Linking Climate Change Adaptation Strategies and Nutrition Outcomes: A Conceptual Framework

Abstract

Background:

The relationship between climate adaptation strategies and nutrition security is poorly understood and often unclear. Although several adaptation strategies have been implemented to mitigate the impact of climate change, there is still a lack of conclusive evidence or studies on the interrelationships between adopted climate change adaptation strategies and nutrition outcomes.

Objective:

This study aimed to develop a conceptual framework that links climate change, adaptation strategies and nutrition and to show the indicators that can be used to assess the impact of climate adaptation strategies on nutrition.

Methodology:

The proposed conceptual framework was developed through a literature review.

Results:

A generic conceptual framework that could be used to assess the impact of adopted climate change adaptation strategies on nutrition outcomes was developed. The framework consists of 5 key elements: agro-food system, context characteristics, adaptation strategies, climatic shocks and stress, and system output. The principles used in designing the conceptual framework include systems approach, contingency theory, and system output.

Conclusion:

The developed framework offers a channel to evaluate adopted climate change adaptation strategies and their impact on nutrition outcomes. Such a conceptual framework can also be used in selecting and identifying more suitable climate adaptation strategies given specific contextual environments.

Introduction

Climate Change and Variability Trends

Changes in extreme weather events, seasonality and other climate variables, along with changes in ecosystems, biodiversity, and natural resources will ultimately have considerable effects on the food and nutrition security of African communities, societies, and economies, which are closely dependent on rainfall and natural resources for their lives and livelihoods. ^{1 -3} Climate change has a direct impact on food systems and food security, particularly in African countries, ⁴ and is affecting weather patterns causing seasonal shifts with serious repercussions for households and communities. ⁵ Climate change models for Southern Africa project that the region will get drier and experience more extreme weather conditions such as droughts and floods. ^4,6 Previous studies ^{7 -9} highlight 5 main variables through which climate change affects agricultural productivity: (1) temperature, (2) precipitation, (3) CO₂ fertilization, (4) increased climate variability, and (5) surface water runoff. Droughts, for example, affect crop farming and livestock production both directly and indirectly. ¹⁰ Crop production is affected as temperature variability influences many plant functions such as respiration, transpiration, and photosynthesis; ^8,11 and livestock production is affected due to changes in the availability of pastures and water. ^7,12 Furthermore, climate change is already affecting all the dimensions of food security (ie, availability, accessibility, quality and healthy utilization, and the stability of these dimensions over time), and its implications extend across all determinants of malnutrition. ¹³ Studies that separate out climate change from other factors affecting crop yields ^2,6 have shown that yields of some crops in many lower-latitude regions have been affected negatively by climate change, while in many higher-latitude regions, yields of some crops (eg, maize, wheat, and sugar beans) have been affected positively over recent decades. Therefore, sustainable intervention strategies to mitigate the impact of climate change and variability need to be implemented to reduce the negative consequences usually associated with climate change and variability on food nutrition security.

Impact of Climate Change on Nutrition Outcomes

Climate change exacerbates the existing malnutrition (over- and undernutrition) problem in Africa and will further undermine current efforts to reduce poverty and undernutrition, ¹⁴ particularly in Sub-Saharan countries. ^15,16 Climate change affects nutrition by influencing people’s food security, disease levels and patterns, water and sanitation environments, and choices about how to allocate time to their livelihoods and to caregiving. ¹⁷ Malnutrition is viewed as one of the 5 largest adverse health impacts of climate change ¹⁸ and it undermines the resilience to climatic shocks and the coping strategies of vulnerable populations, lessening their capacities to resist and adapt to the consequences of climate change. ^3,19 Sustainable, climate-resilient, and nutrition-sensitive agricultural development is therefore fundamental and integral to improving nutrition outcomes. ¹⁴ However, there is a lack of emphasis on the impact on nutrition in most climate change adaptation strategies. ^{20 -22} The relationship between climate adaptation and human nutrition is poorly understood and often unclear, ²⁰ creating a gap in knowledge and also in frameworks to analyze the interlinkages between climate change, climate adaptation strategies, and nutrition outcomes. According to Food and Agriculture Organization, ²³ climate-resilient agriculture should be nutrition-sensitive, health-promoting, and contribute to improving dietary diversity and nutrition.

Climate Change Adaptation Strategies by Smallholder Farmers

To minimize the negative impact of climate change and variability, farmers have adopted different adaptation strategies. In the context of this article, adaptation is defined as an “introduction of measures, practices, and policies, which enable individuals or society to continue with their beneficial and sustainable use of environmental resources in spite of the impacts of climate change.” ²¹ (p. 161) Adaptation enables farmers to achieve their food, income, and livelihood security objectives in the face of changing climatic and socioeconomic conditions, including climate variability, and extreme weather conditions such as droughts and floods. ^{24 -26} There are several adaptation strategies to climate change that farmers have adopted over time. Hassan and Nhemachena ²⁴ found that generally farmers in Africa usually prioritize adaptation measures as follows: crop diversification; using different crop varieties; varying the planting and harvesting dates; increasing the use of irrigation; increasing the use of water and soil conservation techniques, shading, and shelter; shortening the length of the growing season; and diversifying from farming to non-farming activities, among many other strategies highlighted in the literature. The adaptation strategies can be classified into 2 main kinds of modification in the production systems ^24,26 : (1) increased diversification and (2) protecting sensitive growth stages by managing the crops to ensure that these critical growth stages do not coincide with very harsh climatic conditions such as midseason droughts. However, adaptation strategies that promote the production of more food do not necessarily lead to better access to a healthy and balanced diet or to an improved nutritional status of those who need it most. ³ Climate adaptation strategies need to be explored in the context effectiveness for food security, nutrition, and health in the short and long term. ³ According to Fanzo et al, ¹ climate change adaptation strategies should be sensitive to food and nutrition needs, while also minimizing negative effects on climate. It is therefore important to evaluate the impact of these adaptation strategies on nutrition security. It is, however, currently difficult to conduct such an evaluation as there are no evaluation framework and more so the absence of an evaluation philosophy.

Knowledge Gap

Although several climate adaptation strategies have been implemented to minimize the impact of climate change on food systems worldwide, there is need to consider the effect of these adaptation strategies on nutrition security. Nutrition security should be explicitly integrated into climate change adaptation strategies ³ with increased attention on those most vulnerable to undernutrition, such as mothers and young children. ²⁷ For example, it is important to evaluate the impact of the climate change adaptation strategies adopted by farming communities on household nutritional outcomes such as dietary diversity, food consumption score, and stunting in children younger than 5 years. Some specific climate change adaptation strategies are likely to exacerbate food and nutrition insecurity. ³ This calls for increased coherence between the multiple objectives of food and nutrition security and climate change adaptation. ²¹ There is extensive scientific evidence on the impact of climate change on food security and that adaptation is essential to address the problems of climate change. ^24,28,29

However, limited studies ^3,14,20,22 have explored and provided evidence on the interrelationship between climate change and nutrition security, yet undernutrition is a major consequence of climate change that is still poorly addressed by current climate change initiatives and interventions. Table 1 shows some of the peer reviewed scientific articles that have studied the interrelations between climate change and adaptation strategies on nutrition outcomes. Fadina and Barjolle ³⁰ attempted to highlight the impact of crop diversification on nutrition and reported that crop diversification as an adaptation strategy improves soil fertility, controls for pests and diseases, and brings about yield stability and nutrition diversity. Tirado et al ³ reviewed the literature on the impact of climate change and variability on nutrition security in Africa and the adopted climate adaptation strategies, however, the impact of adopted climate adaptation strategies on nutrition outcomes is not explained. Similar findings are observed with all the published scientific articles presented in Table 1. The articles discuss in a fragmented way the direct impact of climate change on some nutrition status, mainly undernutrition (eg, stunting), or the different adaptation strategies adopted by farmers to mitigate the impact. There is still lack of conclusive evidence or studies on the linkages between adopted climate change adaptation strategies and nutrition outcomes. It is against this background that we propose a conceptual framework that tries to link climate change, adaptation strategies and nutrition and that also shows the indicators that can be used to assess the impact of climate adaptation strategies on nutrition. The overall aim of this article is therefore to contribute to the knowledge base on how to assess the impacts of adopted climate change adaptation strategies on nutrition outcomes in a holistic manner.

Table 1.

Review of Available Literature on the Impact of Adopted Climate Adaptation Strategies on Nutritional Outcomes.

Article	Focus	Climate change	Adaptation strategies	Nutrition outcomes	Impact of adaptation strategies on nutrition
Aberman and Cohen 31	Examined the consequences of climate change and rising bioenergy demand for sustainable development, food security, and nutrition throughout the lifecycle and also described the impact of climate change on nutrition from a conceptual framework position.	+		+
Bloem et al 32	The study discussed the impact of climate change, specifically in relation to its implications on crop and livestock production, and its consequences on health and nutrition.	+		+
Edwards et al 33	The study reviewed the current state of science concerning the interface between climate change, food systems, and human health	+		+
Claessens et al 34	Investigated the effects of Trade-off Analysis Multi-Dimensional Impact Assessment model as a methodology to test climate change adaptation strategies with limited data.	+	+
Lake et al 35	The study assessed the potential impact of climate change on food security (nutrition and food safety) and the implications for human health in developed countries	+		+
Otieno et al 36	The study investigated the effect of climate change on food and nutrition security status of children below 5 years.	+		+
Tirado et al 3	Reviewed literature on the impact of climate change and variability on nutrition security in Africa and the adaptation and mitigation strategies to address these challenges, with a particular focus on Sub-Saharan countries.	+	+	+
Hagos et al 37	The study evaluated the effect of weather variables on child under nutrition and the variations in effects across the 3 Agro-ecologies of Ethiopia.	+		+
Phalkey et al 38	Reviewed literature to gather scientific evidence on the impact of climate change on childhood undernutrition (particularly stunting) in subsistence farmers in low- and middle-income countries.	+		+
Tabbo et al 2	The study investigated farmers’ strategies of coping with and building resilience against the negative impact of climate change.	+	+
Fadina and Barjolle 30	Investigated the perceptions of farmers on climate change, effects on climate change on their farming activities, and adopted adaptation strategies by farmers.	+	+
Fanzo et al 1	The study analyzed the bidirectional relationships between climate change and food and nutrition along the entire food supply chain. It identifies adaptation and mitigation interventions for each step of the food supply chain to move toward a more climate-smart, nutrition-sensitive food system.	+	+	+
Msangi and Rosegrant 39	The study evaluated possible adaptation strategies that food producers and resource managers could adopt to cope with changing environmental conditions.	+	+
Ndiaye 40	The study investigated the causal effect of adoption of climate change adaptation strategies on household food security and income.	+	+		+
Bailey et al 20	The study investigated the relationship between adaptation and child nutrition, in Eswatini (formerly Swaziland), during an extreme drought.	+	+	+

Toward a Conceptual Framework to Assess the Impact of Adopted Climate Change Adaptation Strategies on Nutrition Outcomes

Globally, there are limited studies examining the link and impact of climate change adaptation strategies on nutrition outcomes. Table 1 shows some previous studies on climate change, adaptation strategies, and nutrition, and a review of these studies shows limited insights on the interconnectedness of climate change, adaptation strategies, and nutrition outcomes. Table 1 reveals that of the 15 scientific articles reviewed, only 2 articles ^1,20 attempted to investigate the impact of adopted adaptation strategies on nutrition outcomes. However, the study of Fanzo et al ¹ separately considered the impact of climate change on nutrition outcomes and that of adaptation strategies on nutrition outcomes. On adaptation strategies, the article concentrated on describing promising climate-smart, nutrition-sensitive mitigation and adaptation actions to improve food systems, diets, without specifically explaining the interconnectedness of climate change, adaptation strategies, and nutrition outcomes. The study by Bailey et al ²⁰ investigated the impact of climate change adaptation strategies on child nutrition only and did not include other nutrition indicators. Ndiaye ⁴⁰ investigated the impact of climate adaptation strategies on food security and income, however, nutrition outcomes were not considered. The rest of the articles in Table 1 either focused on the direct impact of climate change on nutrition outcomes or on adaptation strategies, without necessarily considering the interlinkage between adaptation strategies to climate change and the impact on nutrition outcomes. As such, in this section we put forward a generic conceptual framework that could be used to holistically assess the impact of adopted climate change adaptation strategies, within agro-food system, on nutrition outcomes at individual, household, and community level. For this purpose, literature was examined to identify key elements that should be included in the conceptual framework.

The conceptual framework draws primarily from elements of existing frameworks ^1,3,17,20 to provide an understanding of the complex interlinkage between climate change adaptation strategies and nutrition. However, these existing frameworks, except for the one proposed in 2015 Global Nutrition Report, ¹⁷ only focus on the direct impact of climate change on nutrition and do not consider how the adopted climate change adaptation strategies can also impact on the nutrition outcomes. The IFPRI conceptual framework ¹⁷ however considers the impact of climate change in the broader context, that is, food environment, work/social environment, health environment, and living environment, while in this article the focus is on the agro-food system.

Overview of the Conceptual Framework

Figure 1 shows the proposed conceptual framework to holistically assess the impact of climate change adaptation strategies on nutrition. The conceptual framework in Figure 1 is composed of 5 key pillars: (1) agro-food system, (2) climatic shock and stress, (3) adaptation strategies, (4) context characteristics, and (5) system output. These pillars are interconnected with the agro-food systems being the anchor of the conceptual framework as the other 4 pillars are linked to this pillar. The activities that ensure availability, access, utilization, and stability within the food system occur within the agro-food system. However, the effectiveness of these activities is greatly affected by climatic shocks and stresses. In response to the climatic shocks and stress, communities adopt relevant adaptation strategies that can help the communities cope with the negative impacts of climate change on the agro-food system. However, the effectiveness of the adopted adaptation strategies is influenced by the context situation or environment wherein these adaptation strategies are being implemented. The pillar on nutrition outcomes provides the measurables that can be used to investigate the impact of the adopted climate change adaptation strategies. The proposed conceptual framework therefore provides for a holistic assessment of the impact of climate change adaptation strategies on nutrition outcomes.

However, the framework is not intended to be prescriptive but rather to provide a means for evaluating or assessing the impact of climate change adaptation strategies on nutrition security in a holistic manner. Furthermore, the framework is illustrative and can be tailor-made to the specific context situation. The principles used in designing the conceptual framework are discussed in this section.

Figure 1.

Conceptual framework linking climate change, climate change adaptation strategies, and nutrition outcomes (Source: Authors).

Design Principles Used in Developing the Conceptual Framework

Systems approach

The first design principle relates to systems approach theory. The system approach theory acknowledges the interconnected nature of problems and emphasizes the need to look at the whole system instead of specific aspects or elements when proposing solutions. ⁴¹ A systems approach allows for the identification of cascading effects and interactions across different components of a system that otherwise would be difficult to identify and analyze independently. As shown in Figure 1, the food system is central to the proposed conceptual framework. The goal of the food system is to contribute toward household food and nutrition security. However, the performance of the system is influenced by several other factors. According to Olazabal et al, ⁴² climate change adaptation strategies should have an integrated and cross-sectoral approach so as to adequately capture the complexity of interconnected systems. In this article, we propose the conceptual framework presented in Figure 1 based on the systems approach to ensure that the framework is holistic and it incorporates the following components: (1) climate change, (2) food system, (3) adaptation strategies, and (4) system output (nutrition outcomes).

Contingency theory

The second design principle is based on the contingency theory. An important aspect of studying systems involves examining the interaction between a system and its environment as the effectiveness of a system depends on the appropriate matching of the internal operations of the system with its environment. ⁴³ According to Ackoff, ⁴⁴ the surrounding environment of a system influences problem-solving as it has an influence on the system but is not part of the system. Hence, for efficiency, effectiveness, and sustainability, climate change adaptation strategies should be adapted to the context wherein they are being implemented. In Figure 1, the adaptation strategies are separated from the agro-food system (put in a separate box) to emphasize that although the adaptation strategies are applied within the agro-food system, they are affected and also affect the other pillars of the framework. For adaptation strategies to be sustainable and effective, they should be supported by enabling conditions, such as policies, markets, institutions, and governance. ⁴ This line of reasoning originates from the contingency theory, which hypothesizes that the performance of a system is influenced by the context situation wherein it operates. ^{45 -47} Examples of context characteristics to consider are discussed below:

• 1. Climate and nutrition sensitive policy

The cross-sectoral nature of nutrition, the impacts and threats of climate change, and the potential negative implications of climate change adaptation strategies to nutrition call for increased policy coherence and institutional and cross-sectoral collaboration at the local, national, and international levels. ²⁷ Recognition that climate change adaptation strategies, nutrition, and health are intertwined should lead to a more systematic assessment of the nutrition impacts of adaptation strategies and more integrated solutions and policies. ³ Such an approach can generate greater overall benefits for food and nutrition security, health, and climate protection.

• 2. Culture, values, and norms

Food production and consumption are strongly influenced by cultures and beliefs. Cultural dimensions are important in understanding how societies establish food production systems and respond to climate change. ⁴⁸ Culture, values, and norms are primary factors in most climate change and food system policies and integrating cultural beliefs into formal climate change adaptation strategies can add value to the development of sustainable climate change adaptation strategies that are rich in local aspirations, planned with, and for, local people. For example, in some parts of Zimbabwe it has been reported that communities no longer grow maize in large quantities as they have shifted to millet and sorghum in order to adapt to rainfall scarcity and the shift is based on indigenous knowledge and practices. ²⁶ Adger et al ⁴⁹ argued that since culture is embedded in societal modes of production, consumption, lifestyles, and social organization, it should be recognized in understanding adaptation to climate change. As such, for sustainability of adaptation strategies, there is a need to consider local knowledge and cultural values and norms in the design and implementation of adaptation strategies ⁵⁰ that have a positive impact on nutrition outcomes.

• 3. Gender

Climate change adaptation strategies also need to be gender-sensitive as agriculture, gender, and nutrition are interlinked through various pathways. ⁵¹ The nutritional context also determines which climate change response strategies may be most effective at addressing the most pressing nutritional challenges. ⁵² There is a need to pay attention to the nutritional implications of various adaptation strategies and how gender intersects with the pathways from adaptation to nutritional outcomes. In general, women face institutional barriers to adaptation due to social norms governing the division of labor and women’s ability to participate in group activities, move freely, and use particular technologies or practices. ⁵¹ According to Bryan et al, ⁵¹ some adaptation strategies have implications for women’s labor allocation, which in turn influences women’s time available for child feeding and care practices. For example, some practices, such as conservation agriculture, may have a negative impact on women due to increased labor requirements. These effects of climate change have the potential to worsen the intergenerational cycle of malnutrition. ¹ For example, intergenerational effects have a detrimental impact on child growth because of poor nutrition in childhood and is associated with low birth weight and child stunting. ^53,54 A better understanding of the pathways linking climate change and nutrition is critical for developing effective adaptation strategies to ensure households have access to sufficient, safe, and nutritious food. ¹

System output

The third design principle is that of system output, which, in this article, consists of the nutrition outcomes that should be measured. These nutrition outcomes are the main outcomes are not exhaustive but illustrative as these can be tailor-made to the given context situation to make them more relevant. Although in Figure 1, the selected nutrition indicators are grouped into short- and long-term indicators, the nutrition indicators can also be grouped into household level and population level indicators. For example, the long-term indicators such as stunting are mainly measured at population level, while short-term indicators such as Household Dietary Diversity Score are measured at household level.

Specifying the system output will enable assessment or evaluation of the impact of selected adaptation strategies to climatic shocks and stress on nutrition outcomes. In this case, targeted nutritional outputs include stunting and wasting in children younger than 5 years, child and women dietary diversity, food consumption patterns, and household dietary diversity. The outcome, that is, nutrition status, can be assessed based on anthropometry measurements, dietary intake, and clinical signs of nutritional deficiency (eg, edema). ⁵⁵ There is strong evidence that climate change can affect food quality (diversity, nutrient density, and safety). ^1,29 For example, Lloyd et al ⁶ projected that climate change will lead to a relative increase in moderate stunting of 1% to 29% by 2050 compared with a future without climate change. More so, the authors predicted that stunting rates are likely to increase by 23% in central sub-Saharan Africa.

Conclusion

The linkage between climate change, adaptation strategies, and nutrition security is very complex. However, the holistic conceptual framework proposed in this article will help to unravel this complex linkage. The proposed conceptual framework takes cognizant of the fact that when faced with climate change shocks and stress, communities will adopt certain adaptation strategies and the impact of these adaptation strategies on nutrition outcomes should be considered. The framework therefore approaches the impact of climate change adaptation strategies on nutrition in a holistic manner. Such a framework can also be used in selecting and identifying more suitable climate adaptation strategies given specific contextual environments. There is, however, need to further evaluate the validity, reliability, and applicability of the conceptual framework in different context settings. Future work will also include operationalization of conceptual framework into an assessment tool.