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A global assessment of policy tools to support climate adaptation

Governments, businesses, and civil society organizations have diverse policy tools to incentivize adaptation. Policy tools can shape the type and extent of adaptation, and therefore, function either as barriers or enablers for reducing risk and vulnerability. Using data from a systematic review of academic literature on global adaptation responses to climate change (n = 1549 peer-reviewed articles), we categorize the types of policy tools used to shape climate adaptation. We apply qualitative and quantitative analyses to assess the contexts where particular tools are used, along with equity implications for groups targeted by the tools, and the tools’ relationships with transformational adaptation indicators such as the depth, scope, and speed of adaptation. We find diverse types of tools documented across sectors and geographic regions. We also identify a mismatch between the tools that consider equity and those that yield more transformational adaptations. Direct regulations, plans, and capacity building are associated with higher depth and scope of adaptation (thus transformational adaptation), while economic instruments, information provisioning, and networks are not; the latter tools, however, are more likely to target marginalized groups in their design and implementation. We identify multiple research gaps, including a need to assess instrument mixes rather than single tools and to assess adaptations that result from policy implementation. Key policy insights Information-based approaches, networks, and economic instruments are the most frequently documented adaptation policy tools worldwide. Direct regulations, plans, and capacity building are associated with higher depth and scope of adaptation, and thus more transformational adaptation. Capacity building, economic instruments, networks, and information provisioning approaches are more likely to target specific marginalized groups and thus equity challenges. There are many regions and sectors where certain tools are not widely documented (e.g. regulations and plans in Africa and Asia), representing a key research gap.

54 ENVIRONMENTAL SCIENCES↗

Hand me the franchise agreement: municipalities add another policy tool to their clean energy toolbox

A growing list of the more than 20,000 municipalities in the United States are considering pathways to achieve renewable energy goals. One emerging trend is for municipalities to incorporate energy objectives into their franchise agreements with an electric service provider. Franchise agreements are contracts between municipalities and utilities that grant the utility authority to serve customers in the municipality. In some cases, municipalities have negotiated renewable energy objectives into these agreements. It is still unclear how many municipalities have exercised this authority and to what effect. From a national dataset of 3500 franchise agreements, we selected five cities that adopted renewable energy or energy efficiency objectives into or alongside their franchise agreements for deeper analysis: Chicago, Illinois; Denver, Colorado; Sarasota, Florida; Minneapolis, Minnesota; and Salt Lake City, Utah. We generated seven key takeaways for other cities considering this pathway to achieve their energy objectives. In summary, municipalities can leverage franchise negotiations to pursue both modest and ambitious clean energy goals (i.e. 100% renewable electricity). This study provides municipalities with critical insight on how they can use this potentially formidable tool to achieve their own energy objectives.

14 SOLAR ENERGY↗

The new norms of food waste at the curb: Evidence-based policy tools to address benefits and barriers

Highlights: • Pairing social and technical innovations improves organic collection programs. • Supportive infrastructure significantly increases household food waste diversion. • Norm communication increases separation behavior and reduces dropout. •Model predicting-fit best behavior-change tools is partially supported. • Norms are most effective on population perceiving low benefits and barriers. - Abstract: Cities around the world are under increasing political pressure to develop organics collection programs (OCP) to curb the flow of food waste into landfills, reduce the associated greenhouse gases, and generate compost or biogas. While OCPs tend to focus on infrastructure, they often overlook the linchpin role that household behavior change plays in the success of OCPs. The current research used a longitudinal field experiment (n=370) to test both the effectiveness of a new curbside OCP and new social innovations intended to stimulate pro-environmental changes in household behavior. The findings suggest greater participation levels occur by implementing both new supportive infrastructure (i.e., curbside carts and collection services), and innovations that target the social aspects of waste (i.e., communicating social norms of separation). The data also provide an opportunity to test new model for predicting the most efficacious behavior-change interventions based on population profiles. The results provide some support for the model; reducing barriers (i.e., curbside carts and collection) tends to help all population profiles, but norm communication increases participation more for the hypothesized profile than for other sub-groups.

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

Distributed Wind Policy Comparison Tool

Power through Policy: 'Best Practices' for Cost-Effective Distributed Wind is a U.S. Department of Energy (DOE)-funded project to identify distributed wind technology policy best practices and to help policymakers, utilities, advocates, and consumers examine their effectiveness using a pro forma model. Incorporating a customized feed from the Database of State Incentives for Renewables and Efficiency (DSIRE), the Web-based Distributed Wind Policy Comparison Tool (Policy Tool) is designed to assist state, local, and utility officials in understanding the financial impacts of different policy options to help reduce the cost of distributed wind technologies. The Policy Tool can be used to evaluate the ways that a variety of federal and state policies and incentives impact the economics of distributed wind (and subsequently its expected market growth). It also allows policymakers to determine the impact of policy options, addressing market challenges identified in the U.S. DOE’s '20% Wind Energy by 2030' report and helping to meet COE targets.

distributed↗

Distributed Wind Policy Comparison Tool Guidebook

Power through Policy: 'Best Practices' for Cost-Effective Distributed Wind is a U.S. Department of Energy (DOE)-funded project to identify distributed wind technology policy best practices and to help policymakers, utilities, advocates, and consumers examine their effectiveness using a pro forma model. Incorporating a customized feed from the Database of State Incentives for Renewables andEfficiency (DSIRE), the Web-based Distributed Wind Policy Comparison Tool (Policy Tool) is designed to assist state, local, and utility officials in understanding the financial impacts of different policy options to help reduce the cost of distributed wind technologies. The Policy Tool can be used to evaluate the ways that a variety of federal and state policies and incentives impact theeconomics of distributed wind (and subsequently its expected market growth). It also allows policymakers to determine the impact of policy options, addressing market challenges identified in the U.S. DOE's '20% Wind Energy by 2030' report and helping to meet COE targets.

17 WIND ENERGY↗

Final Technical Report Power through Policy: "Best Practices" for Cost-Effective Distributed Wind

Power through Policy: 'Best Practices' for Cost-Effective Distributed Wind is a U.S. Department of Energy (DOE)-funded project to identify distributed wind technology policy best practices and to help policymakers, utilities, advocates, and consumers examine their effectiveness using a pro forma model. Incorporating a customized feed from the Database of State Incentives for Renewables and Efficiency (DSIRE), the Web-based Distributed Wind Policy Comparison Tool (Policy Tool) is designed to assist state, local, and utility officials in understanding the financial impacts of different policy options to help reduce the cost of distributed wind technologies. The project's final products include the Distributed Wind Policy Comparison Tool, found at www.windpolicytool.org, and its accompanying documentation: Distributed Wind Policy Comparison Tool Guidebook: User Instructions, Assumptions, and Case Studies.

16 TIDAL AND WAVE POWER↗

Air Quality Analysis and Tools For Policy

South Asia is home to some of the most significant air quality challenges in the world. More than 99% of the region’s population is exposed to unhealthy fine particulate matter (PM2.5) concentrations, as defined by the World Health Organization. Recent policy initiatives in South Asia show that air quality policy is a priority, given the health impacts of air pollution. At the same time, capacity and data to assess and address air pollution remains limited in many areas. The main objective of this report is to outline a set of publicly-available tools that can be used to inform policies to improve air quality in South Asia. The report primarily focuses on tools such as emission inventories and integrated modeling systems with country-level resolution and illustrates their air quality assessment capabilities through examples and brief technical summaries. The report focuses on: (a) the Community Emissions Data System (CEDS) that provides historical emissions of key pollutants for all countries in South Asia, and (b) profiles an analysis of Indian air pollution and policy scenarios, using several integrated modeling tools. Both of these examples draw on recent research and data that outlines the scale of the challenge as well as the policy options for reducing air pollution in the region. The report concludes with key recommendations for regional stakeholders working towards mitigating air pollution in South Asia.

54 ENVIRONMENTAL SCIENCES↗

Municipal Portfolio Performance and Policy Opportunities

A wide range of policy tools are in place to enhance energy efficiency in the built environment. However, the lion’s share of today’s energy savings opportunities have to do with energy consumption in existing buildings currently in operation. Many of the policy tools in play, including energy codes, have little to no effect on these existing buildings. New tools and resources are needed to bring existing buildings up to higher levels of energy performance. This project was focused on building a replicable framework, complete with open-source software tools and resources, to empower cities around the country to significantly enhance the energy performance of their own existing buildings and identify opportunities for future improvements. These issues were addressed through the evaluation of the performance of the municipal building stock and policy environments of four mid-size cities: Eugene, Oregon; Providence, Rhode Island; Grand Rapids, Michigan; and Tacoma, Washington. The project team worked closely with these cities to help city staff lead by example and create actionable, implementation-focused strategic energy plans for their own municipal building portfolios and to evaluate and improve city policies. A major focus throughout has been replicability and knowledge transfer (“teaching them to fish” rather than doing the work for the city).

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

Increasing the Reach of Low-Income Energy Programmes through Behaviourally Informed Peer Referral

Subsidized energy assistance programmes are a popular policy tool for promoting energy justice, but, like other social benefits programmes, are often undersubscribed. To improve uptake, some programmes have turned to social influence strategies, such as asking programme participants to refer their peers. Here, through a field experiment with California's low-income solar programme (N = 7,676), we show that referral behaviour depends on how existing participants are approached. Adding behavioural science strategies to a referral reward increases peer referral rates, referral quality and ultimately solar adoption. Compared with only reminding existing adopters of a potential US$200 reward for referrals that result in adoption, adding an appeal to reciprocity through a non-contingent US$1 gift - and further combining this gift with a simplified referral process - leads to 2.6-5.2 times as many solar contracts. These results highlight the potential of behaviourally informed peer referral programmes to accelerate equitable access to clean energy.

California↗

Contingency contractor optimization. Phase 2, architecture document

This report provides documentation of the overarching architecture for the Strategic Contractor Planning Tool and framework. The report describes the system organization, high-level system structure, and interfaces. Various architectural views provide descriptions of the planning tool architecture, information flow, and functionality. The information flow serves to tie together the architecture, analytic framework and existing capabilities. This report highlights the potential integration points for the planning tool within the existing OSD and DoD strategic planning activities. Many existing tools, policies, and information can be leveraged as inputs to this planning tool, including strategic planning information, personnel, and cost resources. These resources are listed and discussed. A high-level description of the planning tool functionality and usage are also described.

Miner, Nadine E.↗

The mediation of environmental assessment's influence: What role for power?

Considerable empirical research has been conducted on why policy tools such as environmental assessment (EA) often appear to have 'little effect' (after Weiss) on policy decisions. This article revisits this debate but looks at a mediating factor that has received limited attention to-date in the context of EA - political power. Using a tripartite analytical framework, a comparative analysis of the influence and significance of power in mediating environmental policy integration is undertaken. Power is analysed, albeit partially, through an exploration of institutions that underpin social order. Empirically, the research examines the case of a new approach to policy-level EA (essentially a form of Strategic Environmental Assessment) developed by the World Bank and its trial application to urban environmental governance and planning in Dhaka mega-city, Bangladesh. The research results demonstrate that power was intimately involved in mediating the influence of the policy EA approach, in both positive (enabling) and negative (constraining) ways. It is suggested that the policy EA approach was ultimately a manifestation of a corporate strategy to maintain the powerful position of the World Bank as a leading authority on international development which focuses on knowledge generation. Furthermore, as constitutive of an institution and reflecting the worldviews of its proponents, the development of a new approach to EA also represents a significant power play. This leads us to, firstly, emphasise the concepts of strategy and intentionality in theorising how and why EA tools are employed, succeed and fail; and secondly, reflect on the reasons why power has received such limited attention to-date in EA scholarship. - Highlights: Black-Right-Pointing-Pointer Conducts empirical research on the neglected issue of power. Black-Right-Pointing-Pointer Employs an interpretation of power in which it is viewed as a productive phenomenon. Black-Right-Pointing-Pointer Analyses the influence of power in the trial application of a new approach to policy environmental assessment. Black-Right-Pointing-Pointer Demonstrates the importance of power dynamics in understanding the successes and failures of environmental assessment.

54 ENVIRONMENTAL SCIENCES↗

Plan evaluation for heat resilience: complementary methods to comprehensively assess heat planning in Tempe and Tucson, Arizona

Abstract Escalating impacts from climate change and urban heat are increasing the urgency for communities to equitably plan for heat resilience. Cities in the desert Southwest are among the hottest and fastest warming in the U.S., placing them on the front lines of heat planning. Urban heat resilience requires an integrated planning approach that coordinates strategies across the network of plans that shape the built environment and risk patterns. To date, few studies have assessed cities’ progress on heat planning. This research is the first to combine two emerging plan evaluation approaches to examine how networks of plans shape urban heat resilience through case studies of Tempe and Tucson, Arizona. The first methodology, Plan Quality Evaluation for Heat Resilience, adapts existing plan quality assessment approaches to heat. We assess whether plans meet 56 criteria across seven principles of high-quality planning and the types of heat strategies included in the plans. The second methodology, the Plan Integration for Resilience Scorecard™ (PIRS™) for Heat, focuses on plan policies that could influence urban heat hazards. We categorize policies by policy tool and heat mitigation strategy and score them based on their heat impact. Scored policies are then mapped to evaluate their spatial distribution and the net effect of the plan network. The resulting PIRS™ for Heat scorecard is compared with heat vulnerability indicators to assess policy alignment with risks. We find that both cities are proactively planning for heat resilience using similar plan and strategy types, however, there are clear and consistent opportunities for improvement. Combining these complementary plan evaluation methods provides a more comprehensive understanding of how plans address heat and a generalizable approach that communities everywhere could use to identify opportunities for improved heat resilience planning.

Environmental Sciences & Ecology↗

A Global Review of Incentive Programs to Accelerate Energy-Efficient Appliances and Equipment

Incentive programs are an essential policy tool to move the market toward energy-efficient products. They offer a favorable complement to mandatory standards and labeling policies by accelerating the market penetration of energy-efficient products above equipment standard requirements and by preparing the market for increased future mandatory requirements. They sway purchase decisions and in some cases production decisions and retail stocking decisions toward energy-efficient products. Incentive programs are structured according to their regulatory environment, the way they are financed, by how the incentive is targeted, and by who administers them. This report categorizes the main elements of incentive programs, using case studies from the Major Economies Forum to illustrate their characteristics. To inform future policy and program design, it seeks to recognize design advantages and disadvantages through a qualitative overview of the variety of programs in use around the globe. Examples range from rebate programs administered by utilities under an Energy-Efficiency Resource Standards (EERS) regulatory framework (California, USA) to the distribution of Eco-Points that reward customers for buying efficient appliances under a government recovery program (Japan). We found that evaluations have demonstrated that financial incentives programs have greater impact when they target highly efficient technologies that have a small market share. We also found that the benefits and drawbacks of different program design aspects depend on the market barriers addressed, the target equipment, and the local market context and that no program design surpasses the others. The key to successful program design and implementation is a thorough understanding of the market and effective identification of the most important local factors hindering the penetration of energy-efficient technologies.

25 ENERGY STORAGE↗

Building Performance Standards and Energy Code Alignment: Technical Brief

Building energy codes focus on building design, construction and renovation and have significantly increased building efficiency since the first national energy code was published in 1975. Most jurisdictions have energy codes based on ANSI/ASHRAE/IES Standard 90.1 (hereto referred to as Standard 90.1) and the International Energy Conservation Code (IECC). Compliance options available in these model energy codes include a prescriptive path, whole building performance paths – including IECC Total Building Performance (TBP), Standard 90.1 Energy Cost Budget (ECB) method and Performance Rating Method (PRM) – and system performance paths for envelope and heating, ventilation, and air-conditioning systems. Building performance standard (BPS) policies are an emerging policy tool used by jurisdictions to reduce the operational energy use or greenhouse gas (GHG) emissions of the existing commercial building stock. BPS policies vary widely between jurisdictions and are tailored to each location’s climate and energy goals. Intuitively, projects that met a recent edition of the energy code should comply with the BPS targets.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

Building Performance Standards and Energy Code Alignment - Technical Brief

Building energy codes focus on building design, construction and renovation and have significantly increased building efficiency since the first national energy code was published in 1975. Most jurisdictions have energy codes based on ANSI/ASHRAE/IES Standard 90.1 (hereto referred to as Standard 90.1) and the International Energy Conservation Code (IECC). Compliance options available in these model energy codes include a prescriptive path, whole building performance paths – including IECC Total Building Performance (TBP), Standard 90.1 Energy Cost Budget (ECB) method and Performance Rating Method (PRM) – and system performance paths for envelope and heating, ventilation, and air-conditioning systems. Building performance standard (BPS) policies are an emerging policy tool used by jurisdictions to reduce the operational energy use or greenhouse gas (GHG) emissions of the existing commercial building stock. BPS policies vary widely between jurisdictions and are tailored to each location’s climate and energy goals. Intuitively, projects that met a recent edition of the energy code should comply with the BPS targets. However, some new buildings may struggle with meeting the BPS for the following reasons: 1. Energy codes focus on the design of the building and its projected ability to perform efficiently, while BPS compliance is dependent on the actual ongoing performance of the building, considering variables like occupancy, operation, and maintenance. 2. There are significant differences in the methodologies used to determine BPS compliance versus code compliance, including how each handles compliance metrics, handling of building amenities, and renewable energy generation. 3. The prescriptive compliance path in the energy code is based on performance of individual building components, as opposed to the performance compliance path which accounts for holistic building design strategies and interdependent building systems. This can result in a significant variability in post-occupancy performance for buildings built using the prescriptive path. Designs on the lower end of the permitted efficiency range may struggle with meeting the BPS.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

Opportunities and challenges in using remaining carbon budgets to guide climate policy

The remaining carbon budget represents the total amount of CO 2 that can still be emitted in the future while limiting global warming to a given temperature target. Remaining carbon budget estimates range widely, however, and this uncertainty can be used to either trivialize the most ambitious mitigation targets by characterizing them as impossible, or to argue that there is ample time to allow for a gradual transition to a low-carbon economy. Neither of these extremes is consistent with our best understanding of the policy implications of remaining carbon budgets. Understanding the scientific and socio-economic uncertainties affecting the size of the remaining carbon budgets, as well as the methodological choices and assumptions that underlie their calculation, is essential before applying them as a policy tool. Here we provide recommendations on how to calculate remaining carbon budgets in a traceable and transparent way, and discuss their uncertainties and implications for both international and national climate policies.

54 ENVIRONMENTAL SCIENCES↗

Carbon Dioxide Utilization (CO2U) ICEF Roadmap 2.0. Draft October 2017

Last year, experts from CO 2 Sciences, Columbia University and Valence Strategic came together to develop a roadmap. That document, Carbon Dioxide Utilization ICEF Roadmap 1.0, released at the UNFCCC Marrakesh Climate Change Conference in 2016, surveyed the commercial and technical landscape of CO 2 conversion and use. The document provided extensive background and analysis and has helped to provide a foundation for additional studies, including this one.This roadmap is meant to complement and expand upon the work of its predecessor. Based in part on a workshop at Columbia University’s Center on Global Energy Policy in July 2017, it explores three distinct categories of CO 2 -based products, the technologies that can be harnessed to convert CO2 to these products, and the associated research and development needs. It also explores the complicated topic of life cycle analysis—critically important when considering the climate impacts of CO 2 conversion and use—as well as policy tools that could be used to promote CO 2 -based products.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

International Best Practices for Implementing and Designing Renewable Portfolio Standard (RPS) Policies

Renewable energy (RE) targets have been around since the 1970s and have taken a number of forms, such as renewable energy action plans, government announcements, renewable portfolio standards and others. In this report, we focus on one subset of renewable energy targets: renewable portfolio standards (RPS). In the electricity sector, an RPS is a public policy tool in which a required amount of renewable energy relative to the entire energy mix is used to generate electricity connected to the electrical grid. RPSs are an enforceable form of RE targets; if the compliance entity does not perform, a penalty is assessed. In order to ensure successful implementation of RPS and other policies, the Government of Vietnam requested this policy study examining effective RPS policies globally. The purpose of this document is to provide an overview of RPSs internationally, highlighting key design elements and best practices. The paper includes a discussion of the other polices that can support RPS fulfillment. The paper draws on case examples from the U.S., Mexico, China, Korea, Australia, and the Philippines.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗