Editing IPCC:AR6/SRCCL/Chapter-7 (section)

=== 7.6.6 Institutional dimensions of adaptive governance ===

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Institutional systems that demonstrate the institutional dimensions, or indicators (Table 7.8) enhance the adaptive capacity of the socio-ecological system to a greater degree than institutional systems that do not demonstrate these dimensions ( ''high confidence'' ) (Gupta et al. 2010 <sup>[[#fn:r1538|1538]]</sup> ; Mollenkamp and Kasten 2009 <sup>[[#fn:r1539|1539]]</sup> ). Governance processes and policy instruments supporting these characteristics are context specific ( ''medium evidence, high agreement'' ) (Biermann 2007 <sup>[[#fn:r1540|1540]]</sup> ; Gunderson and Holling 2001 <sup>[[#fn:r1541|1541]]</sup> ; Hurlbert and Gupta 2017 <sup>[[#fn:r1542|1542]]</sup> ; Bastos Lima et al. 2017a <sup>[[#fn:r1543|1543]]</sup> ; Gupta et al. 2013a <sup>[[#fn:r1544|1544]]</sup> ; Mollenkamp and Kasten 2009 <sup>[[#fn:r1545|1545]]</sup> ; Nelson et al. 2010 <sup>[[#fn:r1546|1546]]</sup> ; Olsson et al. 2006 <sup>[[#fn:r1547|1547]]</sup> ; Ostrom 2011 <sup>[[#fn:r1548|1548]]</sup> ; Pahl-Wostl 2009 <sup>[[#fn:r1549|1549]]</sup> ; Verweij et al. 2006 <sup>[[#fn:r1550|1550]]</sup> ; Weick and Sutcliffe 2001 <sup>[[#fn:r1551|1551]]</sup> ).

Consideration of these indicators is important when implementing climate change mitigation instruments. For example, a ‘variety,’ redundancy, or duplication of climate mitigation policy instruments is an important consideration for meeting Paris Agreement commitments. Given that 58% of EU emissions are outside of the EU Emissions Trading System, implementation of a ‘redundant’ carbon tax may add co-benefits (Baranzini et al. 2017 <sup>[[#fn:r1552|1552]]</sup> ). Further, a carbon tax phased in over time through a schedule of increases allows for ‘learning.’ The tax revenues could be earmarked to finance additional climate change mitigation and/or redistributed to achieve the indicator of ‘fair governance – equity’. It is recommended that carbon pricing measures be implemented using information-sharing and communication devices to enable public acceptance, openness, provide measurement and accountability (Baranzini et al. 2017 <sup>[[#fn:r1553|1553]]</sup> ; Siegmeier et al. 2018 <sup>[[#fn:r1554|1554]]</sup> ).

The impact of flood on a socio-ecological system is reduced with the governance indicator of both leadership and resources (Emerson and Gerlak 2014 <sup>[[#fn:r1555|1555]]</sup> ).‘Leadership’ pertains to a broad set of stakeholders that facilitate adaptation (and might include scientists and leaders in NGOs) and those that respond to flood in an open, inclusive, and fair manner identifying the most pressing issues and actions needed. Resources are required to support this leadership and includes upfront financial investment in human capital, technology, and infrastructure (Emerson and Gerlak 2014 <sup>[[#fn:r1556|1556]]</sup> ).

Policy instruments advancing the indicator of ‘participation’ in community forest management include favourable loans, tax measures, and financial support to catalyse entrepreneurial leadership, and build in rewards for supportive and innovative elites to reduce elite capture and ensure more inclusive participation (Duguma et al. 2018 <sup>[[#fn:r1557|1557]]</sup> ) (Section 7.6.4).

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'''Table 7.8'''

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'''Institutional dimensions or indicators of adaptive governance.'''

This table represents a summation of characteristics, evaluative criteria, elements, indicators or institutional design principles that advance adaptive governance.
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Sources: 1) Binswanger et al. 1995; 2) Schlager and Ostrom 1992; 3) Toulmin and Quan 2000; 4) Bruce and Migot-Adholla 1994; 5) Easterly 2008; 6) McCall and Dunn 2012; 7) Maxwell and Wiebe 1999; 8) Holden and Ghebru 2016; 9) Corsi et al. 2017; 10) Quan et al. 2017; 11) Harvey et al. 2014; 12) Antwi-Agyei et al. 2015; 13) Balehegn 2015; 14) Friis and Nielsen, 2016; 15) Scherr et al. 2012; 16) Barbier and Tesfaw 2012; 17) Mitchell 2010; 18) Sunderlin et al. 2018; 19) Behnke 1994; 20) Lane and Moorehead 1995; 21) Davies et al. 2015; 22) Morton 2007; 23) López-i-Gelats et al. 2016; 24) Oba 1994; 25) Fraser et al. 2011; 26) Dougill et al. 2011; 27) Roncoli et al. 2007; 28) Tennigkeit and Wilkes 2008; 29) Adano et al. 2012; 30) Agrawal et al. 2008; 31) Chhatre and Agrawal, 2009; 32) Gabay and Alam, 2017; 33) Holland et al. 2017; 34) Larson and Pulhin, 2012; 35) Pagdee et al. 2006; 36) Robinson et al. 2014; 37) Blackman et al. 2017; 38) Nelson et al. 2001; 39) Ramnath 2008; 40) Suzuki 2012; 41) Balooni et al. 2008; 42) Ceddia et al. 2015; 43) Pacheco et al. 2012; 44) Garnett et al. 2013; 45) Clover and Eriksen, 2009; 46) Damnyag et al. 2012; 47) Finley-Brook 2007; 48) Robinson et al. 2014; 49) Stickler et al. 2017; 50) Romijn 2011; 51) Aha and Ayitey 2017; 52) Payne 2001; 53) Barbedo et al. 2015; 54) Zhao et al. 2018; 55) Satterthwaite et al. 2018; 56) Mitchell et al. 2015; 57) Satterthwaite 2007; 58) Thomas 1996; 59) Welcomme et al. 2010; 60) Silvano and Valbo-Jørgensen 2008; 61) Biermann et al. 2012; 62) Abbott et al. 2007; 63) Béné et al. 2011; 64) McGrath et al. 1993; 65) Barkat et al. 2001; 66) FAO 2015; 67) Hall et al. 2013; 68) Berkes 2001; 69) ISO 2017; 70) Rocheleau and Edmunds 1997; 71) Baird and Dearden 2003; 72) Béné et al. 2010.

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