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.     

Analytical lenses on barriers in the governance of climate change adaptation

Barriers to adaptation have become an important concept in scientific and political discussions in the governance of climate change adaptation. Over the past years, these discussions have been dominated by one analytical lens in examining barriers and proposing ways to overcome them: the problem solving lens. In this paper, we aim to demonstrate theoretically and empirically that the choice of analytical lens influences how barriers to adaptation are constructed and the intervention strategies proposed. Drawing from recent governance literature, we explore the rationale of three dominant philosophies in the study of governance: the optimist, the realist, and the pessimist philosophy. Next, we demonstrate how these philosophies are operationalized and guide scientific inquiry on barriers to adaptation through four empirically rooted analytical lenses: i) governance as problem solving, ii) governance as competing values and interests, iii) governance as institutional interaction, and iv) governance as dealing with structural constraints. We investigate the Dutch government’s Spatial Adaptation to Climate Change programme through each of the four lenses. We discuss how each analytical lens frames barriers in a specific way, identifies different causes of barriers, leads to competing interpretations of key events, and presents other types of interventions to overcome barriers. We conclude that it is necessary to increase analytical variety in order to critically engage in theoretical debates about barriers and to empower policy practitioners in their search for successful intervention strategies to implement adaptation measures.     

Exploring farmer preference shaping in international agricultural climate change adaptation regimes

Questions of equity, justice, and fairness in the international agricultural adaptation regime have emerged in recent years, prompting interest in regime power dynamics. Here, a three-dimensional conceptual framework of ‘power as domination’ is applied to the UNFCCC adaptation regime. We argue that this ‘power-over’ framing is an important lens through which to view adaptation, a field dominated by ‘power-to’, capacity-based constructs. The framework distinguishes between power-over manifesting through decision-making, agenda setting and preference shaping. Through a literature review we demonstrate that first and second dimension behavioral views of power-over fail to account for the subtle ways in which the interests and preferences of smallholder farmers are unknowingly shaped and restricted within the regime. Potential sources of third dimension preference shaping power are explored in a survey with high-level decision makers involved in National Adaptation Plans (NAP) development in seven countries. The results suggest that several inter-related features of the international agriculture adaptation regime collectively contribute to the shaping of interests and preferences of smallholders: prevailing discourses of uncertainty and the perceived limited capacity of smallholders; the resulting privileged status of ‘expert’ decision makers; the predominance of neoliberal development rationalities; and systemic biases resulting from the nation state as the principle unit of UNFCCC negotiation. These forces lie beyond the explanatory scope of first and second dimensions of power-over and help to explain why stakeholder engagement in adaptation decision making remains superficial in nature and why adaptation responses in agriculture can be considered ‘common and non-differentiated’. We argue for increased awareness of third dimension manifestations and impacts of power in adaptation literature to facilitate the improved participation of marginalized stakeholders in UNFCCC and domestic adaptation decision making forums, to increase the diversity of adaptation options available to smallholders, and ultimately, to improve the attribution of responsibility for adaptation outcomes.     

Beyond the black box: Forest sector vulnerability assessments and adaptation to climate change in North America

In the wake of the failures to date of well-publicized multilateral and multi-sectoral mitigation efforts to control greenhouse gases, attention is now increasingly focused on the effectiveness and capacity of national and sub-national level sectoral plans, including forestry, to usher in a new era of adaptation efforts. In Canada, the government of British Columbia spent several years developing its Future Forest Ecosystems Initiative as part of a larger climate change response strategy in the forest sector. Similarly, in the United States, wildfire related events have led to climate change inspired efforts by individual states (e.g., Alaska, California) and the US Forest Service has recently undertaken plans to incorporate climate change considerations in national forest planning beginning with the National Road Map for Responding to Climate Change. This paper highlights a number of shortcomings with both these national and sub-national strategies with respect to the relationships existing between governance, forestry and climate change. It proposes incorporating considerations of governance mechanisms directly into forest sector planning and the need to assess not only natural system level changes but also the extent to which new problems can be dealt with by ‘old’ or ‘new’ governance arrangements.     

Agricultural adaptation to climate change in China

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A multiple timescales approach to assess urgency in adaptation to climate change with an application to the tourism industry

As climate change adaptation is increasingly discussed and becoming a mainstream concept, different types of users are asking themselves if and when they should develop an adaptation strategy, often not knowing where to begin. Climate experts, on the other hand, have access to an enormous amount of data that could be useful to users but often do not know how to translate it into something practical. Both users and experts can be linked through two timescales, the system lifespan and climate vulnerability. While the system lifespan relies on the user’s estimation of his planning timeframe, the climate vulnerability is estimated from climate model projections and observations. We propose a simple tool to relate user and climate expert knowledge by combining the two timescales. To be reliable, the interconnection implies a dialogue to first identify what sensitive climate variable will impact the system and subsequently the extent of the impact. Climate data can then be used to identify, with the use of a simple graph, how sensitive a system is likely to be and help users position themselves about the urgency of adaptation. The concept has been successfully presented and applied to the tourism industry, notably the ski industry, which is showcased in this paper.     

Space-time discounting in climate change adaptation

Discounting is traditionally interpreted as the technique for comparing the values of costs and benefits which occur at different points in time. It endeavors to incorporate how humans trade off values to be received in the future versus value received immediately into economic analysis. Interpreted as such, discounting neglects important spatial influences on how values are compared, thereby hindering cost-benefit analyses of climate change adaptation. In this article, we present new theory on space-time discounting and use it to analyze aspects of how humans adapt to climate change. Three climate change adaptation cases are considered. First, analysis of crop indemnity payments to farmers shows that failure to discount across space and time yields inaccurate evaluations of adaptation projects. Second, adaptation efforts of the Commonwealth of Nations show irregular patterns of international cooperation that suggest spatial discounting of adaptation which are not found in temporal discounting. Third, the nexus between climate change, migration, and conflict shows how various forms of space-time discounting can influence whether climate change and migration will lead to conflict. Collectively, these cases demonstrate the analytical power of the space-time discounting theory and also show how the complexity of climate change adaptation can challenge and strengthen this theory. Finally, this article’s analysis demonstrates that proper discounting must include space as well as time.     

Two methods to assess vulnerability to climate change in the Mexican agricultural sector

We applied two methods to assess vulnerability to climate change in Mexico’s agricultural sector. The first one was a principal component analysis (PCA) that weighted each variable separately. For the second one, we integrated the variables in a linear array in which all variables were weighted equally, and then, we used the arithmetic sum of the sub-indices of exposure and sensitivity minus the adaptive capacity to obtain the vulnerability index. We discuss the similarities and differences between two methods with respect to municipal-level maps as the outputs. The application of the method for the agricultural sector in Mexico gave us the spatial distribution of the high- and very-high vulnerability categories, which we propose as a tool for policy. The methods agreed that the very-high vulnerability category is present in 39 municipalities. Also we found that 16 % of the total population in the country is located in high-exposure areas. In addition, 41 % lives in municipalities identified as highly-sensitive. In terms of adaptive capacity, 20 % of the population lives in 1273 municipalities with low-adaptive capacity. Finally, we discuss the need for information regarding vulnerability at the national level to guide policies aimed at reducing exposure and sensitivity and increasing adaptive capacity.     

Tailor-made scenario planning for local adaptation to climate change

This paper presents a tailor-made scenario approach for climate change adaptation planning, which emphasises involvement of stakeholders in the development of socioeconomic scenarios and relates to the planning situation and interest of the planning entity. The method was developed and tested in case studies in three different sectors in Sweden (the health sector, the tourism sector and water resource management). The result of the case studies is that the tailor-made scenario approach facilitated the engagement of the local planning body in climate change adaptation and helped them to analyse consequences and possible solutions in a structured way. However, the scenarios that emerged mainly focused on socioeconomic drivers on which the planning body had a large impact or drivers that can be influenced through cooperation with other actors at the local or regional level. While this result underlines the need for local stakeholder involvement in scenario processes, it also indicates a local bias that could be remedied by a stronger representation of national and global perspectives in the scenario development process. Finally, we discuss how a “bottom-up” approach could be combined with a “consistency” approach, which points towards a possible way forward to a hybrid methodology that is compatible with the scenario framework currently being developed in connection to the fifth assessment report of the IPCC.     

Using expert elicitation to define successful adaptation to climate change

This paper develops definitions of adaptation and successful adaptation to climate change, with a view to evaluating adaptations. There is little consensus on the definition of adapting to climate change in existing debates or on the criteria by which adaptation actions can be deemed successful or sustainable. In this paper, a variant of the Delphi technique is used to elicit expert opinion on a definition of successful adaptation to climate change. Through an iterative process, expert respondents coalesced around a definition based on risk and vulnerability and agreed that a transparent and acceptable definition should reflect impacts on sustainability. According to the final definition, agreed by the Delphi panel, successful adaptation is any adjustment that reduces the risks associated with climate change, or vulnerability to climate change impacts, to a predetermined level, without compromising economic, social, and environmental sustainability.     

Mountain communities and climate change adaptation: barriers to planning and hurdles to implementation in the Southern Rocky Mountain Region of North America

Geographic factors make mountain communities around the world vulnerable to the direct effects of climate change, and reliance on recreation and tourism can increase vulnerability to the secondary economic impacts.The goal of this research was to investigate the current state of community adaptation planning in the Southern Rocky Mountain region of North America. Using original survey data this paper discusses the challenges that community and county officials currently face, the perceived effects of future climate change in this region, and the perceived barriers to adaptation planning and hurdles to adaptation implementation. Results show lack of resources, information and political will are the most commonly reported barriers to adaptation. This paper also examines the connectivity between mountain communities and the surrounding federal public lands. Fifty one percent of respondents report that decisions made on nearby public lands frequently or always affect planning and decision making in their community. Collaborative efforts between these entities are proposed as a way to reduce the resource burden of adaptation planning for both entities. Finally, this paper discusses how attitudes and beliefs about climate change affect responses to questions about adaptation planning. On average, respondents who report higher levels of concern about and belief in climate change and those who are better informed about climate change report higher levels of adaptation planning. Elected officials in this sample have, on average, lower concern about and belief in climate change than bureaucratic respondents. Thus changes in elected official composition or improved leadership on climate change planning by incumbent officials could facilitate progress on adaptation     

Transformative learning and adaptation to climate change in the Canadian Prairie agro-ecosystem

Agricultural production in the Canadian Prairies is expected to be negatively affected as climate change projections for the region indicate warmer temperatures, greater incidence and severity of extreme weather events, and reduced water availability and soil moisture. To understand climate change adaption, it is important to explore the learning process that underlies farmer’s adaptation practices in the region. Prairie farmers’ learning was analyzed using Transformative Learning Theory whereby learning is categorized into three types: instrumental, communicative, and transformative. All producers learned instrumentally to some degree, but farmers who placed less emphasis on maximizing economic returns generally showed secondary learning outcomes correlating economic and environmental benefits. Communicative learning was mainly limited to producer-producer dialogue to the exclusion of other organizational and institutional players in the agricultural system. Critical reflection was explored as an important precursor to transformative learning. Strong evidence of transformative learning was rare (observed in 11% of farmers), but indicators of transformative learning were diverse and was observed in 43% of farmers. Transformative learning is believed to be important for flexible decision-making and autonomous thinking, making it advantageous for responding to changing environmental conditions. The analysis shows that a large number of information sources, and communication of information in an experiential and observable way, is conducive to transformative learning. Adaptation to environmental uncertainty, resulting from changing climatic conditions, may be most effectively dealt with when individual farmers undergo transformative learning whereby underlying assumptions that govern actions, values, and claims to knowledge are questioned.     

Prioritization of climate change adaptation approaches in the Gambia

Adaptation to climate change has been recognized as very important in developing countries that face the greatest threats from global warming. In proposing various adaptation approaches, the United Nations Intergovernmental Panel on Climate Change required nations to prepare adaptation plans of action. However, the areas of priority in climate change adaptation have not been considered. This study has developed a new prioritization methodology for climate change adaptation in developing countries. Five categories and 25 approaches in climate change adaptation were adopted through a thorough and detailed analysis of pertinent literature related to the National Adaptation Program of Action (NAPA) in the Gambia. A fuzzy analytic hierarchy process-based questionnaire survey was designed and presented to 12 experts chosen from the committee members of the Gambia’s NAPA. The survey was made to determine the relative importance of the strategies for climate change adaptation. The results indicate that the five most important adaptation categories are health (0.223), forestry (0.213), water (0.210), food (0.181), and energy (0.174), with health as the number one priority in climate change adaptation. Further findings show that the prioritization order of the adaptation approaches to climate change in the Gambia is as follows: “Health education,” “public sensitization,” “water supply infrastructure development,” “microfinance,” and “infrastructure and technology enhancement.”     

Building responsiveness to climate change through community based adaptation in Bangladesh

This article explores the drivers, benefits, and challenges to climate change adaptation in Bangladesh. It specifically investigates the “Community Based Adaptation to Climate Change through Coastal Afforestation Program,” a 5-year $5 million adaptation scheme being funded and implemented in part by the Government of Bangladesh, United Nations Development Program, and Global Environment Facility. The article explores how the CBACC-CA builds various types of adaptive capacity in Bangladesh and the extent its design and implementation offers lessons for other adaptation programs around the world. The first part of the study begins by describing its research methods consisting of research interviews, site visits, and a literature review. It then summarizes six primary sectors vulnerable to climate change in Bangladesh: water resources and coastal zones, infrastructure and human settlements, agriculture and food security, forestry and biodiversity, fisheries, and human health. The article next describes the genesis and background behind the CBACC-CA, with an emphasis on components that promote capacity development, demonstration projects, risk reduction, and knowledge management. The article concludes that technology by itself is only a partial component of successful adaptation efforts, and that multiple and integrated adaptation measures that cut across sectors and social, institutional, and infrastructural dimensions are needed to truly build resilience and effectiveness.     

Forests and climate change adaptation policies in Cameroon

Nowadays, adaptation has become a key focus of the scientific and policy-making communities and is a major area of discussion in the multilateral climate change process. As climate change is projected to hit the poorest the hardest, it is especially important for developing countries to pay particular attention to the management of natural resources and agricultural activities. In most of these countries such as Cameroon, forest can play important role in achieving broader climate change adaptation goals. However, forest generally receives very little attention in national development programme and strategies such as policy dialogues on climate change and poverty reduction strategies. Using a qualitative approach to data collection through content analysis of relevant Cameroon policy documents, the integration of climate change adaptation was explored and the level of attention given to forests for adaptation analysed. Results indicate that, with the exception of the First National Communication to UNFCCC that focused mostly on mitigation and related issues, current policy documents in Cameroon are void of tangible reference to climate change, and hence failing in drawing the relevance of forest in sheltering populations from the many projected impacts of climate change. Policies related to forest rely on a generalized concept of sustainable forest management and do not identify the specific changes that need to be incorporated into management strategies and policies towards achieving adaptation. The strategies and recommendations made in those documents only serve to improve understanding of Cameroon natural resources and add resilience to the natural systems in coping with anthropogenic stresses. The paper draws attention to the need to address the constraints of lack of awareness and poor flow of information on the potentials of forests for climate change adaptation. It highlights the need for integrating forest for adaptation into national development programmes and strategies, and recommends a review of the existing environmental legislations and their implications on poverty reduction strategy and adaptation to climate change.     

Agricultural adaptation of climate change in China.

This paper presents the study on agriculture adaptation to climate change by adopting the assumed land use change strategy to resist the water shortage and to build the capacity to adapt the expected climate change in the northern China. The cost-benefit analysis result shows that assumed land use change from high water consuming rice cultivation to other crops is very effective. Over 7 billions m3 of water can be saved. Potential conflicts between different social interest groups, different regions, demand and supply, and present and future interests have been analyzed for to form a policy to implement the adaptation strategy. Trade, usually taken as one of adaptation strategies, was suggested as a policy option for to support land use change, which not only meets the consumption demand, but also, in terms of resources, imports water resources.     

Identifying water resources management strategies in adaptation to climate change under uncertainty

In this study, an integrated simulation-based allocation modeling system (ISAMS) is developed for identifying water resources management strategies in response to climate change. The ISAMS incorporates global climate models (GCMs), a semi-distributed land use-based runoff process (SLURP) model, and a multistage interval-stochastic programming (MISP) approach within a general framework. The ISAMS can not only handle uncertainties expressed as probability distributions and interval values but also reveal climate change impacts on water resources allocation under different projections of GCMs. The ISAMS is then applied to the Kaidu-kongque watershed with cold arid characteristics in the Tarim River Basin (the largest inland watershed basin in China) for demonstrating its efficiency. Results reveal that different climate change models corresponding to various projections (e.g., precipitation and temperature) would lead to changed water resources allocation patterns. Variations in water availability and demand due to uncertainties could result in different water allocation targets and shortages. A variety of decision alternatives about water allocations adaptive to climate change are generated under combinations of different global climate models and ecological water release plans. These findings indicate that understanding the uncertainties in water resources system, building adaptive methods for generating sustainable water allocation patterns, and taking actions for mitigating water shortage problems are key adaptation strategies responding to climate change.     

Livelihoods, vulnerability and adaptation to climate change in Morogoro, Tanzania

This article examines farmers’ livelihood responses and vulnerability to climate variability and other stressors in Morogoro, Tanzania, to understand their implications for adaptation to climate change by agricultural households in developing world more generally. In Morogoro, agricultural households have extended cultivation, intensified agriculture, diversified livelihoods and migrated to gain access to land, markets and employment as a response to climatic and other stressors. Some of these responses have depleted and degraded natural resources such as forest, soil and water resources, which will complicate their living with climate change in the future. This will be particularly problematic to vulnerable groups such as women, children and pastoralists who have limited access to employment, markets and public services. In this light, fair adaptation to climate change by agricultural households in Morogoro and elsewhere in developing countries requires several complementary responses. Adaptation efforts should involve effective governance of natural resources because they function as safety nets to vulnerable groups. In addition, strengthening of national markets by infrastructure investments and institutional reforms is needed to give incentives to intensification and diversification in agriculture. Market participation also demands enhancement of human capital by public programs on health, education and wellbeing.     

Institutional dynamics and climate change adaptation in South Africa

Climate change is a multi-dimensional issue and in terms of adaptation numerous state and non-state actors are involved from global to national and local scales. The aim of this paper is first to analyse specific institutional networks involved in climate change predominantly at the national level in South Africa and second to determine how different stakeholders perceive their role vis-a-vis climate change adaptation. Within the South African context there is a gap in understanding and evaluating how institutional networks operate and thus the findings of this work may help inform and strengthen such relationships in the future. Results showed that few institutions fully understand the implications of adaptation and their roles and responsibilities have not yet been properly defined. Constraints relating to capacity, lack of awareness and poor information flow need to be addressed. Climate change is perceived as an important issue although problems such as poverty reduction and job creation remain national priorities. Most importantly this research has demonstrated how adaptation challenges the hierarchical manner in which government works and a more collaborative approach to climate change adaptation is needed. Adaptation needs to be mainstreamed and institutional networks need to be strengthened in order for adaptation mechanisms to be effectively implemented.