化数据支持;适应能力需有明确评价指标体系,并最终产生量化性评价结果;适应性更偏重于能力属性,其基本结论是有或无、强或弱的判断,在适应性有量化结论支持或明确强弱确定时则等同于适应能力。脆弱性评价中,暴露度体现主体对象与气候变化相关的基本处境概况,敏感性表明气候变化对主体对象的影响,适应能力则是经济资本、自然资源、技术水平、社会保障四大要素的综合评价,各要素涵盖的具体指标需要酌情依据适应主体属性予以判别和遴选。适应气候变化与灾害风险管理在主体范畴、驱动因子、行动目的上有所区别,但两者共同关注提高对气候变化/气候灾害风险的抵御、承受、恢复能力,以降低不利影响,实现可持续发展为共同目标。     

Climate change vulnerability and social development for remote indigenous communities of South Australia

There is a strong contemporary research and policy focus on climate change risk to communities, places and systems. While the need to understand how climate change will impact on society is valid, the challenge for many vulnerable communities, especially some of the most marginalised, such as remote indigenous communities of north-west South Australia, need to be couched in the context of both immediate risks to livelihoods and long-term challenges of sustainable development. An integrated review of climate change vulnerability for the Alinytjara Wilurara Natural Resources Management region, with a focus on the Anangu Pitjantjatjara Yankunytjatjara lands, suggests that targeted analysis of climate change impacts and adaptation options can overlook broader needs both for people and the environment. Climate change will add to a range of complex challenges for indigenous communities, especially in relation to hazards, such as fire and floods, and local environmental management issues, especially in association with invasive species. To respond to future socio-ecological risk, some targeted responses will need to focus on climate change impacts, but there also needs to be a better understanding of what risk is already apparent within socio-ecosystems and how climate interacts with such systems. Other environmental, social and economic risks may need to be prioritised, or at least strongly integrated into climate change vulnerability assessments. As the capacity to learn how to adapt to risk is developed, the value attributed to traditional ecological knowledge and local indigenous natural resource management must increase, both to provide opportunities for strong local engagement with the adaptation response and to provide broader social development opportunities.     

Achieving Adequate Adaptation in Agriculture

This paper reviews the prospects for adaptation in world agriculture in the face of climate change. The record of experience from previous decades demonstrates a considerable capacity to adapt and there is general optimism that successful adaptation will be maintained. There are some grounds for concern because of the uncertainty surrounding global climate projections and the probability of considerable regional variation in impacts. While world production may not be adversely affected, the prospects are not so encouraging for low latitude agricultural regions, in part because of lower capacity to adapt. Attention has focused on the farming community itself as the place where adaptation takes place, but now the processes of globalization are placing adaptation more in the hands of agri-business, national policy makers, and the international political economy. The continued success of adaptation rests more heavily on actions at the national level in the context of changing technology and world trade liberalization. An adaptation policy framework is suggested as a vehicle to help understand and facilitate adaptation in this changing context.     

适应气候变化的国际行动和农业措施研究进展

针对气候变暖采取稳健的适应措施已成为国际社会共识。该文综合了当前适应气候变化的国际谈判进展及已有的农业适应气候变化措施,指出适应资金严重不足,技术研发、应用与转让难以实施,以及适应气候变化行动实施能力的不足严重制约着适应气候变化行动的有效实施;关于农业适应气候变化的技术措施仍缺乏系统的理论研究与应用示范。在此基础上,提出了未来中国农业适应气候变化需要重点开展的研究任务,即农业气象灾变过程的新特点及其风险管理, 农业适应气候变化的大数据决策管理系统研发及适应气候变化的农业气候区划与减灾保产技术研究,以切实推进农业适应气候变化,为确保国家粮食安全与农业可持续发展提供支撑。     

日本多主体适应气候变化框架机制及对中国的启示——基于法律政策的视角

通过系统梳理日本适应气候变化法律政策的发展历程,分析日本多主体适应气候变化的框架机制,结合其目前具体的适应实践进展,总结出可供中国借鉴的经验启示。研究发现,日本适应气候变化法律政策的发展经历了由重减缓、轻适应,到上升至国家战略,再到立法这3个阶段,形成了以国家、国立环境研究所、地方公共团体、地区气候变化适应中心、企业和居民为主体的多主体适应框架,从科研成果与决策应用转化、适应信息“共享—反馈—更新”有效循环、建立跨地区合作平台、适应资金支持、实施进度监测管理等5个方面构建了多主体适应气候变化机制。目前日本各适应主体逐步开展适应气候变化实践,但适应工作仍处于初期阶段,适应信息共享体系、跨地区合作细则以及适应政策实施效果评价体系有待进一步完善。结合日本的法律政策经验和中国具体情况,提出了中国应科学定位适应气候变化法律地位、加快立法进程,完善“监测评估—信息共享—适应行动—效果评价”多主体适应框架的机制体制,引导企业采取气候风险管理和适应性商业活动,提高居民的适应认知和适应能力的政策建议。