Kreft s 20150709_1730_upmc_jussieu_-_amphi_15

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Adaptation principles and their

application: Effective determinants for

multilevel climate governance?

Sönke Kreft

Research Associate: United Nations University – Institute for

Environment and Human Security

Teamleader International Climate Policy: Germanwatch

Parallel Session 4407 - The Challenges and Opportunities of

Multilevel Adaptation Governance 9th July 2015 UPMC -

Amphi 15

1

Introduction

Adaptation is of increasing relevance to country govern-

ments, communities, private sector and other stakeholders

Adaptation is relevant at different scales. Goals, success

and failure of adaptation is defined differently across scales,

but is interconnected in the scalar context (see Adger, 2005)

This highlights the importance of adaptation governance

frameworks across scales, which has been suggested to

counter barriers especially at local levels (Amundsen et al.,

2010)

Governance is guided by norms, values and principles.

Principles are more imperative and concrete; they are

derived from values and norms and are, therefore, usually

more limited in scope (Kooiman & Jentoft, 2009)

2

IPCC SREX: interface of interaction

3

Interface and interaction between different levels of actors,

roles, and functions in multilevel adaptation governance

Lal et al., 2012

4

UNFCCC adaptation architecture

5

UNFCCC adaptation architecture

Adaptation Committee, 2013

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1/CP.16 - The Cancun Adaptation Framework – Adaptation Principles

Cancun Adaptation Framework details implementation,

support, institutions, principles and modes of stake-

holder engagement

Para 12: Affirms: enhanced action on adaptation should be

undertaken in accordance with the Convention, should

follow a country-driven, gender-sensitive, participatory

and fully transparent approach, taking into consideration

vulnerable groups, communities and ecosystems, and

should be based on and guided by the best available

science and, as appropriate, traditional and indigenous

knowledge, with a view to integrating adaptation into

relevant social, economic and environmental policies

and actions, where appropriate;

Applies to both developed and developing countries

7

Milestones of the implementation of adaptation principles

COP 13 Bali – Bali Action Plan details intergovernmental

negotiation process for post-2012

2007

5/CP 17 – National Adaptation Plans including preliminary

guidelines

2009

Copenhagen Accord – technical negotiations reached

detailed agreement on adaptation, but no adoption

2010

1/CP 16: Cancun Agreements – Cancun Adaptation

Framework and principles for adaptation

2011

2012

LEG Work-Programme

Technical guidelines for Implementation of NAPs

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Milestones of the implementation of adaptation principles

2012

3/CP.20 – National Adaptation Plans – funding process

through the GCF

2013

12/CP.18 - NAP Mandate to the Adaptation Committee &

guidance to the GEF

Adaptation Committee Questionnaire – Responses from

international & regional institutions how to support developing

countries and implement principles

2014

2015

Geneva – Draft negotiation text

COP 21 – New legal agreement

NWP/AC – Workshops on traditional knowledge, gender

considerations

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Adaptation principles & the IPCC

IPCC WG 2 Summary for policymakers frames ‘Principles

for effective adaptation’ to guide the future management

of risks and resilience

Elements highlighted include 1) place- and context

specificity of adaptation, 2) complimentary action across

levels, 3) reduction of vulnerability and maximization of

co-benefit, 4) need to include local knowledge, 5) context

specific decision support, 6) economic instruments to set

incentives, 7) interaction of constraints impede

adaptation, 8) poor planning can result in mal-adaptation,

9) gap between adaptation needs and funds, 10) co-

benefits, synergies, and trade-offs exist between miti-

gation and adaptation

The IPCC WG 2 includes only one descriptive reference

to the Cancun adaptation principles (Chapter 16)

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Adaptation principles & the IPCC

Individual chapters engage on principles for adaptation

strategies

Ch. 5 Coastal Systems: Highlights principles for

guiding coastal adaptation

Ch. 14 Adaptation needs & options: Underscores need

for participatory principles for effective governance

Ch. 21 Regional Context: Highlights the role of

community based adaptation principles

Ch. 23 Africa: Identifies principles for effective

adaptation, including community-based adaptation, as

an observed research gap

Ch. 25 Australasia: States lack of binding principles or

guidance on identification of priorities as major

implementation constrain

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Adaptation principles: A systematic literature review

Web of Science search:

‘Climat* chang*’ AND

‘Adaptat* ’ AND ‘Principle*’,

year 2010 - 2015

n=313

Existing literature, IPCC-

AR5 WG2,

1st screening of articles

based on abstract review &

inclusion and exclusion

criteria

n= 49; applied principles

n=7

2nd screening of articles

based on full text review &

inclusion and exclusion

criteria

n= 31; applied principles

n=5

Analysis of adaptation

principle literature and its

engagement towards

UNFCCC adaptation

principles

Exclusion criteria

Abstract (1st screening)

- Linguistic use of word

‘principle’

- Does not describe

governance challenge

- Does not apply to

implementation of climate

change adaptation

- Only speaks to application

of existing principles

(sampled separately)

Full Text (2nd screening)

- All the above

- No substantive engagement

on principles

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11

9

11

Developedcountry

Developingcountry

General

Article country context

Sector N

General 14 Water 4 Coastal 3 Conservation 3

Health 3 Urban 2

Agriculture 1

Forest 1

Grand Total 31

Sector N

General 11 Local 4 National 3 Grand Total 31

Type of

article

N

Narrative 14 Small n-Case study 12 Literature review 5 Grand Total 31

-

Referenced concepts: Adaptive governance, integrated coastal management,

sustainable adaptation

7 out 31 article reference UNFCCC; 1 article references Cancun Agreements, 0

article reference the Cancun Adaptation Framework or UNFCCC adaptation principles

Incidentally, greater grey-literature / practitioner engagement with UNFCCC

adaptation principles

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Principle Incidence

(n=31)

Country-driven 1

Gender sensitive 3

Fully transparent 8

Participatory 15

Needs of vulnerable people &

ecosystems

10

Guided by science 5

Traditional and indigenous knowledge 4

Integration in relevant policies 2

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Discussion & conclusion

Principles for adaptation are an important component of

adaptation governance to create conditions for achieving

adaptation goals at different scales and in different contexts

Starting point hypothesis: Cancun adaptation principles

cover fundamentals of general principles for adaptation

governance

Current engagement by expert & research community

towards principles for adaptation in the UNFCCC is absent

– political contextualization does not take place

COP 21. and the inclusion of adaptation principles in the

legal climate agreement provides chance to increase their

political profile

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Sönke Kreft

Institute for Environment and Human Security (UNU-EHS)

Hermann-Ehlers-Str. 10

D-53113 Bonn, Germany

Germanwatch e.V.

Kaiserstr. 201

D-53113 Bonn, Germany

E-Mail: [email protected]

www.ehs.unu.edu

Thank you!

16

Literatur

Adaptation Committee, 2013. The State of Adaptation under the United Nations Framework ion on Climate

Change, 2013 Thematic Report, available under

http://unfccc.int/files/adaptation/cancun_adaptation_framework/adaptation_committee/application/pdf

/ac_2013_report_high_res.pdf, accessed 29th of June, 2015.

Adger, N., W., Arnell, N.W. & Tompkins, E.L., 2005. Successful adaptation to climate change across

scales. Global Environmental Change, 15(2), S.77–86.

Amundsen, H., Berglund, F. & Westskog, H., 2010. Overcoming barriers to climate change adaptation a

question of multilevel governance? Environment and Planning C-Government and Policy, 28(2),

S.276–289.

Kooiman, J. & Jentoft, S., 2009. Meta-Governance: Values, Norms and Principles, and the Making of Hard

Choices. Public Administration, 87(4), S.818–836.

Lal, P.N., T. Mitchell, P. Aldunce, H. Auld, R. Mechler, A. Miyan, L.E. Romano, and S. Zakaria, 2012:

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S.K. Allen, M. Tignor, and P.M. Midgley (eds.)]. A Special Report of Working Groups I and II of the

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