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.     

Observed adaptation to climate change: UK evidence of transition to a well-adapting society

This paper investigates whether and to what extent a wide range of actors in the UK are adapting to climate change, and whether this is evidence of a social transition. We document evidence of over 300 examples of early adopters of adaptation practice to climate change in the UK. These examples span a range of activities from small adjustments (or coping), to building adaptive capacity, to implementing actions and to creating deeper systemic change in public and private organisations in a range of sectors. We find that adaptation in the UK has been dominated by government initiatives and has principally occurred in the form of research into climate change impacts. These government initiatives have stimulated a further set of actions at other scales in public agencies, regulatory agencies and regional government (and the devolved administrations), though with little real evidence of climate change adaptation initiatives trickling down to local government level. The sectors requiring significant investment in large scale infrastructure have invested more heavily than those that do not in identifying potential impacts and adaptations. Thus we find a higher level of adaptation activity by the water supply and flood defence sectors. Sectors that are not dependent on large scale infrastructure appear to be investing far less effort and resources in preparing for climate change. We conclude that the UK government-driven top-down targeted adaptation approach has generated anticipatory action at low cost in some areas. We also conclude that these actions may have created enough niche activities to allow for diffusion of new adaptation practices in response to real or perceived climate change. These results have significant implications for how climate policy can be developed to support autonomous adaptors in the UK and other countries.     

Creating adaptive social-ecological fit: The role of regional actors in the governance of Sea-level rise adaptation in San Francisco bay

Sea level rise is one of the most pressing climate adaptation issues around the world. Often, coastal communities are interdependent in their exposure to sea level rise – if one builds a seawall, it will push water to another – and would benefit from a coordinated adaptive response. The literature on social-ecological systems (SES) calls for actors placed at higher levels of governance (e.g. regional government in a metropolitan area) to improve coordination between local managers by serving as brokers. However, we lack empirical insight on how higher-level actors might improve coordination in practice, and theoretical development on the implications of their intermediation. To address these gaps, we study the case of adaptation to sea level rise in the San Francisco Bay Area. We build a social-ecological network of social actors and shoreline segments using original survey data and simulated scenarios of tidal and traffic interdependencies between shoreline segments. We perform a frequency analysis of network motifs that operationalize social-ecological ‘fit’ in the context of the Bay Area. We find that regional actors and non-governmental organizations increase social-ecological fit by providing intermediation between actors who work on different shoreline segments, whether interdependent or not. This shows that these actors provide adaptive social-ecological fit, future-proofing the Bay Area to current and future climate adaptation challenges.     

An assessment of climate change impacts and adaptation for the Torres Strait Islands, Australia

Adaptive practices are taking place in a range of sectors and regions in Australia in response to existing climate impacts, and in anticipation of future unavoidable impacts. For a rich economy such as Australia’s, the majority of human systems have considerable adaptive capacity. However, the impacts on human systems at the intra-nation level are not homogenous due to their differing levels of exposure, sensitivity and capacity to adapt to climate change. Despite past resilience to changing climates, many Indigenous communities located in remote areas are currently identified as highly vulnerable to climate impacts due to their high level of exposure and sensitivity, but low capacity to adapt. In particular, communities located on low-lying islands have particular vulnerability to sea level rise and increasingly intense storm surges caused by more extreme weather. Several Torres Strait Island community leaders have been increasingly concerned about these issues, and the ongoing risks to these communities’ health and well-being posed by direct and indirect climate impacts. A government agency is beginning to develop short-term and long-term adaptation plans for the region. This work, however, is being developed without adequate scientific assessment of likely ‘climate changed futures.’ This is because the role that anthropogenic climate change has played, or will play, on extreme weather events for this region is not currently clear. This paper draws together regional climate data to enable a more accurate assessment of the islands’ exposure to climate impacts. Understanding the level of exposure and uncertainty around specific impacts is vital to gauge the nature of these islands’ vulnerability, in so doing, to inform decisions about how best to develop anticipatory adaptation strategies over various time horizons, and to address islanders’ concerns about the likely resilience and viability of their communities in the longer term.     

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.     

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.     

Climate change beliefs, concerns, and attitudes toward adaptation and mitigation among farmers in the Midwestern United States

A February 2012 survey of almost 5,000 farmers across a region of the U.S. that produces more than half of the nation’s corn and soybean revealed that 66 % of farmers believed climate change is occurring (8 % mostly anthropogenic, 33 % equally human and natural, 25 % mostly natural), while 31 % were uncertain and 3.5 % did not believe that climate change is occurring. Results of initial analyses indicate that farmers’ beliefs about climate change and its causes vary considerably, and the relationships between those beliefs, concern about the potential impacts of climate change, and attitudes toward adaptive and mitigative action differ in systematic ways. Farmers who believed that climate change is occurring and attributable to human activity were significantly more likely to express concern about impacts and support adaptive and mitigative action. On the other hand, farmers who attributed climate change to natural causes, were uncertain about whether it is occurring, or did not believe that it is occurring were less concerned, less supportive of adaptation, and much less likely to support government and individual mitigative action. Results suggest that outreach with farmers should account for these covariances in belief, concerns, and attitudes toward adaptation and mitigation.     

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

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

Mapping adaptive capacity and smallholder agriculture: applying expert knowledge at the landscape scale

The impacts of climate change exacerbate the myriad challenges faced by smallholder farmers in the Tropics. In many of these same regions, there is a lack of current, consistent, and spatially-explicit data, which severely limits the ability to locate smallholder communities, map their adaptive capacity, and target adaptation measures to these communities. To explore the adaptive capacity of smallholder farmers in three data-poor countries in Central America, we leveraged expert input through in-depth mapping interviews to locate agricultural landscapes, identify smallholder farming systems within them, and characterize different components of farmer adaptive capacity. We also used this input to generate an index of adaptive capacity that allows for comparison across countries and farming systems. Here, we present an overview of the expert method used, followed by an examination of our results, including the intercountry variation in expert knowledge and the characterization of adaptive capacity for both subsistence and smallholder coffee farmers. While this approach does not replace the need to collect regular and consistent data on farming systems (e.g. agricultural census), our study demonstrates a rapid assessment approach for using expert input to fill key data gaps, enable trans-boundary comparisons, and to facilitate the identification of the most vulnerable smallholder communities for adaptation planning in data-poor environments that are typical of tropical regions. One potential benefit from incorporating this approach is that it facilitates the systematic consideration of field-based and regional experience into assessments of adaptive capacity, contributing to the relevance and utility of adaptation plans.     

Understanding adaptation: What can social capital offer assessments of adaptive capacity?

The burgeoning interest in social capital within the climate change community represents a welcome move towards a concern for the behavioural elements of adaptive action and capacity. In this paper the case is put forward for a critical engagement with social capital. There is need for an open debate on the conceptual and analytical traps and opportunities that social capital presents. The paper contrasts three schools of thought on social capital and uses a social capital lens to map out current and future areas for research on adaptation to climate change. It identifies opportunities for using social capital to research adaptive capacity and action within communities of place and communities of practice.     

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.     

Planning adaptation based on local actors’ knowledge and participation: a climate governance experiment

Involving a wide-range of stakeholders at different moments in the planning of urban adaptation to climate change can help to overcome different barriers to adaptation, such as a lack of common perception, or control over options. This Article argues for an approach that involves a wide range of actors throughout the planning process in order to confront the challenges of urban adaptation to climate change. It builds on the results of a three-year participatory action research project to identify the catalysts with which local administrations can overcome the lack of data, the low level of engagement around the climate issue, and the cause-and-effect linkages of climate change impacts on the urban environment. Significant factors include territorial rootedness, leveraging actors’ experience, interaction between actors, as well as the valuing of local actors as experts of territorial management rather than as novices with regard to climate change adaptation. In addition to contributing towards the engagement of a large number of stakeholders around adaptation issues, a planning process that involves representatives from various sectors and during several stages contributes to a greater understanding of these issues and their linkages. It follows that such a process will bring changes to urban practices by better articulating local concerns about climatic issues.

Policy relevance

Although participation is commonly advocated in policy responses to climate change, only few empirical studies have investigated the ways in which local actors' knowledge can be integrated into climate change adaptation planning processes. The article builds on the results of an action research project carried out in Québec City, Canada, to address the relevance of involving a progressively broader range of actors as the adaptation process moves through its various phases. Given that a multitude of barriers to adaptation are at play at different times in a municipality, collaborations between local stakeholders emerge as a key factor. These collaborations provide greater insight into the linkages between climate change impacts and the urban environment and, in doing so, bring into question ordinary urban management and design practices.     

Harnessing scientific and local knowledge to face climate change in small-scale fisheries

Small-scale fisheries in developing regions are particularly vulnerable to climate change, but the assessment of climate-induced changes and impacts are often hampered by the data poor-situation of these social-ecological systems. Based on 40 years of scientific and local ecological knowledge, we provide a coherent narrative about the effects of a marine hotspot of climate change on a small-scale fishery across different geographical and temporal scales. We applied a mixed-methods approach to assess biophysical changes, social-ecological impacts, and the incremental spectrum of actions implemented at multiple levels to increase the adaptive capacity of a small-scale clam fishery. The warming hotspot here analyzed was the fastest-warming region in the South Atlantic Ocean. Long-term changes in wind intensity and direction were also noticeable at a regional scale. Both sea surface temperature and winds showed a clear shifting pattern in the late 1990 s. These climate-related stressors determined ecosystem and targeted population changes (e.g. clam mass mortalities, slow stock recovery rates after ecological shocks, habitat narrowing), and favored harmful algal bloom-forming organisms. Climate-induced drivers also affected the human component of the social-ecological system, preventing fishers from securing a fulltime livelihood and limiting the fishery economic potential. Adaptive responses at multiple levels provided some capacity to address climate change effects, and transformative pathways are being taken to adapt to climate-induced changes over the long-term. Transformative changes were fostered by the local perception of environmental change, shared narratives, sustained scientific monitoring programs, and the interaction between knowledge systems, facilitated by a bridging organization within a broader process of governance transformation. The combination of autonomous adaptations (based on linking social capital and fishery leaders agency) and government-led adaptations were essential to face the challenges imposed by climate change. Our results serve as a learning platform to anticipate threats and envision solutions to a wide range of small-scale fisheries in fast-warming regions worldwide.     

Challenges of climate change in tropical basins: vulnerability of eco-agrosystems and human populations

Climate change impacts are already happening through the world, and it is now clear that there is the need for an adaptive response from global institutions down to the local level. Reducing vulnerability to cope with climate variability might be more challenging in tropical countries than in North America or Europe. The ten papers of this special issue were presented during the Adaptclim conference that was held by the Sinergia Project, the CLARIS LPB project, and the GeoData Institute in Asunción, Paraguay, in 2010. All papers, except one regarding the Brahmaputra Basin in South Asia, present studies from South America. These studies are first contextualized geographically and then are related one to another by a simplified vulnerability concept linking climate stress to sensitivity and adaptive capacity of natural and human systems. One half of the papers focus on actual or future climate change and the present-day causes of the vulnerability of natural and agrosystems. Droughts are and will be the main source of stress for agriculture in South America. Increasing fragmentation of forest of the center of this continent is aggravating their vulnerability to dry spells. Another half of the studies of this special issue deal with the adaptive capacity human populations to system perturbations produced or enhanced by climate change. The studies point out inclusion of traditional knowledge and involvement of local actors in their own vulnerability assessment to increase adaptive capacity. These elements of climate justice, giving voice to those less responsible for carbon emissions but bearing their most severe consequences, allow the particular needs of a community to be considered and can direct adaptation policy toward preserving or rebuilding their specific capabilities under threat from climate change. The special issue also made clear that a basin analysis of the climate change problem could provide information, results, and methods more readily of use for the local population and decision makers.     

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.     

Challenges to scenario-guided adaptive action on food security under climate change

This paper examines the development and use of scenarios as an approach to guide action in multi-level, multi-actor adaptation contexts such as food security under climate change. Three challenges are highlighted: (1) ensuring the appropriate scope for action; (2) moving beyond intervention-based decision guidance; and (3) developing long-term shared capacity for strategic planning. To overcome these challenges we have applied explorative scenarios and normative back-casting with stakeholders from different sectors at the regional level in East Africa. We then applied lessons about appropriate scope, enabling adaptation pathways, and developing strategic planning capacity to scenarios processes in multiple global regions. Scenarios were created to have a broad enough scope to be relevant to diverse actors, and then adapted by different actor groups to ensure their salience in specific decision contexts. The initial strategy for using the scenarios by bringing a range of actors together to explore new collaborative proposals had limitations as well as strengths versus the application of scenarios for specific actor groups and existing decision pathways. Scenarios development and use transitioned from an intervention-based process to an embedded process characterized by continuous engagement. Feasibility and long-term sustainability could be ensured by having decision makers own the process and focusing on developing strategic planning capacity within their home organizations.     

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。     

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.     

The principal-agent problem and climate change adaptation on public lands

Climate change presents clear risks to natural resources, which carry potential economic costs. The limited nature of physical, financial, human and natural resources means that governments, as managers of natural resources, must make careful decisions regarding trade-offs and the potential future value of investments in climate change adaptation. This paper presents cost-benefit analysis of scenarios to characterise economic benefits of adaptation from the perspective of a public institution (the provincial government) and private agents (forest licensees). The example provided is the context of assisted migration strategies for regenerating forests that are currently being implemented in British Columbia to reduce future impacts of climate change on forests. The analysis revealed positive net present value of public investment in assisted migration across all scenarios under a range of conditions; however, private sector agents face disincentives to adopt these strategies. Uncertainty about how the costs, benefits and risks associated with climate change impacts will be distributed among public institutions and private actors influences incentives to adapt to climate change (the “principal-agent problem”) and further complicates adaptation. Absent development of risk-sharing mechanisms or re-alignment of incentives, uptake of assisted migration strategies by private agents is likely to be limited, creating longer-term risks for public institutions. Analyzing incentives and disincentives facing principals and agents using a well-known tool (cost-benefit analysis) can help decision-makers to identify and address underlying barriers to climate change adaptation in the context of public lands management.