Environmental Science and Policy 147 (2023) 126–137

Contents lists available at ScienceDirect

Environmental Science and Policy

journal homepage: www.elsevier.com/locate/envsci

A framework for analyzing the implementation of climate adaptation

policies in the agriculture sector at the subnational level
Muhammad Mumtaz a, *, Jose A. Puppim de Oliveira b, 1
a
Department of Public Administration, Fatima Jinnah Women University, Rawalpindi, Pakistan
b
FGV - Fundação Getulio Vargas (FGV EAESP and FGV EBAPE), Sao Paulo and Rio de Janeiro, Brazil

A R T I C L E I N F O A B S T R A C T

Keywords: This study presents a new framework for assessing the effectiveness of the implementation of climate adaptation
Climate change policies for the agriculture sector at the subnational level. The role of the subnational level in climate policy is
Adaptation highly relevant, especially on the heels of the Paris Agreement (PA) of 2015. However, there is limited literature
Agriculture
on climate adaptation policy implementation at the subnational level in the agricultural sector. Climate adap­
Policy implementation
Subnational governments
tation policy in agriculture is generally discussed at the national level, and subnational climate adaptation
Pakistan policies rarely address agriculture. Thus, this study was conducted to fill this gap by establishing an analytical
framework based on the two existing literatures, which are not connected: climate adaptation policies at the
subnational level and adaptation policies in the agricultural sector. The core components of the framework are (i)
locally driven initiatives, (ii) locally capable institutions, (iii) legally implementable measures, and (iv) effective
intergovernmental relations. The framework is then applied to Khyber Pakhtunkhwa (KPK) and Punjab, two
provinces in Pakistan, a country highly dependent on the agricultural sector and one of the most vulnerable to
climatic changes. We found that both provinces have locally driven policies and have made efforts to build
capabilities in their public administrations to adapt to climate change in the agriculture sector. Punjab has
advanced in several indicators of the components of the framework but still is weak in others, such as local
monitoring and evaluation efforts. KPK has interesting efforts in the dissemination of farmers’ adaptation
innovative initiatives (hidden adaptation), but still lags behind in the legal base for the policies. Finally, both
provinces lack strong institutions for intergovernmental relations.

1. Introduction
In the last decades, policymakers have attempted to address ’wicked
problems’, such as climate change, by engaging stakeholders and
different tiers of governance (Wamsler et al., 2020). The complex issue
of climate change cannot be solved solely by the national governments
without involving various arrangements of state and non-state actors at
multiple levels of governance (Tompkins, Adger, 2005; Mumtaz and Ali,
2019). Countries have developed their policies collaboratively by
involving non-state actors to address the issue of climate change effec­
tively (Weiss et al., 2013; Weber and Khademian, 2008).
In these multi-stakeholder collaborative governance arrangements,
the role of subnational governments is recognized as an important agent
in effectively delivering public goods and services (Putnam et al., 1994;
Savitch, Savitch et al., 2002; Furumo and Lambin, 2020). Subnational
levels of government include all levels below the national level, such as
provinces and municipalities (OECD, 2012). In this paper, in particular,
’subnational’ means provincial (state) government and local govern­
ments within the domain of provincial government.
Many countries have followed the principles of ’localism’ and
devolution of power and responsibilities to the subnational governments
to strengthen the democratic process and effectively address the com­
plex implementation issues (Evans et al., 2013), which is also valid for
climate policies. After the Paris Agreement (PA), subnational govern­
ments are considered the key to the effective implementation of climate
policies, particularly adaptation policies. During almost two decades,
subnational governments’ role in global climate governance has grown
significantly (Bansard et al., 2017). Subnational governments have
emerged as influential actors in international climate change policies,
particularly through transnational networks (Picavet et al., 2023;

* Corresponding author.
E-mail address: m.mumtaz@fjwu.edu.pk (M. Mumtaz).
1
ORCID: 0000-0001-5000-6265

https://doi.org/10.1016/j.envsci.2023.06.002
Received 4 January 2022; Received in revised form 18 March 2023; Accepted 2 June 2023
1462-9011/© 2023 Elsevier Ltd. All rights reserved.
M. Mumtaz and J.A. Puppim de Oliveira
Macedo et al., 2023). It is normal to find subnational governments
leading in innovation in climate policies and shaping climate gover­
nance (Roppongi et al., 2017).
Various studies in the existing literature acknowledge the key role
subnational climate policies play in global climate governance
(Jörgensen, 2011). Moreover, subnational levels serve as laboratories of
experimentation, and they could promote policy change through policy
learning. In recent years, provincial (sub-national) and locally driven
activities for tackling climate change have significantly increased (Qi
and Wu, 2013). Subnational governments tended to prioritize mitigation
actions (Puppim de Oliveira, 2009) in the past, but they have increas­
ingly got involved in adaptation initiatives more recently.
Nevertheless, there are multiple challenges to establishing adapta­
tion policies at the subnational level in certain sectors, such as agricul­
ture, especially in the absence of any comprehensive framework for
establishing and implementing climate adaptation policies at the sub­
national level. In the related literature, we could not find any framework
to analyze climate change adaptation for the agriculture sector at the
subnational level. We used Boolean logic to find the relevant literature
using Scopus and the Web of Science (WoS) database (the details of
searching the relevant literature are provided in the methodology sec­
tion). In Scopus, we found 1110 articles covering climate change
adaptation and the agriculture sector while 33 documents appeared to
cover climate change adaptation and subnational search. However, only
one research article was found that covers climate change adaptation for
agriculture at the subnational level (Shukla et al., 2021). On the other
hand, the WoS database identified 1928 articles on climate change
adaptation and the agriculture sector. For climate change adaptation
and subnational search with Scopus, 31 documents including 30
research articles and one book chapter were found while 31 documents
including 30 research articles and a book chapter have emerged on WoS.
However, only 4 articles emerged for climate change adaptation at the
subnational level in the agriculture sector. There is no such framework
proposed in any of these articles.
The scarcity of literature limits the understanding of how climate
change adaptation for the agriculture sector can be assessed locally.
Therefore, this study is conducted to advance the literature on climate
adaptation at the subnational level for the agriculture sector by devel­
oping a framework for climate adaptation at the subnational level and
applying it empirically. The framework can be used to assess adaptation
policies at the subnational level in the agricultural sector in any other
country and also be adapted to other economic sectors considering the
sector comes under the subnational governmental domain.
The next section provides a brief overview of the methodology
adopted to develop a framework for the agriculture sector’s climate
adaptation at the subnational level. Section three discusses the back­
ground of climate adaptation strategies for the agriculture sector at the
subnational level. Section four overviews the implementation challenges
for adaptation policies at the subnational level, which is used in section
five to develop the established framework of this study. In section six,
the proposed framework is applied to the case of Pakistan. Finally, the
study ends with a conclusion, final remarks, and suggestions.
2. Methodology
The methodology for this research has two steps. Firstly, a frame­
work is established by reviewing the related literature and identifying
the gaps and challenges for implementing climate adaptation policies for
the agriculture sector at the subnational level. Secondly, the established
framework was applied (Section 6) to assess climate adaptation policies
in the agriculture sector in two provinces of Pakistan using the case
study as a research method (Ragin and Becker, 1992).
In the first step, as the literature on climate change adaptation pol­
icies for the agricultural sector at subnational is limited, the components
and subcomponents of the framework are essentially the main chal­
lenges identified by two related literatures: the literature on adaptation
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Environmental Science and Policy 147 (2023) 126–137
in the agricultural sector at the national level (Section 3 below) and the
literature on climate change adaptation policies at subnational/pro­
vincial level (Section 4 below). As such, the framework (Section 5) is the
product of both inductive and deductive reasoning and it is also based on
the existing literature on specific observations in the field of the agri­
cultural sector and also confirmed by the interviews.
On Scopus, when we searched keywords (TITLE-ABS-KEY ("climate
change adaptation") AND TITLE-ABS-KEY (agriculture)) and limited the
search until December 2022. We found 1408 articles. However, we
further limited our search and included only journal articles in the En­
glish language then we found 1110 articles in Scopus. The same was
applied in the WoS database, where initially we found 2234 while
limiting to journal articles in the English language, and it appeared
1928. Additionally, all abstracts of the extracted articles were reviewed.
This approach was only used to find the gaps in the literature and
identify the main challenges pointed out by the authors to use in the
construction of the framework.
We applied a search for climate change adaptation and subnational
on both databases to understand how climate change adaptation is
studied and investigated at the subnational level. On Scopus, by using
keywords (TITLE-ABS-KEY ("climate change adaptation") AND TITLE-
ABS-KEY (subnational)), We found 33 documents comprising 29
research articles and each for a book, book chapters, letters, and a re­
view. However, by utilizing the WoS with the same keywords, we found
31 documents including 30 research articles and a book chapter. We
thoroughly read all these documents and systematically reviewed where
common challenges of climate change adaptation at subnational were
identified and become major components of the framework.
We further extended the search and included ’subnational’ in both
research databases. Utilizing the Scopus search engine through using
keywords (TITLE-ABS-KEY ("climate change adaptation") AND TITLE-
ABS-KEY (agriculture) AND TITLE-ABS KEY (subnational)), we found
only one article (Shukla et al., 2021). However, by using the WoS
database engine with the same keywords, 4 articles were found (Shukla
et al., 2021; Smucker, Nijbroek, 2020; Milhorance et al., 2021; Mil­
horance et al., 2022a,2022b).
In the second step, a case study is a proper method to test the
framework, as a purely quantitative analysis is not enough to explain a
complex phenomenon. Pakistan is a good case to analyze climate
adaptation in agriculture because it has prioritized the agriculture sector
in its adaptation plans and has given the responsibility to subnational
governments (provinces) to develop climate adaptation plans (Vij et al.,
2017). The two provinces, Punjab and Khyber Pakhtunkhwa (KPK) were
selected as two case studies to test the framework developed in the first
step because both are involved in interventions to adapt the agriculture
sector to climatic change, but they have different approaches. They also
differ in terms of the size of the population and agricultural infrastruc­
ture development. These differences allow us to test the framework in
diverse institutional contexts.
Initially, we collected secondary information through policy docu­
ments including the Punjab Environmental Protection Act 2017, Punjab
Climate Change Policy 2017, Punjab Provincial Climate Change Action
Plan, Khyber Pakhtunkhwa Climate Change Policy, Khyber Pak­
htunkhwa Environmental Act 2014, and National Climate Change Policy
of Pakistan. Moreover, we used government reports, such as budget
allocation reports, and program evaluation reports, such as the climate
change profile of Pakistan report of the Asian Development Bank in
collaboration with the Pakistani government, Pakistan’s first national
communication on climate change, and Pakistan’s second national
communication on climate change.
Considering the previous steps, the literature reviewed, and research
question, semi-structured interviews were carried out with stakeholders
keeping in view the components of the proposed framework in two
provinces as well as from stakeholders in the national government and
other organizations in Islamabad. Information from the interviews was
used to triangulate with above mentioned policy documents. Informal
M. Mumtaz and J.A. Puppim de Oliveira
policy directions from the governmental institutions, such as budget
allocation and ad hoc initiatives (e.g., training courses) that may not be
part of any policy documents were taken during the interviews in both
provinces and were also part of the analysis.
Thirty-six in-depth semi-structured interviews were conducted with
stakeholders from both provinces including governmental officials,
members of non-governmental organization, farmers, agriculture
extension workers, scientists, media personnel and environmentalists.
We developed an interview guide with some leading questions and
points of the framework we wanted to have information. Each interview
lasted between 60 min and 90 min, and notes were taken, but they were
not recorded. Most of the interviews were in English but some were in
Urdu, especially with farmers. These interviews were done during first
fieldwork research between November 2016 and April 2017, with
follow-up interviews between 2019 and 2022, 3 informal interviews
were conducted with the experts on the findings of the study. In the first
fieldwork phase, six exploratory interviews were conducted in Pakistan
Fig. 1. Proposed Framework of the Study
Source: developed by the authors.
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Environmental Science and Policy 147 (2023) 126–137
with government officials and policy experts to understand the broad
perspectives of climate change adaptation in the respective provinces
and the national level. The interviews were analyzed and codified to
identify the indicators’ implementation level in the four components
identified in the framework (in Section 5 and Fig. 1). After the in­
terviews were completed, the interview notes and key observations were
reviewed, codified, and summarized using the interview guide and
translated into English if they were in Urdu. The list of respondents is
given in Appendix-A. The interviews also helped to confirm the frame­
work’s components specified in the literature.
3. Climate adaptation strategies for the agriculture sector
Climate-related risks affect agricultural development and manage­
ment. Climate change poses negative impacts on the agriculture sector
and destabilizes the livelihoods of smallholders and farmers at the local
level (Below et al., 2010). Climatic change impacts crop productivity
M. Mumtaz and J.A. Puppim de Oliveira
and local farmers’ ability to agricultural produce. It has been identified
that almost 70% of people in developing countries live in rural areas
where agriculture is the main livelihood and the agriculture sector is
highly at risk due to the adverse impacts of climate change (Vermeulen
et al., 2012).
Uncertainties in climate change scenarios make it difficult to deter­
mine the precise impacts on future agricultural productivity. However,
food security challenges are growing, and the situation will be worse by
2050 if the proper actions are not taken to adapt the agriculture sector to
the future climate scenarios. Various studies have identified that sig­
nificant losses in the agriculture sector should be expected worldwide
(Nelson et al., 2008). It is widely acknowledged that policies need to
provide a supportive environment that guides governments in planning
and executing adaptation interventions and enables farming commu­
nities to adapt to climate change (Berman et al., 2015).
There is a growing consensus that local knowledge is important for
effective adaptation (Mertz et al., 2009). Although the local farmers’
communities are adapting their agriculture practices to the changing
climate (Knox et al., 2012), they are still vulnerable to climate change
and variability (Ali and Erenstein, 2017). Local knowledge can play a
promising role in addressing the challenges of climate change at the
local scale for the agriculture sector. It is imperative to focus on framing
local policies and plans to enhance public awareness regarding climate
change risks and understand the significance of climate adaptation
(Aslam and Rana, 2022). Local knowledge is based on practice and as­
sists farmers in making informed decisions about how to respond to
environmental changes and how to improve the amount and quality of
their yield (Newsham and Thomas, 2011). Farmers’ local knowledge has
proved very useful for enhancing their adaptive capacity and designing
climate adaptation policies (Mumtaz and Puppim de Oliveira, 2019).
However, there is a lack of evidence in the literature to study local
knowledge as a reflection of climate variability, its effects, and adap­
tations in agriculture (Ogalleh et al., 2012).
Researchers, farmers’ communities, and government officials
worldwide recognize that climate change adaptation is a priority issue
for climate change (Soubry, 2017). But how can this be done most
effectively? One of the biggest challenges is the need for climate change
adaptation solutions to be context-specific (Soubry, 2017). A one size fits
all approach to policy does not work, as climate, soil, and farming cul­
ture differ from place to place. This has led many to the conclusion that
local participatory approaches to adaptation planning and building
adaptive capacity should be encouraged. Therefore, considering the
implications of climate change to the farmers and the agriculture sector,
the voices in the local context are highly valuable. Agriculture has al­
ways adapted to the climate, with regionally specific adapted systems
being observed worldwide (Ren et al., 2014; Singh and Singh, 2017).
The adaptation policies towards the agriculture sector have to be based
on how the local farmers understand climate-related risks and respond
to those risks (Niles et al., 2013), together with other strategies.
To effectively address the challenges for the agriculture sector, the
concept of Climate Smart Agriculture (CSA) was introduced. The CSA
can be defined as an approach to transforming and reorienting agri­
cultural development under the new realities of climate change (Lipper
et al., 2014). Food and Agriculture Organization (FAO) of the United
Nations (UN) defines the CSA as ’agriculture that sustainably increases
productivity, enhances resilience (adaptation), reduces/removes GHGs
(mitigation) where possible, and enhances achievement of national food
security and development goals’ (FAO, 2013). Lipper et al. (2014)
further identified that productivity, adaptation, and mitigations are
critical for achieving this goal. Adaptation in the case of the CSA is
utilized by reducing farmers’ exposure to short-term risks and
strengthening their resilience by building their capacity to adapt and
face long-term challenges. Particular attention is given to protecting the
ecosystems that provide services to farmers and others. These services
are essential for maintaining productivity and our ability to adapt to
climatic changes. However, there is a need to have a proper set-up at the
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Environmental Science and Policy 147 (2023) 126–137
local scale to materialize the concept of the CSA. Here subnational
governments have an important role in establishing better adaptation
policies and action plans to ensure the implementation of the CSA
mission.
Scale up the CSA triggered to establish supportive agricultural pol­
icies, institutions, and financing at a different level of governance
(Westermann et al., 2015). However, these responses depend on the
information and socio-economic condition of the local farmers. For
example, poor farmers ensure their survival, but wealthier farmers make
decisions to enhance their productivity and maximize profits (Ziervogel
et al., 2006).
Various initiatives on climate adaptation towards the agriculture
sector at different levels of government are taking place in the world
depending on the nature of governance in a particular country (Zier­
vogel et al., 2006). Literature on adaptation measures to address climate
change for the agriculture sector, such as (Clar and Steurer, 2019; Neset
et al., 2019; Cattivelli, 2021), identified diverse initiatives are in effect
depending on the regional and/or national conditions.
Various conditions are pointed out in the literature for the effec­
tiveness of adaptation actions (Wise et al., 2014). These conditions are in
the form of providing reasonable financial capacity and proper infor­
mation systems. Applicable technologies are also considered a contrib­
uting aspect to producing robust policies and implementing adaptation
measures. Moreover, proper infrastructure, committed institutions, and
an equity system can be helpful for effective adaptation actions. These
important aspects of adaptation are considered the components of
adaptive capacity (Oberlack and Eisenack, 2014). Adaptation literature
dictates that sometimes adaptation measures are implemented with no
or low costs (Rojas-Downing et al., 2017). However, in most cases, for
the implementation of adaptation measures, there are costs or upfront
investments (Hallegatte, 2009). Our search in the relevant literature
shows a lack of evidence to explain how climate adaptation policies for
agriculture at the subnational level are established and how they are
implemented. The literature only emphasizes the importance of local
climate adaptation strategies but clearly lacks how it should be done (Vij
et al., 2017). To fill this gap, this study is conducted to develop a
framework and bring evidence from the case of Pakistan.
Climate change adaptation is mainly a local issue, especially in the
agricultural sector (Kassie et al., 2015). Kassie et al. (2015) further
argued that local government institutions such as provinces, districts,
and municipalities know the need for adaptation strategies. These local
institutions have comparatively better knowledge and ideas to deal with
climate crises in all sectors, including agriculture (Mumtaz, 2021).
However, there are challenges to establishing and operationalizing
climate adaptation policies effectively in the agriculture sector at the
local level. These challenges mainly include a weak capacity of in­
stitutions, an absence of local actors in policy framing, a lack of
connection in intergovernmental relations, and a weak legal system
(Mumtaz and Ali, 2019). Keeping in view the challenges for establishing
climate adaptation policies for the agriculture sector and implementa­
tion gaps in these policies, we examine those gaps in light of the climate
change adaptation literature at the subnational level. We map the po­
tential challenges for implementation (Section 4) and propose a frame­
work (Section 5) that can assess how effective climate adaptation
policies are devised and implemented at the subnational/provincial
level.
4. Mapping the implementation challenges for adaptation
policies at the subnational level
Effective actions through local and other subnational governments
can bring significant results to address the challenges of climate change
and its impacts on different sectors, including agriculture (Dawson,
2007). However, although progress has been made in developing a
governance system for climate change adaptation at the local level,
there are still multiple challenges, especially at the implementation
M. Mumtaz and J.A. Puppim de Oliveira
stage, due to a lack of harmonized sectoral and local planning systems
(Madzwamuse, 2010; Mumtaz et al., 2019). As discussed in the previous
section, various studies have suggested strategies for meeting the chal­
lenges of climatic impacts on the agriculture sector, but mostly at the
national or international level. Thus, an analytical framework to un­
derstand how best adaptation policies at the subnational level can be
developed and how best these policies work for the agriculture sector
bringing together the two literatures (subnational adaptation policies
and adaptation policies in the agricultural sector).
Local adaptation policies for the agriculture sector are important
because local governments are closer to local farmers and better posi­
tioned to adjust to changing climate (Mumtaz, 2023). As the climatic
impacts are essentially local, adequate governance responses are
required by individuals and communities locally (Adger, Kelly, 1999).
As a result, the process of adaptation is strongly influenced by local
contexts; choices and collective actions are impactful if taken by the
local actors and institutions (Tanner et al., 2009). The international
community focuses on long-term adaptation strategies by emphasizing
local adaptation strategies in national development plans and policies
(Hardee and Mutunga, 2010). Likewise, Yamin et al. (2005) argued an
operational framework that links locally determined adaptation is
needed with national and international policy. Local and regional
planning and policy can play a major role in developing local farmers’
capacity and providing tools to support communities in their endeavors
to tackle climate change as per local requirements (Mubaya et al., 2012).
However, the literature identified some of the main challenges faced by
subnational governments to develop and implement adaptation policies.
These challenges have been identified by following a codifying process
by organizing the research articles in common themes from the sys­
tematic literature review and triangulated with the opinions of in­
terviewers. The detailed process of identification of these challenges and
establishing the framework components have been explained in the
methodology section. These challenges are described below effectively:
a) Lack of involvement of local actors is a real challenge for imple­
menting climate adaptation policies at the subnational level (Puppim de
Oliveira, 2009). It is important to listen to the voices of local actors in
policy framing and consider them as key stakeholders in implementing
adaptation policies at the subnational level, especially in the agriculture
sector, as they can bring knowledge and resources. The involvement of
local actors in the early stages of the policy process brings support for
policy implementation (Puppim de Oliveira, 2005). However, a study on
local adaptation planning identifies that the local level has not been
sufficiently involved in adaptation policy planning, thus resulting in a
challenge in implementing such policies (Dhungana et al., 2017).
Non-consultative policy processes at the local scale always pose a serious
challenge to effective policy implementation (Pinto and Puppim de
Oliveira, 2008). These local and non-state actors are fundamental to
designing and implementing climate change actions at the local level
(Bulkeley et al., 2009). In the case of adaptation policies for the agri­
culture sector, local farmers and their traditional knowledge are needed
to shape subnational climate policies. These local actors and institutions
are also essentially important for implementing these policies.
b) Local institutions are critical for handling climate change impacts at
the subnational level, but many places, especially developing countries,
lack effective institutions at the subnational level. Subnational govern­
ments often do not have the institutional capacity or considerable
financial resources necessary for taking climate change actions, espe­
cially adaptation measures (Mukheibir and Ziervogel, 2007). The weak
local institutional arrangement, lack of infrastructure, scarcity of
financial resources, and lack of proper involvement of local actors are
the major barriers to the limited adaptation activities (Tiwari et al.,
2014). The capability of local institutions can be enhanced by involving
the local actors in the whole policy process while establishing adapta­
tion policies and action plans (Sumra et al., 2020; Kehler and Birchall,
2023). The capacity of subnational governments to deal with climate
change may be strengthened by the participation of other subnational
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Environmental Science and Policy 147 (2023) 126–137
governments, civil society groups, NGOs, and the private sector.
c) Absence of laws and litigation are other challenges to implementing
policies at a local level (Setzer and Vanhala, 2019). Proper laws and
litigation systems are key for any policy implementation, as many dis­
putes may emerge in the process. Legal and regulatory instruments or
binding regulations require "actors to act within clearly defined
boundaries of what is allowed and what is not " (Borrás and Edquist,
2013). Institutional stability, which can be brought through legal
backing, is a driver to deliver intended actions, thus, making subnational
policies effective or impactful (Anderton and Setzer, 2018). It is argued
that [state and local] laws’ help to move the dialogue on climate regu­
lation forward’ (Osofsky, 2007). Laws and regulations for taking actions
make the institutions and local actors accountable, and more impactful
results can be achieved at the subnational level, fulfilling the one
important legal aspect raised by Termeer et al. (2011). For instance, in
cases where laws are not enforced, these instruments are typically
backed by the threat of sanctions, such as fines or withdrawal of rights
that also support some level of implementation. Thus, legal and regu­
latory instruments play a normative role in helping some actions and
identifying them as acceptable, as well as further providing possibilities
for sanctioning non-compliance (Herath and Rao, 2009). Therefore,
legal backing for climate adaptation policies is an important prerequisite
for successfully implementing policies at the subnational level.
d) Inadequate institutional coordination is another major challenge for
taking concrete actions and poses a threat to the proper implementation
of adaptation policies at the subnational level. Weak institutional co­
ordination among governments is a major factor in the lack of effective
climate change policies at a local scale. Policymakers worldwide have
now recognized the necessity of integrating adaptive thinking in rele­
vant areas of public policy-making across different levels of governance
(Urwin and Jordan, 2008). It is suggested that horizontal and vertical
coordination and the combination of top-down and bottom-up ap­
proaches are the focus of adaptation policies to attain effective adap­
tation measures (Dessai and Hulme, 2004). The weak coordination
between the national governments, states, and local authorities con­
tributes to inefficient implementation efforts of climate policies at a
local level (Setzer, 2013).
Thus, even though climate change is a global challenge, international
and national efforts need to bring capability and financial resources to
subnational governments and extend their help to the most vulnerable
communities in the world, many of which rely on the agriculture sector.
Facilitation and financial and technical support from developed coun­
tries and international organizations are effective by establishing a
regular and proper linkage with subnational governments (Bodansky
et al., 2014). Therefore, it is very important for subnational governments
to have coordination mechanisms with institutions at the local, national,
and international levels.
5. Proposed framework of the study
Drawing from the literature on the challenges for climate adaptation
at the subnational level above (Section 4), which were reflected for the
agricultural sector, a framework to assess those challenges is developed
as pictured in Fig. 1. Four main components were identified as necessary
for addressing each of the four challenges fostering climate change
adaptation at the subnational level in the agriculture sector: locally
driven, institutionally capable, legally stable, and cooperative in inter­
governmental relations. Each component is formed by indicators iden­
tified in the implementation literature that can be qualitatively assessed
(inside the circles in Fig. 1).
5.1. Locally driven
Related institutions and local governance processes are important
components for establishing a climate change policy at the subnational
level and for its effective implementation (Pervin et al., 2013).
M. Mumtaz and J.A. Puppim de Oliveira
Collective efforts are key for good adaptive governance at the sub­
national/local level. Effective stakeholder engagement is necessary to
plan climate policies, particularly for collective actions and facilitating
social learning (Preston, 2013). The interaction among local farmers is
strongly encouraged for effective climate adaptation (Muench et al.,
2021).
Adger et al. (2005) suggested that successful adaptation should
balance efficiency, effectiveness, equity, and legitimacy. Our analysis
based on the literature and interviews find that local institutions and
involvement of all related stakeholders, such as local farmers, local
media, agriculture extension departments, academics working on agri­
culture, and local and international NGOs, are important components
for effective adaptive climate governance at a local level. Local actions
through local actors are important in mainstreaming climate adaptation,
especially for the agriculture sector (Nkiaka and Lovett, 2018). Moni­
toring and evaluation are key for effective climate adaptation actions at
the subnational and local levels. Pradhan et al. (2017) suggested that the
effectiveness of a policy is accessed through a proper evaluation mech­
anism so that any weak aspects can be identified and it can be addressed
in due course of time.
5.2. Institutionally capable
Many studies have argued that scientific research, information net­
works, and capacity-building are prerequisites for effective climate
change adaptation governance (Fünfgeld, 2015). Nkiaka and Lovett
(2018) proposed that institutional arrangement is key to facilitating
climate adaptation into sectoral policies, such as agriculture which is a
key sector impacted by climate change (Mumtaz et al., 2019). Promoting
research and innovation can be encouraged locally, for example, by
involving local educational institutions focusing on agricultural educa­
tion. The involvement of these local institutions helps to uncover the
climatic impacts on various sectors, including the agriculture sector. It
will also provide novel, implementable, and acceptable solutions at the
subnational level. Therefore, research and innovation in localized
educational institutions are key for effective climate adaptation policies
and governance for the agriculture sector at the subnational level.
Effective agricultural policies and active agricultural extension de­
partments can be used to implement such policies at the subnational
level in a better way. However, it has been seen that these institutions
are generally weak to contribute while managing climate change in a
local context, especially in the case of developing countries (Agrawal,
2010). Capability building can be improved by defining a task with
proper responsibility, establishing a proper mechanism of coordination
among the local institutions, and networking with national and inter­
national organizations, particularly those working towards climate
change adaptation and agriculture. Climate adaptation actions require a
considerable budget for local agriculture institutions. Allocation of a
reasonable financial budget for climate actions is always needed. The
lack of finances is a challenge for proper planning, which requires
additional budgets for more climate-resilient development.
5.3. Legally strong
Legal aspects are important to devise climate measures, especially for
implementing climate adaptation policies for the agriculture sector, as
laws can provide a stable environment for investing time and resources.
During the last two decades, legislation has been developed to promote
climate actions and implement climate policies around the world
(Lachapelle and Paterson, 2013). Laws create institutional arrangements
that define responsibilities for actors in every sector, including the
agriculture sector, to act as per their defined mandate (Crouch et al.,
2007).
On the heels of the governance structure shift from national to sub­
national, local governments have become key players in enacting
legislation. In the environmental and climate contexts, this shift
131
Environmental Science and Policy 147 (2023) 126–137
envisions that subnational entities are the main actors in global gover­
nance in their own right (Andonova and Mitchell, 2010). In climate legal
governance, subnational governments can promulgate laws and new
regulations to manage sectoral (including agriculture) challenges
without regulations at the national and international levels (Michaelowa
and Michaelowa, 2017).
After the Paris Agreement (PA), the efforts of subnational govern­
ments have been strengthened, and they have different options to
continue establishing climate-related commitments and engaging
internationally (Allain-Dupré, 2011). After this transformation of
governance structure, legislation regulating the agriculture sector at the
subnational and local levels emerged (Thrän et al., 2020). Such inter­
national laws turning into local regulation by the subnational govern­
ments and backing local policies by international organizations are
considered positive features of polycentric governance (Mearns et al.,
2009). Therefore, subnational governments have an important mandate
to legislate in the local context so that effective climate actions and
implementation of global policies and international laws can be rein­
forced, particularly in the agricultural domain. Creating stable in­
stitutions and improving transparency and financial stability not only
set rules of operation but also contributes to developing countries’ ac­
cess to international climate finance. Legislation lends credibility to
governments’ commitments, making international agreements more
likely and meaningful (Averchenkova and Bassi, 2016).
5.4. Intergovernmental relations
Intergovernmental relations are critical to devise and implement
public policies, especially when multi-sectorial approaches are involved
(Urwin and Jordan, 2008). The adaptation literature argues that lack of
coordination among the government units is the real challenge for the
weak implementation of climate adaptation policies at the subnational
level (Prasad and Sud, 2019; Vij et al., 2017). Some important studies,
such as Njuguna et al. (2022), emphasized intergovernmental relations’
role in adaptation to climate change and establishing proper plans.
Moreover, relations between policy actors (elected officials) and public
administration (employed to implement policies and serve the govern­
ment of the day) must be strengthened (Alford et al., 2017). Thus,
intergovernmental relations are key for establishing and implementing
climate adaptation policies at the subnational level in agriculture, as
adaptation requires efforts from different levels of governance.
Multiple stakeholders and multisector interests are involved in
agriculture such as forests, energy, water, and revenue and land de­
partments. However, inconsistencies between national and local adap­
tation policies and strategies exist (Zhao and Li, 2015). There is a need
for integration and coordination to enhance the ability to adapt to
climate change at a national, regional, and local level (Tonmoy et al.,
2020). In many instances, local-level governments require support from
the other tiers of government for better communication and coordina­
tion of the responses and resources (Birchall and Kehler, 2023). For
example, the national government can provide technical and financial
support for agricultural extension departments to improve their capa­
bilities. It has been seen that the agricultural departments and related
institutions at the subnational level, especially in developing countries,
are facing severe challenges in terms of technical and financial capa­
bilities while facing climate change (Huntjens et al., 2012). Therefore,
the mobilization of such resources at the national level can help and
facilitate local agricultural institutions to effectively address the chal­
lenge of climate change.
In the next section, we apply the framework based on the four
components and their indicators identified in the literature above to
assess the effectiveness of climate change adaptation in the agriculture
sector in two Pakistani Provinces.
M. Mumtaz and J.A. Puppim de Oliveira
6. Application of the framework in the Pakistani case
Pakistan is ranked in the list of top 10 countries that are the most
vulnerable to climate change (Faisal et al., 2020). As a result, policy
responses of Pakistan are more focused on adaptation actions (Vij et al.,
2017; Mumtaz and Ali, 2019; Mumtaz, 2021). After the 18th constitu­
tional amendment in 2010 in Pakistan, provinces/subnational govern­
ments are responsible for establishing and implementing climate change
policies. The country has taken multiple initiatives for climate change
adaptation at the federal level and at provincial levels.
In this context, the agriculture sector is the backbone of the economy
of Pakistan. It is considered the major sector for the country’s climate
change policies and action plans. Pakistan is an agriculture-dependent
country; almost 45% percent of the country’s labor force is in this
sector (Rehman et al., 2015). Agriculture sector contributes to about
21.4% of Pakistan’s gross domestic product (GDP). Furthermore, about
60% of the country’s exports are dependent on the agriculture sector in
Pakistan, which puts the economy under threat due to the negative
impacts of climate change (Hanif et al., 2010). Considering the size of
the agriculture sector to the rural livelihoods and Pakistan’s economy,
the significance of adaptation strategies towards climate change is
fundamental (Ali and Erenstein, 2017).
At the federal level, the Ministry of Climate Change (MoCC) is the
central body responsible for dealing with all climate change-related
activities at the international level and establishing a coordination
mechanism among the subnational/provincial governments. It also
oversees the implementation progress of the provinces by regularly ar­
ranging meetings with them. According to Pakistan’s MoCC, "The min­
istry also deals with other countries, international agencies, and forums
for coordination, monitoring, and implementation of environmental
agreements." In 2017, Pakistan passed the climate change act 2017.
With this act, three important institutions were established to improve
climate change governance in the country further: the Pakistan Climate
Change Council, the Pakistan Climate Change Authority, and the
Pakistan Climate Change Fund. However, the formulation and imple­
mentation of climate policies are the responsibilities of the provincial
governments in Pakistan.
Subnational governments in Pakistan have taken several adaptation
Fig. 2. Map of Pakistan. This map is taken from an Internet website.
(http://www.maps-of-the-world.net/maps-of-asia/maps-of-pakistan/).
132
Environmental Science and Policy 147 (2023) 126–137
policy measures to curb climate change, especially for agriculture. This
study assesses the policy responses and applies the analytical framework
in Punjab and Khyber Pakhtunkhwa (KPK) (see map in Fig. 2). Punjab is
the second largest and most populous province in Pakistan. The province
accounts for 57% of the total cultivated land and 69% of the total
cropped area of Pakistan (Mahmood et al., 2016). It has about 57% of
agricultural land and contributes 53% of Pakistan’s agricultural GDP
(Hanif et al., 2010).
The KPK is formerly named North West Frontier Province and has
suffered heavily from natural climate disasters. Climate change is posing
adverse impacts on agricultural productivity throughout the KPK. It was
one of the most affected regions by the megafloods in 2010. Thus climate
change has had a significant social and economic impact, as agriculture
is the major livelihood of the people in the province. The agriculture
sector contributes 48% of the total labor force and 40% to the GDP of the
province (Khan, 2012).
The established framework to assess the effectiveness of the imple­
mentation of adaptation policies at the subnational level in the previous
sections (see Fig. 1) is applied in KPK and Punjab based on the material
collected in the fieldwork and reflecting the year 2020. Table 1 indicates
the results of our study. The levels of achievement of each indicator were
identified after the analysis of policy documents and checked during the
interviews in light of the established framework. The indicator
achievement is marked as High Level (√√√), Medium Level (√√), and
Low Level (√). High-level achievement means the initiative is fully
operational, and an external evaluator can confirm it. The impacts of the
implemented measures can also be observed. Medium-level achieve­
ment means some initiatives are partially implemented and moving in
the right direction. These initiatives effects can be witnessed, but they
have yet to lead to significant impacts. Low-level achievement means
the initiatives in that component are at a very basic level of results, but
the subnational governments are committed to implementing them. The
full details of the criteria for each indicator are given in Appendix B.
The assessment in Table 1 shows that both provinces have locally
driven policies and have made efforts to build capabilities in their public
administrations to adapt to climate change in the agriculture sector.
Despite the advancements in Punjab, KPK still lags in the legal base for
the policies. Finally, both provinces lack strong institutions for
M. Mumtaz and J.A. Puppim de Oliveira Environmental Science and Policy 147 (2023) 126–137

Table 1 allocated to address the issue of climate change as it faces huge impacts
Assessment of adaptation policies in Punjab and in the KPK. like recurrent floods, heat waves, cyclones, drought, desertification,
Component of Indicators for the Achievements Achievements glacial melt, and sea level rise despite its minimal contribution to global
proposed framework components of the In KPK In Punjab warming. The KPK government has allocated a budget for climate-
proposed framework related activities at the provincial level. This budget is almost 8% of
Locally Driven Engagement of local √√ √√√ the total developmental budget of the province (directly related to
actors economic and social development such as education, health, social
Incorporation of √√√ √√ welfare, rural development, and scientific research). Similarly, in Pun­
hidden adaptation
Research and √√ √√√
jab, in 2015–17, the government allocated 20% of its budget to climate
innovation at Local change-related projects in its public sector development program
academic (Oxfam and Consortium, 2017).
institutions Laws and regulations are important to ensure the implementation of
Locally Monitoring √ √
climate adaptation policies at any level of governance in the country.
and Evaluation
Institutionally Local √√ √√ Pakistan passed the climate change act in 2017 and became one of the
Capable Institutionalization few countries that have passed such acts. The provincial governments in
Institutional √√ √√ Pakistan have to coordinate their legal apparatus with this act. Punjab
mechanism of has established some laws in the form of the Punjab Environmental
coordination
Allocation of √√ √√
Protection Act, 1997 (No. XXXIV of 1997) (Amended 2012) and the
financial budget Punjab Environmental Protection (Amendment) Act 2017-(Act XIX of
Legally Strong Legal backing for √ √√ 2017) to comply with climate change act 2017 while no such law
implementing enacted in the KPK in recent past adjusting with the 2017 act. However,
policies
both provinces need to work better in providing legal backing for
Legally √ √√
accountability and accountability and transparency in implementing climate adaptation
transparency policies.
Intergovernmental National, √ √√ Intergovernmental relations are essential for formulating and
institutions Subnational, and implementing climate adaptation policies at the subnational and local
relations local-level
levels. We found that the intergovernmental relations in the KPK are
institutional linkages
Incorporation of √ √ weak while Punjab province is performing better in these relations but
International efforts still lacking the strength to generate good support for climate adapta­
tion. The local institutions in KPK do not know much about the exact
scope of each other work towards climate change but in the case of
intergovernmental relations.
Punjab, the local institutions are closely connected, but they are familiar
Both subnational governments have been keen to involve local actors
with the work of each other. Likewise, the respondent from the climate
in establishing adaptation action plans for the agriculture sector. For
change center in KPK did not know about all the details of the MoCC due
example, in 2015, the Punjab government launched a very compre­
to weak vertical coordination. At the same time, the Punjab case
hensive awareness campaign about climate change in local media, active
appeared much more collaborative and was found effective in coordi­
involvement of agriculture extension departments, arrangement of
nation with the MoCC. Government tenure (2013–2018), and political
various training programs for farmers, the establishment of various
parties in federal and provincial governments were the same in Punjab
research centers across the province to measure or to quantify the im­
and different in KPK. It is challenging to produce better intergovern­
pacts of climate change on the agriculture sector. KPK is noted to be less
mental relations when various political parties have different manifestos
effective in involving all the related stakeholders. However, KPK prov­
and governing approaches at the federal and provincial levels (Puppim
ince is found ahead in identifying new ways of adaptation in the form of
de Oliveira, 2019). It is equally important to cooperate and work in line
hidden adaptation, i.e., initiatives emerging from the farmers based on
with international efforts to curb climate change. We noticed that it has
their local knowledge and disseminating these initiatives to other areas.
yet to establish effective relations with international organizations in
Without involving academics and research, and innovation, Punjab is
both provinces. For example, Pakistan has failed to secure large amounts
reported ahead of KPK, as the province is much more resourceful in
of funds for climate adaptation from international donors, despite
terms of research institutions in the agricultural sector. For example, in
Pakistan being one of the most vulnerable countries. Asian Development
Punjab, the local farmers have changed their perceptions of climate
Bank has provided a fund of $13.9 million, the Adaptation Fund (around
change’s negative impacts as previously, the negative effects of climate
$31.7 million), and the Fast Start Finance (around $31.7 million) for
change were considered a natural phenomenon. However, based on
climate adaptation (Chaudhry, 2017). However, these are not sufficient
research-based evidence and conducting studies in local areas in the
funds, considering the vulnerability to climate change of the country.
province, the farmers have changed their perceptions about climatic
impacts. Proper monitoring and evaluation mechanisms at the local
7. Conclusion and final remarks
scales are lacking in both provinces.
The capacity of local institutions in both provinces is not up to mark
Climate change adaptation is a new policy field and created a space
as the responsibility of implementing these policies came on their
for experimentation and new forms of governance. It is important to
shoulders in 2010 after the 18th constitutional amendment. As per the
introduce new frameworks to study adaptive governance in different
rating of the proposed framework, both lies at a medium level in term of
sectors and produce field base research studies to understand climate
the capacities of local institutions. It may take time to develop the ca­
adaptation governance better. This paper established a framework for
pacity of local institutions in both provinces. It is found that overall
the formulation and implementation of climate adaptation policies for
weak coordination among the local institutions is observed in the KPK
the agriculture sector at the subnational level. Based on the literature
and comparatively better in Punjab. For instance, there is no formal and
and confirmed in the analysis of the interviews, the important compo­
regular interactions or institutional mechanism to discuss climate
nents of this framework were defined as locally driven initiatives,
change issues among the local institutions in KPK. In Punjab, all 26
capable local institutions, legally backing implementation, and proper
organizations related to climate change not only meet regularly but are
intergovernmental coordination. Local responses to climate change are
highly familiar with the work scope of each other. The budget is being
driving factors for climate adaptation governance. The success and

133
M. Mumtaz and J.A. Puppim de Oliveira Environmental Science and Policy 147 (2023) 126–137

failure of an adaptive form of governance highly depend on local
governance actions. In our case study, while applying the established
framework based on the four components and their indicators, we
identified important steps taken by the two provinces, such as the
establishment of the provincial climate change policies in both prov­
inces, institutional capacity enhancement in Punjab, the establishment
of linkage with academics in Punjab, involvement of farmers’ commu­
nity in climate adaptation for agriculture sectors in KPK and steps taken
towards enhancement of capacity building in both provinces. Multiple
stakeholders are involved in climate change governance at subnational
levels in both provinces. Political leadership is active, especially in the
KPK, to promote sound and sustainable steps to address climate change
in the province. However, there is no such effective monitoring mech­
anism, and evaluation was observed in both provinces.
The proposed framework can be further developed to support sub­
national governments in formulating and implementing climate adap­
tation policies, especially for the agriculture sector. This framework can
be used in other countries for devising and analyzing climate adaptation
policies, particularly for the subnational agriculture sector and gover­
nance initiatives. However, the framework can also be adjusted and
applied in other sectors within the domain of subnational adaptation
policies and action plans.
CRediT authorship contribution statement
Investigation, Formal analysis, Funding acquisition, Writing - original
draft. Jose A. Puppim de Oliveira: Supervision, Conceptualization,
Funding acquisition, Project administration, Writing - review & editing.
Declaration of Competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
Data Availability
The relevant data details have been given in Appindex-A.
Acknowledgements
Jose A Puppim de Oliveira acknowledges the support of FAPESP
(Grant #2017/50425-9), CAPES (Grant #88881.310380/2018-01),
CNPq (Grant #303117/2022-2), and HEC (Grant #1-8/HEC/HRD/
2017/8450) as well as FGV EAESP. Jose A. Puppim de Oliveira is also
Visiting Fudan Chair Professor, Institute for Global Public Policy (IGPP),
Fudan University, China.The authors contributed equally to the writing
of the article.

Muhammad Mumtaz: Conceptualization, Methodology,

Appendix A

Respondents’ Profiles.

Respondent ID Respondents’ responsibilities/ roles Respondents’ Organization

1 Inspector General Forests Ministry of Climate Change

2 Director General Environment Ministry of Climate Change
3 Charmain and member of board of governance Sustainable Development Policy Institute
4 Professor of Policy Study and Sustainable Development Center for Policy Study, COMSATS University, Islamabad
5 Head of Department Center for Climate Research and development
6 Professor of water and climate change Department of Meteorology, COMSATS University, Islamabad
7 Senior Researcher for agriculture and climate change Global Change Impact Studies Center
8 Senior Researcher for climate change and head for the water section Global Change Impact Studies Center
9 Researcher for climate change and agriculture sector Pakistan Agriculture Research Council
10 General Manager and compiling climate change data in Pakistan Pakistan Space and Upper Atmosphere Research Commission
11 Director of Agronomic and an active member for climate negotiation and policies in Punjab Ayub Agriculture Research Institute, Faisalabad
12 PhD student working on climate adaptation and the agriculture sector University of Agriculture, Faisalabad
13 Regional Director for agriculture extension department Agriculture Extension Department in Faisalabad
14 Deputy Director dealing with climate change in the Punjab region Environmental Protection Agency in Lahore, Punjab
15 Farmer’s community(7 interviews) Farmers in Punjab
16 Director working on climate adaptation strategies Helvetas Swiss Intercooperation organization, Peshawar, Pakistan
17 Professor of Environmental Sciences University of Peshawar
18 Deputy Director and involved in framing climate policy in the KPK Center for Climate Change, Peshawar
19 Professor of agriculture and climate change Agriculture University Peshawar
20 Manager dealing with agriculture extension in the KPK Agriculture extension department, Peshawar
21 Chief Manager for planning in the agriculture sector Establishment Division Peshawar KPK
22 Climate change policy researcher Pakistan Forest Institute, Peshawar
23 Director dealing with floods and rescues Provincial Disaster Management
Authority, KPK
24 Farmer’s community(7 interviews) Farmers in the KPK

Appendix B

Criterion for Analysis.

134
M. Mumtaz and J.A. Puppim de Oliveira Environmental Science and Policy 147 (2023) 126–137

Component of proposed Indicators for the √√√ √√ √

framework components of the
proposed framework

Locally Driven Engagement of local actors When there are evidences that all the
related local actors are involved and
their concerns are taken
Incorporation of hidden When the impact or the hidden
adaptation adaptation are identified and included
in action plans
Research and innovation When the climate related courses are
at Local academic there, climate studies are conducted and
institutions the research studies are quoted or cited
in government’s documents
Locally Monitoring and When the policy implementation is
Evaluation monitored, evaluated, and used to
improve/revise the initiatives
Institutionally Capable Local Institutionalization When the local institutions are involved
in policy framing and implementation
Institutional mechanism When the involvement of all related
of coordination institutions are there in implementation
phase
Allocation of financial When the budget is allocated as per the
budget required amount to address climate
change
Legally Strong Legal backing for When the laws are enacted and
implementing policies implementing actions are taken as per
laws.
Legally accountability When the proper accountability and
and transparency transparency system is there. The
evidences show that institutions are
being accountable for their actions.
Intergovernmental National, Subnational, When at the local, subnational, and
institutions and local level nation level are at the same page and
relations institutional linkages there is coherence for actions taken at
these level
Incorporation of When there are evidences of
International efforts involvement of international
organization for actions taken at
subnational level. Securing of
reasonable funding from international
funds.
Evidences of involvement of local actors
and they are partially satisfied with the
actions taken
When the impact or the hidden
adaptation are identified and willing to
incorporate it in action plans
A small number of research studies are
conducted and partially the impact can
be seen in public documents
When the policy implementation is
monitored and but no evidence the use
for improve/revise the initiatives
When partial engagement of local
institutions are seen. The concerns of all
relevant departments are not addressed
When some related institutions are there
in implementation phase and some are
missing
When the budget is allocated but it is not
reasonable amount to address climate
change
When some laws are enacted but
implementing actions are taken as per
laws.
When the accountability and
transparency system is there but no
evidences that institutions are being
accountable for their actions.
When at the local, subnational, and
nation level are not in the same line for
actions taken.
When there are no evidences of
involvement of international
organizations for actions taken at
subnational level. Limited or no fund is
secured from international funds.
Viable governments’ commitment
to involve local actors. This is
written in documents or seen by
the government people
When the local governments
recognized the hidden adaptation
but yet to include in their existing
plans
when the importance of research
and innovation is recognized by
the subnational
government
When the monitoring and
evaluation for implementation of
subnational policies are
emphasized
When the importance of local
institutions are highlighted by the
subnational government
When the coordination among
local institutions are emphasized
but yet to take steps to properly
involve them
When there is will and plan to set
climate change budget
When the legal backing is
promoted but yet to enact any law.
When the accountability and
transparency system is recognized
but yet to incorporate it in
actionable form
When the linkage among the local,
subnational, and nation level is
recognized but there is no evidence
that how they are taking steps
When the relations with
international organizations are
recognized but yet to take practical
steps

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