Editing IPCC:AR6/SROCC/Chapter-1 (section)

== 1.7 Governance and Institutions ==

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SROCC conceptualises governance as deciding, managing, implementing and monitoring policies in the context of ocean and cryosphere change. Institutions are defined as formal and informal social rules that shape human behaviour (Roggero et al., 2017 <sup>[[#fn:r325|325]]</sup> ). Governance guides how different actors negotiate, mediate their interests and share their rights and responsibilities (Forino et al., 2015 <sup>[[#fn:r326|326]]</sup> ; See SROCC Annex I: Glossary and Cross-Chapter Box 3 in Chapter 1 for definition). Governance and institutions interface with climate and social-ecological change process across local, regional and global scales (Fischer et al., 2015 <sup>[[#fn:r327|327]]</sup> ; Pahl-Wostl, 2019 <sup>[[#fn:r328|328]]</sup> ).

SROCC explores how the interlinked social-ecological systems affect challenge current governance systems in the context of ocean and cryosphere change. These challenges include three aspects. First, the scale of changes to ocean and cryosphere properties driven by global warming, and in the ecosystems they support and services they provide, are poorly matched to existing institutions and processes of governance. (Sections 2.2.2.1; 2.3.1.3; 3.2.1; 3.5.3). Second, the nature of changes in ecosystem services resulting from changes in ocean and cryosphere properties, including services provided to humans living far from the mountains and coasts, are poorly matched to existing institutions and processes (Section 4.4.4). Third, many possible governance responses to these challenges could be of limited or diminished effectiveness unless they are coordinated on scales beyond that of currently available governance options (Section 6.9.2; Box 5.5)

Hydrological processes in the high mountain cryosphere connect through upstream and downstream areas of river basins (Molden et al., 2016 <sup>[[#fn:r329|329]]</sup> ; Chen et al., 2018 <sup>[[#fn:r330|330]]</sup> ), including floodplains and deltaic regions (Kilroy, 2015 <sup>[[#fn:r331|331]]</sup> ; Cross-Chapter Box 3 in Chapter 1). These cross boundary linkages challenge local-scale governance and institutions that determine how the river-based ecosystem services that sustain food, water and energy are used and distributed (Rasul, 2014 <sup>[[#fn:r332|332]]</sup> ; Warner, 2016 <sup>[[#fn:r333|333]]</sup> ; Lele et al., 2018 <sup>[[#fn:r334|334]]</sup> ; Pahl-Wostl et al., 2018 <sup>[[#fn:r335|335]]</sup> ). Small Island States face rising seas that threaten habitability of their homeland and the possibility of losing their nation-state, cultural identity and voices in international governance (Gerrard and Wannier, 2013 <sup>[[#fn:r336|336]]</sup> ; Philip, 2018 <sup>[[#fn:r337|337]]</sup> ; Section 1.4, Cross-Chapter Box 9), highlighting the need for transboundary components to governance.

These governance challenges cannot be met without working across multiple organisations and institutions, bringing varying capacities, frameworks and spatial extents (Cross-Chapter Box 3 in Chapter 1). Progress in governance for ocean and cryosphere change will require filling gaps in legal frameworks (Amsler, 2016 <sup>[[#fn:r338|338]]</sup> ), aligning spatial mismatches (Eriksen et al., 2015 <sup>[[#fn:r339|339]]</sup> ; Young, 2016 <sup>[[#fn:r340|340]]</sup> ; Cosens et al., 2018 <sup>[[#fn:r341|341]]</sup> ), improving the ability for nations to cooperate effectively (Downie and Williams, 2018 <sup>[[#fn:r342|342]]</sup> ; Hall and Persson, 2018 <sup>[[#fn:r343|343]]</sup> ) and integrating across divided policy domains, most notably of climate change adaptation and disaster risk reduction (e.g., where slow sea level change also alters the implications for civil defense planning and the management of extreme events; Mysiak et al., 2018 <sup>[[#fn:r344|344]]</sup> ).

Harmonising local, regional and global governance structures would provide an overarching policy framework for action and allocation of necessary resources for adaptation. Coordinating the top-down and bottom-up governance processes (Bisaro and Hinkel, 2016 <sup>[[#fn:r345|345]]</sup> ; Sabel and Victor, 2017 <sup>[[#fn:r346|346]]</sup> ; Homsy et al., 2019 <sup>[[#fn:r347|347]]</sup> ) to increase effectiveness of responses, mobilise and equitably distribute adequate resources and access private and public sector capabilities requires a polycentric approach to governance (Ostrom, 2010 <sup>[[#fn:r348|348]]</sup> ; Jordan et al., 2015 <sup>[[#fn:r349|349]]</sup> ). Polycentric governance connotes a complex form of governance with multiple centres of decision making working with some degree of autonomy (Carlisle and Gruby, 2017 <sup>[[#fn:r350|350]]</sup> ; Baldwin et al., 2018 <sup>[[#fn:r351|351]]</sup> ; Mewhirter et al., 2018 <sup>[[#fn:r352|352]]</sup> ; Hamilton and Lubell, 2019 <sup>[[#fn:r353|353]]</sup> ).

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