1. Introduction
The report Human Costs of Disasters 2000–2019, published on 12 October 2020 by the United Nations Office for Disaster Risk Reduction (UNISDR) and the Centre for Research on the Epidemiology of Disasters of the University of Leuven, Belgium, states that “Between 2000 and 2019, 7348 natural disasters were recorded globally, killing 1.23 million people, affecting a total of 4 billion people, and causing
$2.97 trillion in global economic losses. The global total number of natural disasters has risen dramatically in the first two decades of the twenty-first century, with an alarming increase in the number of climate-related disasters in particular,” and “the surge in the number of climate-related disasters has been a major factor in the rise in the total number of disasters.” This series of natural disasters is a constant reminder that climate change has become a common challenge for mankind, and that addressing the risks posed by climate change should be a common task for all of us [
1].
The United Nations attaches great importance to the risks posed by climate change to measure its effects in a more scientific manner. The United Nations Environment Programme (UNEP) and the World Meteorological Organization jointly established the United Nations intergovernmental panel on climate change (IPCC), which was released by the Commission in 2013. The Fifth Assessment Report stated that, “climate change is real and human activity is the primary cause of its occurrence.” It is thus clear that global climate change has become a major challenge for all countries, and there is broad international consensus that we should work together to combat it.
China signed the United Nations Framework Convention on Climate Change (UNFCCC) as early as 1992 at the Earth Summit convened by the United Nations. At the level of laws and regulations, the Chinese government has successively promulgated a series of laws, regulations, and policies on the prevention and control of air pollution, clean production, energy conservation, and emission reduction. At the organizational level, to address climate change in a more targeted manner, China established “the National Leading Group on Climate Change, Energy Conservation and Emission Reduction” in June 2007 as the national coordinating body for climate change, energy conservation, and emission reduction, with the Ministry of Ecology and Environment and the Development and Reform Commission assuming specific responsibilities; at the practical level. To implement actions to address climate change, the Chinese government has carried out a series of pilot construction projects in recent years, including low-carbon cities and sponge cities, and has achieved results. In February 2016, the National Development and Reform Commission (NDRC), the department of housing and urban–rural development led initiatives to develop the city to adapt to the climate change action plan. In its overall requirements, the program referred to “strengthening scientific and technological support, firmly establishing the concept of adaptation, comprehensively promoting urban adaptation to climate change from the aspects of policies and regulations, institutional mechanisms, overall planning, standards and norms, construction, and management; striving to create climate-adaptive cities; and comprehensively enhancing urban resilience to climate change.”
The National Development and Reform Commission (NDRC) and the Ministry of Housing and Construction (MOHURD) issued the Pilot Program for the Construction of Climate-Resilient Cities in August 2016 to encourage cities to actively apply. In February 2017, the National Development and Reform Commission (NDRC) and the Ministry of Housing and Urban–Rural Development (MOHURD) issued the Notice of Pilot Work on the Construction of Climate Resilient Cities, which included 28 cities, including Hefei City and Huaibei City in Anhui Province, Haikou City in Hainan Province, and Guangyuan City in Sichuan Province, on the pilot list of “Climate Resilient Cities,” marking the beginning of China’s attempt to progressively explore the full range of cities’ climate risk management capacity from a practical level by means of policy pilots.
2020 is a key year for the pilot construction of Climate Resilient Cities, and the Notice on Pilot Construction of Climate Resilient Cities clearly states that “By 2020, the infrastructure for adapting to climate change in pilot areas will be strengthened, the adaptive capacity will be significantly improved, public awareness will be significantly enhanced, a number of typical example cities with international advanced level will be built, and a series of replicable and scalable pilot experience will be formed.” Thus far, the policy has been implemented for four years; however, there is a lack of scientific answers to questions, such as how the policy has been implemented so far, what experiences and shortcomings exist, and what kind of improvements need to be made in the next step, and the answers to these questions are not only of great practical significance for the next step in the construction of Climate Resilient Cities, but also of great theoretical significance for the study of how cities can cope with climate change. Although the concept of climate resilient city has been widely concerned by scholars and policymakers, there is still a lack of theoretical and empirical research in this field, especially the lack of evaluation on the construction status of climate resilient city. The purpose of this paper is: First, to evaluate the construction of climate resilient cities by establishing a more perfect evaluation index system; second, to comprehensively calculate the index system through appropriate econometric methods, so as to achieve scientific and effective policy evaluation.
Scholars in different fields have carried out extensive research on climate resilient cities. The current research on Climate Resilient Cities focuses on three main areas: the characteristics of Climate Resilient Cities, how to plan and build Climate Resilient Cities, and the assessment of the construction of Climate Resilient Cities. At present, the concept and characteristics of climate resilient cities are clearly defined [
2,
3,
4], and how to plan and build climate resilient cities is also studied from the perspective of urban planning, disaster prevention and control [
5,
6,
7,
8]. However, limited by data and analysis methods, few scholars evaluate the construction of climate resilient cities, especially the quantitative evaluation. This paper mainly focuses on how to evaluate the construction of climate resilient cities. The main difference between this paper and previous studies is that this paper adopts the method of empirical research, constructs a set of operable evaluation system through the multi-level grey system evaluation method, and realizes the evaluation of the construction of climate resilient cities through the difference in differences model.
The theoretical contributions of this paper are as follows: first, a complete assessment index of the construction of Climate Resilient Cities is constructed, and all the indexes are quantified, which improves the quantitative research of Climate Resilient Cities. Second, the multi-level grey system evaluation method is introduced into the research of Climate Resilient Cities, which effectively solves the problem of “small sample and poor information” and realizes a more scientific and effective assessment of the construction of Climate Resilient Cities. Third, the effect of the construction of Climate Resilient Cities is more clearly identified by using the difference in differences (DID) model.
This paper is organized in the following manner.
Section 2 provides a literature review;
Section 3 describes the data sources and how the variables were measured;
Section 4 describes the setup of the difference in differences model and the applicability test;
Section 5 presents the regression model and regression results; and
Section 6 and
Section 7 present the discussion and conclusions, respectively.
2. Literature Review
The concept of resilience, since the nineteenth century, has gradually been applied to mechanics, physics [
9], psychology [
10,
11], and different fields of study. The concept of resilience was first introduced to the field of systems ecology by the Canadian ecologist Holling to define the characteristics of a steady state ecosystem. Since the 1990s, scholars have gradually extended the study of resilience from natural ecology to human ecology [
12]. The concept of resilience has undergone many evolutions, from the initial engineering resilience to ecological resilience and finally to evolutionary resilience. Holling defines resilience as “engineering resilience,” which is the ability of a system to return to an equilibrium or stable state after the application of a disturbance [
6]. Holling then revised his definition of resilience and introduced the concept of “ecological resilience,” which he defined as “the magnitude of the disturbance that a system can absorb before changing its own structure” [
13]. Walker introduced the concept of “evolutionary resilience,” defining resilience as “the ability of complex social-ecological systems to stimulate change, adaptation and transformation in response to stresses and constraints” [
14].
As an essential research subject of human ecology, the idea of resilience is naturally applied to urban research, laying the intellectual foundation for the formation of the tough city theory [
15]. “The concept of a “Resilient City” has been widely appreciated by academics and governments since the first International Conference on Cities and Adaptation to Climate Change, convened by the United Nations Committee on Disaster Reduction in Bonn. For example, in 2002, the UK launched ”the UK Climate Impact Programme”, which aimed to provide scientific support for climate policymaking in the UK; and, in 2008, the American Planning Association published the Planning and Climate Change Policy Guide, which suggested that urban planning can play an active role in addressing climate change risks through policy and methodological innovation, providing a reference for policymakers [
16].
Cities, such as Cape Town, South Africa; Toronto, Canada; and Copenhagen, Denmark, have also formulated and implemented plans to cope with climate change and improve their climate adaptation capacity, accumulating valuable experience for the construction of Climate Resilient Cities. In addition, the Making Cities Resilient campaign of the United Nations International Strategy for Disaster Reduction (UNISDR) and the 100 Resilient Cities initiative of the Rockefeller Foundation are both positive examples of efforts to improve the climate resilience of cities. As resilient cities are primarily responses to climate change, they are also referred to as “Climate Resilient Cities” in many studies and national policy texts, and for ease of understanding, the terms “Resilient City” and “Climate Resilient City” are referred to collectively as “Climate Resilient City” in the following text.
The current research on Climate Resilient Cities focuses on three main areas: the characteristics of Climate Resilient Cities, how to plan and build Climate Resilient Cities, and the assessment of the construction of Climate Resilient Cities. Representative scholars in the field of “Concepts and characteristics of Climate Resilient Cities” include Godschalk, Campanella, and Jha, who defined the characteristics of Climate Resilient Cities in detail. Physical systems are the constructed and natural environmental components of the city. They include its built roads, buildings, infrastructure, communications, and energy facilities, as well as its waterways, soils, topography, geology, and other natural systems. The communities act as the brain of the city, directing its activities, responding to its needs, and learning from its experience [
2]. Campanella places great emphasis on the role of human communities, noting that politics, economics, and citizenship are all important factors in urban resilience, with Campanella highlighting that “Urban resilience is largely a function of resilient and resourceful citizens” [
3]. Jha, Miner, and Stanton further identified four main components of urban resilience, namely, infrastructural resilience, institutional resilience, economic resilience, and social resilience [
4]. Infrastructural resilience refers to the reduction of vulnerability of built structures and facilities, and also encompasses the accessibility of lifeline projects and the emergency response capacity of urban communities; institutional resilience focuses on the ability of governmental and non-governmental organizations to guide communities in their governance; economic resilience refers to the economic diversity of urban communities to be able to respond to crises; and social resilience is seen as the integration of elements, such as the demographic characteristics of urban communities, the way they are organized, and their human capital [
8].
However, currently, there is still a lack of a unified standard for the identification of Climate Resilient Cities. The author believes that Climate Resilient Cities are cities that have incorporated the concept of climate change adaptation into the whole process of urban planning and construction management, improved the relevant planning and construction standards and systems, strengthened the infrastructure for climate change adaptation, improved the awareness of urban residents of protection, and, thus, significantly improved their ability to adapt to climate change and their ability to resist risks.
Representative scholars in the field of “How to plan and build Climate Resilient Cities” include Pickett, Vale, and Ahern. Vale, Campanella, and Thomas were the first to suggest in 2005 that “building resilience capacity through landscape and urban planning requires that planners and designers identify the stochastic processes and disturbances that a particular landscape or city is likely to face, the frequency and intensity of these events, and how cities can build the adaptive capacity to respond to these disturbances while remaining in a functional state of resilience” [
5]. Pickett, Cadenassso, Grove, and others argued that it is important to focus on “the role of spatial heterogeneity in both the ecological and social functioning of urban areas and the consequent perspective of metropolitan areas as integrated ecological–social systems,” in addition to proposing three ways to enhance the urban heterogeneity. The first is the recognition of a “learning loop” in metropolitan ecosystems, the second is the use of urban design as experiments whose ecological and social outcomes can be measured, and finally is the potency of a dialog between professionals and citizens, communities, and institutions to support both research and design [
6].
Based on the synthesis of previous studies, Ahern proposed that, “A proposed suite of five urban planning and design strategies for building urban resilience includes: multifunctionality, redundancy and modularization, (bio and social) diversity, multi-scale networks and connectivity, and adaptive planning and design [
7]” On the basis of the analysis of 28 pilot programs for Climate Resilient Cities in China, Li Huimin, Qiu Ping, and others indicated that scientific assessment, focus, and sharing of results should be achieved in climate risk assessment; the system should be formulated in a way that integrates various types of risks, multi-sectoral coordination, diversified means, long-term planning, consideration of the output ratios and measurable effects; and the government, enterprises, the public, and other organizations should be jointly involved in the construction, with diversified means of governance and timely feedback [
8].
Zheng Yan, Zhai Jianqing, Wu Zhangyun, and other scholars advocated strengthening the synergistic construction of Climate Resilient Cities and sponge cities, constructing scientific and feasible assessment indexes for the classification of resilient cities, adopting differentiated policy support for different types of pilot cities, and strengthening public participation in the construction of resilient cities [
17]. These studies are informing the national decision-making on Climate Resilient Cities; however, countries must still tailor their policies to the local conditions. Therefore, it is necessary to establish a set of more perfect assessment indicators of Climate Resilient Cities’ construction. However, the existing research on the indicator system is not enough, so this study intends to establish a set of more perfect and more applicable indicator system.
Research on the characteristics, planning, and construction of Climate Resilient Cities is well established, but there is still a lack of quantitative assessment of the state of the construction of Climate Resilient Cities. Scientific and effective evaluation not only enables policymakers to understand the current situation of Climate Resilient Cities, but also facilitates further work; thus, policy evaluation of Climate Resilient Cities is particularly important. Kakimoto compared the local hazard mitigation plans of three developed countries (the USA, Japan, and Korea) in the process of building Climate Resilient Cities, and then analyzed the construction and use of flood control facilities in the process of building Climate Resilient Cities by establishing an index system, and made corresponding policy recommendations [
18].HaunJung, SeEun, Shin, etc., evaluated and analyzed disasters, accidents, factors that threaten cities, and elements of the policy environment based on the evaluation system proposed by “100 Resilient Cities” and made policy recommendations on urban safety and the policy environment in Seoul based on the results of the study [
19]. Xie Xinlu and Zheng Yan analyzed the climate resilience, economic support capacity, social development capacity, natural resource endowment, technological adaptation capacity, and risk management capacity of each district in Beijing, China from 2010 to 2014, and pointed out that the construction of Climate Resilient Cities should reflect the leading role of the government and promote the collaborative development of different spatial regions through forward-looking adaptation planning to enhance the overall adaptive capacity and resilience of the entire urban system [
20]. Fitzgibbons and Mitchel used a sample of 31 of the 100 Climate Resilient Cities selected by the Rockefeller Foundation to assess the cities’ climate resilience and to highlight issues of equity and justice in the process of building Climate Resilient Cities [
21,
22]. Wu Bohong and Chen An studied the resilience evaluation model of Climate Resilient Cities, analyzed the evolution mechanisms of different stages of Climate Resilient Cities in the process of encountering external disturbances, and proposed the social significance of key nodes in the evolution of Climate Resilient Cities’ resilience, providing a quantitative evaluation index reference for the long-term adaptive capacity and wisdom of cities [
23]. The ability of cities to adapt to climate is closely related to climate conditions; however, the natural recovery cycle is very long, and without government policy support and people’s joint efforts, it is difficult to recover the environmental losses caused by human activities in a short period of time. Thus, the evaluation of policies for building climate-resilient cities has strong practical significance for the construction of Climate Resilient Cities. Although the aforementioned scholars have conducted preliminary explorations of Climate Resilient Cities, the field still has areas where the research can be expanded.
The above-mentioned studies often evaluate the construction of Climate Resilient Cities from microscopic perspectives, such as the city’s flood control capacity and ecological nourishment capacity, which cannot fully reflect the overall situation of Climate Resilient Cities. In addition, the measurement methods of these studies are relatively simple, which makes it difficult to clearly identify the effects of climate-resilient city-related policies, and these studies can only prove that the climate resilience of cities does change after the national policies are promulgated; however, they cannot prove that this change is caused by the policies, because the climate resilience of a city will still change even if the government does not promulgate the policies. Therefore, scientific and reasonable econometric methods must be used to clearly identify the effects of Climate Resilient Cities pilot policies [
24].
The difference in differences method can eliminate the factors that may affect the policy effect through calculation, therefore, it is one of the most important methods in the field of policy evaluation research and is widely used in various policy evaluation processes. Some of the more representative ones include Orley Ashenfelter, who first introduced the difference in differences method into the social sciences in 1978, studying the effect of training programs on earnings [
25]. Eissa and Liebman, 1996, demonstrated through the difference in differences method that the 1986 tax reform in the United States increased the labor force participation of single women with children [
26]. Zhou Lian and Chen Ye were the first to introduce the double-difference method into China in 2005, and used relevant socio-economic data from 1999 to 2002 for 591 counties and county-level cities in seven provinces to demonstrate the policy effects of rural tax reform in China, proving that rural tax reform did have a considerable positive impact on the growth rate of farmers’ income [
27]. Zheng Xinye, Wang Han, and Zhao Yizhuo estimated the impact of the “province directly administered counties” reform on economic growth using a double-difference method based on data from Henan Province, China, in 2011, demonstrating that the “province directly administered counties” policy increased the economic growth rate of the counties directly administered by 1.3 percentage points after isolating the impact of other factors on economic growth [
28]. Moser and Voena in 2012 demonstrated, through the difference in differences method, that certain developing countries have implemented compulsory licensing without the consent of foreign patent owners, i.e., allowing domestic firms to produce with foreign patents ultimately promotes domestic inventions [
29]. Stefano Clòa and Elena Fumagalli studied the causal effect of imbalanced price regulations on the volume of the energy imbalances by using a quasi-experimental change data in regulation in the Italian power system through the difference in differences model [
30]. Based on this, we propose to scientifically and effectively evaluate the pilot construction of Climate Resilient Cities in China using the difference in differences model. In order to make up for the blank of the existing research on “Climate Resilient Cities construction evaluation.”
In addition, the measurement of urban climate resilience is also a concern of many scholars. The weighting of indicators is the key to the evaluation of Climate Resilience, and common methods include subjective and objective empowerment methods and the analytic hierarchy process. Objective empowerment methods include principal component analysis, average empowerment methods, and the weighted correlation coefficient method, slacks-based measure models, data envelopment analysis(DEA) model [
31], impact pathway approach [
32], super-efficiency DEA models, and fuzzy decision-making trial and evaluation laboratory(DEMATEL) method. However, subjective empowerment methods are often subject to the personal preferences and knowledge of the researcher and cannot guarantee scientific validity, and the objective empowerment methods mentioned above often omit important information due to their simple calculation methods, which makes it difficult to fully reflect the true level of regional Climate Resilience [
2]. These methods are typically only suitable for calculations on large samples; thus, new methods must be explored for scientifically valid measurements of Climate Resilience across regions [
33].
The grey system theory is a new approach developed by Professor Deng Julong in 1982 to study the “incomplete data, poor information uncertainty problem” [
34], and has since been applied to the study of the “low data, poor information uncertainty problem.” Tan Xue-rui and Deng Julong, two scholars of the method transformation, proposed a “grey correlation analysis,” also known as the “multi-level grey system evaluation method” [
35], that is, to the factors of the sample data as the basis, with grey correlation to describe the strength of the relationship between the factors and the sample for ranking. If the sample data reflecting the two factors change trend is basically the same, then the correlation between the two is considered to be greater, otherwise the correlation between the two is considered to be smaller [
21]. Grey correlation analysis measures the degree of correlation between data based on the degree of similarity or difference in developmental trends between factors, essentially comparing the proximity of the geometry of a curve formed by a number of series to the geometry of a curve formed by an ideal (standard) series. The degree of relevance reflects the order of proximity of the evaluation object to the ideal (criterion), i.e., the order of superiority or inferiority of the evaluation object, where the object with the greatest grey relevance is the best [
36].
Social functioning is highly complex and uncertain, and the various statistical data representing social functioning may be grey due to human or technical problems. The study of the environmental aspects has been carried out in a number of research areas, including the following: the assessment of the environmental impact of the development of the environment [
21], the assessment of satisfaction [
37], the assessment of ecological vulnerability [
38], the evaluation of safety incidents [
39], and the assessment of air pollution [
40]. The use of a multi-level grey system evaluation method in measuring climate resilience can overcome the gaps in existing studies and provide a more scientifically valid assessment of the climate resilience of regions.
6. Discussion
The results of model 1, which was designed to investigate the impact of the pilot construction policy on regional Climate Resilience, showed that after controlling for the GDP per capita, population density, urbanization level, urban construction land share, fiscal expenditure on environmental protection, and industrial structure, the estimated impact of the pilot construction policy for Climate Resilient cities was 0.04, which was significantly positive at the 5% level, indicating that the pilot construction policy for Climate Resilient cities had a significant contribution to regional Climate Resilience, i.e., the pilot cities had a 4% higher Climate Resilience compared to the cities without pilot construction. In addition, the level of urbanization had a negative influence on the regional climate adaptation capacity—the higher the level of urbanization, the worse the climate adaptation capacity of the city, and the industrial structure had a positive influence on regional climate adaptation capacity—the higher the proportion of secondary industries, the better the climate adaptation capacity of the city.
Model 2 was designed to explore the impact of the Climate Resilient Cities pilot building policy on the regional infrastructure development. The results of Model 2 show that the estimate of the impact of the pilot construction policy for Climate Resilient Cities was 0.047 when all control variables were included in the model, which was significantly positive at the 1% level, indicating that the impact of the pilot construction policy for Climate Resilient Cities on regional level of infrastructure development had a significant catalytic effect, i.e., the pilot cities’ level of infrastructure development was 4.7% higher. In addition, the level of urbanization and the proportion of fiscal expenditure on environmental protection had an impact on the regional capacity-building for an infrastructure negative impact, and the industrial structure on the region level of infrastructure development had a positive effect—the higher the share of secondary industry, the higher the city’s level of infrastructure development.
Model 3 was designed to explore the impact of the Climate Resilient Cities pilot building policy on regional water security construction. The results of Model 3 showed an estimated impact of 0.008 when all control variables were included in the model; however, the impact is not significant, suggesting no impact of Climate Resilient Cities pilot construction policies on regional water security construction. While the level of construction of water security had a catalytic effect, it was not significant. In addition, the level of urbanization and the proportion of fiscal expenditure on environmental protection had an impact on the regional level of water security construction negative impact, and the industrial structure had a positive effect on the region level of water security construction—the higher the share of secondary industry, the higher the city’s level of water security construction.
Model 4 was designed to explore the impact of the Climate Resilient Cities pilot building policy on the regional ecological space optimization. The results of Model 4 showed that the estimate of the impact of the pilot construction policy for Climate Resilient Cities was 0.08 when all control variables were included in the model, which was significantly positive at the 5% level, indicating that the impact of the pilot construction policy for Climate Resilient Cities on the regional level of ecological space optimization had a significant catalytic effect, i.e., the pilot cities’ level of ecological space optimization was 8% higher. In addition, the level of urbanization had a significant negative impact on the regional level of ecological space optimization, and the share of fiscal expenditure on environmental protection and the structure of industry had a negative impact on the regional level of ecological space optimization with a positive effect—the higher the proportion of financial expenditure on environmental protection and the higher the proportion of secondary industries, the more the city’s level of ecological space optimization.
Model 5 was designed to explore the impact of Climate Resilient City pilot building policies on the capacity-building for urban emergency management. The results of Model 5 showed an estimated impact of 0.02 for the impact of the pilot construction policy for Climate Resilient Cities when all control variables were included in the model, but the impact was not significant, suggesting that, while the impact of the pilot construction policy for Climate Resilient Cities had a catalytic effect on the capacity building for urban emergency management, it was not significant. In addition, the level of urbanization, the share of financial expenditure on environmental protection, and the structure of industry all had a significant impact on the capacity building for urban emergency management with a significant negative impact. The higher the level of urbanization, the higher the proportion of financial expenditure on environmental protection, and the higher the proportion of secondary industries, the more the city’s level of emergency management capacity.
Model 6 was designed to explore the impact of the Climate Resilient Cities pilot building policy on regional science, technology, and innovation. The results of Model 6 showed that the estimated impact of the Climate Resilient Cities pilot construction policy was 0.046 when all control variables were included in the model, but the impact was not significant, indicating that while the impact of the Climate Resilient cities pilot construction policy on the urban STI had a catalytic effect, it was not significant. In addition, the impact of the GDP per capita and level of urbanization on the significant negative impact of urban STI financial expenditures on environmental protection as a percentage of industrial structure vs. urban STI had a significant positive impact.