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All sourcesNASA NTRSDOE OSTI
DOE OSTI2022

Logistics simulation of a remediation effort for a hypothetical radiological contamination scenario

To mitigate the effects following a large-scale nuclear or radiological material release in an urban environment and to expedite recovery, the Integrated Wash-Aid Treatment Emergency Reuse System (IWATERS) was developed. IWATERS consists of three operations: washing contaminated surfaces with an ionic wash solution, collecting, and treating the contaminated wash solution on-site to remove contaminants, and reusing the treated solution throughout operations to preserve the clean water resource. This study develops a framework to simulate the logistics of IWATERS deployment, thereby gaining an understanding of the timeline for decontamination operations. For this purpose, the Analysis of Mobility Platform and GoldSim were leveraged for a hypothetical contamination scenario covering 65,200 m 2 of an urban center. The framework reveals that remediation progress is limited by several resources, notably the availability of vermiculite, a reactive clay that is required to treat the contaminated wash solution. Further, this study also presents how the simulation approach can be used to characterize alternatives to reduce the influence of limited resources on operational progress. Overall, this work lays the foundation for evaluating different decontamination methods through detailed logistics simulation, i.e., by refining simulation assumptions and expanding the range of scenarios the simulation can depict.

98 NUCLEAR DISARMAMENT, SAFEGUARDS, AND PHYSICAL P↗
DOE OSTI2025

Unlocking nighttime mobility: Land use and accessibility in public transit for night commuters

Night commuters are integral to urban transportation systems. Essential services such as healthcare and manufacturing rely on workers who travel at night, and reliable mobility options are crucial for them. A gap exists in understanding how land use and accessibility influence public transportation use among night commuters. This study addresses this gap by using public data to explore land use and accessibility factors that affect night commuters' public transportation use in New York State. We investigated (1) the demographic characteristics of night commuters; (2) the influence of land use and accessibility on nighttime public transportation use; and (3) potential improvements to increase public transportation use and their impact. We combined data from the National Household Travel Survey with the Smart Location Database to link home locations with land use characteristics. Using logistic regression, we found that although females are generally less likely to be night commuters, they are more likely to use public transportation. Longer commute distances are associated with higher use of public transportation. Increasing job density along fixed-guideway transit routes and improving overall job accessibility via public transportation significantly enhances public transportation use among night commuters. In conclusion, this research provides actionable insights for public transportation agencies and urban planners to support night commuters, improving access and encouraging nighttime employment.

Job accessibility↗
DOE OSTI2025

Explaining drivers of housing prices with nonlinear hedonic regressions

Housing markets play a critical role in shaping the spatial and demographic evolution of urban areas. Simulating housing price dynamics can enhance projections of future urban development outcomes. However, traditional hedonic regressions for housing prices, which neglect nonlinear interactions among explanatory variables, often exhibit limited predictive performance. While machine learning (ML) methods can provide a more flexible representation of the relationships between predictors, they are often regarded as “black boxes” due to their complexity and lack of transparency. Interpretable ML techniques provide a promising route by combining the flexibility of ML methods with approaches to analyze the relationships between inputs and outputs. In this study, we employ interpretable ML to analyze the patterns driving the housing market in Baltimore, Maryland, USA. We train an Artificial Neural Network (ANN) to predict Baltimore housing prices based on structural characteristics (e.g., home size, number of stories) and locational attributes (e.g., distance to the city center). We then conduct sensitivity and Partial Dependence Plot (PDP) analyses to interpret the fitted ANN model. We find that the ML model achieves higher predictive accuracy and explains 16 % more of housing price variance than a traditional linear regression model. The interpretable ML model also reveals more nuanced and realistic nonlinear relationships between housing sales price and predictors as well as interactive effects underlying Baltimore home price dynamics. For instance, while the linear model indicates a steady housing price increase over time, our interpretable ML model detects a post-2008 decline, with smaller properties experiencing the sharpest drop.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2024

Evaluation of sustainable waste management: An analysis of techno-economic and life cycle assessments of municipal solid waste sorting and decontamination

This study evaluates the economic and environmental feasibility of Municipal Solid Waste (MSW) sorting and decontamination technologies across urban, suburban, and rural areas. Using Techno-Economic Analysis (TEA) and Life Cycle Assessment (LCA), the research assesses cost-effectiveness and environmental impacts, with a focus on cost variability analyzed through Monte Carlo simulations. Findings indicate significant cost differences based on population density: rural areas incur high costs up to $$764/ton due to low waste volumes and limited infrastructure, whereas suburban and urban areas have more feasible costs ranging from $36.3 to $142.5/ton. Environmental impacts also vary, with greenhouse gas emissions at 171 kg CO 2 eq/ton for copy paper and 118.6 kg CO 2 eq/ton for plastics. PM2.5 levels are 9.1 g/ton for copy paper and 6.3 g/ton for plastics, with sorting lines being the main contributors. Monte Carlo simulations reveal a 50% probability of costs being below $$102.26/ton for copy paper and $115.8/ton for plastics in suburban settings. Further, the study underscores the importance of customized waste management strategies to improve economic viability and sustainability based on local conditions.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2021

Fossil fuel CO 2 emissions over metropolitan areas from space: A multi-model analysis of OCO-2 data over Lahore, Pakistan

Urban areas, where gathering more than 55% of the global population, alone contributed to more than 70% of anthropogenic fossil fuel carbon dioxide (CO 2ff ) emissions. Accurate quantification of CO 2ff emissions from urban areas is of great importance to the formulation of global warming mitigation policies to achieve carbon neutrality by 2050. Satellite-based inversion techniques are unique among “top-down” approaches, potentially allowing us to track CO 2ff emission changes over cities globally. However, its accuracy is still limited by incomplete background information, cloud blockages, aerosol contaminations, and uncertainties in models and emission inventories used as prior. To evaluate the current potential of space-based quantification techniques, we present the first attempt to monitor long-term changes in CO 2ff emissions based on the OCO-2 satellite measurements of column-averaged dry-air mole fractions of CO 2 (X CO2 ) over a fast-growing Asian metropolitan area: Lahore, Pakistan. We first examined the OCO-2 data availability at global scale. About 17% of OCO-2 soundings are marked as high-quality soundings by quality flags over the global 70 most populated cities over the period 2014-2019. Cloud blockage and aerosol contamination are the two main causes of data loss. As an attempt to recover additional soundings, we evaluated the effectiveness of OCO-2 quality flags at the city level by comparing three flux quantification methods (WRF-Chem, X-STILT, and flux cross-sectional integration method), all based on the Open-Data Inventory for Anthropogenic Carbon dioxide (ODIAC) product. The satellite/bottom-up emissions (OCO-2/ODIAC) ratios of the high-quality tracks better converged across the three methods compared to the all-data tracks with reduced uncertainties in emissions. Thus, OCO-2 quality flags are useful filters of low-quality OCO-2 retrievals at local scales, although originally designed for global-scale studies. All three methods consistently suggested that the ratio medians are greater than 1, which implies that the ODIAC slightly underestimated the CO2ff emissions over Lahore. Additionally, our estimation of the a posteriori CO2ff emission trend was about 734 kt C/year (i.e., an annual 6.7% increase). 10,000 Monte Carlo simulations of the Mann-Kendall upward trend test showed that less than 10% prior uncertainty for 8 tracks (or less than 20% prior uncertainty for 25 tracks) is required to achieve a greater-than-50% trend significant possibility at a 95% confidence level. It implies that the trend is driven by the prior and not due to the assimilation of OCO-2 retrievals. The key to improving the role of satellite data in CO 2 emission trend detection lies in collecting more frequent high-quality tracks near metropolitan areas to achieve significant constraints from X CO2 retrievals.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2022

Pathways of clean energy heating electrification programs for reducing carbon emissions in Northwest China

We report clean energy heating electrification programs provide a promising way to reduce carbon emissions from fossil fuel combustion and consumption. This work studies the cost competitiveness of clean energy heating technologies under three dynamic mechanisms: investment costs, subsidy policies, and operating costs with real data. It provides key insights into the cost competitiveness of the different heating technologies deployed in different areas, as well as their sensitivity to the three dynamic mechanisms. The results show that currently, the distinct heating programs are more cost-efficient in the urban area with existing heating networks. The average payback period of all district clean energy heating programs in the urban area is 14.9 years, while that of the individual clean heating programs is 24.7 years. The individual heating programs are becoming increasingly cost-competitive with the incentive mechanisms, especially the electricity pricing mechanisms. Moreover, individual heating technologies present remarkable advantages on flexibility and sustainability in the long run. According to the technology diffusion model proposed in this paper, the individual clean heating programs will occupy more than 50% of the market share in 2050 under the comprehensive effect of CAPEX, government subsidies, and OPEX. The real-world results and analysis render references to shape the pathway of clean energy heating electrification in Northwest China and other regions with a similar situation.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2022

Charging needs for electric semi-trailer trucks

Battery-electric vehicles provide a pathway to decarbonize heavy-duty trucking, but the market for heavy-duty battery-electric semi-trailer trucks is nascent, and specific charging requirements remain uncertain. We leverage large-scale vehicle telematics data (>205 million miles of driving) to estimate the charging behaviors and infrastructure requirements for U.S. battery-electric semi-trailer trucks within three operating segments: local, regional, and long-haul. We model two types of charging - mid-shift (fast) and off-shift (slow) - and show that off-shift charging at speeds compatible with current light-duty charging infrastructure (i.e., =350 kW) can supply 35% to 77% of total energy demand for local and regional trucks with =300-mile range. Megawatt-level speeds are required for mid-shift charging, which make up 44% to 57% of energy demand for long-haul trucks with =500-mile range. However, demand shifts from mid-shift to off-shift charging as the range for battery-electric trucks increases and when off-shift charging is widely available. Finally, we observe geographic trends in charging demand, finding that local trucks have greater demand within urban areas, whereas long-haul trucks have more demand along rural interstate corridors. As the range for battery-electric trucks increases, we show that charging demand shifts from rural to urban locations due to observed vehicle dwell tendencies.

33 ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2025

Mapping heat vulnerability in cities: A tale of two california cities

Extreme heat is a major cause of weather-related deaths in the United States. To address this, a heat vulnerability index (HVI) is crucial for assessing heat risk and identifying vulnerable urban areas and populations, supporting city planning and emergency response. Current HVI studies often use Principal Component Analysis (PCA) on environmental, socioeconomic, and medical data to aggregate vulnerability indicators into a single index. However, these fixed aggregation weights struggle to adapt to different use cases, which may require varying focuses. Moreover, existing tools primarily consider outdoor heat exposure, providing an incomplete picture of actual exposure, as people spend most of their time indoors. Our research introduces an HVI web mapping tool that addresses these gaps in the literature by: (1) allowing flexible weights to adapt to different use cases, and (2) uniquely integrating both outdoor and indoor heat exposure by considering building characteristics for a more comprehensive risk assessment. We demonstrated this tool in two California cities with contrasting climates: Fresno (inland, arid, hot summers) and Oakland (temperate coastal). This HVI mapping tool provides essential decision support for policymakers and stakeholders in both short-term heat mitigation and long-term urban planning for building interventions and infrastructure development.

BES↗
DOE OSTI2023

An evaluation of meteorological data prediction over Washington, D.C.: Comparison of DCNet observations and NAM model outputs

This study presents an example of how outputs of operational and readily-available mesoscale numerical models can be adapted to initialize dispersion calculations within the urban surface roughness layer. Three years of urban meteorological observations from central Washington, DC, are compared against forecast outputs of the North American Mesoscale (NAM) model. NAM wind speed predictions underestimate the observations in light winds and overestimate the measurements in high winds. Average wind directions are consistent. However, an adjustment of the predicted direction of the plume by –20° is needed. The uncertainty associated with this adjustment is large in light NAM wind speed with no evident variation by season. The values of the standard deviation of the wind direction, σθ derived from NAM model outputs underestimate the observations by a small amount (about –1.5 to –2.5°). The results presented here indicate that mesoscale numerical model outputs can provide information adequate for dispersion calculations. However, levels of uncertainty associated with implementation of the suggested procedures increase with decreasing wind speed, causing considerable uncertainty in the implementation of adjustments as low wind speed conditions are approached. Results and recommendations reported here should not be extended to other numerical models or other cities without further testing.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2022

Molecular Characterization of Water-Soluble Brown Carbon Chromophores in Snowpack from Northern Xinjiang, China

This study reports molecular-level characterization of brown carbon (BrC) attributed to water-soluble organic carbon in six snowpack samples collected from northern Xinjiang, China. Here, the molecular composition and light-absorbing properties of BrC chromophores were unraveled by application of high-performance liquid chromatography (HPLC) coupled to a photodiode array (PDA) detector and high-resolution mass spectrometry. The chromophores were classified into five major types, that is, (1) phenolic/lignin-derived compounds, (2) flavonoids, (3) nitroaromatics, (4) oxygenated aromatics, and (5) other chromophores. Identified chromophores account for ~23–64% of the total light absorption measured by the PDA detector in the wavelength range of 300–370 nm. In the representative samples from urban and remote areas, oxygenated aromatics and nitroaromatics dominate the absorption in the wavelengths below and above 320 nm, respectively. The highly polluted urban sample shows the most complex HPLC-PDA chromatogram, and more other chromophores contribute to the bulk absorption. Phenolic/ lignin-derived compounds are the most light-absorbing species in the soil-influenced sample. Chromophores in two remote samples exhibit ultraviolet–visible features distinct from other samples, which are attributed to flavonoids. Identification of individual chromophores and quantitative analysis of their optical properties are helpful for elucidating the roles of BrC in snow radiative balance and photochemistry.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2021

Atomic Layer Deposition with TiO2 for Enhanced Reactivity and Stability of Aromatic Hydrogenation Catalysts

Hydrogenation of aromatic molecules in fossil- and bio-derived fuels is essential for decreasing emissions of harmful combustion products and addressing growing concerns around urban air pollution. In this work, we used atomic layer deposition to significantly enhance the hydrogenation performance of a conventional supported Pd catalyst by applying an ultrathin coating of TiO2 in a scalable powder coating process. The TiO2-coated catalyst showed substantial gains in the conversion of multiple aromatic molecules, including a 5-fold improvement in turnover frequency versus the uncoated catalyst in the hydrogenation of naphthalene. This activity enhancement was maintained upon scaling the coating synthesis process from 3 to 100 g. Based on the results from Xray photoelectron spectroscopy, X-ray absorption spectroscopy, and computational modeling, the activity enhancement was attributed to ensemble effects resulting from partial TiO2 coverage of the Pd surface rather than fundamental changes to the Pd electronic structure. Additional durability testing confirmed that the TiO2 coating improved the thermal and hydrothermal stability of the catalyst as well as tolerance toward sulfur impurities in the reactant stream. Using an economic model of an industrial deep hydrogenation process, we found that an increase in catalyst activity or lifetime of 2× would justify even a relatively high estimate for the cost of TiO2 atomic layer deposition coatings at scale

atomic layer↗
DOE OSTI2020

Observation of Road Salt Aerosol Driving Inland Wintertime Atmospheric Chlorine Chemistry

Inland sources of particulate chloride for atmospheric nitryl chloride (ClNO2) formation remain unknown and unquantified, hindering air quality assessments. Globally each winter, tens of millions of tons of road salt are spread on roadways for deicing. Here, we identify road salt aerosol as the primary chloride aerosol source, accounting for 80–100% of ClNO 2 formation, at an inland urban area in the wintertime. This study provides experimental evidence of the connection between road salt and air quality through the production of this important reservoir for nitrogen oxides and chlorine radicals, which significantly impact atmospheric composition and pollutant fates. A numerical model was employed to quantify the contributions of chloride sources to ClNO 2 production. The traditional method for simulating ClNO 2 considers chloride to be homogeneously distributed across the atmospheric particle population; yet, we show that only a fraction of the particulate surface area contains chloride. Our new single-particle parametrization considers this heterogeneity, dramatically lowering overestimations of ClNO 2 levels that have been routinely reported using the prevailing methods. The identification of road salt as a ClNO 2 source links this common deicing practice to atmospheric composition and air quality in the urban wintertime environment.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2023

Modeling the Impact of the Organic Aerosol Phase State on Multiphase OH Reactive Uptake Kinetics and the Resultant Heterogeneous Oxidation Timescale of Organic Aerosol in the Amazon Rainforest

Accurate predictions of chemical lifetime, i.e., oxidation timescale and change in the mass of organic aerosols (OAs) in atmospheric models, are critical to quantify the impacts of OA on aerosol–cloud interactions, radiative forcing, and air quality. The heterogeneous oxidation of OA by hydroxyl (OH) radicals is a key process governing OA mass changes during their oxidation. Recently, laboratory observations of the OH uptake coefficient (γ OH ) and heterogeneous reaction rate (k het,OH ) for different OA systems with varying phase states have been combined to develop a new parameterization of γ OH and k het,OH as a function of the OA phase state, i.e., viscosity (η OA ). Here, in this work, we use a recently published viscosity prediction framework to analyze the new γ OH and k het,OH parameterization with a box model. Subsequently, we implement this box model to predict γ OH and k het,OH over the Amazon rainforest in the dry-to-wet transition season with both significant biomass burning and biogenic influences. Relevant parameters within our box model are specified based on detailed regional model simulations over the Amazon using the Weather Research and Forecasting model coupled with Chemistry (WRF-Chem). η OA is predicted as a function of species volatility, OA composition (including water uptake) along with ambient relative humidity (RH), and temperature. Based on ambient conditions simulated by WRF-Chem over the entire atmospheric column, we use the box model to predict the upper bounds of the heterogeneous oxidation timescale of OA. Based on previous laboratory measurements, we assume that this heterogeneous OH oxidation causes fragmentation (carbon loss) of OA, followed by the evaporation of the fragmented molecules that results in the exponential decay of OA. We predict that the oxidation timescale of OA is ~1 month near the Earth’s surface in the pristine Amazonian background because of low OH concentrations. But OA is oxidized more rapidly within urban and wildfire plumes near the Earth’s surface with an order of magnitude higher OH concentrations compared to the pristine background, causing the simulated oxidation timescale of OA to be much shorter, ~3–4 days. At 3–5 km altitudes where biomass burning OA is predicted to be semisolid, the heterogeneous oxidation timescale is estimated as ~6 days to 3 weeks and decreases with increasing OH concentrations within plumes. We show that the simulated mass loss of OA is strongly size-dependent, where smaller particles oxidize more rapidly compared to larger particles due to their greater per-particle surface area-to-volume ratio. Increasing urbanization and deforestation in the Amazon in the future might increase OH concentrations in the background Amazon, causing faster oxidation of OA. At higher altitudes above liquid clouds, especially in the upper troposphere where temperatures approach ~250 K, future measurements are needed to reduce the uncertainties related to the mass loss of OA at colder temperatures and low relative humidity conditions due to its heterogeneous OH oxidation.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2023

Quantifying the Contributions of Aerosol- and Snow-Produced ClNO 2 through Observations and 1D Modeling

Nitryl chloride (ClNO 2 ) is a radical reservoir that forms and accumulates in the nocturnal atmospheric boundary layer influenced by combustion emissions and chloride (e.g., sea salt and road salt). Upon sunrise, ClNO 2 rapidly photolyzes to generate highly reactive chlorine radicals (Cl • ) that affect the air quality by generating secondary air pollutants. Recent studies have shown road salt aerosols and saline snowpack to be sources of ClNO 2 in the wintertime urban environment; however, the quantitative contributions of each chloride source are not known. In this study, we examine the vertically resolved contributions of aerosol particles and saline snowpack as sources of ClNO 2 by using an observationally constrained snow–atmosphere coupled one-dimensional model applied to wintertime Kalamazoo, Michigan, U.S. Model simulations show that ClNO 2 emitted from urban snowpack can be vertically transported throughout the entire atmospheric boundary layer and can be a significant source of ClNO 2 , contributing up to ~60% of the ClNO 2 budget near the surface. Here, modeled snowpack ClNO 2 emission rates were 6 (±7) times higher than the observationally derived emission rates, suggesting that not all snow chloride is available for reaction. ClNO 2 production from both aerosol particles and snow emissions are required to best simulate the observed surface-level ClNO 2 . Using the traditional bulk parameterization for ClNO 2 produced from particles significantly overestimated ClNO 2 due to the assumption of having equivalent dinitrogen pentoxide (N 2 O 5 ) uptake and chloride availability for the entire particle population. In comparison, the chemically resolved surface area-based parameterization slightly underestimated the observations and had uncertainties deriving from ClNO 2 production from residential wood burning particles.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗
DOE OSTI2025

Kinetic Modeling of Secondary Organic Aerosol in a Weather-Chemistry Model: Parameterizations, Processes, and Predictions for GOAmazon

Secondary organic aerosol (SOA) forms and evolves in the atmosphere through many pathways and processes, over diverse spatial and time scales. Hence, there is a need to represent these widely-varying kinetic processes in large-scale atmospheric models to allow for accurate predictions of the abundance, properties, and impacts of SOA. In this work, we integrated a kinetic, process-level model (simpleSOM-MOSAIC) into a weather-chemistry model (WRF-Chem) to simulate the oxidation chemistry and microphysics of atmospheric SOA. simpleSOM-MOSAIC simulates multigenerational gas-phase chemistry, autoxidation reactions, heterogeneous oxidation, oligomerization, and phase-state-influenced gas/particle partitioning of SOA. As a case study, the integrated WRF-Chem-simpleSOM-MOSAIC (WC-SSM) model was used to simulate the photochemical evolution downwind of a large city (Manaus, Brazil) in the Amazon and, in turn, study the anthropogenic and biogenic interactions in an otherwise pristine environment. Consistent with previous work, we found that OA was enhanced by up to a factor of four in the urban plume due to elevated hydroxyl radical (OH) concentrations, relative to the background, and that this OA was dominated by SOA from biogenic precursors (80%). Further, in addition to accurately simulating the OA enhancement in the urban plume, the model reproduced the magnitude of the OA oxygen-to-carbon (O:C) ratio and broadly tracked the evolution of the aerosol size distribution. Our work highlights the importance of including an integrated, kinetic representation of SOA processes in an atmospheric model

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2023

A Coupled Deep Learning Model for Estimating Surface NO 2 Levels from Remote Sensing Data: 15-Year Study Over the Contiguous United States

This study proposes a novel two-step deep learning (DL) model for estimating surface NO 2 concentrations using satellite data over the contiguous United States (CONUS) from 2005 to 2019. The first phase of the model uses partial convolutional neural network (PCNN), an advanced DL model that accurately imputes gaps between surface NO 2 stations and creates 5,478 daily-mean NO 2 grids (PCNN-NO 2 ) of the 2005-2019 period over the study area. We then feed the PCNN-NO 2 , along with other predictor variables, into a deep neural network (DNN) to estimate surface NO 2 levels, achieving exceptional performance with a correlation coefficient of 0.975 to 0.978, a mean absolute bias of 0.99 ppb to 1.38 ppb, and a root mean square error of 1.47 ppb to 1.97 ppb. Spatial cross-validation results also indicate strong spatial performance of PCNN-DNN surface NO 2 estimates. In addition to its accurate estimates, the PCNN-DNN model consistently generates estimated NO 2 grids without any missing values, improving the quality of various applications such as emission reduction strategies and public health studies. Between 2005 and 2019, the 5,478 daily estimated NO 2 grids over the CONUS reveal significant reductions in NO 2 levels in fourteen major urban environments: Washington D.C. (-43%), New York (-45%), Los Angeles (-38%), Chicago (-25%), Boston (-43%), Houston (-34%), Dallas (-40%), Philadelphia (-41%), Phoenix (-38%), Detroit (-20%), Denver (-23%), Atlanta (-0.7%), Cincinnati (-38%), and Pittsburgh (-56%). Furthermore, the study shows that the denser urban regions that in-situ stations are installed in, the higher the difference between in-situ observations and regional-mean NO 2 levels.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Using Financial Contracts to Facilitate Informal Leases Within a Western United States Water Market Based on Prior Appropriation

The ability to reallocate water to higher-value uses during drought is an increasingly important “soft-path” tool for managing water resources in an uncertain future. In most of the Western United States, state-level water market institutions that enable reallocation also impose substantial transaction costs on market participants related to regulatory approval and litigation. These transaction costs can be prohibitive for many participants in terms of both costs and lengthy approval periods, limiting transfers and reducing allocation efficiency, particularly during drought crises periods. This manuscript describes a mechanism to reduce transaction costs by adapting an existing form of informal leases to facilitate quicker and less expensive transfers among market participants. Instead of navigating the formal approval process to lease a water right, informal leases are financial contracts for conservation that enable more junior holders of existing rights to divert water during drought, thereby allowing the formal transfer approval process to be bypassed. The informal leasing approach is tested in the Upper Colorado River Basin, where drought and institutional barriers to transfers lead to frequent shortages for urban rights holders along Colorado's Front Range. Informal leases are facilitated via option contracts that include adaptive triggers and that define volumes of additional, compensatory, releases designed to mitigate impacts to instream flows and third parties. Results suggest that more rapid reallocation of water via informal leases could have resulted in up to $222 million in additional benefits for urban rights holders during the historical period 1950–2013.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗