What are the barriers to successful community-based climate change adaptation? A review of grey literature

ABSTRACT

Across the Global South, community-based adaptation (CBA) projects are increasingly being implemented in an effort to respond effectively and sustainably to the impacts of climate change, with a particular focus on people’s livelihoods. Despite an increase in the number of CBA projects being implemented, detailed analysis and evaluation of their efficacy and the barriers faced in achieving successful outcomes is lacking. This study draws on an analysis of grey literature (i.e. project and donor reports) to explore the barriers faced in achieving effective CBA. An extensive global search of online project evaluations yielded 25 documents comprising 69 projects from which this analysis is based. This paper first presents an overview of the 69 projects and highlights any trends. Second, this paper describes the barriers to CBA according to three broad themes: socio-political, resource, and physical systems and processes. Following this is a discussion of the most prevalent barriers: cognitive and behavioural, financial, and human resources. Third, this paper discusses the key findings elucidated from this review. This includes the need for greater sharing of project reports and findings so lessons can be learned across spatial and temporal scales, and the disparity between critical academic literature on CBA and what is implemented in practice.     

Local governments in the driving seat? A comparative analysis of public and private responsibilities for adaptation to climate change in European and North-American cities

The division of responsibilities between public and private actors has become a key governance issue for adaptation to climate change in urban areas. This paper offers a systematic, comparative analysis of three empirical studies which analysed how and why responsibilities were divided between public and private actors for the governance of local urban climate adaptation. For 20 governance arrangements in European and North-American cities, the divisions of responsibilities and the underlying rationales of actors for those divisions were analysed and compared. Data were gathered through content analysis of over 100 policy documents, 97 in-depth interviews and 2 multi-stakeholder workshops. The comparative analysis reveals that local public authorities are the key actors, as they bear the majority of responsibilities for climate proofing their cities. In this stage of policy emergence, local authorities are clearly in the driving seat. It is envisaged that local public authorities need to more actively engage the different private actors such as citizens, civil society and businesses through governance networks along with the maturation of the policy field and the expected acceleration of climate impacts in the coming decades.     

Jordan’s climate change governance framework: from silos to an intersectoral approach

Jordan is not immune from climate change impacts. The complex characteristics (cross-boundary, multi-level, multi-sector, multi-agency settings, long-term challenges, and uncertainty) and long-term impacts of climate change confront Jordan’s decision-makers with a pressing question: Is the current governance framework adequate to respond coherently to the climate change impact, or is a new framework needed for future preparedness? To address this question, four qualitative research methods were applied to collect data reflecting diverse views about issues and in different contexts. Data were examined from different perspectives to aid in validating the conclusions. Results show that there are limitations in the current climate change governance framework. Better understanding of the intersectoral approach is necessary to develop appropriate adaptation and mitigation strategies that recognize the full extent of climate change vulnerability, rather than viewing single sectors in isolation. Accordingly, an intersectoral coordination roadmap was proposed to support the implementation of Jordan’s climate change policy (2013–2020).     

Multi-level coordination of climate change adaptation: by national hierarchical steering or by regional network governance?

The institutional structure and public service delivery apparatus required to meet the future effects of climate change already exist in Norway. However, there are huge challenges in coordinating these institutions at different authority levels for climate change adaptation purposes. Based upon a broad case study, this article presents how local actors consider the multi-level coordination of different levels of government and policy sectors to function today, which are the mechanisms that are used and what are the coordination challenges that are identified. Based upon the challenges revealed, this article discusses how best can the government-level institutions be organised for better goal attainment. We argue here that the elected regional level in Norway – the counties – has a huge potential to act as a multi-level coordination actor.     

Vulnerability and resilience to climate change in Sorsogon City,the Philippines: learning from an ordinary city?

Sorsogon City is a rapidly urbanising coastal area in the Philippines. Its location, combined with a rapidly changing and growing urban fabric, leaves it vulnerable to both incremental climate change and associated extreme weather events. In this paper, UN-HABITAT data are used to draw out the climate change vulnerabilities and policy responses in Sorsogon City. Vulnerability “hotspots” highlight the spatial intersection of socio-economic justice concerns, particularly in terms of vulnerability to increased cyclone activity. We discuss vulnerabilities of Sorsogon City and its citizens to climate change and measures undertaken through various social, environmental and technical systems and interventions to increase resilience. The paper also attempts to unpick the relationship between the neat, concise reported city and the complexities of urban life using the Sorsogon experiment to consider the limitations of such approaches to governing climate change. We group these under four headings: social simplification in the absence of data; over-governance (and under-representation); quick wins versus strategic investment; and stretching the ecological and vulnerability footprints of the city. The experience of Sorsogon City is then extended to reflect on issues of governance and planning in other Asian coastal cities.     

Moving beyond “mitigation and adaptation”: examining climate change responses in New Zealand

Despite the apparent failure of international negotiations and renewed criticism of the accuracy of climate science, responses to climate change continue in households, cities, fields, and meeting rooms. Notions of “doing something about”, or “taking action on” or “mitigating and adapting” to climate change inform practices of carbon trading, restoring native forests, constructing wind turbines, insulating houses, using energy efficient light bulbs, and lobbying politicians for more or less of these actions. These expressions of agency in relation to climate change provide the focus of our enquiry. We found that relationships or social networks linked through local government are building capabilities to respond to climate change. However, the framework of “mitigation–adaptation” will need to be supplemented by a more diverse suite of mental models for making sense of climate change. Use of appropriate languages, cultural reference points, and metaphors embedded in diverse histories of climates and change will assist actors in their networked climate change responses.     

The climate adaptation imperative: local choices targeting global problems?

When confronted with the demands of global climate change, what causes some policy-makers to move the climate adaptation agenda forward in their communities, while others seemingly get little accomplished? To answer this question, we first discuss work on policy-drivers in a coupled human–natural systemic context. This summary review of past research helps us develop a set of competing and complementary explanations for why some communities aggressively pursue climate adaptation policies, while others do less. Following the discussion of policy-drivers, we then undertake an aggregate-level analysis of data collected across the 169 towns in Connecticut regarding climate adaptation, thus linking policy to its fundamental global cause. The quantitative data are augmented with interview data from policy-makers and activists from around the New England region.     

“Other people’s initiatives”: exploring mediation and appropriation of place as barriers to community-based climate change adaptation

Adaptation planning at the community level takes on various forms. It generally involves a process of defining climate impacts, vulnerabilities, and actions that can build community resilience. Typically, these processes rely on climate experts and policy-makers to define what is at risk, and therefore what is worthy of investment and protection. Emerging approaches to community-based adaptation-planning advocate for stronger community control over these processes. Drawing on a place-based approach to adaptation, this paper examines place meaning as a co-constructed process. It explores how this process shapes opportunities for community-based climate action in Churchill, Canada. Results indicate that community members acknowledge many competing threats to their sense of place, and suggest that this competition may reduce the perceived need to prioritise climate action to protect connections to place. Results also reveal a concern among community members that local place identity has been appropriated for economic gain, which may further reduce the drive to act in protection of an already exploited sense of place. Overall, findings support calls to adopt place-based perspectives to enhance the capacity of adaptation planning to understand local needs, values, and levers for action.     

Smallholder farmers’ coping and adaptation strategies to climate change and variability in the central highlands of Ethiopia

This study describes the different coping and adaptation strategies used by smallholder farmers to mitigate the adverse impacts of climate change and variability in the central highlands of Ethiopia. A distinction was made between coping and adaptation strategies, respectively, as short-term and longer term measures. The study surveyed 200 farm households in three districts, and three focus group discussions and three key informant interviews were conducted in each district. All the surveyed farmers perceived at least one aspect of change in the local climate. Their perception of an increasing trend of temperature was supported by meteorological records, while their perception of declining annual rainfall was not supported by actual records in two of the three districts, where positive trends in rainfall were observed. Farmers identified changes in rainfall and drought as their major climate change-related risks. In response, farmers used different strategies to mitigate the adverse effects of climate change and variability. The most widely used coping strategy was selling livestock (85% of the respondents), followed by changing consumption pattern (76% of the respondents). Changing crop planting dates was the most preferred adaptation option (89% of the respondents), while irrigation as an adaptation strategy was used only by 10% of the surveyed farmers. Shortage of water for irrigation (83% of the respondents) and shortage of money to buy necessary inputs (77% of the respondents) were the major barriers to effective adaptation frequently cited in the study area. We conclude that adaptation policy should build on existing coping and adaptation strategies and focus on addressing barriers to the adoption of coping and adaptation measures at different scales.     

Making cities resilient to climate change: identifying “win–win” interventions

Urbanisation is truly a global phenomenon. Starting at 39% in 1980, the urbanisation level rose to 52% in 2011. Ongoing rapid urbanisation has led to increase in urban greenhouse gas (GHG) emissions. Urban climate change risks have also increased with increase in climate-induced extreme weather events and more low-income urban dwellers living in climate sensitive locations. Despite increased emissions, including GHGs and heightened climate change vulnerability, climate mitigation and adaptation actions are rare in the cities of developing countries. Cities are overwhelmed with worsening congestion, air pollution, crime, waste management, and unemployment problems. Lack of resources and capacity constraints are other factors that discourage cities from embarking on climate change mitigation and adaptation pathways. Given the multitude of problems faced, there is simply no appetite for stand-alone urban climate change mitigation and adaptation policies and programmes. Urban mitigation and adaptation goals will have to be achieved as co-benefits of interventions targeted at solving pressing urban problems and challenges. The paper identifies administratively simple urban interventions that can help cities solve some of their pressing service delivery and urban environmental problems, while simultaneously mitigating rising urban GHG emissions and vulnerability to climate change.     

Do the poor have what they need to adapt to climate change? A case study of Nepal

Nepal's geographical landscape of plains, hills, and mountains exposes it to severe climatic conditions. Out of the three regions, the plain, also called Terai, has the greatest risk of flooding, especially during the monsoon season when heavy precipitation coincides with snow and glacier melting from the mountains and hills. In recent years, greater water availability has increased the frequency of flooding, destroying farms, livestock, and infrastructure, hence, reducing agricultural productivity and disrupting economic activities. What makes Nepal a unique case study for climate change is its richness in water resources, propensity to flood, the percentage of poor people living in the flood prone region, and their dependency on natural resources. The lessons drawn can help when formulating pro-poor adaptation policies for other Asian and many developing countries that are as diverse, poor, and agrarian as Nepal. Using data collected through survey interviews, the study examines the ability of the poor to adapt to climate change. The study also explores the adaptive capacity of communities in the Koshi Tappu area, by examining whether or not they have the required capital assets (human, social, natural, physical, and financial capital) to remain resilient in the face of continuous climate events impacts.     

Risk and vulnerability analysis: A feasible process for local climate adaptation in Sweden?

Climate change is an important new challenge for local authorities. This study analyses the potential for using the Swedish mandatory process for risk and vulnerability analysis (RVA) as a vehicle to improve local climate adaptation work. An advantage with RVA is its comprehensive approach in dealing with all relevant threats and all vital functions of society. In order to test the applicability of incorporating climate adaptation into RVA, we studied practical experiences from three Swedish municipalities. In all municipalities, a pre-study to identify relevant climate-induced events was performed. In one municipality, this was followed by a more detailed analysis of the potential impacts of these events on the functions of the various administrations and companies within the local authority. Problems identified in successful integration of climate change into the municipal RVA process were lack of sufficient knowledge to identify the impacts of climate change on the level of the respective specialist or district administration and lack of resources to perform the analysis. There were also some difficulties in including a long-term perspective relevant for climate adaptation into RVA, which usually focuses on current threats. A positive outcome was that work on extreme climate events in RVA provided a traceable method to identify events with a potentially great impact on the function of local society and results that could be fed into other ongoing processes, such as spatial planning and housing plans.     

Local authorities and climate protection in the European union: Putting subsidiarity into practice?

Abstract

Although intrinsically a global environmental concern, the climate change issue has a number of implications for local authorities. Within the European Union (EU), the remit of local authorities in—‐for abatement policies—the crucial areas of energy and transport policy varies considerably, as does their commitment to environmental action more generally. This paper examines the role of local authorities in climate protection within a framework of global, EU and national action, through examples of local strategies from Germany, Italy, Spain, Sweden and the UK. The paper finds positive instances of action in all countries, but points to unsympathetic policy frameworks both at national and EU level, such as budget constraints imposed on local authorities, the pursuit of low energy prices combined with a resistance to impose carbon taxes, a lack of energy efficiency standards and insufficient support for public transport.     

Using a social learning configuration to increase Vietnamese smallholder farmers’ adaptive capacity to respond to climate change

Social learning is crucial for local smallholder farmers in developing countries to improve their adaptive capacity and to adapt to the current and projected impacts of climate change. While it is widely acknowledged that social learning is a necessary condition for adaptation, few studies have systematically investigated under which conditions particular forms of social learning are most successful in improving adaptive capacity of the most vulnerable groups. This study aims to design, implement and evaluate a social learning configuration in a coastal community in Vietnam. We make use of various methods during four workshop-based interventions with local smallholder farmers: interviews with key farmers and commune leaders, farmer-to-farmer learning, participatory observations and focus group discussions. The methods for evaluation of social learning configuration include in-depth interviews, focus group discussions and structured survey interviews. Our findings show that the social learning configuration used in this study leads to an increased problem ownership, an enhanced knowledge-base with regard to climate change impacts and production adaptation options, improved ability to see connections and interdependencies and finally, strengthened relationships and social cohesion. The results suggest that increased social learning in the community leads to increase in adaptive capacity of smallholder farmers and improves both their economic and environmental sustainability. We discuss the key lessons for designing learning configurations that can successfully enhance adaptive capacity and smallholder farmers’ agency and responsiveness to the challenges posed by climate change impacts.     

Football and climate change: strange bedfellows or a means of going beyond the usual suspects in encouraging pro-environmental behavioural change?

Academics and policy-makers claim that community-based organisations may be able to encourage individuals to adopt pro-environmental behavioural changes; however, at present, there is limited research-based evidence to support this assertion. This paper sets out to provide a contribution to the evidence base by examining the role that community can play in tackling climate change. It does this through a case study analysis of a community-based pro-environmental behavioural-change campaign – Ipswich Town Football Club's “Save Your Energy for the Blues” campaign. The paper examines existing theories on encouraging behavioural change based on a range of cognitive and contextual constraints. Based on the findings of this research, the paper goes on to suggest that by focusing on the individual as the appropriate unit of change, much current policy fails to incorporate the contextual constraints that may limit an individual's ability to adopt behavioural change regardless of their willingness to do so. The case study analysis indicates how framing of appropriate responses to climate change in a largely positive light, with a range of individual, collective and environmental benefits, is shown to have resonated strongly with many participants in the campaign, including a significant number whose participation was not based on pro-environmental values.     

Building resilience to climate change – the role of cooperation in alpine tourism networks

While there is ample – though partially contradictory – evidence regarding the effects climate change will have on various regions of the world, there is only very limited work dedicated to the analysis of different governance structures, and how these structures are likely to influence the resilience of alpine tourism systems in the face of climate change. We present an analytical framework based on network theory, and apply this to the Swiss case study destination of Engelberg, in order to deduct a number of insights for the future assessment of resilience based on the cooperation of local actors. The main aim of the paper is to come up with comparable resilience metrics based on social network analysis in order to assess the structural strengths and weaknesses of a geographically delimited tourism system in the face of climate change. Together with the action potential of the individual actors these structural properties influence the adaptive capacity of both individual actors, and the tourism system as a whole. In line with comparable studies, we identify structural strengths and weaknesses around the core-periphery distribution (centrality), subgroups (modularity) and information flows (path length). We find that the Engelberg network follows an almost ideal-typical scale-free structure and the overall cooperation rate (density) is comparable to other tourism networks. The main weaknesses of the network with regard to climate change resilience are the lacking integration of public sector actors and the relatively high number of actors in the periphery of the network.     

“At the water's edge”: community voices on climate change

The photovoice research project, “At the water's edge”, which gives voice to communities exploring the threats and impact of climate change and rising sea levels on coastal communities, was conducted during an environmental art symposium in the Noosa Biosphere Reserve, Australia in June 2009. Photos by participants illustrated both local and global threats and reflected psychological tension between global and local action. This research partnership with the local people demonstrated an innovative visualisation technique which can be used to collaboratively build capacity and consensus about adaptation to climate change. It also contributed to the Biosphere Reserve's educational and cultural aims in relation to climate change.     

Assessing agricultural vulnerability to climate change in the Nordic countries – an interactive geovisualization approach

Nordic agriculture must adapt to climate change to reduce vulnerability and exploit potential opportunities. Integrated assessments can identify and quantify vulnerability in order to recognize these adaptation needs. This study presents a geographic visualization approach to support the interactive assessment of agricultural vulnerability to climate change. We have identified requirements for increased transparency and reflexivity in vulnerability assessments, arguing that these can be met by geographic visualization. A conceptual framework to support the integration of geographic visualization for vulnerability assessments has been designed and applied for the development of AgroExplore, an interactive tool for assessing agricultural vulnerability to climate change in Sweden. To open up the black box of composite vulnerability indices, AgroExplore enables the user to select, weight, and classify relevant indicators into sub-indices of exposure, sensitivity, and adaptive capacity. This enables the exploration of underlying indicators and factors determining vulnerability in Nordic agriculture.     

Using expert opinion to prioritize impacts of climate change on sea turtles’ nesting grounds

Managers and conservationists often need to prioritize which impacts from climate change to deal with from a long list of threats. However, data which allows comparison of the relative impact from climatic threats for decision-making is often unavailable. This is the case for the management of sea turtles in the face of climate change. The terrestrial life stages of sea turtles can be negatively impacted by various climatic processes, such as sea level rise, altered cyclonic activity, and increased sand temperatures. However, no study has systematically investigated the relative impact of each of these climatic processes, making it challenging for managers to prioritize their decisions and resources. To address this we offer a systematic method for eliciting expert knowledge to estimate the relative impact of climatic processes on sea turtles’ terrestrial reproductive phase. For this we used as an example the world’s largest population of green sea turtles and asked 22 scientists and managers to answer a paper based survey with a series of pair-wise comparison matrices that compared the anticipated impacts from each climatic process. Both scientists and managers agreed that increased sand temperature will likely cause the most threat to the reproductive output of the nGBR green turtle population followed by sea level rise, then altered cyclonic activity. The methodology used proved useful to determine the relative impact of the selected climatic processes on sea turtles’ reproductive output and provided valuable information for decision-making. Thus, the methodological approach can potentially be applied to other species and ecosystems of management concern.