Stakeholder involvement in strategic adaptation planning: Transdisciplinarity and co-production at stake?

To address increasing climatic variability and extremes, cities are gradually forced to develop climate change adaptation strategies that can ensure a continuous and transformative adaptation process. There is widespread consensus that the sustainable establishment of such strategies requires transdisciplinary approaches, that is, the involvement of internal and external stakeholders (state, civil society and market actors) to become part of the change and find innovative ways to unite their efforts and capacities. However, there is little research and hardly any empirical evidence on the process of stakeholder involvement and co-production in the development of municipal adaptation strategies. Against this background, this paper examines the factors that influence how and why different stakeholders are involved (or excluded) during the processes of developing adaptation strategies, and how this gets reflected in process outcomes. Based on applied participatory analysis of two pioneering municipalities in Germany and Sweden, the paper identifies and contrasts existing patterns to feed back into both theory and practice. Synergies, mismatches, barriers and driving forces for adaptation co-production are identified and contrasted with current adaptation discourses. The results highlight how the level of internal and external stakeholder involvement is conditional on (changes in) the broader governance context, and the associated power constellations in which stakeholders act (e.g., standing of departments, proximity to the decision-making body, changes in [or constellations of] political parties, contractual arrangements for staff, individual champions, progress in mainstreaming). On this basis, conclusions are drawn regarding how to foster sustainable and transformative adaptation through increased stakeholder involvement. The results and conclusions are crucial to advance theory on adaptation co-production, providing a basis for further analyses, research and action. They inform how existing theory, policies and/or guidelines for strategic adaptation planning need to be revisited to support change across current risk governance.     

Drivers of farm-level adaptation to climate change in Africa: an evaluation by a composite index of potential adoption

Over recent decades, there has been increasing levels of research dedicated to assess drivers of farm-level uptake of adaptation strategies to climate change. The main purpose of this research being to determine how policy intervention can most effectively increase adoption. This paper aims to synthesise this past research in order to scale up uptake of farm-level adaptation strategies through a composite index of potential adoption in Africa. In doing so, we review the estimated coefficients of econometric regressions in 42 case studies published in peer-review journals to identify the factors that regularly explain adoption. We find that these common factors can be grouped into seven components, that is human capital, financial resources, infrastructure and technology, social interaction and governance, food security, dependence on agriculture and attitudes towards the environment. Using national-level indicators of these seven categories, we develop a composite index to inform potential adoption and test the robustness of the index in an in-depth sensitivity analysis. The results show that the highest likelihood of adoption of farm-level adaptation strategies is in Northern African countries namely Tunisia, Egypt, Algeria and Morocco and in Southern African countries such as South Africa and Botswana. Conversely, they indicate that the lowest likelihood of adoption is situated in nations of the Sahel and Horn of Africa and in nations that have recently experienced conflict. We conclude that adoption is associated predominantly with governance, civil rights, financial resources and education. However, it is not necessarily driven by the magnitude of climate change impacts on agricultural production.     

Diagnosing institutional barriers and opportunities for adaptation to climate change

Institutions are one of the decisive factors which enable, constrain and shape adaptation to the impacts of climate change, variability and extreme events. However, current understanding of institutions in adaptation situations is fragmented across the scientific community, evidence diverges, and cumulative learning beyond single studies is limited. This study adopts a diagnostic approach to elaborate a nuanced understanding of institutional barriers and opportunities in climate adaptation by means of a model-centred meta-analysis of 52 case studies of public climate adaptation in Europe. The first result is a novel taxonomy of institutional attributes in adaptation situations. It conceptually organises and decomposes the many details of institutions that empirical research has shown to shape climate adaptation. In the second step, the paper identifies archetypical patterns of institutional traps and trade-offs which hamper adaptation. Thirdly, corresponding opportunities are identified that enable actors to alleviate, prevent or overcome specific institutional traps or trade-offs. These results cast doubt on the validity of general institutional design principles for successful adaptation. In contrast to generic principles, the identified opportunities provide leverage to match institutions to specific governance problems that are encountered in specific contexts. Taken together, the results may contribute to more coherence and integration of adaptation research that we need if we are to foster learning about the role of institutions in adaptation situations in a cumulative fashion.     

Exploring barriers to climate change adaptation in the Swiss tourism sector

Increasingly, various sectors are affected by climate change and need to find ways to adapt with much public guidance and support. This paper examines the adaptation process of a sector that started it some time ago – Swiss Alpine tourism. It identifies barriers that may be relevant for all sectors, all along the successive phases of the adaptation process. It additionally identifies the barriers which are most important and how these can be overcome. In order to do this we use an online survey directed to Swiss tourism stakeholders. Our results indicate that both economic and social feasibility barriers are important impediments to the adjustment process, whereas the acceptability among inhabitants and the willingness to act of stakeholders appear less critical. These barriers can be overcome and adaptation facilitated with more and especially better information about the regional consequences of climate change and feasible adaptation measures, by some top-down leadership and coordination, and by providing financial support.     

Climate change in the urban environment: Advancing,measuring and achieving resiliency

Climate change poses new and unique challenges that threaten lives and livelihoods. Given the increasing risks and looming uncertainty of climate change, increasing attention has been directed towards adaptation, or the strategies that enable humanity to persist and thrive through climate change the best it can. Though climate change is a global problem often discussed at the national scale, urban areas are increasingly seen as having a distinct role, and distinctive motivation and capacity, for adaptation. The 12 articles in this special issue explore ways of understanding and addressing climate change impacts on urban areas. Together they reveal young but rapidly growing scholarship on how to measure, and then overcome, challenges of climate change. Two key themes emerge in this issue: 1) that we must identify and then overcome current barriers to urban adaptation and 2) frameworks/metrics are necessary to identify and track adaptation progress in urban settings. Both of these themes point to the power of indicators and other quantitative information to inform priorities and illuminate the pathway forward for adaptation. As climate change is an entirely new challenge, careful measurement that enables investment by private and public parties is necessary to provide efficient outcomes that benefit the greatest number of people.     

Advancing adaptive governance of social-ecological systems through theoretical multiplicity

In recent years there has been rising scientific and policy interest in the adaptive governance of social-ecological systems. A systematic literature review of adaptive governance research during the period 2005–2014, demonstrates a vibrant debate taking place that spans a variety of empirical and theoretical approaches. The particular strength of adaptive governance is that it provides a theoretical lens for research that combines the analyses of novel governance capacities such as adaptive capacity, collaboration, scaling, knowledge and learning. As a way to give greater depth and analytical rigour to future studies over the next decade and beyond, we highlight the added value of theoretical multiplicity (i.e., focusing on the combination of theories to address complex problems). We argue that theoretical multiplicity can encourage stronger synergies between adaptive governance and other theoretical approaches and can help address epistemologically grey areas in adaptive governance scholarship, such as power and politics, inclusion and equity, short term and long term change, the relationship between public policy and adaptive governance.     

A framework for analyzing climate change adaptations as actions

Developing generalized theories about adaptation to climate change requires common concepts to map different adaptation situations. The paper aims to contribute to this endeavor by presenting a novel framework that conceptualizes adaptations to climate change as actions. The framework is intended to systematically analyze the actor relations involved in adaptations and the barriers to their implementation. By combining established scientific action theories with terminology from the Intergovernmental Panel on Climate Change (IPCC) in an innovative way, it can be used to clarify the notion of adaptation used in adaptation assessments. The framework’s potential is illustrated by a case study on cooling water management in the river Rhine catchment and by the elucidation of some prominent concepts in adaptation research. We show that by framing adaptations as actions, the purpose of adaptations and how they tend to connect up in means-ends-chains becomes crucial. Actors can take different functional roles as exposure unit, operator and receptor of adaptation. A mismatch of these roles can lead to barriers to adaptation, of which we deduce four types: complex actor relations, missing operators, missing means and unemployed means. The case study yields a complex bundle of adaptations, and shows that the potential barriers involved are quite diverse. There is thus no blueprint solution. Although we identify entry points for adaptation, the analysis leads to a skeptical conclusion for adapting cooling water management in the whole Rhine catchment.     

Breaking barriers for a bio-based economy: Interactive reflection on monitoring water quality

In a transition to a bio-based economy new ways of monitoring waste-streams and water quality can then contribute to sustainable production processes. As niche innovation, new ways of monitoring face systemic barriers. The present article examines how barriers to change manifest in discursive practices with differing normative attachments and implications. A frame analysis revealed two competing frames: (1) the dominant ‘norm water’ frame in which thresholds of chemical compounds are used to set policy targets; and (2) the contesting ‘living water’ frame, which entails innovative continuous monitoring tools that take into account the ecological effects of chemical compounds. We introduce the concept of interactive reflectivity, as a discursive tool, to collaboratively visualize, scrutinize and overcome discursive barriers to innovations. The stakeholder dialogue shows how systemic barriers are uttered discursively in niches – or other forms of responsible research and innovation – and may hinder change even at the niche-level.     

Effectiveness of the Local Adaptation Plan of Action to support climate change adaptation in Nepal

A key challenge in climate change adaptation in developing countries as a whole, and to handling global change in particular, is to link local adaptation needs on the one hand, with national adaptation initiatives on the other, so that vulnerable households and communities can directly benefit. This study assesses the impact of the Nepal government’s efforts to promote its Local Adaptation Plan of Action (LAPA) and its applicability to other least developed countries (LDCs). Based on data gathered from two field studies in Nepal, the research shows that the Nepal’s LAPA has succeeded in mobilizing local institutions and community groups in adaptation planning and recognizing their role in adaptation. However, the LAPA approach and implementation have been constrained by sociostructural and governance barriers that have failed to successfully integrate local adaptation needs in local planning and increase the adaptive capacity of vulnerable households. This paper describes the mechanisms of suitable governance strategies for climate change adaptation specific to Nepal and other LDCs. It also argues the need to adopt an adaptive comanagement approach, where the government and all stakeholders identify common local- and national-level mainstreaming strategy for knowledge management, resource mobilization, and institutional development, ultimately using adaptation as a tool to handle global change.     

Noisy and definitely not normal: responding to wicked issues in the environment,energy and health

Attempts by researchers and policy-makers to address the ‘wicked’ issues which pervade environmental policy usually revolve around attempting – or recommending – both more participatory and transparent, and more systematic and evidence-based, policy-making. Post-normal science (PNS), with its ‘extended peer community’, has emerged as one approach, whilst others focus on procedural reforms of the policy process, particularly on enhancing democratic decision-making. This paper applies a novel analytical framework to a primarily documentary analysis of three cases we argue are wicked—Canadian regulatory review of health products and food, European union (EU) environmental thematic strategies, and United Kingdom (UK) energy and climate change policy. It explores how various responses to wicked issues are implemented, through the ‘lenses’ of PNS and, more generally, ‘democratic and effective decision-making’. It finds such responses are often limited by practical and fundamental barriers relating to handling of uncertainty, issue framing, participation, power, politics, and attitude to evidence. We draw conclusions about future research on PNS, particularly the need to more clearly relate theory to different strands of literature on the evidence–policy-making relationship, and to continue empirical testing.     

Understanding socio-cultural dimensions of environmental decision-making: A knowledge governance approach

Sociological critiques of scientific research processes and their application have developed nuanced understandings of the social, cultural and political forces shaping relationships between science and decision-making. Simultaneously, environmental researchers have sought to construct more engaged, dynamic modes of conducting research to facilitate the application of science in decision-making and action. To date, however, there are relatively few theoretically-oriented approaches that have been able to draw productive connections between the sociological critique and the practical applications that can aid in navigating this complex and diverse milieu. In this article, we propose that the concept of “knowledge governance” can bring together targeted inquiry into the socio-political context in which environmental science is situated, alongside analysis of specific interventions that change knowledge-to-action relationships. Drawing together Jasanoff’s (2005) concept of civic epistemology with Cash et al.’s (2003) knowledge systems for sustainability approach, this knowledge governance inquiry framework offers an integrative lens through which to critically reflect on knowledge-based processes, and incorporate that deeper understanding into intervention efforts. We briefly illustrate its application with reference to a pilot project examining conservation decision-making in the Western Pacific island nation of Palau.     

The authority of science in sustainability governance: A structured comparison of six science institutions engaged with the Sustainable Development Goals

Over the past decades, numerous science institutions have evolved around issues of global sustainability, aiming to inform and shape societal transformations towards sustainability. While these science-based initiatives seem to take on an ever growing active role in governance for sustainable development, the question arises how they can claim any political authority in the first place. We present here a structured comparison of six international science-based initiatives, all engaged in governance processes related to the recently established Sustainable Development Goals. We focus on the material and rhetorical strategies employed by these science institutions to acquire authority by fostering perceptions of salience, credibility and legitimacy among governance actors. We distinguish three modes of scientific authority: an assessment-oriented mode that combines a strategy of salience through integration, with credibility by formal mechanisms of review, and legitimacy through representation; an advice-oriented mode, which appeals to salience through the promise of independent and timely science advice, to credibility through the credentials of the scientists involved, and to legitimacy through formal recognition by governance actors; and a solution-oriented mode, with science institutions claiming relevance based on the promise to contribute to solutions for global sustainability, while credibility is sought by invoking support of the scientific community, and legitimacy through a strategy of participation. Based on this analysis, we provide a framework for reflection on the claims and strategies of science-based initiatives, and their role and responsibility in governance for sustainable development.This article is part of a special issue on solution-oriented GEAs.     

Farmers’ perceptions of climate variability and barriers to adaptation: lessons learned from an exploratory study in Vietnam

Southeast Asian countries are confronting climate variability, challenging agricultural sustainability and rural livelihoods. However, little research effort has been devoted to exploring how farmers in those countries perceive climate variability and how the perceptions link to adaptive responses. This paper deploys information from three focus group discussions with 30 male farmers; and six in-depth interviews with one female and five male agricultural officers in the Mekong Delta, Vietnam. Recorded 34-year meteorological data in the delta from 1978 to 2011 is also incorporated to demonstrate the actual climate variability of the region. We find that farmers are becoming increasingly conscious of local climate variability issues. However, they have limited understanding of the importance of adaptation to their livelihoods. They also have limited knowledge of where and who to contact for appropriate climate change adaptation information. No opinions about the link between global warming and local climate variability and change were observed. Casual observation via public media and personal experience dominated farmers’ sources of information. Barriers to farmers’ adaptation are not exclusively restricted to socio-economic factors and resource constraints; e.g. land tenure, technical knowledge, market, social relationship, credit, information, health care, and demographics. Maladaptation, habit, and the perception of the importance of climate variability and adaptation are found as additional constraints. Observed differences in farmers’ and agricultural officers’ perspectives regarding barriers to farmers’ adaptation suggest important policy implications.     

Navigating the authority paradox: Practising objectivity in environmental expertise

We empirically reveal how environmental experts interpret the objectivity norm while navigating the authority paradox. The paradox here is that while there is a need for objective scientific advice, such advice is only to be acquired from experts and expert agencies whose objectivity and, hence, authority are contested. Viewed through the lens of practice, we identify what practitioners at the PBL Netherlands Environmental Assessment Agency understand by objectivity. Using this paradigmatic case, we show how practitioners renegotiate the meaning of objectivity while seeking to engage with new policy actors and extended peers in an independent, rigorous and legitimate manner. Successfully navigating the authority paradox is related to skilfully representing and adapting to various meanings of objectivity. Experts and experts agencies accordingly need reflexive skills to recognise which meanings of objectivity they ascribe to and which ones are invoked in public debates. Environmental experts who are able to loosely connect diverse objectivity conceptions are more likely considered as trustworthy and authoritative partners in environmental science-policy interfaces.     

Mainstreaming investments in watershed services to enhance water security: Barriers and opportunities

Watersheds are under increasing pressure worldwide, as expanding human activities coupled with global climate change threaten the water security of people downstream. In response, some communities have initiated investments in watershed services (IWS), a general term for policy-finance mechanisms that mitigate diverse watershed threats and promote ecosystem-based adaptation. Here, we explore the potential for increasing the uptake and impact of IWS, evaluating what limits its application and how institutional, financial, and informational barriers can be overcome. Our analysis complements the growing literature on individual programs by identifying levers at regional and global scales. We conclude that mainstreaming IWS as a cost-effective strategy alongside engineered approaches will require advances that (i) lower institutional barriers to implementation and participation in IWS; (ii) introduce structural market changes and standards of practice that account for the value of watersheds’ natural capital; (iii) develop practical tools and metrics of IWS costs and benefits; and (iv) share success stories of replicable institutional and financial models applied in varied contexts.     

A global assessment of adaptation investment from the perspectives of equity and efficiency

Equity and efficiency should be considered when allocating resources for climate change adaptation. More than a decade after the Least Developed Countries Fund approved adaptation funds for 18 countries in 2003, it is possible to take the stock of investment data and to test empirically whether equity and efficiency have been factored into adaptation investment decision-making. To evaluate equity, one must determine if resources were distributed to areas of greatest need. Vulnerability assessments provide information on the global distribution of the need for adaptation. To evaluate efficiency, one must compare cost and benefit of an investment. Although it is difficult to assess ex-ante the cost and benefit of investment strategies, it is possible to measure efficient use of expenditures with readiness assessment, as a metric of capacity to deploy adaptation resources. We used vulnerability and readiness measures of the Notre Dame Global Adaptation Initiative (ND-GAIN) Country Index as proxies of equity and efficiency. This article quantitatively interrogates—through the lens of public fund allocation—the roles of vulnerability and readiness in shaping adaptation investment decisions. Our findings suggest that countries facing increasing impacts from climate change have received more adaptation investments from international sources than countries with less vulnerability. Further, international investments also preferentially flow to countries that are more ready to deploy adaptation resources. Since the most vulnerable countries are likely to be less ready for investment, our findings support the efforts to improve the investment potential of the most vulnerable countries by investing first to enhance their readiness, in order to unlock adaptation solutions.     

Designing a knowledge co-production operating space for urban environmental governance—Lessons from Rotterdam,Netherlands and Berlin,Germany

Challenges for a sustainable urban development are increasingly important in cities because urbanization and related land take come up with negative challenges for the environment and for city residents. Searching for successful solutions to environmental problems requires combined efforts of different scientific disciplines and an active dialogue between stakeholders from policy and society. In this paper, we present a comparative assessment of the way policy-science dialogues have achieved knowledge co-production about strategic urban environmental governance action using the cities of Berlin in Germany and Rotterdam in the Netherlands as case studies. The ecosystem services framework is applied as a lens for policy–science interaction and a ‘knowledge co-production operating space’ is introduced. We show how policy officers, urban planners, practitioners and scientists learned from each other, and highlight the impact of this knowledge co-production for governance practice. We found that the concerted collaboration and co-creation between researchers and policy officers have led to mutual learning and establishment of relationships and trust in both cities. Not only the policy-relevance of research and its policy uptake were achieved but also new insights for research blind spots were created. In our conclusions we reflect on co-production processes with two types of conditions that we introduced to be most influential in the way knowledge can be co-created. These are conditions that relate to the way knowledge co-production processes are set-up and, conditions that relate to the expected value or benefit that the co-produced knowledge will bring across society, policy and practice.     

An analysis of the causes of the mitigation bias in international climate finance

Research on international climate finance got a new impetus from the United Nations Framework Convention on Climate Change Cancun Accords in 2010 which pledge to mobilize US dollars (USD) 100 billion in international climate financing annually by 2020. The Accords’ specification that adaptation must be addressed with the same priority as mitigation is not reflected in current patterns of international climate finance where we face a strong bias towards mitigation finance. A recent study by Buchner et al. (2011) ascertains a split between mitigation and adaptation finance of 95:5. In this paper, we investigate potential reasons for this bias. In our framework, we distinguish different decision layers and actors involved in international climate finance in order to categorize the causes responsible for the low priority of adaptation in international finance. The identification of obstacles for international adaptation funding is a first crucial step in the search for ways to overcome respective barriers. We find several different causes of the mitigation bias and these might offer starting points for policies aiming at raising adaptation finance and curing this bias. Furthermore, we describe interrelations between these causes which effective policies have to take into account.     

Towards an efficient and low carbon economy post-2012: opportunities and barriers for foreign companies in the Russian energy market

Russia is one of the most energy- and carbon-intensive countries in the world. The high level of technical abrasion and a low level of investments into modernization of the Russian energy industry cause huge energy wastage and carbon emissions. This situation is regarded by countries relying on energy imports from Russia as an increasing threat to security of supply and as a major barrier to global climate change policy. This paper provides an overview of the current and future Russian energy efficiency and greenhouse gas mitigation policies. The focus is laid on the detailed investigation of the progress and future potential of the market-oriented mechanisms Joint Implementation (JI) and Green Investment Scheme (GIS), being considered as two possible channels for FDI in transnational energy efficiency and carbon mitigation projects. The analysis was conducted by reviewing the relevant scientific and non-scientific literature including a variety of theoretical and practice-oriented arguments. Based on this assessment, we conclude that JI and GIS are confronted with numerous barriers in the Russian energy market. We further scrutinize the ability of Energy Service Companies (ESCOs), as one of the market intermediary models, to overcome some of these barriers in the process of effectively integrating JI and GIS in their long-term business strategies. Due to the compatibility of the main features of JI and GIS with the working procedures under the ESCO model we conclude that numerous synergy effects can be generated and that the majority of transaction barriers specific for the Russian energy market can be overcome. Such an integrative framework for international energy efficiency and carbon mitigation projects would contribute to the modernization of the Russian energy industry and enable a “win-win” situation for foreign companies seeking to invest in a sustainable manner.     

中国省域空间单元绿色治理效率测度及其空间格局特征

全文构建广义面板三阶段DEA模型,实证测度2008～2019年我国31个省域绿色治理效率,基于外部环境和投影分析探究绿色治理的改进方向;利用空间自相关模型,判断省域绿色治理效率的潜在关联;通过空间引力模型、社会网络分析法,明确各省域绿色治理效率的空间关联规模,形成网络拓扑结构下的绿色治理效率社会网络.研究发现,中国省域...