Guiding principles to inform effective adaptation

Adaptation measures must be fit for purpose – determining fitness is often only possible after the measure has been implemented. The desired outcome is often delayed, invisible or wrapped up with the implications of other changes. Despite these difficulties, there are principles of good adaptation to help inform the selection process. One such set of principles has evolved through practice which are consistent with good participatory decision-making and reflect dependencies on quality decision-making and good management practices.

  • Work in partnership – identify and engage your community and ensure they are well informed.
  • Understand risks and thresholds, including associated uncertainties.
  • Frame and communicate SMART* objectives/outcomes before starting out. (SMART objectives – specific, measurable, achievable, results-oriented, and time-bound objectives.)
  • Manage climate and non-climate risks using a balanced approach – assess and implement your approach to adaptation in the context of overall sustainability and development objectives that include managing climate and non-climate risks.
  • Focus on actions to manage priority climate risks – identify key climate risks and opportunities, and focus on actions to manage these.
  • Address risks associated with today’s climate variability and extremes as a starting point towards taking action to address long-term climate change risks and opportunities.
  • Use adaptive management to cope with uncertainty – recognise the value of a phased approach.
  • Recognise the value of no/low regrets and win-win adaptation options in terms of cost-effectiveness and multiple benefits.
  • Avoid actions that foreclose, limit future adaptations or restrict adaptive actions of others.
  • Review the continued effectiveness of adaptation decisions by adopting a continuous improvement approach that includes monitoring and re-evaluation of risks.

Good adaptation requires engagement of an informed community working in partnership with a willingness and ability to adapt. An understanding of the rationale behind the need to adapt and an understanding of adaptation measures and their feasibility are vital, along with a desire to see success through responsive and appropriate adaptation. Implementing appropriate adaptation options (adaptive, no/low regrets and win-win), avoiding inappropriate actions, and adopting a continuous improvement approach are consistent with the precautionary approach (Rio Declaration, principle 15).

Making and implementing decisions to adapt are often affected by concerns over barriers and constraints including;

  • Limited understanding of the nature and extent of risks and vulnerabilities – current and projected;
  • Lack of supportive policies, standards, regulations, and design guidance – deficiencies, encouraging status quo and/or presenting impediments;
  • Existing legal or regulatory restrictions;
  • Lack of availability or restricted access to appropriate technologies;
  • Prohibitive costs of identified adaptation options when budgets are limited;
  • Lack of availability of human capital (e.g. availability of in-house expertise) – conflicting priorities impeding progress;
  • Social/cultural/financial rigidity and conflicts (existing or perceived);
  • Short-term nature of decision-making and planning horizons – necessity and expectation of realising return on investment; and
  • Lack of acceptance of the need to adapt related to perceptions of uncertainty such as:
    • Lack of buy-in of need to adapt by decision-makers – business case has not been made and the mismatch between business planning horizons and timeframe of projections of climate change;
    • Not seen as a big problem and the temptation is to wait for the impact then react;
    • Belief that the uncertainty is too great to warrant taking adaptation;
    • Lack of useful precedents or evidence of adaptation actions; and
    • Lack of acceptance/understanding of risks associated with implementation – what if the decision is wrong?

Building adaptive capacity by improving the understanding of climate change and associated risks and vulnerabilities, along with an understanding and improvement of institutional and legal frameworks (i.e. those constraining or enhancing adaptive capacity), are useful strategies for eliminating these barriers.