Climate Adaptation: The State of Practice in U.S. Communities

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1 CLIMATE ADAPTATION THE STATE OF PRACTICE IN U.S. COMMUNITIES NOVEMBER 2016 AUTHORS Jason Vogel Karen M. Carney Joel B. Smith Charles Herrick Missy Stults Megan O’Grady Alexis St. Juliana Heather Hosterman Lorine Giangola

2 About This Report This report was written by Abt Associates with funding from The Kresge Foundation. Author affiliations: ABT ASSOCIATES: INDEPENDENT ADAPTATION CONSULTANT: Jason Vogel Missy Stults Karen M. Carney Joel B. Smith Charles Herrick Megan O’Grady Alexis St. Juliana Heather Hosterman Lorine Giangola The Kresge Foundation is a $3.6 billion private, national foundation that works to expand opportunities in America’s cities through grantmaking and social investing in arts and culture, education, environment, health, human services, and, community development in Detroit. Abt Associates is a mission-driven, global leader in research, evaluation, and program implementation in the fields of health, social and environmental policy, and international development. Known for its rigorous approach to solving complex challenges, Abt Associates is regularly ranked as one of the top 20 global research firms and one of the top 40 international development innovators. The company has multiple offices in the U.S. and program offices in more than 40 countries.

3 CLIMATE ADAPTATION 1 Acknowledgements Abt Associates and The Kresge Foundation would like to acknowledge the invaluable contributions of the following individuals for their guidance, expertise and assistance in producing this report: JECT TECHNICAL ADVISORS PRO PROJECT ADVISORY COMMITTEE MEMBERS Institute for Sustainable Communities Steve Adams, University of Colorado Ron Brunner, Vicki Arroyo, Georgetown Climate Center Susi Moser, Susanne Moser Research & Consulting Rosina Bierbaum, University of Michigan Missy Stults, Independent Adaptation Consultant Garrett Fitzgera inability Dire Urban Susta s’ Network ld, ctor Seattle Public Utilities Paul Fleming, PROJECT STAFF EcoSolutions Hector Galbraith, The Kresge Foundation Christine Jacobs, Nancy Gilliam, Model Forest Policy Program Hugh McDiarmid, The Kresge Foundation Geos Institute/ClimateWise® Tonya Graham, Abt Associates Joanna Pratt, Lara Hansen, EcoAdapt Abt Associates Karen Raucher, Kathy Jacobs, University of Arizona Christine Teter, Abt Associates ce of Resilience, Miami-Dade County, FL Offi Jim Murley, NAACP Jacqui Patterson, ADDITIONAL ADVISORS Cara Pike, Climate Access Lois DeBacker, The Kresge Foundation Insurance Institute for Business Julie Rochman, The Climate Resilience Fund John Nordgren, and Home Safety American Planning Association Jim Schwab, REPORT DESIGN AND LAYOUT al Hazard Mitigation Association Ed Thomas, ur Nat MillerCox Design The report authors would also like to thank the 50 thought leaders who generously shared their time at the beginning of this research effort to help us frame our project and understand the contours of the field of climate adaptation from many different professional standpoints. Furthermore, we would like to thank the community-based champions in each of the 17 communities that went out of their way to discuss in person and over the phone why and how they took action to reduce vulnerability in their own communities. These people are listed as acknowledgements in each of the case studies associated with this report. And finally, we would like to thank The Kresge Foundation for its vision and initiative in commissioning this project.

4 CLIMATE ADAPTATION 2 Table of Contents 4 ... Foreword Executive Summary ... 6 CHAPTER ONE ... 10 Introduction What We Did ... 13 CHAPTER TWO 18 ... Case Studies and Cross-Case Findings What Motivates Communities to Take Adaptive Action? ... 22 25 What are Communities Doing to Adapt? ... 28 ... How are Communities Implementing Adaptation Actions? 34 What are Communities Achieving Through Adaptation? ... ... 38 Conclusion CHAPTER THREE Conclusions and Tactical Recommendations ... 40 42 Conclusions ... ... 45 Tactical Recommendations Summary ... 47

5 CLIMATE ADAPTATION 3 CLIMATE ADAPTATION: CASE STUDIES 48 ... Avalon, New Jersey Baltimore, Maryland 61 ... ... Boston, Massachusetts 76 Chula Vista, California ... 87 98 ... Cleveland, Ohio El Paso County, Texas 109 ... Flagstaff, Arizona ... 121 ... Fort Collins, Colorado 132 Grand Rapids, Michigan 140 ... 150 ... Miami-Dade, Florida ... 163 Coastal Mobile County, Alabama 173 Norfolk, Virginia ... 183 ... Oakland, California 197 ... Seattle, Washington ... Southwestern Crown, Montana 211 Spartanburg, South Carolina 223 ... Tulsa, Oklahoma ... 231 APPENDICES 240 ... A. Key Definitions 242 B. Methods ... ... C. List of Thought-Leader Interviews 246 248 ... D. Thought-Leader Questionnaire E. Summary of Insights from Thought-Leader Interviews 251 ... F. References ... 255

6 CLIMATE ADAPTATION 4 Foreword Climate s members of the Project Advisory Committee (PAC) for this research effort, A Adaptation: The State of Practice in U.S. Communities , we represent diverse fields, including climate adaptation, natural hazards mitigation, land-use and municipal planning, environmental justice, natural resource management, insurance, community engagement, and communications. We all identify as climate change adaptation profession - Provides 17 case studies of communities taking action • als. That is, we are professionally engaged in helping to prepare for climate change, climate variability, or d communities understand and adapt to changing climate extreme events. The local experiences documente in the case studies are invaluable at this stage of the risks. We provided advice and guidance to The Kresge development of the adaptation field. Foundation and the Abt Associates research team on the objectives, conduct, and findings of this project. • Demonstrates that the practice of adapting to climate variability, extreme events, and climate change has We strongly recommend this report as essential read - been occurring for many years, even if those taking ing for those working to create more resilient local and such action did not explicitly label it adaptation. regional communities. It provides valuable insights The formal practice of climate adaptation, however, into the practice of climate change adaptation in the remains emergent. United States, including how to support the many • community-based champions working to reduce their Assesses what has worked in preparing for and communities’ vulnerability to climate change impacts. responding to extreme events so it can be applied to the threats from climate change. While our support of the report does not imply our indi - • Identifies that mechanisms for coordinating adapta - vidual endorsement of each finding, we believe there is tion action across the U.S. are growing, yet remain great value for the adaptation field. In particular, we find in early stages of development. As such, until those that the report makes the following contributions: mechanisms mature, many communities are working on adaptation in parallel and learning as they go.

7 CLIMATE ADAPTATION 5 This project is timely. It taps the experience of communi - Model Forest Policy Program Nancy Gilliam, ties across the U.S. to explore how adaptation is coming Geos Institute/ClimateWise® Tonya Graham, into practice and the gains that are being made. It also EcoAdapt Lara Hansen, helps us consider how we can all advance the field of Center for Climate Adaptation Science Kathy Jacobs, adaptation by pointing out where more work is needed. and Solutions, University of Arizona Given this, we recommend the report to you. Offi Jim Murley, ce of Resilience, Miami-Dade County Steve Adams, Institute for Sustainable Communities National Association for the Jacqui Patterson, Georgetown Climate Center, Vicki Arroyo, Advancement of Colored People Georgetown Law Cara Pike, Climate Access School of Natural Resources and Rosina Bierbaum, Julie Rochman, Insurance Institute for Business and Environment, University of Michigan Home Safety Garrett Fitzgerald, Urban Sustainability Directors Network Jim Schwab, American Planning Association Ed Thomas, al Hazard Mitigation Association ur Nat Paul Fleming, Seattle Public Utilities Hector Galbraith, EcoSolutions

8 CLIMATE ADAPTATION 6 Executive Summary ommunities in the U.S. are undertaking a rich array of climate adaptation actions that are making them more resilient to climate impacts. These actions provide models and C lessons that can immediately help other communities better protect themselves from climate risks like flooding, heat waves, wildfires, and severe storms. In aggregate, these activities demonstrate that more U.S. communities are attempting to prepare for climate risks than previously thought (Melillo et al., 2014). - However, many of these promising practices are piecemeal relevant to community-based adaptation—including cli and fail to comprehensively address climate change and mate adaptation, natural hazards mitigation, planning, environmental justice, natural resource management, its associated uncertainties. This suggests that, despite - insurance, and community engagement and communi the many concrete vulnerability reductions achieved by cations; and primary research that involved selecting, our case study communities, much more work is needed examining, and profiling 17 communities that have taken for communities to holistically reduce their vulnerability particular actions to attempt to tangibly reduce their to climate variability, extreme events, and climate change. vulnerability to climate variability, extreme events, and climate change. This research project was motivated by the immense challenges posed by climate change, the need for communities to adapt to those challenges, and the Within this report, we document our findings, profiling opportunity to learn from communities that have already a single activity or small subset of adaptation activities - begun adapting. Through this project, we identified many undertaken in each of the 17 communities, paying spe actions that U.S. communities have taken to prepare for cific attention to findings that hold across multiple case and build resilience to climate variability, extreme events, study communities. While this analysis did not aim to and climate change. comprehensively assess all of the adaptation activities unfolding in each of the case study communities, we Our research methodology included a review of selected believe results from this analysis provide useful infor - mation for community-based champions of adaptation technical and professional literature aimed at evaluating the state-of-the-practice of climate adaptation; inter action and adaptation professionals looking to design - locally appropriate vulnerability reduction activities. views with 50 thought leaders from a variety of fields

9 CLIMATE ADAPTATION 7 After two years of research on the state of communi reductions are limited in temporal or spatial scope or - ty-based adaptation and the particular actions taken by address only a particular vulnerability type (e.g., only these 17 communities, we found that communities have drought). Adaptation actions frequently go hand-in- many of the tools needed to plan for and respond to hand with progress on other community priorities. climate change; they just need to get started. Our Conclusions Key Questions Based on the totality of work completed in support of During the course of the project, we examined four key this project, we draw the following conclusions: questions. - Adaptation actions at the community level are reduc 1. ing vulnerability to climate variability and extreme 1. What motivates communities to take adaptive events, and possibly to climate change. action? 2. Addressing only climate variability and extreme Most adaptation actions draw upon, pro FINDINGS: - events may constrain the effectiveness of long-term mote, and sustain multiple community values. Climate climate adaptation. change was not typically the exclusive justification for - community-based adaptation in the cases we stud 3. Communities can begin addressing climate change ied. However, experiencing extreme climate events risks now. commonly initiated or accelerated adaptation efforts. Communities can overcome barriers to action, identify 4. opportunities, and begin implementing adaptation What are communities doing to adapt? 2. measures. FINDINGS: Most of the profiled communities are attempting to tangibly reduce their vulnerability Adaptation actions explicitly addressing climate 5. to climate variability, extreme events, and climate change are in a formative stage. change. In a few cases, these communities are taking Through our case study communities, we have iden 6. - action to reduce exposure; more often their work is tified components of a hypothetical, well-adapted aimed at reducing sensitivity and building adaptive community (see graphic below). capacity. Community-based champions of adaptation action 7. and adaptation professionals should use vulnerability How are communities implementing adaptation 3. reduction as a key baseline to assess and facilitate actions? progress in adaptation. Communities use diverse strategies to FINDINGS: - implement adaptation actions—from deploying con ventional policy tools to mainstreaming adaptation - into existing efforts to developing new decision-mak Tactical Recommendations ing processes. These strategies often capitalize on - Based on our research and analysis, we offer the follow effective leadership and consciously build community ing recommendations to community-based champions support. and adaptation professionals seeking to advance adap - tation and vulnerability reduction within communities. What are communities achieving through 4. adaptation? Start Now: Community development is an on-going The communities we examined are reduc - FINDINGS: ing their vulnerability to current climate impacts; a process, climate vulnerability already exists, and climate few are also explicitly reducing their vulnerability to change is increasing these vulnerabilities. Waiting does future climate impacts. Sometimes these vulnerability not guarantee more or better information, but it does

10 CLIMATE ADAPTATION 8 A HYPOTHETICAL, WELL-ADAPTED COMMUNITY Over the course of this two-year project, we found an abundance of bold, successful community-based adaptation underway now and, in some cases, already tangibly reducing community vulnerability. However, as many of the leaders in our case study communities agree, even our profiled communities must do more to adapt to climate change. We cannot say what a perfectly adapted community would look like. Nonetheless, if the types of actions that each of our case study communities took were combined into a single hypothetical community effort, it would arguably comprise an impressive climate change adaptation program (see below). We believe this hypothetical community can serve as an aspirational target for ambitious local champions who are working to build local resilience and protect their communities from the impacts of climate change. Comprehensive, climate- Aggressive exposure- change-informed planning reduction policies, as seen processes, as seen in in Tulsa, Oklahoma Chula Vista, California Mainstreaming Creative use of existing - climate consider regulatory ations into powers, as seen existing decision- What would a making processes, in Boston, well-adapted Massachusetts as seen in Seattle, community Washington look like? Neighborhood-scale Systematic monitoring capacity-building efforts, and evaluation processes, as seen in Cleveland, Ohio. as seen in the Southwest Crown, Montana

11 CLIMATE ADAPTATION 9 waste valuable time as vulnerability reduction is a long- Craft Outreach or Engagement Efforts, as Needed, to - term process. Thus, communities can and should work Well-focused outreach cam Build Community Support: now to reduce current and future risks to climate. paigns enhance public buy-in for adaptation actions. Furthermore, engaging a community in the development - of adaptation actions is a more time intensive, but poten Look for Co-Benefits, Cross-Sector Leveraging, and Opportunities to Piggyback Climate Adaptation onto tially more productive means of building community buy-in and support. Other Salient Community Issues: Climate adaptation actions that also address longstanding problematic - To success Take Prudent Risks and Adjust Over Time: conditions—for example, decaying infrastructure or fully reduce risk to communities through adaptation weakened ecosystems—can help win important allies, requires innovation, experimentation, and some level of enhance community support, and facilitate progress. risk-taking. Adaptation policies, projects, and programs will likely need to be adjusted over time. Employ Commonly Used Policy Tools to Mainstream Adaptation: Many of the tools needed to reduce vulner - Consider Local Context When Determining Whether to ability—including standard measures such as ordinances, permits, bonds, utility fees, easements, zoning, and Explicitly Frame Actions in Terms of “Climate Change”: Explicit articulation of climate change can constrain hazard mitigation planning—already exist and can be action in some settings, while galvanizing action in brought to bear to move adaptation forward. others; communities should recognize this reality and Use Windows of Opportunity to Advance Climate respond accordingly. Windows of opportunity, such as response Adaptation: Provide Leadership: While leadership was an important to natural disasters or scheduled updates to municipal aspect of making adaptation progress across all of the plans, present an opening to advance public discourse, communities we profiled, that leadership came from many galvanize community support, and facilitate progress. places. The most conventional sources of leadership came Build Flexibility into Policies, Projects, and Programs: from a proactive mayor, city council, county commission, Given the uncertainties around the effects of climate or senior municipal or departmental executive. But our change, municipal programs should be designed to - case studies indicate that non-governmental organiza tions, grassroots activists, and non-senior municipal staff evolve and adapt to changing conditions. can also provide the leadership necessary to initiate and Consider the Needs and Capabilities of More-Vulnerable sustain climate adaptation actions. Populations: Climate adaptation actions should reflect and address the varying needs of different groups or Working Use Partnerships to Advance Adaptation: populations, paying particular attention to populations with other like-minded individuals and organizations can amplify the effectiveness of an adaptation action. that are most vulnerable, which are often the poorest, those already overburdened by pollution, those who lack Singular actors often face limited capacity and financial economic opportunity, and individuals facing disenfran - resources. chisement and racism. We strongly encourage our readers to dive deeply into Climate the full report to examine our findings, recommenda Consider Natural Systems in Adaptation: - tions, and, in particular, the 17 case studies at the heart change is often experienced through a community’s interaction with natural systems, such as forests, rivers, of the project. Each case study represents a piece of one community’s path to climate adaptation—a path that can coastlines, and floodplains. These natural systems can inspire ongoing, forward-thinking action and that can also play a vital role in reducing the impact of climate serve as a guiding example for other communities and change on community infrastructure and resources. adaptation professionals as they work to reduce climate vulnerability and advance the field of climate adaptation.

12 CLIMATE ADAPTATION 10 CHAPTER 1 Introduction

13 CLIMATE ADAPTATION 11 daptation is an emerging field that is growing quickly as citizens and leaders become A aware of the impacts climate change will have on their communities. Consequently, we approached this empirical assessment of community-based adaptation explicitly to empower community-based champions and to advance the state-of-the-practice. Our goal was to take a snapshot in time of community-based adaptation and learn as much as we could from the realities of on-the-ground community action to reduce climate vulnerability. We framed our work within the overarching theme of reducing community vulnerability to climate impacts. engaged in climate adaptation planning (e.g., Ray and We strongly encourage our readers to dive deeply into - the full report to examine our findings, conclusions, rec Grannis, 2015); nongovernmental organizations and charitable foundations have supported communities in ommendations, and, in particular, the 17 case studies at the heart of the project. Each case study represents one - addressing climate risks (e.g., Rapson, 2013); and hun dreds of U.S. communities are considering how climate community’s path to climate adaptation—a path that can inspire ongoing, forward-thinking action and that change might affect them (e.g., Carmin et al., 2012). can serve as a guiding example for other communities Over this period, many community-based champions of and adaptation professionals as they reduce climate vul - adaptation and adaptation professionals have shifted nerability and advance the field of climate adaptation. their focus from hazard mitigation and recovery to more comprehensive and systematic efforts to prepare for and Over the last 10 to 15 years, adaptation to climate change build resilience to climate variability, extreme events, and has experienced a substantial increase in interest and activity (Hughes, 2015; Shi et al., 2015; Meerow et al., climate change (e.g., Higbee, 2014; Meerow et al., 2016). This shift began around the time of Hurricane Katrina 2016). It has become a major topic of international nego - in 2005—an event that became the costliest natural tiations (e.g., UNFCCC, 2014); bilateral and multilateral - development agencies annually pledge billions of dol disaster in recent U.S. history—and was further fueled by events such as Superstorm Sandy and the California lars to address climate adaptation (e.g., MDB, 2012); the federal government has encouraged and even required drought. Despite the growth and evolving focus in the climate adaptation through executive orders, agen - field of climate change adaptation, specific questions remain for those serving as community-based champi - cy-specific planning, and post-disaster recovery grant requirements (e.g., Bierbaum et al., 2013); states have ons of adaptation, such as: of adapta We address two audiences throughout this report, whom we call “community-based champions” - A community-based champion is a person who initiates action within a “adaptation professionals.” tion and community to address its current and future climate vulnerabilities. These people are typically grounded in a particular community as elected officials, municipal staff, grassroots activists, community organizers, or inter - ested citizens. Adaptation professionals, on the other hand, self-identify as experts on the issue of adapting to climate change across many communities. They may come from disciplines as varied as climate adap - tation, natural hazards mitigation, land use and municipal planning, environmental justice, natural resource management, insurance, community engagement, and communications. There is overlap between these two audiences, but we found it useful to consider them separately as they have different motivations, identifica - tions, skill sets, and needs.

14 CLIMATE ADAPTATION 12 • What motivates communities to take adaptive action? What are communities doing to adapt? • Project caveats • How are communities implementing adaptation Over the course of this project we made several actions? key decisions for both practical and substantive • What are communities achieving through reasons that limited the scope of our work. We adaptation? recount here some key issues we feel compelled to state explicitly for the reader: This project provides a critical assessment of commu - 1. Our portfolio of 17 case studies is relatively nity-based adaptation to climate vulnerability. Many small. Including more communities could bring surveys of adaptation actions have covered dozens or additional insights to our cross case analysis even hundreds of communities (e.g., Kauneckis and Cuffe, discussed in Chapter 2. 2011; Carmin at al., 2012; Finzi Hart et al., 2012; Thayer et - al., 2013; Shi et al., 2015). Although these surveys pro Each case study is structured around a 2. vided breadth of coverage, they tended to assess work at single policy action taken by that commu - a broad level and offered only limited explorations of the nity. Consequently, the case studies do not complex interacting factors that explain why and how - provide insight into the totality of climate-re communities have addressed climate vulnerabilities. On lated actions taken by any single case study the other end of the spectrum are specific, place-based community. adaptation case studies. These case studies tend to focus 3. The case studies were purposefully sampled - on a single community or a very small number of com and are not intended to be representative of munities, diving deeply into processes and lessons. But, any population. - this narrow focus is less conducive to comparative anal 4. In focusing on specific actions in each commu - ysis (e.g., Srivastava and Laurian, 2006; Dow et al., 2013; nity and the outcome of reduced vulnerability, Ekstrom and Moser, 2014). As recognized in the Third we biased our portfolio of case studies toward National Climate Assessment ( nca2014.globalchange. single-sector actions. We tried to compensate gov ), this means there is a shortage of multi-community by purposefully selecting several case study adaptation case studies and cross-case analyses in the - communities that appeared to be implement adaptation literature (Melillo et al., 2014). This research ing a more holistic, cross-sectoral approach. effort was intended to fill this gap. This research is not intended as a set of best 5. Here, we present the results of our research effort— practices, and we do not claim that our case an in-depth, case-based critical assessment of studies are models of adaptation. The project community-based adaptation—that can provide was designed to be exploratory and empirical. insight to community-based champions to help reduce vulnerability in their own communities and make evi - dence-based proposals for adaptation professionals to advance the state-of-the-practice. You can find the full case studies that form the empirical backbone of this project after chapter 3.

15 CLIMATE ADAPTATION 13 assumptions and normative perspectives are described What We Did in the following five sections. As a project team, we This report summarizes the results of a two-year research repeatedly reviewed these considerations, requesting 1 effort conducted by Abt Associates, with funding from input from our technical advisors and the PAC. The Kresge Foundation, and which was supported by a group of experts, including our project technical advisors A Selective and Practical Assessment and a Project Advisory Committee (PAC; see the report acknowledgments for a list of all project participants). The Our purpose in conducting an empirical assessment was intent of the project was to conduct a critical assessment to develop a sense of the state-of-the-practice of climate of community-based adaptation through a project that - change adaptation through a review of selected techni had both methodological breadth and depth. We sur - cal and professional literature that aimed to evaluate the veyed the field of climate adaptation through a review state-of-the-practice (e.g., NRC, 2010; Bierbaum et al., of selected technical and professional literature that 2013; Carmin et al., 2012; Hansen et al., 2013; Thayer et aimed to evaluate the state-of-the-practice (e.g., NRC, al., 2013; and Melillo et al., 2014). We supplemented this 2010; Bierbaum et al., 2013; Carmin et al., 2012; Hansen et selected literature review with 50 interviews of thought al., 2013; Thayer et al., 2013; and Melillo et al., 2014). We - leaders from a variety of disciplines related to communi supplemented this effort with interviews of 50 thought ty-based climate vulnerability reduction. Building off this - leaders from a variety of fields relevant to climate adap work, we then documented and assessed the empirical tation (see Appendix C). This allowed us to understand experiences of 17 communities engaged in a particular self-assessments by adaptation professionals of the state- action that tangibly reduced their vulnerability to climate of-the-practice. We then engaged in primary research by impacts. Our purpose was to generate insight into what it developing case studies of specific adaptation efforts in 17 means to implement climate adaptation on-the-ground U.S. communities, through site visits, archival reviews, and in communities, to tell 17 stories of community-based interviews for each community (see Exhibit 1.1 for a sum - adaptation, and to develop a sense of what helps com - mary of our research design and methods and Appendix munities make progress through a cross-case analysis. B for a more thorough explanation of our methods). This critical assessment was intended to be selective, - not comprehensive. We purposefully chose communi ties that had achieved or were likely to achieve tangible The intent of the project was vulnerability reduction (described below). We were motivated to generate insight into how to make progress to conduct a critical assess - at a community-level by examining community-based ment of community-based action and facilitating peer-to-peer learning. adaptation through a project that had both methodological A Community-Based Focus breadth and depth. Action at many levels can address climate vulnerability. For example, local and state laws, federal regulations, - private industry or market actions, and household deci At the beginning of this project, we articulated the sions can all facilitate or impede climate adaptation. assumptions and normative perspectives that would Although all of these levels are important, our project - underpin our work, enable progress, align the perspec focused on action taken at the community level. We tives of multiple researchers, and ensure transparency define community as a group of people living together of our research approach. The five most important The Kresge Foundation provided a grant for this project to Stratus Consulting Inc., which merged with Abt Associates during the course of the 1. project.

16 CLIMATE ADAPTATION 14 EXHIBIT 1.1. RESEARCH DESIGN AND METHODS Activity Stream 1: • Conducted follow-up interviews Understand community-based adaptation state-of-the-practice • Case studies reviewed by interviewees, project team, technical advisors, and PAC • Conducted a targeted literature review • Interviewed 50 thought leaders Activity Stream 5: Compare case studies Activity Stream 2: Develop an analytical framework • Developed cross-case findings • Developed and tested cross-case narratives Created a case study selection protocol • Analysis performed by project technical leads Developed a research protocol for case study • • development Extensive review performed by project team, tech • - nical advisors, and PAC Activity Stream 3: Obtain external expert guidance Share project findings Activity Stream 6: • Engaged a PAC of experts in climate adaptation and related fields Wrote final project report • Rounded out project team with three leading experts • Finalized 17 case studies • in climate adaptation as technical advisors Developed companion website • Develop case studies Activity Stream 4: Hosted webinars and delivered conference • presentations • Selected 17 communities for case studies out of 110 candidate communities • Developed popular and peer-reviewed publications • Conducted background research Note that some of these activities were conducted • Undertook site visits and interviews in parallel. Refer to Appendix B for a more detailed • Developed case study discussion of our methods. - in a common geographic area, typically under a munic It is at this local level that community-based champions 3. have the detailed knowledge of local circumstances, ipal jurisdiction such as a city or county, but sometimes defined by a watershed or other geographic character the individual and collective motivation, and the sense - of responsibility needed to implement cohesive adap istic. We chose this focus for four reasons: - tation actions. Communities have been leaders in addressing 1. 4. adaptation; communities began addressing adap The real-life experiences of communities are integral - tation before states and the federal government to advancing the state-of-the-practice of climate adaptation. By exploring a relatively large and diverse (Rosenzweig et al., 2010; Bierbaum et al., 2013). set of case study communities, we are able to provide The community level provides a direct path to observ 2. - evidence-based insights and a critical assessment of ing tangible vulnerability reductions. community-based adaptation.

17 CLIMATE ADAPTATION 15 pre-judgment of what counted as an “adaptation” or an Including Responses to Climate Variability, “adequate” adaptation in a particular case study. We Extreme Events, and Climate Change looked at community adaptation actions through this There is extensive literature discussing the definition inclusive lens in order to allow a more diverse set of and nature of climate adaptation (e.g., Smit et al., 2000; communities to inform our critical assessment than if we Adger et al., 2005; Brunner and Lynch, 2010; Moser and had explicitly required particular traits or qualities (e.g., Boykoff, 2013; IPCC, 2014). For our research, we included explicitly considering climate change) for a community responses to climate variability, extreme events, and cli - to count as having engaged in adaptation. We only mate change all within the rubric of climate adaptation. passed judgment as to whether a particular adaptation We did so for the following reasons: - action was likely to lead to tangible vulnerability reduc - 1. It is not clear where climate variability ends and cli tion, as described below. As a result, we included cases in mate change begins. Although it is unequivocal that this project that are variously motivated by or responsive the climate is changing (IPCC, 2013), scientific attri - to climate variability, extreme events, climate change, bution of individual events to climate change is an sustainable development, or a combination of these fac - emerging science. tors. In Chapter 3, we apply our own judgment when we Extreme events and climate variability typically 2. discuss our conclusions and tactical recommendations. involve weather or climatic conditions similar to those that scientists expect will become more frequent or intense with climate change. Community-based champions The tools, policies, and strategies deployed to address 3. often do not label or parse - extreme events and climate variability are often sim ilar or can be modified by communities aiming to - their activities by the strin adapt to climate change. gent terms of some academic 4. Community-based champions often do not label or disciplines. Climate change parse their activities by the stringent terms of some adaptation, natural hazards academic disciplines. Climate change adaptation, mitigation, and the normal natural hazards mitigation, and the normal day-to- day-to-day management of day management of climate variability were often climate variability were often considered collectively or as part of a continuum of considered collectively or potential policy emphasis. as part of a continuum of potential policy emphasis. For our research, we included responses to climate vari - Focusing on Reducing Vulnerability to ability, extreme events, and Climate Impacts climate change all within the Although we accepted case study interviewees’ per - rubric of climate adaptation. spectives regarding the applicability or adequacy of the adaptation actions undertaken in their communi - ties, we were nevertheless careful to select only cases Avoiding Pre-Judging “Adaptation” with distinct outcomes that already have resulted or are likely to result in tangible reductions of vulnerability to For the empirical portion of this project, we accepted climate variability, extreme events, or climate change. case study interviewees’ perspectives on the adequacy We chose vulnerability reduction as a filter by which to or appropriateness of given adaptation actions without

18 CLIMATE ADAPTATION 16 select case studies because one of the key objectives of adaptation—as well as of greenhouse gas mitigation—is EXHIBIT 1.2. WHAT IS VULNERABILITY? to reduce vulnerability. As such, across our case study portfolio, we focused on actions that reduced exposure, The degree to which a system Vulnerability: reduced sensitivity, or enhanced adaptive capacity—all is susceptible to, and unable to cope with, the of which ultimately can contribute to reducing a com - adverse effects of climate change, including munity’s vulnerability to climate impacts. We use the climate variability and extremes. Vulnerability is a Intergovernmental Panel on Climate Change definition of function of the character, magnitude, and rate of - vulnerability, which contains three components—expo climate change and variation to which a system is sure, sensitivity, and adaptive capacity—to categorize exposed, its sensitivity, and its adaptive capacity. the actions the case study communities have taken to reduce their vulnerability (see Exhibit 1.2). Exposure: The presence of people or assets in locations that could be adversely affected by climate impacts. We focused on actions that Sensitivity: The degree to which a system is affected, either adversely or beneficially, by reduced exposure, reduced climate variability or change. Sensitivity is about sensitivity, or enhanced what happens to a system once it is exposed to a adaptive capacity—all climate impact. of which ultimately can contribute to reducing a Adaptive capacity: The ability of a system to community’s vulnerability to adjust to climate change (including climate vari - climate impacts. ability and extremes) or to moderate potential damages, to take advantage of opportunities, or to cope with the consequences. See the Appendix A glossary for more detailed definitions.

19 CLIMATE ADAPTATION 17

20 CLIMATE ADAPTATION 18 CHAPTER 2 Case Studies and Cross-Case Findings

21 CLIMATE ADAPTATION 19 s discussed in Chapter 1, four central questions guided our work: What motivates A communities to take adaptive action? What are communities doing to adapt? How are communities implementing adaptation actions? And what are communities achiev - ing through adaptation? Using these questions as our guide, we conducted a cross-case analysis of our 17 detailed case studies and found: • Most adaptation actions draw upon, • Motivations: Achievements: The communities we examined are reducing their vulnerability to current climate impacts; promote, and sustain multiple community values. Climate change was not typically the exclusive jus a few are also explicitly reducing their vulnerability to - tification for community-based adaptation in the future climate impacts. Sometimes these vulnerability reductions are limited in temporal or spatial scope or cases we studied. However, experiencing extreme climate events commonly initiated or accelerated address only a particular vulnerability type (e.g., only drought). Adaptation actions frequently go hand-in- adaptation efforts. hand with progress on other community priorities. Most of the profiled communities are • Actions: - attempting to tangibly reduce their vulnerability to cli In the following sections, we detail the cross-case find - mate variability, extreme events, and climate change. ings, commonalities, differences, and other noteworthy In a few cases, these communities are taking action observations developed through multiple independent to reduce exposure; more often, their work is aimed streams of analytical activity. Although this summary of at reducing sensitivity and building adaptive capacity. our cross-case findings speaks to the common themes - • Implementation: we identified, each case study represents a single com Communities use diverse strategies to implement adaptation actions—from deploying munity’s path to climate adaptation. These paths can conventional policy tools to mainstreaming adap - inspire forward-thinking action by other communities and climate adaptation professionals. Because of the tation into existing efforts to developing new decision-making processes. These strategies often detailed and useful information embedded in each case study, we encourage readers to read each of the 17 case capitalize on effective leadership and consciously - build community support. studies included in this report after Chapter 3. We sum marize these case studies in Exhibit 2 below. EXHIBIT 2. CASE STUDY SUMMARIES Report Case study Page Brief case description Number Action profiled community Avalon, NJ Comprehensive Avalon developed a number of physical shoreline barriers, bought Page 48 damaged shoreline properties, purchased additional undeveloped Shoreline Protection land, limited shoreline development, and created and maintained Strategy extensive shorefront sand dunes to protect the borough’s property and tourism industry from coastal storms. Page 61 Baltimore, MD Integrating Climate In 2012, city staff used a periodic update of the city’s All- Change Adaptation Hazards Mitigation Plan as an opportunity to integrate a climate change risk and vulnerability assessment into the new Disaster into an All-Hazard . This case focuses on 2 out of the Mitigation Plan Preparedness Project and Plan 231 actions identified: the disaster preparedness initiative, Make a Plan, Build a Kit, Help Each Other; and the capacity-building initiative, Resiliency Hubs.

22 CLIMATE ADAPTATION 20 EXHIBIT 2. CASE STUDY SUMMARIES Report Case study Page Brief case description Number Action profiled community Boston, MA Page 76 Climate Change With a focus on sea level rise and coastal and inland flooding, the Preparedness and Boston Redevelopment Authority mandated that climate change be considered as part of the review process for large new develop - Resiliency Checklist ments (over 20,000 square feet) and large renovation projects (over 100,000 square feet). Cool Roofs Ordinance Chula Vista implemented a stakeholder-driven climate planning Chula Vista, CA Page 87 process to develop a suite of climate adaptation actions. Two and Shade Trees specific actions focused on addressing rising temperatures in the Policy San Diego region are profiled in this case: Chula Vista’s cool roofs ordinance, and Chula Vista’s shade trees policy. Page 98 Cleveland, OH Neighborhood Climate - Cleveland tied its climate change efforts to date to neighbor hood revitalization through a citywide climate action plan and Action Toolkit and the which helps Cleveland Neighborhood Climate Action Toolkit, Climate Action Fund neighborhoods leverage existing assets to fight economic decline, increase adaptive capacity, reduce greenhouse gas emissions, and prepare for a climate-altered future. Page 109 El Paso County, Kay Bailey Hutchison El Paso Water Utilities’ project focused on addressing the com - bined challenges of population growth and drought. El Paso Water TX Inland Desalination Utilities, in an unusual alliance with the U.S. Army military base Facility Fort Bliss, constructed the Kay Bailey Hutchison Desalination Plant to convert formerly unusable brackish water into drinking water. Flagstaff Watershed Page 121 In response to the 2010 Schultz fire and subsequent flooding, Flagstaff, AZ Protection Project voters in Flagstaff passed a $10 million bond measure to use city funding to reduce catastrophic fire risk in critical but hard-to-treat areas on U.S. Forest Service lands. Fort Collins, Page 132 In response to severe drought events, Fort Collins updated its Water Demand CO Water Supply and Demand Management Policy to: (1) outline Management specific regulatory measures to reduce water use quickly during a - severe drought, and (2) reduce water use through water conserva tion programs. Page 140 Grand Rapids, - Vital Streets and Flooding, aging stormwater infrastructure, and public discon tent about the state of the roads led Grand Rapids to create the Sidewalks Spending MI Guidelines Vital Streets and Sidewalk Spending Guidelines, which mandate green infrastructure use during upgrades. In a 2014 election, 66 percent of voters supported the guidelines and a tax to fund implementation. Page 150 Integrating Climate Miami-Dade - In 2013, the Board of County Commissioners approved integrat County, FL ing climate change considerations into multiple elements of the Change Adaptation into a Comprehensive Comprehensive Development Master Plan. These changes will require county departments to consider climate change during Development Master Plan processes such as capital improvement projects. Oyster Reef The cultural and economic impacts of coastal ecosystem degrada - Mobile County, Page 163 AL Restoration tion have generated support for restoration actions in Alabama’s Mobile Bay. In 2009, The Nature Conservancy received a grant through the American Recovery and Reinvestment Act to rebuild oyster reefs along a stretch of degraded coastline in Mobile Bay.

23 CLIMATE ADAPTATION 21 EXHIBIT 2. CASE STUDY SUMMARIES Report Case study Page Brief case description Number Action profiled community Coastal Resilience Norfolk passed changes to its flood and coastal zone ordinance Norfolk, VA Page 173 Strategy following increases in severe coastal flooding and in anticipation - of potential sea level rise. The ordinance requires that new struc tures in coastal flood zones must be built at least 3 feet above the 100 year floodplain (i.e., a 3-foot freeboard); certain existing structures must also meet this standard. In 2009, 30 organizations interested in advancing policies on sea Page 183 Oakland, CA Oakland Climate level rise, environment, public health, and social justice issues Action Coalition Moves Climate Change came together to form the Oakland Climate Action Coalition. This Adaptation Forward coalition has become a community-led platform for supporting climate change adaptation strategy and action through a social justice lens. Seattle, WA Page 197 Seattle Public Utilities integrated climate considerations into the Mainstreaming four levels of their internal planning and operations: (1) organi Climate Change Into - zation-wide strategic planning, (2) planning at the water division Internal Planning and and drainage and sewer division levels, (3) capital investment Decision Making decision making, and (4) day-to-day operational decision making. Forest Restoration Page 211 In response to more severe and longer wildfire seasons anticipated Southwest to worsen under climate change, the community used federal Crown, MT funding to conduct forest and watershed restoration, including forest thinning and prescribed fires, to reestablish natural wildfire dynamics and reduce the risk of catastrophic wildfire. Mainstreaming Spartanburg, Page 223 Droughts, extreme rainfall, and concern about climate change led Spartanburg Water to integrate climate change into the utility’s SC Climate Change operations, culture, programs, and actions and helped increase the into Programs, capacity of staff concerning climate variability and impacts. Management Actions, and Culture After several severe flooding events, Tulsa began an extensive pro - Tulsa, OK Page 231 Acquisition and Relocation gram to acquire repeatedly flooded properties, remove or relocate buildings on those properties, and convert repetitively flooded properties into parks and other public uses. Since the 1970s, Tulsa has acquired more than 1,000 repetitively flooded properties. These 17 case studies, each of which profiled a particular points made in this chapter, not as a comprehensive accounting of all relevant case examples. For the sake action taken to reduce climate vulnerability, form the of brevity, we reference the name of the community heart of this project. As we address the key questions below, we provide example cases in each subsection that in which an adaptation action occurred, rather than a - illustrate findings particularly well. In most subsections, detailed description of the action profiled. For conve - nience, Exhibit 2 provides a table of the 17 case studies there are several other examples among our case stud ies that could also illustrate that point. The case studies for reference when reading this chapter. should be seen as illustrative examples for each of the

24 CLIMATE ADAPTATION 22 multiple hazards. The fires burned to the city limits, What Motivates Communities to Take providing a visible reminder of climate vulnerability Adaptive Action? to all citizens. Across our 17 case studies, a wide variety of motivations experienced a series of record-breaking Flagstaff, AZ, • drove communities to address climate vulnerabilities, fires throughout the 1990s and 2000s that sensitized including extreme climate events, shared community people to wildfire vulnerability. However, the 2010 - values, planning for climate change, and govern Schultz fire and the subsequent flooding convinced ment mandates. These motivating forces often raised Flagstaff’s leadership and citizens to self-fund forest awareness of community-level vulnerability to climate fire mitigation projects through a bond issue. impacts, as well as the opportunity to take action. Sometimes, adaptation actions were part of a broader Tulsa, OK, - started its property acquisition and reloca • policy effort aimed at community priorities beyond tion program in response to floods in 1974 and 1976; reducing climate vulnerabilities. however, efforts stalled until the Memorial Day Flood of 1984 brought new life to Tulsa’s acquisition and relocation efforts. Extreme Climate Events The incidence of extreme climate events—like hurricanes, The prevalence of severe Multi-hazard adaptations. severe storms, droughts, and catastrophic wildfires—was events did, in certain case study communities, help a common theme across all of our case studies. The rela - to keep stakeholders and the public aware of climate tive importance of the extreme event varied significantly, change as an evolving issue and an important area of but in almost every case, an extreme event played an political focus. important role in raising awareness of climate vulnera - • Chula Vista, CA, experienced severe wildfires that bility or in motivating action directly. In some cases, a helped motivate its stakeholder engagement process single event, such as a hurricane, wildfire, or drought, - for climate adaptation. However, Chula Vista’s pro had such severe impacts that it served as a “wake-up cess extended beyond wildfire to identify adaptation call” to motivate action. In other cases, repeated extreme actions across a number of climate vulnerabilities. events built on one another to generate action or break - loose stalled deliberations. Extreme events often sensi • Tulsa, OK, started out addressing only inland flood - tized people to climate vulnerabilities, increased public ing, but that experience eventually helped city leaders - engagement, changed attitudes about addressing cli - develop the capacity to address other community vul mate vulnerability, galvanized support for actions that nerabilities, such as tornadoes and terrorism. moved beyond the status quo, and provided windows of opportunity to implement significant policy action Shared Community Values that might not have been politically feasible, otherwise. In some cases, extreme events raised awareness about Community identification with nearby natural resources vulnerability specifically associated with climate change. or ecosystems, community cohesion and social equity, - and the desire to revitalize, maintain, or enhance socio began its shoreline protection efforts Avalon, NJ, • economic conditions are examples of shared community because of damage wrought by the 1962 Nor’easter. values that motivated action. These shared values Progress slowed over time, and only accelerated after extended beyond, while remaining consistent with, the Hurricane Gloria damaged the borough’s property and motivation to reduce community vulnerability to climate thriving summer tourism industry in 1985. impacts. These shared values often emerged as bundles Chula Vista, CA, experienced severe wildfire in 2003 • of multiple, sometimes interacting, motivations, which and 2007 that helped motivate the community to served to bring together diverse policy participants and tackle the broader issue of climate adaptation across enable action.

25 CLIMATE ADAPTATION 23 - chose to closely tie its climate adap Cleveland, OH, • tation efforts to the revitalization of neighborhoods. - Community identifica The city aims to provide residents with safe and stable tion with nearby natural neighborhoods that have economic opportunities, resources or ecosystems, - viewing stronger neighborhoods as enabling condi tions supportive of adaptation. community cohesion and social equity, and the desire chose to work directly with community • Baltimore, MD, to revitalize, maintain, or members, educating them on climate vulnerabilities and helping residents and neighborhoods prepare for enhance socioeconomic and potentially respond to extreme events, such as conditions are examples of flooding or heat waves. shared community values In • the Oakland Climate Action Coalition Oakland, CA, that motivated action. came together to advance local climate adaptation that reflected the community’s priorities and social justice concerns. Community identification with nearby natural resources Desire to revitalize, maintain, or enhance socioeco - or ecosystems. The economy, social welfare, and cul - nomic conditions. In some communities the desire to tural identity of some communities depend on natural improve economic or social conditions motivated action. resources; protecting these resources galvanize some This often emerged from a sense of civic pride and com - communities to take action. munity identity. citizens approved a bond to fund • In Flagstaff, AZ, El Paso County, TX, has been aware of and manag - • fire mitigation activities because forests were central ing for the potential effects of drought for decades. to the identity of the community, providing critical However, when the closure of Fort Bliss came under goods and services such as clean water and recre - discussion through the Department of Defense’s base ational opportunities. realignment and closure process—along with the pres - • Mobile County, AL, the Nature Conservancy gained In sures of a growing population, limited low-cost water the buy-in necessary to implement oyster reef resto - supply options, and few additional options to lower ration because the community identified with fishing water demand—a new partnership was born. The local as a way of life threatened by storm inundation. The utility and its allies worked together to successfully restoration effort helped protect valued local wetlands, lobby for the funding and cross-jurisdictional coop - the health of local fisheries, and the sustainability of eration necessary to develop a desalination facility in livelihoods that depend on coastal resources. partnership with Fort Bliss. - communities imple Southwestern Crown, MT, In • • city leaders realized that an acute Fort Collins, CO, In mented fire mitigation because they valued the forests water shortage that might affect water delivery to they lived in, the local timber resources they provided, major industries, especially their thriving brewing watershed health, and the terrestrial and aquatic hab - industry, would be a serious threat to the city’s econ - itats supported by a healthy forest. omy and identity. many commercial developers had Boston, MA, • In Community cohesion and social equity. Some actions property in areas that were hit by Hurricane Sandy. As emphasized the additional strain that climate change a result of direct financial losses from Sandy—and, for - may place on entrenched social and economic condi some, the perception of increased potential for future tions such as poverty, economic inequality, and social financial losses—the development community largely or environmental justice issues.

26 CLIMATE ADAPTATION 24 accepted voluntary requirements under Boston’s evaluated how the city could prepare itself for climate Zoning Article 80. Despite likely increases to the cost change impacts. of construction, the requirements are intended to Boston, MA, In • former Mayor Thomas Menino first reduce future economic losses from inundation and championed a green building agenda to reduce the extreme heat. energy footprint of Boston’s buildings in the late Repetitive flooding in 1990s and early 2000s. Mayor Menino undertook this Tulsa, OK, • adversely affected work under Zoning Article 80, which was later used the city’s physical infrastructure, its economy, and to implement the Climate Change Preparedness and - the lives and livelihoods of its citizens. The commu Resiliency Checklist to assess how climate change and nity’s support to address this persistent threat to - extreme weather conditions could affect new develop Tulsa’s prosperity eventually overcame resistance ment and redevelopment over their design life. by the Home Builders Association, which viewed flood-control measures as anti-development in a pro-development political climate. Information about the effects of climate change. In some of our case studies, climate change information raised awareness and drove action in two main ways. First, the Desire to Address Climate Change publication of regional, national, or international assess - Some communities appeared to take action out of a ments focused attention on the issue of climate change desire to demonstrate innovation concerning climate and provided a rationale for taking action. Second, change. In some cases information about climate change, tailored climate information from academics or other alone, appeared to raise the awareness of potential cli - climate change experts informed decision-makers and mate impacts and drive adaptation actions. provided the necessary background and understanding of climate impacts to facilitate and motivate action. Demonstrate innovation concerning climate change. used international and Leaders in • Seattle, WA, Many of the communities in this category have been lead - regional reports—such as various Intergovernmental ers and early movers in efforts to address greenhouse gas Panel on Climate Change assessments, and the first mitigation or sustainability, and subsequently extended —to Pacific Northwest Assessment on Climate Change their efforts to climate adaptation. Furthermore, peer raise awareness among the general public and city learning and friendly competition seem to lead some com - leadership about the effects of climate change and to see the peer-to-peer networking munities to take action ( - build political support for taking action. This comple ). finding on page 33 mented independent and proactive assessments by • Miami-Dade County, FL, has a long history of environ - - SPU staff that did not wait for permission from politi 2 Urban CO mental action, including its 1993 Reduction cal leaders to begin climate impacts assessment work. Plan . The county expanded into adaptation in 2006, Focus 2050 Report The San Diego Foundation’s • when the county commissioners appointed the Climate with downscaled climate provided Chula Vista, CA, Change Advisory Task Force to bring climate impacts, change impact data in a digestible report that raised especially sea level rise, into public discourse. This con - awareness and motivated policymakers and city staff sistent leadership on environmental issues has enabled to tackle climate adaptation. county staff to integrate climate change and climate vulnerability throughout the county’s Comprehensive regional sea level rise projections Norfolk, VA, In • Development Master Plan. through 2100 convinced the Planning Commission that adopting a higher freeboard standard than • started working on climate change Chula Vista, CA, Department of City Planning staff initially recom - in the early 1990s and adopted its first Climate Action mended was imperative to protecting the safety of Plan to mitigate greenhouse gas emissions in 2000. the city’s infrastructure. Chula Vista revised this plan in 2008 to include climate change mitigation measures; a second revision, in 2011,

27 CLIMATE ADAPTATION 25 Government Mandates and Existing Reduce Climate Exposure Regulation Exposure is the presence of people or assets in places that could be adversely affected by climate impacts. Government mandates, regulations, or enforcement actions generally did not drive action in the communities, Reducing exposure means moving human populations with the exception described below. However, we call it and valued assets or activities out of harm’s way. In our case studies, we found examples of reducing exposure out here because government mandates can serve as a significant motivating force in the future. Note that the to climate vulnerability through: (1) land-use regula - tions and (2) property buy-outs and relocation. These - lack of community actions driven by government man strategies were employed in only two communities. dates may be due to the case study selection. There are Interestingly, both communities originally took action many cases, for example, of combined sewer overflows with the motivation of addressing climate impacts from (CSO) enforcement actions. But the range of actions - extreme weather events. The actions they took, how driven by government mandates seems limited to us. ever, reduced vulnerability to changes in climate such as • - addressed its vulnerability to flood Grand Rapids, MI, potential increases in precipitation, flooding, and coastal ing along the Grand River, at least in part, because the storm surge. state of Michigan began citing the city for being in violation of water quality requirements. During heavy Land-use regulations rainfall events, the city’s combined sewer and storm Avalon, NJ, • water system became overwhelmed, and untreated In the 1960s, undertook a number of sewage was flowing into the Grand River. actions that limited shoreline development, including restricting residential and commercial development and developing a shoreline setback policy. This prevented development that would have been vulnerable to storm What Are Communities Doing surge and future sea-level rise. to Adapt? • Tulsa, OK, adopted regulatory floodplain maps that In this section, we examine our case studies to provide exceeded Federal Emergency Management Agency some answers to the question of what communities are requirements to limit development in flood-prone doing to adapt to climate change and climate variability. areas. Tulsa’s floodplain maps were one part of a We group our findings under the three main components comprehensive strategy to reduce the community’s of vulnerability identified by the Intergovernmental Panel exposure to flooding. on Climate Change definition of vulnerability, which are In • - developers are now required to com Boston, MA, discussed in Chapter 1. plete a “Climate Change Preparedness and Resiliency Checklist” as a prerequisite to development of new buildings over 20,000 square feet and renovations over 100,000 square feet. Reducing exposure means moving human populations Property buy-outs and relocation - and valued asset or activi • - started a proper Avalon, NJ, After the 1962 Nor’easter, ties out of harm’s way... We ty-exchange or buy-out program to acquire properties found examples of reducing as borough land and compensate landowners who lost - exposure to climate vulner their homes in the storm. ability through: (1) land-use • Since the 1970s, Tulsa, OK, has acquired more than 1,000 regulations and (2) property repeatedly flooded properties, removed or relocated buy-outs and relocation. associated buildings, and converted the properties to

28 CLIMATE ADAPTATION 26 public parks; these actions have reduced the exposure critical systems above flood levels, reducing sensitivity to flooding. - of buildings and people to riverine flooding, and is prov ing beneficial now in light of the prospects of more • Chula Vista, CA, developed a cool roofs ordinance and extensive flooding anticipated from climate change. a shade trees policy to reduce the urban heat island effect and the city’s sensitivity to extreme heat events. Reduce Sensitivity to Climate Impacts Norfolk, VA, changed its flood and coastal zone ordi - • In our case studies, we found a diversity of actions nance, implementing a three-foot freeboard standard that reduced sensitivity to climate impacts. The for new structures in flood and coastal zones to reduce Intergovernmental Panel on Climate Change defines the sensitivity of those structures to tidal and coastal sensitivity as the degree that a system is affected by flooding, as well as to sea-level rise. climate variability or change. Efforts to address climate sensitivity seek to reduce the consequences of a climate Managing ecosystems or natural resources. Other cases impact. The communities in our case studies reduced study communities chose to reduce their sensitivity by their climate sensitivity through widely applied munic - carefully managing their natural ecosystems. ipal policy actions or tools, managing ecosystems or • Southwestern Crown, MT, and the Flagstaff, AZ, natural resources, and infrastructure-related actions. improved forest management through forest-thin - ning treatments and prescribed burns; these efforts reduced the communities’ sensitivity to catastrophic wildfire. In the case of Flagstaff, these efforts also Efforts to address climate addressed vulnerabilities to flooding. sensitivity seek to reduce the consequences of a climate • In oyster reefs were restored to Mobile County, AL, reduce sensitivity to storm surge following Hurricane impact. The communities Katrina. in our case studies reduced their sensitivity through Green and gray infrastructure-related actions. Some widely applied municipal case study communities focused on employing infra - policy actions or tools, structure—conventional “gray” infrastructure, as well as 2 managing ecosystems or “green” infrastructure —to reduce sensitivity to climate - impacts. Many communities combined these sensitivi - natural resources, and infra ty-reducing strategies with actions to reduce exposure. structure-related actions. Avalon, NJ, • has engaged in extensive dune resto - ration and beach nourishment, both of which reduce - Zoning and munici Municipal policy actions or tools. the borough’s sensitivity to coastal storms. These pal ordinances were popular amongst the 17 case study actions were part of Avalon’s comprehensive shore - - communities as a way to reduce the sensitivity of differ line protection strategy, which also included exposure ent sectors to climate impacts. reduction, such as property buy-outs, and educational programs and flood insurance to enhance adaptive - developers are now required to com Boston, MA, In • capacity (see below). plete a “Climate Change Preparedness and Resiliency Checklist” that assesses how climate change and • El Paso County, TX, constructed an inland desalination extreme weather conditions could affect the devel - facility. With this facility, El Paso is able to convert opment of new buildings over 20,000 square feet or formerly unusable brackish groundwater into drinking proposed renovations over 100,000 square feet. As a water for the community, reducing the community’s sensitivity to droughts. result of this checklist, nearly all projects now locate 2. We use “green infrastructure” to refer to the use of vegetation, soils, native species, ecosystems, or natural processes to provide a valued community function, such as vulnerability reduction; green spaces for public use, recreational opportunities, or improved ecosystem health; and natural resource enhancement.

29 CLIMATE ADAPTATION 27 created “Vital Streets and Sidewalk • Grand Rapids, MI, extreme heat, wildfires, coastal flooding from sea level Spending Guidelines,” mandating the use of green rise, and air quality, as well as future food, water, and infrastructure when upgrading road and stormwater electricity prices. - infrastructure. These guidelines reduce the city’s sen Develop and build technical capacity. sitivity to inland flooding. - Other communi ties relied on municipal, government, private industry, academic, or public sector leaders to build a better Enhance Adaptive Capacity understanding of climate vulnerabilities and what they mean for an individual’s project or job functions. Some community actions increased adaptive capacity —a system’s ability to prepare for and adjust to climate • Chula Vista, CA, worked with academics and The San change (including climate variability and extremes), Diego Foundation to use the to Focus 2050 Report for example, by educating vulnerable populations, - build capacity among staff and stakeholders to under improving social networks at the neighborhood level, stand the projected impacts of climate change as part or protecting natural resources and watersheds. These of their planning process. actions stemmed from an understanding of the need to • develop and bolster human, social, and natural capital; - created an inter Seattle, WA, Seattle Public Utilities in nal Climate Resiliency Group in the late-2000s, in part develop and build technical capacity; and use existing - and develop new institutional capacity to engage in cli to build up staff capacity for climate adaptation. This included a major self-education effort, engagement mate-specific planning and implementation. with the Water Utility Climate Alliance, commissioning and conducting tailored research, and participation in Develop and bolster human and social capital. These the National Climate Assessment. actions helped case study communities alleviate both vulnerability to climate impacts and long-standing socio - Use existing or develop new institutional capacity. economic issues in neighborhoods and communities. Some communities used planning processes as a way to Baltimore, MD, implemented actions to build the • build on existing staff or community capacity to address adaptive capacity of residents and neighborhoods. climate vulnerabilities. Make a Plan, Build a Kit, Help Each Other is a disas - Resiliency • developed a stakeholder-driven climate Chula Vista, CA, ter preparedness initiative for residents and planning process to identify, evaluate, and implement - aims to improve neighborhoods’ capacity to pre Hubs pare for and respond to hazardous events. a suite of climate adaptation actions. City staff, work - ing with the stakeholder group, reviewed 180 potential Cleveland, OH, • designed and implemented the - adaptation actions and ultimately recommended 11 cli Cleveland Neighborhood Climate Action Toolkit to build mate adaptation actions to the City Council. social cohesion in neighborhoods, which is a critical aspect of adaptive capacity; the toolkit focuses on integrated climate change Miami-Dade County, FL, • addressing baseline socioeconomic conditions, even considerations into its Comprehensive Development though specific consideration of climate vulnerability is - Master Plan—including land use; transportation; conser vation, aquifer recharge, and drainage; water, sewer and required. Interestingly, Cleveland is the only case in our solid waste; coastal management; and intergovernmen study that clearly falls into this “generic,” non-climate - adaptive capacity category. tal coordination. This helped the county mainstream climate considerations across county functions. In • the Oakland Climate Action Oakland, CA, - Coalition—a community-led coalition of 30 organiza - integrated cli Seattle, WA, Seattle Public Utilities in • tions—spurred a comprehensive public engagement mate change into internal planning to ensure that climate was considered as a matter of course in stra - process on climate mitigation and adaptation planning. The coalition now conducts community education tegic business planning, department-wide planning, and outreach concerning Oakland’s vulnerability to and capital improvements.

30 CLIMATE ADAPTATION 28 Ability to identify needs and supply a vision for change. How Are Communities Implementing An important manifestation of leadership is the ability to Adaptation Actions? identify a need for change and articulate a vision for an Our case studies profile actions that use a diversity of alternative future. Implementation of a suite of adapta - - strategies to achieve reductions in vulnerability; under tion actions will require complex leadership capabilities, standing how actions succeed or fail depends on the such as: (1) high-level leadership from elected officials, community and its ability to capitalize on effective - department heads, or organizational executives to artic leadership, to build community support, and other ulate a vision and inspire change; (2) leadership from approaches to facilitate implementation. Some of the mid-level managers to translate the vision into specific strategies in this section can occur at various points in action items or technical specifications; and (3) citi - the process: during the planning stages, after leaders zen-facing leaders willing to communicate persuasively have chosen an action and need to secure support, or with the public. during implementation. • former County Commissioner Miami-Dade County, FL, In Harvey Ruvin began to push for more action on climate change, including the organization of an ad hoc com - mittee on climate adaptation, years before the county Leadership is a critical com - - took actual steps toward implementation. The com ponent of enacting change... mittee made a number of recommendations, including We focus on three key aspects actions to address flood protection, saltwater intrusion, of successful leadership: the and Everglades restoration. ability to identify needs and • Boston, MA, faced growing vulnerabilities from sea- supply a vision for change; the level rise and coastal storms. In response, Mayor ability to work in a coalition; Thomas M. Menino started a series of initiatives to and the ability to sustain “green” the built environment. These efforts paid off in 2013, when the Boston Redevelopment Authority efforts over a long period of Board mandated that climate change be considered as time to enact to change. part of the review process for large new developments and large renovation projects. In Seattle, WA, Paul Fleming worked with colleagues • Capitalize on Effective Leadership to promote the consideration of climate change within Leadership is a critical component of enacting change. Seattle Public Utilities, among peer utilities, and - Nearly all of our case narratives highlight the impor among colleagues at SPU. His leadership has played tance of leaders and leadership to establish meaningful, an important role in making Seattle a leader on climate ongoing, community-scale, climate adaptation efforts. change adaptation. However, the case narratives also illustrate that no single the Oakland Climate Action Coalition, Oakland, CA, In • type or approach to leadership will be appropriate for made up of environmental and social justice organiza - all circumstances or occasions. Some case narratives tions, developed into a grassroots force advocating for show the effectiveness of top-down leadership (e.g., climate mitigation initiatives in the city’s official plan. Boston, El Paso), while others tell a story of leader - ship that evolved from the bottom-up (e.g., Flagstaff, - Ability to work in a coalition. Among our cases, adap Oakland, Seattle). Here, we focus on three key aspects tation is rarely implemented single-handedly. Leaders of successful leadership: the ability to identify needs often needed to rally the support of a broader coalition and supply a vision for change; the ability to work in a of citizens, nongovernmental organizations, elected offi - coalition; and the ability to sustain efforts over a long cials, municipal staff, the private sector, consultants, and period of time to enact change.

31 CLIMATE ADAPTATION 29 state or federal agencies. Leadership in some cases is Ability to sustain effectiveness over a long period of time to enact change. In a few of our case studies, manifested as collaboration across multiple individuals and groups driving a joint agenda. adaptation actions are implemented quickly. However, in most of our cases, enduring leadership was needed. In the president and chief exec • El Paso County, TX, - This extended commitment by an individual or group utive officer of the water utility, Edmund Archuleta, appears to be critical to making progress. In some cases, had a key role in identifying the opportunity for and - the mantle of leadership can be passed from one individ eventually constructing the inland desalination facility. ual or one group to another, particularly between formal However, collaboration with Fort Bliss personnel, other institutions. Department of Army officials, and members of the U.S. Mr. Ruvin played an Miami-Dade County, FL, In • Congress was necessary to overcome jurisdictional important role over decades, pushing a climate and financial hurdles. change mitigation program that evolved into a climate the city’s fire management officer, Flagstaff, AZ, In • adaptation agenda. This agenda has been carried - Paul Summerfelt, pitched an approach to city man out by dedicated and long-serving county staff, in ager Kevin Burke to support forest management. The part through their involvement in the South Florida city manager was supportive of the idea, and saw an Regional Climate Change Compact. The Compact itself expiring city bond as a potential avenue for funding. has enabled county leaders to take a more aggressive Flagstaff had an existing team of citizens working on stance on climate issues than would otherwise be the forest management issues who joined in support of r voices in Miami-Dade County, case, including newe the idea and helped propose it to the City Council. as Commissioner Rebecca Sosa, Commissioner such These same citizens later organized a Political Action . Carlos A. Gimenez Daniella Levine Cava and Mayor Committee to raise support for the measure. Once the flooding events, 1974 and 1976 OK’s Tulsa, • Following community passed the bond extension, a collaborative project champions—particularly Ann Patton, Ron partnership among the city, the U.S. Forest Service, the Flanagan, and J.D. Metcalfe—began to move a compre- county, and local tribes has formed to ensure coordi - hensive flood management program from conception nation during project implementation. to implementation. However, it was not until the city’s In • Oakland, CA, the city’s intention to develop a cli- Memorial Day flood— flooding event—the 1984 worst mate change mitigation plan generated interest from when project champions, including th e new Mayor local environmental and social justice organizations momentum from that Terry Young, were able to use - to help shape the plan through community engage flooding event, as well as established partnerships and ment. The various organizations developed a formal previous work in developing and advocating sophisti- partnership, the Oakland Climate Action Coalition, to cated solutions to flood mitigation, to fully implement provide community-based leadership on Oakland’s comprehensive flood-management program along a climate initiatives. the city’s tributary streams. Two of these project champions continue to work today on flood manage- • The Nature Conservancy Mobile County, AL, In champions ment. In addition, newer project are also received federal funding to restore Mobile Bay’s oyster continuing the work through Tulsa Partners, Inc. reefs; however, collaboration among multiple groups— including nongovernmental organiza tions, academic • A small group of staff at Seattle Public Utilities in researchers, citizens, and state and federal govern - —including Paul Fleming, Joan Kersnar, Seattle, WA ments—was crucial to the design and implementation and Alan Chinn—worked together for almost a decade of The Nature Conservancy oyster reef project. to push a climate adaptation agenda forward, includ- ing the most recent effort to integrate climate change into long range supply planning.

32 CLIMATE ADAPTATION 30 climate impact often provides other benefits that may Build Community Support more strongly motivate some citizens to understand In many of our case studies, strong community support the value of taking action. Building community support for an issue was as instrumental—and varied—as effec - around those other benefits can broaden support for an tive leadership. Community support came in different adaptation action. forms and at different times. Here, we discuss leverag - ing support after extreme events; broadening support understood that by appealing to the • Grand Rapids, MI, through a focus on co-benefits; tailoring discussion of benefits of improving dilapidated roads, and making climate change to fit with the politics and attitudes of the multi-modal transportation improvements, they could - public; enhancing support through grassroots or com attract a broader coalition of interests in support of munity organizations; and focusing, or not focusing, on developing green infrastructure to address flooding engagement of more-vulnerable populations. from stormwater. El Paso, TX, In • the water utility, the Chamber of In many case stud - Use extreme events to build support. Commerce, and local elected officials all advocated ies, leaders leveraged the consensus that “something for the development of a desalination plant, not just needs to be done” after an extreme event to push for to increase available water sources in the county, but policy changes to reduce vulnerability to future extreme also to help keep U.S. Army Base Fort Bliss operating. events. The strategic move in the aftermath of an extreme The fort is a major economic driver in the community. event can capitalize on a short window of opportunity before the event starts to fade from community memory. prioritized climate adaptation • Chula Vista, CA, actions with multiple co-benefits. For example, Chula leaders of the bond initiative were • Flagstaff, AZ, In Vista’s stakeholder working group recommended able to appeal to the personal experience of citizens the implementation of a shade trees policy because and garner community support for the proposed of its significant co-benefits for the city: the shade “Flagstaff Watershed Protection Plan” because the trees not only acted as a natural cooling mechanism area had experienced a string of wildfires, culminating for urban areas, but they also provided habitat for in the Schultz fire and subsequent flooding. wildlife, reduced storm water runoff, and increased Avalon, NJ, • In a history of coastal storms threatened property values. the borough’s property and thriving summer tourism industry, which led the city to undertake shoreline pro - tection efforts. Smaller storms helped to make the In many of our case studies, case for ongoing shoreline protection efforts, such as beach nourishment and community education efforts. strong community support - for an issue was as instru advanced comprehensive flood manage - • Tulsa, OK, mental—and varied—as ment after the 1984 Memorial Day flood by relying on: (1) established partnerships among grassroots citizens, effective leadership. technical experts, and public-sector officials—rela - tionships that were developed during earlier flooding events; and (2) the community’s previous work in Tailoring discussion of “climate change” to fit with the developing and advocating for sophisticated solutions Politics and local politics and attitudes of the public. to flood mitigation. Once the 1984 Memorial Day Flood - public attitudes/local values affect whether communi hit, the community was able to “seize [the] moment ties explicitly discussed climate change in the context and execute bold plans” (Patton, 2009, p. 89). of their vulnerability reduction efforts. Our case studies demonstrate that community leaders made intentional Broadening support through a focus on co-benefits. choices about whether, when, and how to bring climate An action aimed at reducing vulnerability to a particular change into the discussion about an adaptation action.

33 CLIMATE ADAPTATION 31 Tulsa, OK; - did not discuss cli Mobile County, AL, and • mate change at all, potentially because of a difficult Politics and public attitudes / - political environment or because of a focus on differ local values affect whether ent community priorities. In the early stages of the communities explicitly dis - Tulsa case, climate change was not discussed because these efforts began before climate change became a cussed climate change in the public policy concern, but it is notable that climate context of their vulnerability change still has not become a priority concern for this reduction efforts. ongoing case of vulnerability reduction. Enhancing support through grassroots or community In Seattle, WA; Baltimore, MD; Boston, MA; Chula • organizations. In some cases, progress on adaptation Vista, CA; Oakland, CA; and Miami-Dade County, FL, actions was a result of collaboration with grassroots leaders explicitly cited climate change as a primary community organizations. Such collaboration may even reason for the adaptation action taken. In these cases, have been central to success. the general public and community leadership often • In Oakland, CA, the Oakland Climate Action Coalition pressed for action because of widespread support for developed into a grassroots force advocating for cli - addressing the issue of climate change. mate mitigation initiatives in the city’s official plan. The In Norfolk, VA; Cleveland, OH; and Grand Rapids, • coalition also ensured that community member voices leaders discussed climate change explicitly, but MI, were heard in Oakland climate adaptation initiatives, not as a primary motivator for adaptation actions. moving forward. Typically, benefits such as economic development or Cleveland, OH, worked with community development • the impacts of climate variability were the primary corporations to understand what the pressing issues point of discussion. were on a neighborhood-by-neighborhood basis to made a conscious effort Spartanburg Water, SC, • prioritize actions that would provide the most benefit to tailor its communications to its audience. The and buy-in at that level. utility’s chief financial officer, Rebecca West, found - • Flagstaff, AZ, citizens formed a political action com In that addressing the immediate and future effects mittee to lobby for the passage of their respective tax of droughts and flooding was a more effective way initiatives to fund adaptation actions. to communicate than using the phrase “climate - change,” which some residents perceived as a polit ically loaded term. • Some communities avoided the term “climate change” In some case studies, the has committed to entirely. Although Fort Collins, CO, issues of environmental reduce its greenhouse gas emissions and vulnerability justice and social equity to climate change, the water utility did not discuss played a significant role; in climate change explicitly in its current supply man - agement plans because it could trigger the permitting others, it was considered, but process for Halligan Reservoir to start over. This it did not drive the process. - bureaucratic requirement silenced a proactive com In still others, the issue did munity when it came to explicitly addressing climate not arise at all. change in the design of a long-lived infrastructure asset as well as other water projects that might arise from the supply management plan.

34 CLIMATE ADAPTATION 32 3 Engagement of more-vulnerable populations. In some to negotiate existing initiatives and policy tools to find case studies, the issues of environmental justice and creative ways to implement an adaptation action. social equity played a significant role; in others, it was - integrated climate change con Miami-Dade County, FL, • considered, but did not drive the process. In still others, siderations into multiple elements of its Comprehensive the issue did not arise at all. Development Master Plan, including land use; trans - Baltimore, MD; Cleveland, portation; conservation, aquifer recharge and drainage; • In some communities, like water, sewer and solid waste; coastal management; and OH; and Oakland, CA; more-vulnerable populations intergovernmental coordination. got involved or were brought into the planning pro - cess and then played a central role in the adaptation In Boston, MA, • Mayor Menino and his staff used action taken. - Zoning Article 80 as a way to require private par In some communities, like • - ties to fill out a Climate Change Preparedness and Flagstaff, AZ, more-vul Resiliency Checklist to ensure developers considered nerable populations were considered, but their needs the climate vulnerability of proposed development or positions were not considered in a way that funda - and redevelopment. mentally altered the adaptation action implemented. Seattle, WA, Seattle Public Utilities in • - integrated cli • In still other communities, like Fort Collins, CO; and mate change into its Stage Gates process for reviewing Spartanburg Water, SC, more-vulnerable populations and implementing infrastructure projects. This process were not considered at all. In these and other case studies, it appears that the issue was not addressed requires specific questions, including questions about climate change, to be answered before a proposed because leaders wanted to apply a uniform rule to project can advance to the next stage of consideration all people regardless of circumstances. For example, it seems that Fort Collins leaders may have felt that for funding. all citizens should have the same water-service levels All-Hazard Mitigation Plan Baltimore, MD, When the • and rates. was due for a periodic update, city staff decided to use - the opportunity to integrate climate vulnerability anal Other Approaches to Facilitate yses into the updated plan—the Disaster Preparedness Implementation Project and Plan. Implementing adaptation actions was achieved in the policymakers used a floodplain ordinance • Norfolk, VA, In case study communities through a variety of facilitating - to propose a freeboard standard to reduce climate vul mechanisms, including mainstreaming adaptation into nerability to storm surge and coastal flooding. existing efforts; starting small and scaling up; developing new forums for dialogue, learning, and collaboration; Developing new forums for dialogue, learning, and using diverse strategies to secure funding; using peer-to- Some actions required significant mod collaboration. - peer networking and learning; and collaborating within ifications to existing decision-making processes or and across government. developing new ones. These adaptation actions are per - haps the most ambitious strategies because they require Mainstreaming adaptation into existing efforts. Some new mechanisms or significant modification of existing adaptation efforts involved integrating adaptation into mechanisms through which to tackle the issue of climate strategic planning, comprehensive planning processes, change more holistically. capital improvements planning, and other decision-mak - created a staff- Seattle, WA, • Seattle Public Utilities in ing processes to ensure that leadership would consider run Climate Resiliency Group to integrate climate climate as a matter of course across dozens or hun - change into internal planning to ensure that climate dreds of decisions moving into the future. Often it also was a part of strategic business planning, depart - included deploying existing policy tools in creative ways. ment-wide planning, and capital improvements. In many of our case studies, community actors were able 3. We define “more-vulnerable populations” as those populations that have greater exposure to climate vulnerabilities (e.g., are located in vulnerable areas, lack access to air conditioning) and who are more sensitive to those climate impacts (e.g., have fewer financial resources to recover from a disaster, have pre-existing medical conditions).

35 CLIMATE ADAPTATION 33 state and federal resources. Notably, once a community acquired one source of funding, other sources of funding Many of our cases indicate the followed. importance of learning from - Flagstaff, AZ, In • city leadership recognized the expira other communities or pro - tion of an existing bond as an opportunity to generate grams in similar situations. - momentum and funding to address the risk of cat astrophic wildfire. Flagstaff decided to self-finance approximately $10 million for wildfire mitigation through developed a climate change stake - • Chula Vista, CA, a citizen vote on a bond question. Once this funding was holder group of community members to identify, secured, the U.S. Forest Service added $1.6 million; the evaluate, and select climate adaptation actions. This State of Arizona, Coconino County, Northern Arizona effective process went beyond standard community University, and local citizens pitched in $400,000. engagement. extended an income tax that was Grand Rapids, MI, • Starting small and scaling up. Several of our case studies about to expire, using the funds to finance needed illustrate that using an incremental and phased approach repairs to roads and develop green infrastructure to facilitated the adoption of more ambitious programs reduce flood vulnerability. down the line. - Avalon, NJ, • secured an estimated $50 million in fed • started by developing Southwestern Crown, MT, eral, state, and local funding to implement much of its “zones of agreement” that allowed each community shoreline protection strategy over many years. In years to start out with actions upon which they agreed on. - when state and federal resources have been insuffi In this case study, different parties began with the cient, the borough has relied on local taxes and bonds agreement that they did not want homes to burn in to cover the shortfall. catastrophic wildfires; this point of agreement allowed Tulsa, OK, • established a storm-water utility fee on the group to start with fuel-reduction projects around citizens’ water bills. These funds have provided homes. Once the group understood the science and approximately $24 million annually to the City of Tulsa. the process through taking this incremental step, it This funding has been used for planning processes, became easier to agree on more projects, as well as a acquiring repeatedly flooded properties, maintaining broader range of projects, including projects focused existing facilities, completing small drainage projects, on climate adaptation. and providing matching funds for federal grants. Boston, MA, • began its green building efforts by first implementing them on government buildings, an action Many of Using peer-to-peer networking and learning. known as “LEEDing by example,” before applying these our cases indicate the importance of learning from other efforts to commercial buildings. City leaders also began communities or programs in similar situations. This peer- working with commercial developers on climate vulner - to-peer learning can take place at different points in the ability, first through informal questionnaires that did policy process and appears to be a key strategy for learn - not inform permitting decisions, then through an online ing, planning, and taking adaptation action. This learning survey, and then finally by developing the checklist as a often included what kinds of action were being taken, how formal requirement under Zoning Article 80. to implement such actions, information sharing, and more. Fort Collins, CO, • looked at the approaches of other Using diverse strategies to secure funding. Funding water utilities in the region, such as Denver Water, is often cited as a primary barrier to taking adaptation which is part of a water utility network called the - action. Some of our cases show significant creativ Water Utility Climate Alliance. Reviewing the actions ity in funding adaptation actions. Some actions were of neighboring utilities allowed Fort Colling to devise self-funded by communities, others were supported its own response to critical water shortages. by charitable foundations, and yet others tapped into

36 CLIMATE ADAPTATION 34 • provide examples of Miami-Dade County, FL; Chula Vista, CA; Boston, and Norfolk, VA • Boston, MA, MA; Baltimore, MD; Cleveland, OH; Oakland, CA; - adaptation actions that were led by a specific munic and ipal or utility department, but required collaboration Flagstaff, AZ , are members of multi-jurisdictional, col - across departmental divisions or practice areas that laborative, peer-learning groups such as the Urban Sustainability Directors Network, C-40, the Western might not normally communicate with one another. Adaptation Alliance, the South Florida Regional El Paso County, TX; Avalon, NJ; Grand Rapids, MI, and • Climate Compact, the San Diego Foundation Climate provide examples of adaptation actions that required Program, ICLEI USA, and others. These groups share collaboration across administrative jurisdictional information about climate change, planning processes, boundaries (e.g., municipal departments or levels implementation strategies, and, more importantly, of government) that spanned traditional patterns of provided opportunities for real human-to-human authority or went beyond standard operating proce - interaction about how to get things done in compa - dures. For example, El Paso Water Utilities needed rable municipal contexts. to coordinate with personnel from the U.S. Army at toured desalinization • Fort Bliss to cost-effectively develop and manage a El Paso County, TX, Leaders in plants in Florida to begin to understand the scope of desalinization plant. building their own inland desalinization facility. Mobile • Flagstaff, AZ; Southwest Crown, MT; and County, AL, learned about citizen willingness-to-pay Flagstaff, AZ, offer examples of adaptation actions that • required collaboration across jurisdictional boundaries for wildfire mitigation when leaders from Santa Fe, and across different types of institutions to work at the NM, shared their experience at a wildfire conference. scale of a natural system. For example, Flagstaff, AZ, Adaptation required collaboration across city, federal (U.S. Forest Collaborating within and across government. actions often required implementers to move outside Service), county, and tribal jurisdictions to address wildfire risks. Mobile County, AL required collabora - their particular agency, division, or area of expertise. In some cases, implementers worked across multiple divi tion across nongovernmental organizations, federal - sions or expertise areas within a department or agency. In funders, and local governments. others, implementers worked with different departments, agencies, or external partners, such as nongovernmental organizations or academic institutions. Such collabora - What Are Communities Achieving tion was often difficult to accomplish due to a variety through Adaptation? of governance, perception, and self-interest barriers that disincentivize collaboration. But those who implemented After an adaptation action is identified and implemented, adaptation actions overcame a range of barriers by what effect does it actually have on the community? To engaging in such collaborations; for example, they gained understand achievements in community-based adapta - legal authority, community trust, technical expertise, and tions, we looked for: tangible reductions in vulnerability; enhanced political support. innovative types of vulnerability reduction; limitations to vulnerability reduction; co-benefits of communi - ty-based adaptation; and monitoring and evaluation of approaches, frameworks, or tools. Adaptation actions often required implementers to Vulnerability Reduction move outside their particular Some communities have reduced their vulnerability to agency, division, or area of climate variability and extreme events in a measurable or expertise. obvious way. While it is not possible to empirically assess whether this progress has also reduced vulnerability to

37 CLIMATE ADAPTATION 35 projected climate change impacts, the tangible vulnera change through regular decision-making processes. For - example, new roadway siting and designs are expected bility reduction is notable. to reduce exposure and sensitivity to storm surge and El Paso County, TX, • increased the operation of its sea level rise, thus reducing the county’s vulnerability percent to full capacity desalinization facility from 10 to climate change over time. during the recent Texas drought; this minimized the drought’s effects on the community by ensuring suf - Some adaptation actions Increasing adaptive capacity. ficient water for citizens and businesses. - increase both generic and specific adaptive capac • realized long-term water savings Fort Collins, CO, ity (Eakin et al., 2014), thereby changing the nature of from its conservation programs and supply-shortage - vulnerability for particular places or populations. As dis cussed on page 27, adaptive capacity is a factor in the response plan. According to Fort Collins staff, further Intergovernmental Panel on Climate Change’s three-fold water-use restrictions were not necessary during the definition of vulnerability. Adaptive capacity can include most recent drought because of this long-term reduc - addressing the baseline socioeconomic conditions that tion in water use. lead to vulnerability—such as poverty or an aging housing Tulsa, OK, has not suffered significant flood damages • stock. Addressing underlying conditions can enhance the - to managed floodplain areas since project implemen resources a community can use to reduce its climate vul - tation, despite several 25-year flooding events. nerability or respond to extreme events. Other approaches focus on strengthening neighborhood networks to Prospective vulnerability reduction to current or - improve response to extreme events; and improving tech future climate impacts. Some adaptation actions are nical skills, such as training municipal staff to understand expected to reduce vulnerability, even though they have climate impacts on the systems they manage. not yet proven themselves. In some communities, this two campaigns were created to edu Baltimore, MD, In • - is because climate impacts have not tested the action or climate change has not yet reached a magnitude to cate community members about local climate hazards and the options to prepare for and respond to these test the action; in others, the community has not fully hazards. The campaigns are expected to enhance implemented the action. How long any effort reduces community capabilities to respond to extreme events. overall vulnerability depends on the nature of the effort, how extensively it is taken up, and the speed of climate In • Oakland, CA, the city and a coalition of com - - change. The research team applied our professional judg munity-based organizations are in the process of ment to affirm such prospective vulnerability reduction. developing adaptation strategies that incorporate is still in the process of constructing Grand Rapids, MI, • social justice. In the meantime, a number of com - green infrastructure projects in tandem with trans - munity-based organizations have begun to educate their respective audiences on local climate hazards portation improvements. However, once a sufficient and appropriate approaches to prepare and respond. amount of green infrastructure is in place, this action can be expected to reduce effects from periodic storm-water floods. Flagstaff, AZ, • has passed and funded its Although Adaptive capacity can watershed protection project, it has not yet imple - include addressing baseline mented the project because the community is awaiting socioeconomic conditions the completion of an environmental impact statement. that lead to vulnerability— Once it is complete, the proposed forest management work is expected to reduce wildfire hazards. such as poverty or an aging housing stock. changes to the compre - In • Miami-Dade County, FL, hensive plan called for the county to consider climate

38 CLIMATE ADAPTATION 36 reductions, but those reductions may become less effec - Co-Benefits of Community-Based tive over time or may have only a narrow effect. We felt Adaptation Action it was important to note these potential limitations for Many communities implement adaptation actions for the sake of transparency. reasons beyond climate vulnerability reduction. Many interviewees across our case studies cited progress on Because some projects Become less effective over time. non-vulnerability outcomes, what we call co-benefits, did not factor in climate change or other forms of social as an important sign of success. Communities viewed - or environmental change, the level of vulnerability reduc recognizing non-climate vulnerability outcomes as a tion they provide will likely degrade over time in the face significant dimension of what they achieved through of a changing climate. For example, actions that provide adaptation action. These co-benefits are often closely a particular level of protection against storm surge will tied to the non-climatic motivations that encouraged provide less protection as sea levels rise. action in the first place. • In Mobile County, AL, restoration project managers Outcomes beyond climate vulnerability reduction. have observed wave attenuation behind the restored oyster reefs, which indicates that reefs are providing supported efforts to develop a • Grand Rapids, MI protection from storm surge. However, reefs in this area multi-modal transportation system and improve road have sunk over time because of land subsidence; as sea maintenance as well as reduce the effects of inland level continues to rise, the reefs will become less effec - flooding through a single income tax extension. tive in reducing storm surge before it reaches the coast. Cleveland, OH has supported community and neigh - • • In Norfolk, VA, the three-foot freeboard standard will borhood redevelopment through its adaptation provide a decreasing buffer from storm surge as sea program. This meant that actions to support neigh - levels rise. Eventually, the level at which construction borhood climate adaptation sometimes included is built above the 100-year floodplain will be over - initiatives that could seem, to some, tangential to whelmed by sea level rise. climate change adaptation, such as the promotion of local foods and businesses. However, these were In • the natural buffer of dunes and beaches Avalon, NJ, important co-benefits for the city and its residents. only provides a natural buffer if the borough periodi - cally nourishes the beaches and dunes. This is because El Paso, TX, In • the promise of expanded water small weather events and extreme events wash away resources contributed to the retention and eventual the sand. Beach nourishment will be required on a growth of Fort Bliss. Because Fort Bliss is a major more frequent basis as sea levels rise and coastal economic driver in the community, this was seen as storms intensify, eventually becoming untenable as a major co-benefit related to the development of the climate change progresses. city’s desalination facility. - • Avalon, NJ helped protect their summer tourism indus try through particular vulnerability reduction actions. For example, the community has accelerated efforts Because some projects did to rebuild eroding sand dunes or segments of shore - not factor in climate change line, ahead of partner agencies’ schedules, to ensure a or other forms of social or profitable summer tourist season for local businesses. environmental change, the level of vulnerability reduc - Limitations to Vulnerability Reduction tion they provide will likely Several of our case studies involved implementation of degrade over time in the face actions whose vulnerability-reduction benefits may erode of a changing climate. - over time. In some cases, a small and discreet adapta tion action achieved tangible or indirect vulnerability

39 CLIMATE ADAPTATION 37 Narrow effectiveness. Although adaptation actions (e.g., community buy-in, use of a program, increased in some of our case study communities have tangi - issue awareness). These factors tended to be subjectively bly reduced vulnerability, they address only a specific chosen and assessed. However, local actors found them aspect of overall community vulnerability. As such, the sufficient to evaluate progress and make adjustments vulnerability reductions achieved by such actions may for the practical purpose of recalibrating the adaptation be insufficient to mitigate the climate impacts they are action before taking further steps. intended to address. In some cases where an individual local officials tout a statement from Avalon, NJ, In • adaptation action stood alone, the action may prove Assistant Secretary of the Army Jo-Ellen Darcy, who - less effective than it would have been as part of a port after Hurricane Sandy said, “...The property behind the folio of actions. beaches in Avalon were well protected... where there Norfolk, VA, for example, passed a three-foot free - • has been no federal beach project, the community board requirement for new buildings developed in didn’t fare that well.” They take this as an indication coastal and flood zones. Although this action helped that their shoreline protection efforts are effective and Norfolk address the effects of sea level rise and tidal should continue. flooding on new buildings, it did not address new • Oyster reef restoration project managers in coastal public infrastructure, such as sewer lines and the have observed wave-energy Mobile County, AL, public streets necessary to serve buildings in flood and attenuation behind the reefs, in addition to eco - coastal zones, nor did it address existing structures at logical benefits such as improved reef habitat and risk prior to their being damaged. greater presence of marine life. Restoration leaders climate change preparedness and • The Boston, MA, also describe an increase in public awareness about - resiliency checklist requires the consideration of cli the value of healthy coastal ecosystems, particularly to mate change only for new commercial development coastal cultures and livelihoods; the leaders work with over 20,000 square feet and renovations over 100,000 volunteers at restoration events and thus are in a posi - - square feet. Hence, smaller developments and resi tion to monitor such increases. Anecdotal evidence of dential development are not subject to the checklist. restoration effectiveness is strong, but project staff It remains to be seen whether Boston will extend - recognize the importance of monitoring and adap and strengthen use of the checklist or use other tive management for maintaining long-term benefits, approaches to ensure the resilience of smaller-scale and they are pursuing funding for monitoring existing development projects. restoration sites. Monitoring and Evaluation of Approaches, Formal evaluation programs occurred in some com - Frameworks, or Tools munities. We did observe some indication of formal monitoring and evaluation to measure progress toward Monitoring and evaluation is commonly discussed as a stated objectives for climate adaptation. critical component of climate adaptation, and indeed any policy process. Nonetheless, evaluation is often In the Southwestern Crown, MT, the community • neglected, and we found this reflected in our study. In collaborative decided early on that monitoring the - most of our case study communities, local actors eval effects of forest treatments was a high priority and uated progress anecdotally; however, formal evaluation the collaborative set aside 10 percent of its budget to programs occurred in only a few communities. use for monitoring. The collaborative has an adaptive - management framework that relies on this monitor In nearly Local actors evaluated progress anecdotally. ing program to change management activities and to every case study, we asked interviewees to identify tailor resource expenditures. progress, lack of progress, and next steps. Typically, • Fort Collins, CO, tracks water use in gallons per interviewees cited a variety of factors that they used capita per day. This has enabled the city to monitor as indicators of progress relative to a historical baseline

40 CLIMATE ADAPTATION 38 the effectiveness of its conservation programs and Conclusion - water-supply shortage response plan. The city attri The case studies and cross-case findings discussed butes long-term water savings to the effectiveness of in this chapter represent the empirical and analytical both conservation and regulatory programs. heart of this project. Each case study represents a step • In city staff used a relatively simple Baltimore, MD, in a single community’s path to climate adaptation—a - scale to measure their progress in implementing cli path that can inspire forward-thinking action by other mate adaptation and hazards-mitigation initiatives. communities and climate adaptation professionals. And The scale does not address program effectiveness or the cross-case findings represent the collective wisdom performance, but it is an important tool to help track that our research team could gather across this portfolio implementation progress. of 17 unique cases of adaptation to climate impacts. In an important sense, the cross-case findings presented here provide a baseline of the state of community-based adaptation in the United States. This baseline should be assessed and evaluated against the real-world experiences of other community-based champions and adaptation professionals. If found practical, these findings should be disseminated and adapted by other communities to facilitate efforts in their own communi - ties to reduce vulnerability to climate impacts.

41 CLIMATE ADAPTATION 39

42 CLIMATE ADAPTATION 40 CHAPTER 3 Conclusions and Tactical Recommendations

43 CLIMATE ADAPTATION 41 s recently as 2014, the U.S. National Climate Assessment observed that “substantial A adaptation planning is occurring...however, few measures have been implemented” - (Melillo et al., 2014). Although accurate in many respects, this message may obscure import ant progress being made to reduce vulnerability to climate risks at the community level. addressed the climate change or extreme weather Through the course of this study, we have found that vulnerabilities that they do or will face, particularly if when one considers actions to address climate variability and climate-related extreme events—as well as actions evaluated in terms of principles of adaptation such as to address long-term climate change—one finds many - those outlined in Exhibit 3.1. This means that while prog communities have implemented actions designed to ress is being made on reducing vulnerability to climate impacts, in our view, much more must be done. reduce vulnerability to current and future climate risks. These actions that communities are taking provide a rich trove of models and lessons that can inform future In this chapter we share conclusions synthesized from adaptation activities. Adaptation professionals should our case study research and analysis, thought leader - continue to observe and critically analyze these actions interviews, and a review of selected technical and pro and others. And community-based champions can use fessional literature that aimed to evaluate the state of the these actions as a basis for expanding vulnerability-re - practice of climate adaptation. Along with these conclu - duction activities in their own communities. sions, we provide a series of tactical recommendations framed for community-based champions seeking to ini - While much can be learned from these community-based tiate and expand climate adaptation programs in their own communities. actions, it is our strong impression that none of the com - munities profiled in this study have comprehensively EXHIBIT 3.1. PRINCIPLES OF CLIMATE CHANGE ADAPTATION Go beyond climate variability and extreme 1. - Ensure that the needs of more-vulnerable popu 7. events; address the anticipated impacts of lations are addressed (e.g., Schrock et al., 2015). climate change (e.g., Solecki et al., 2011). Consistently build adaptive capacity across 8. Incorporate climate change systematically in rel populations within a community, particularly the - 2. evant decision-making processes (e.g., Haywood most vulnerable (e.g., Smit and Wandel, 2006). et al., 2014). Engage in monitoring and evaluation of climate 9. Design decision processes to adjust over time in change adaptation progress (e.g., Bierbaum et 3. al., 2013). response to changing climate conditions (e.g., Quay 2010). 10. Ensure that climate change adaptation and miti - 4. gation actions are consistent with and supportive Avoid measures that result in an increase in vulnerability to changing climate risks (e.g., of each other (e.g., Laukkonen et al., 2009). Bours et al., 2014). These principles were collectively informed by the Consider the implications of an adaptation action 5. thought leaders who advised this project through both over the near- and long-term to ensure an our Project Advisory Committee (PAC). We have action is effective over time (Kates et al., 2012). added citations to ground these ideas from our PAC in the adaptation literature. Avoid adaptations that shift vulnerability from 6. one sector or community to other locations, sectors, or natural systems unless there are clear net benefits and compensations (e.g., Barnett and O’Neil, 2010).

44 CLIMATE ADAPTATION 42 help communities begin adapting to climate change; Conclusions and 4) community-level practitioners often consider Adaptation Actions at the Community Level Are climate change adaptation, natural hazards mitigation, Reducing Vulnerability to Climate Variability and - and preparation for climate variability as part of a con Extreme Events, and Possibly to Climate Change tinuum of potential policy and management actions. However, planning solely based on current or historic The communities profiled appear to be achieving real climate exposure, the most intense extreme event on vulnerability reductions. In some cases, communities record, or the most recent extreme event experienced are already seeing the benefits of action in response will likely leave a community underprepared for a cli - to current climate impacts. In other cases, adapta - mate-altered future (Adger et al., 2011). Given that tion actions have not have been tested by an extreme climate change is increasing the frequency and inten - weather event, but are sound investments given current sity of some extreme events and is likely to introduce understanding of the risks. While many of the actions new vulnerabilities due to slow-onset climate changes, we addressed respond to climate vulnerability rather it is important for policies and practices that address than climate change, we anticipate the benefits will only climate variability or extreme events to evolve and carry over and evolve over time to address vulnerability address climate change as well (NRC 2010, Solecki et due to climate change. - al., 2011). In some cases, such as long-term infrastruc ture investment decisions, the time to consider climate change is already upon us. However, planning solely based on current or historic Communities Can Begin Addressing Climate climate exposure, the most Change Risks Now intense extreme event on Our research indicates that municipal staff and commu - record, or the most recent nity leaders in a variety of organizations are becoming increasingly aware of the need to incorporate climate-re - extreme event experienced lated risks into their planning and operational routines will likely leave a community and, in many cases, already have the tools needed to under-prepared for a climate- begin implementing climate vulnerability reduction altered future efforts and climate change initiatives. Local champions (Adger et al., 2011). and policy entrepreneurs have successfully brought the issue of climate impacts and/or climate change to bear in operational and strategic decision making across a Addressing Only Climate Variability and Extreme range of community service streams, including hous - Events May Constrain the Effectiveness of Long-Term ing, infrastructure development, public utilities, natural Climate Adaptation. - resource protection, social services, and hazard miti gation planning (Carlson and McCormick, 2015; Viguié This report profiles actions undertaken to address and Hallegatte, 2012). This includes embedding climate observed climate variability and extreme events as adaptation initiatives within routine municipal activities, well as climate change. We made this choice because such as comprehensive planning, multi-hazard mitiga - 1) it is generally not clear where climate variability tion planning, long-term water supply planning, and ends and climate change begins; 2) extreme events permitting review procedures. Given the progress that and climate variability typically involve conditions has been made across our 17 case study communities, similar to those expected under scenarios of climate we believe that any community can make meaningful change; 3) the tools, policies, and strategies deployed progress by getting started now. to address extreme events and climate variability may

45 CLIMATE ADAPTATION 43 Communities Can Overcome Barriers to Action, - our case study communities have embarked on compar Identify Opportunities, and Begin Implementing atively ambitious and comprehensive efforts to address climate change by developing standalone climate action Adaptation Measures plans or implementing programs to alter community The adaptation literature and thought leaders inter - level decision-making processes so that climate change viewed for this study identify a long list of potential is considered as a matter of course. Others have imple - - barriers to climate adaptation, including limited fund mented climate change adaptation actions intended to ing, lack of actionable information, hostile political reduce sector or impact-specific vulnerabilities. It is not environments, and limited technical capacity, among yet clear that initiatives focused on climate change have others (e.g., Bierbaum et al., 2013, Carmin et al 2012, tangibly reduced vulnerability. But the promise of doing Moser and Ekstrom 2010, Ekstrom and Moser 2014, so is potentially greater than policy actions that respond Adger et al 2009, Brody et al 2010). Although these just to climate variability or a particular extreme event barriers remain prevalent, our case studies demonstrate (Berrang-Ford et al., 2011; IPCC 2012). Implementation of a variety of opportunities to overcoming them, including these climate change adaptation processes is in a for - developing new or repurposing existing funding streams mative stage, so we cannot draw meaningful conclusions to support climate vulnerability reduction and climate - about the ultimate effectiveness of any particular pro change initiatives, mainstreaming climate change into cess structure or their relative effectiveness compared to existing community programs (Eisenack et al., 2014), and more incremental efforts focused on climate variability developing programs that enhance overall community or extreme events. social capital and adaptive capacity to set the stage for climate adaptation. Whereas previously published work Through Our Case Study Communities We Have - has postulated the possibility of overcoming such bar Identified Components of A Hypothetical, Well- riers (Moser and Ekstrom 2010, Adger et al 2009, GAO Adapted Community 2009), this study emphasizes how a variety of strategies Over the course of this two-year project, we found an used across our case study communities have allowed abundance of bold and successful community-based them to actually implement adaptation actions by using well established opportunities to overcome barriers that adaptation—underway now and, in some cases, already are often more perceived than real. tangibly reducing community vulnerability. However, as many of the leaders in our case study communities would agree, even our profiled communities must do more to adapt to climate change. Community-based adaptation We cannot say what a perfectly adapted community that explicitly addresses would look like. Nonetheless, if the types of actions that climate change is still in a each of our individual case study communities took were formative stage. combined into a single hypothetical community effort, it would arguably comprise an impressive climate change adaptation program. We believe this hypothetical com - Adaptation Actions Explicitly Addressing Climate munity can serve as an aspirational target for ambitious Change Are in a Formative Stage local champions who are working to build local resil - ience and protect their communities from the impacts Community-based adaptation that explicitly addresses of climate change. At this point, we believe, no single climate change is still in a formative stage, with many - community in the United States approaches the breadth small-scale innovations and policy experiments occur and depth of this hypothetical community. As such, we ring in a variety of geographical, political, and other hope this hypothetical community can serve as a model contexts. This conclusion is in agreement with findings for communities looking for the next pragmatic step in from the peer-reviewed literature (Berrang-Ford et al., adapting to climate change. 2011; Smith et al., 2009; Tompkins et al., 2010). Some of

46 CLIMATE ADAPTATION 44 A HYPOTHETICAL, WELL-ADAPTED COMMUNITY Comprehensive, climate- Aggressive exposure- change-informed planning reduction policies, as seen processes, as seen in in Tulsa, Oklahoma Chula Vista, California Mainstreaming Creative use - climate consider of existing ations into regulatory existing decision- powers, as seen What would a in Boston, making processes, well-adapted as seen in Seattle, Massachusetts community Washington look like? Systematic monitoring Neighborhood-scale and evaluation processes, capacity-building efforts, as seen in the Southwest as seen in Cleveland, Ohio. Crown, Montana • Provide adaptation professionals with a frame of ref - Community-Based Champions of Adaptation erence through which to assess what works and does Action and Adaptation Professionals Should Use Vulnerability Reduction as a Key Baseline to Assess not work and, as appropriate, make improvements; and Facilitate Progress in Adaptation Identify innovative approaches that deserve further • Our case studies lend empirical credence to Moser and investment and investigation; and Boykoff (2013, p. xxii), who state, “There still is not, and - Identify opportunities for scaling up or diffusing prom • one answer that adequately addresses likely never will be ising practices. all of the intersecting dimensions of adaptation success.” - In fact, most adaptation professionals believe that cli - Given our experience during the course of this proj mate adaptation is a process, not an end-state, which ect, we recommend that adaptation professionals and may preclude defining ultimate success. Nevertheless, it - community-based champions use vulnerability reduc is critical that current efforts to address climate change, tion as one key aspect of assessing the effectiveness climate variability, and extreme events be monitored and of adaptation actions. We emphasize here that we do evaluated against some metric of progress so as to: not propose vulnerability reduction as the exclusive dimension of progress because other dimensions may Provide community-based champions with a baseline • be important or even the principal factor in assessing against which to set goals and assess progress;

47 CLIMATE ADAPTATION 45 adaptation progress in any given context. Other dimen - - Waiting does not guarantee more or better informa • sions might include: Projections of climate change suffer from several tion. important uncertainties, some of which are not likely • sustainability—the ability of an adaptation to endure - to be resolved soon—such as future development tra over time, jectories, energy use profiles, land-use patterns, and breadth—the range of vulnerabilities addressed by an • uncertainty associated with natural climate variability (Hallegatte, 2009). adaptation action, or • Whether it Real vulnerability reduction takes time. • flexibility—the ability of an adaptation action to adjust is moving people and property out of harm’s way, to different social, environmental, or policy conditions protecting vulnerable areas, or developing capac - (e.g., Adger et al., 2011). ity in neighborhoods to respond to extreme events, adaptation can take years to decades to implement. Beginning to address climate vulnerability now, even in a limited way, builds the foundation to take more - We recommend that adap ambitious and comprehensive action in the future. tation professionals and Look for Co-Benefits, Cross-Sector Leveraging, and community-based champions Opportunities to Piggyback Climate Adaptation onto use vulnerability reduction as Other Salient Community Issues: Climate adaptation one key aspect of assessing actions that also address longstanding problematic the effectiveness of adapta - conditions—for example, decaying infrastructure or tion actions. weakened ecosystems—can help win important allies, enhance community support, and facilitate progress - (Tompkins et al., 2010). Similarly, support for adapta tion can grow when communities understand that there can be multiple reasons for engaging in adaptation and Tactical Recommendations that adaptation actions can be beneficial across multiple - Based on our research and analysis, we offer these spe sectors. Linking adaptation to established community cific recommendations to community-based champions issues in this way is motivating; it helps make climate and adaptation professionals seeking to advance adap - change tangible, familiar, and local. tation and vulnerability reduction within communities. Employ Commonly Used Policy Tools to Mainstream Start Now : Communities should not give in to the temp - Adaptation: The tools that our case study communi - tation to put their adaptation efforts on hold and wait for ties most commonly employed to reduce vulnerability improved information, shifts in the political environment, - included standard and proven policy tools such as ordi or other changes in circumstance. The time to start an nances, permits, bonds, utility fees, easements, zoning, adaptation initiative is now. Here is why: and hazard mitigation planning. Some communities used creative mixtures of mutually reinforcing policy tools to Community development is an ongoing process. • address climate vulnerabilities, given the unique local con - A choice not to think about adaptation now means text. Thus, while policy innovation may be useful, it may allowing current development patterns to continue, not always be necessary for initiating adaptation activities. potentially increasing climate vulnerability. • Climate vulnerability already exists, and climate Use Windows of Opportunity to Advance Climate change is increasing these vulnerabilities. Reducing Adaptation: Windows of opportunity, such as response current vulnerabilities and considering how they may to natural disasters or scheduled updates to municipal change yields benefits now and into the future. plans, present an opening to advance public discourse,

48 CLIMATE ADAPTATION 46 galvanize community support, and facilitate progress opportunity, and individuals facing disenfranchisement (Kingdon 1995). To fully take advantage of such win and racism (Schrock et al., 2015; Morello-Frosch et al. - 2009; Park 2009). More specifically, communities must dows, communities need to have ideas generated and plans in place for rapid deployment when an opportunity leverage existing efforts to build community stability and - arises (Berrang-Ford et al., 2011). For example, a com - social connectedness—a critical prerequisite for effec munity should consider developing a plan to respond tively tackling climate change. Simply put, widespread to an extreme event by not just putting things back the poverty and social and racial disparity impede efforts to reduce climate vulnerability. way they were, but by “building it back better” (e.g., - incorporating consideration of climate change into infra structure design in risky locations or rebuilding in less vulnerable locations). Other windows of opportunity Simply put, widespread may include fulfilling administrative requirements (e.g., - Baltimore’s All-Hazards Mitigation Plan update), capi poverty and social and racial talizing on economic development opportunities (e.g., disparity impede efforts to Cleveland’s efforts to tie climate adaptation to neigh - reduce climate vulnerability. borhood revitalization through Community Development Corporations), responding to state or federal mandates (e.g., State of Michigan citing Grand Rapids for viola - Consider Natural Systems in Adaptation: Climate change tion of water-quality requirements), addressing federal is often experienced through a community’s interaction policy initiatives (e.g., the Southwest Crown’s use of the with natural systems, such as forests, rivers, coastlines, Collaborative Forest Landscape Restoration Program to and floodplains. These natural systems can also play a develop a collaborative to address wildfire mitigation), or vital role in reducing the impact of climate change on pursuing funding opportunities (e.g., Tulsa using FEMA community infrastructure and resources. Conversely, grants to support its acquisition program). poor natural system health can exacerbate impacts. Action to restore or maintain natural system function Build Flexibility into Policies, Projects, and Programs: can be a cost-effective, long-term adaptation action Given the uncertainties around the effects of climate and should be considered alongside socioeconomic and change, municipal programs should be designed to infrastructural actions. evolve and adapt to changing conditions. This means avoiding irreversible outcomes, such as infrastructure Craft Outreach or Engagement Efforts, as Needed, to design that precludes modification or that does not - Well-focused communica Build Community Support: account for projected changes in climate. It can mean tions and outreach campaigns enhance public buy-in keeping options open such as purchasing or setting for adaptation actions (Carlson and McCormick, 2015; - aside land that may be needed in the future for adap Hughes, 2015; Few et al, 2006). An outreach campaign tation. It also means avoiding policies likely to create may be necessary when: additional climate vulnerabilities, such as committing to development in areas that are already known to be prone Adaptation actions will affect a resource valued and • to wildfire or flooding and likely to face increasing risks. used by a range of community members Public support is needed for an action to be adopted, • Consider the Needs and Capabilities of More Vulnerable e.g., the funding for an action depends on a bond issue Climate adaptation actions should reflect Populations: or another publicly determined measure. and address the varying needs of different groups - or populations, and involve these people in the deci In structuring outreach efforts, it is important to do so sion-making process. Adaptation actions should pay in ways that include and facilitate the participation of particular attention to populations that are the most the most affected and the otherwise least able to par - vulnerable, which are often the poorest, those already ticipate. However, a formal outreach campaign may overburdened by pollution, those who lack economic

49 CLIMATE ADAPTATION 47 be unnecessary when actions lie within the purview of studies indicate that non-governmental organizations, grass roots activists, and non-senior municipal staff can agency operations or staff-level decision-making. As such, practitioners should use public outreach efforts also provide the leadership necessary to initiate and sus - - tain climate adaptation actions. In fact, it is often the strategically to help build support for key climate adap work of these less conventional leaders that facilitates tation related issues. However, outreach efforts can also progress even where there is also a proactive senior be used to develop adaptation actions in collaboration - executive, or when such executives serve their commu with the community, rather than asking for community nities for only a limited term. - support for pre-determined actions. This is more appro priately a form of community engagement, which is a Use Partnerships to Advance Adaptation: more time intensive, but potentially more productive Working means of building community buy-in and support. with other like-minded individuals and organizations can amplify the effectiveness of an adaptation action. Singular actors often face limited capacity and financial Take Prudent Risks and Adjust Over Time: Climate resources. But by banding together with others—other change is a complex issue affecting many sectors and - communities in a region, other departments within your communities across the country and the world. To suc - municipality, other organizations in a community, uni cessfully reduce risk to communities through adaptation versities and academics, and more—resources can be requires innovation, experimentation, and some level of leveraged to improve adaptation actions and enhance risk-taking. Some of these efforts are bound to fail. The accomplishments. While implementation is often lessons learned from those failures are as important as required at a municipal or a departmental level, part the lessons learned from successful innovations. Local - nership can still provide needed support, motivation, champions and practitioners should be aware that what information sharing, and resource pooling. they are putting in place will likely need to be adjusted over time and be willing to share what is working and not working on the ground. Summary Consider Local Context When Determining Whether to - This research project was motivated by the immense chal Explicitly Frame Actions in Terms of “Climate Change”: Explicit articulation of climate change can constrain lenges posed by climate change, the need for communities action in some settings, while galvanizing action in to adapt to those challenges, and the opportunity to learn others; communities should recognize this reality and from communities that have already begun adapting. After two years of research on the state of community-based respond accordingly. For some communities, it makes - more sense to approach routine municipal renewal, adaptation and the particular actions taken by 17 com munities, we found that communities have many of the public works, and resource-management projects in a manner that considers future climate vulnerabilities, tools needed to plan for and respond to climate change; without making climate change the rationale for the they just need to get started. As such, we hope that the action. For other communities, speaking explicitly about conclusions and tactical recommendations in this chapter climate change can draw upon existing social or political will help community-based champions make tangible and support to pursue an adaptation action. immediate progress on climate vulnerability reduction. We offer these conclusions and recommendations as a way to - support the diffusion and adoption of the promising prac Provide Leadership: - While leadership was an import ant aspect of making adaptation progress across all of tices identified in our case studies to other communities the communities we profiled, that leadership came from across the United States. We hope that other adaptation many places. The most conventional sources of lead professionals will join us in circulating and elaborating on - these conclusions and recommendations with the practi ership across the communities we profiled came from - cal purpose of empowering community-based champions a proactive mayor, city council, county commission, or to make progress in their own communities. senior municipal or departmental executive. But our case

50 AVALON, NEW JERSEY CASE STUDY: 48 Avalon, New Jersey Avalon, New Jersey Comprehensive Shoreline Comprehensive Shoreline Protection Strategy Protection Strategy AVALON, NEW JERSEY AVALON, NEW JERSEY Alexis St. Juliana, Jason Vogel, and Karen Carney AUTHORS: AUTHORS: Alexis St. Juliana, Jason Vogel, and Karen Carney In this case study, you will learn about: In this case study, you will learn about: • The role of strong municipal leadership The role of strong municipal leadership • The importance of ongoing activities (non-complacency) • The importance of ongoing activities (non-complacency) • and implementing actions as feasible and implementing actions as feasible • • Ongoing public education and engagement Ongoing public education and engagement • Communicating across levels of government Communicating across levels of government • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

51 AVALON, NEW JERSEY CASE STUDY: 49 over this period. Maintenance of Avalon’s efforts is Case Study Summary - possible through strong leadership that works with com The borough of Avalon comprises a portion of a slender munity members and elected officials to foster ongoing barrier island at the far southern end of New Jersey support and financing. (Exhibit 1). It regularly experiences extreme weather events such as nor’easters and hurricanes. These events - Nevertheless, Avalon does not have an official shore threaten the borough’s property and thriving summer line protection strategy. Rather, its strategy has come tourism industry. After a severe nor’easter in 1962, about through a confluence of other planning efforts. - Avalon developed a number of physical shoreline bar For instance, the community has completed a number riers. The borough also created a number of policies of shoreline protection efforts to garner points on the that set the stage for future action in Avalon. These National Flood Insurance Program’s Community Rating - policies allowed the borough to buy damaged shore System (CRS) to earn lower flood insurance premi - line properties and turn them into borough property, ums for its residents, which it joined in 1996 (FEMA, purchase additional undeveloped land, and limit shore - 2014). These CRS efforts are guided by Avalon’s Flood line development. With these policies in place, Avalon developed extensive sand dunes to protect the borough Management Plan, which it evaluates annually (Borough from the impacts of coastal storms. In the 1980s, the of Avalon, 2013). The borough’s Dune Management Plan, borough renewed efforts to construct natural barriers, - finished in 2009, serves as a guide for dune monitor hard physical barriers, and emergency response pro - ing and maintenance (Borough of Avalon, 2009). Also, grams. Over time, these shoreline protection efforts Avalon prepared its first hazards mitigation plan in 1983, have required extensive maintenance. The borough has the Storm Mitigation Planning report (Farrell and Sinton, relied on local, state, and federal support to develop 1983). Since then, there have been several iterations of and maintain protective structures. Avalon’s work has this plan. The last plan was finalized in 2010 and as of not extensively considered climate change, yet it has 2015 the borough is working on another update. These experienced few structural losses and has been able to plans, in addition to the borough leadership’s ongoing rebound quickly from recent storms, such as Hurricane push for action, have helped Avalon to piece together a - Sandy. In addition, the borough is considering incor comprehensive shoreline protection strategy. This case porating sea level rise projections in its design of new study highlights Avalon’s efforts to develop and maintain - breakwaters. Avalon has received a number of acco a comprehensive shoreline protection strategy. Exhibit 2 lades for its work, and regularly shares information provides a timeline of actions in Avalon. about its efforts with coastal communities around the United States. Avalon continues to plan and prepare for coastal storms. Future work includes the possible development of several “T”-shaped breakwaters per - Why and How Avalon Developed pendicular to the shore. The borough expects that these and Maintained its Shoreline structures will help protect beaches and reduce the Protection Strategy frequency of beach nourishment activities. - Avalon has a long history of preparing for and respond ing to coastal storms. A number of major storms Broader Context motivated the borough to take notice and begin to plan and prepare for future storms. Strong leadership has Avalon has implemented a variety of shoreline protection maintained motivation to continue shoreline protection efforts since the 1960s, including the construction of efforts. These motivators are described in more detail - protective infrastructure, the build-up of natural barri later in this section. They also helped to form Avalon’s ers, and the development of effective hazards mitigation shoreline protection efforts, which include three general and communication plans. Moreover, the borough has types of activities. worked to maintain these shoreline protection efforts

52 CASE STUDY: AVALON, NEW JERSEY 50 Exhibit 1. Map of Avalon and beaches.

53 AVALON, NEW JERSEY CASE STUDY: 51 Comprehensive shoreline protection strategy 1980s–present • Ongoing upkeep of shoreline protection measures, mostly beach nourishment • Ongoing public outreach and communication • Ongoing outreach to acquire state and federal funding Hurricane Storm Revised local Avalon Joins the Nor’easter Dune Borough Gloria Mitigation code to increase builds hard weighing National Flood management devastates Planning height of infrastructure, Insurance plan addition of Avalon report bulkheads along dunes, and buys Program’s “T”-shaped back bay and destroyed Community breakwaters build elevation properties Rating System above floodplain Late 2009 1985 2014 1983 2015 1996 1962 1960s Exhibit 2. Timeline of actions in Avalon. The borough has willingly become a testing ground for 1. Protective Infrastructure certain storm mitigation techniques. Tests of both hard - After the 1962 nor’easter, the borough invested in sev and natural barriers have been coordinated with and mon - eral structural barriers, including a seawall, a 4,500-foot itored by the Richard Stockton College of New Jersey, bulkhead, and a jetty at the north end of the island Rutgers University, the Army Corps of Engineers, and (Farrell and Sinton, 1983; Perez, 2013). These types of others (e.g., Farrell and Sinton, 1983; Nordstrom et al., barriers help to mitigate the impact of coastal storms, - 2002). For example, the borough tested whether an arti and reduce damage and flooding. Avalon has worked to ficial reef would reduce wave energy and beach erosion in maintain these barriers, create additional barriers, and 1993 (Page, 1993). In 1995, the borough tested the installa - improve building codes. Representative examples of the tion of geo-tubes (large cylindrical tubes filled with sand maintenance these structures have required over time and covered in a flexible porous material), which stretch include $14 million in 2003 ($18 million in $2014) from along the shoreline and serve as the foundation for small the Army Corps of Engineers to reconstruct the seawall - dunes. While not permanent, these structures have suc built after the 1962 storm, $1.5 million in repairs to the cessfully worked to slow or break waves during storms in 8th Street jetty in 1991 ($2.6 million in $2014), and a Avalon (Press of Atlantic City, 1995). 1,400-foot expansion of the jetty in 2002 (Barlas, 1991; The Times, 2003). 2. Natural Buffers and Soft Structural Approaches - The borough has also worked to protect hard infra structure through building codes. For example, Avalon Sand dunes are an important shoreline protection barrier recently increased the lowest elevation at which struc - in Avalon. Avalon made several important decisions in tures can be built in order to reduce flood potential. Due the 1960s to limit immediate shoreline development and to vulnerability concerns along Avalon’s back bay, the construct an expansive dune system. The dune system borough also adopted a higher bulkhead standard to provides a protective barrier from storm surge, wind, and protect bayside homes from waves. flooding associated with coastal storms. In some places,

54 AVALON, NEW JERSEY CASE STUDY: 52 the dunes stand 20–25 feet tall (Dean, 2012; Richard however, regulations have prohibited the borough from Stockton College Coastal Research Center, 2013). These - independently conducting activities due to environmen dunes were expanded in the 1980s to protect more of tal concerns in recent years, such as the protection of the piping plover that is listed as “endangered” under the Avalon’s shoreline. Managing these dunes has required New Jersey Department of Environmental Protection’s much time and attention by the borough’s Environmental Commission. The borough has worked with specialists at - Endangered and Nongame Species Program and “threat ened” under the federal Endangered Species Act (U.S. the Cape May County Extension Office of the Federal Department of Agriculture to select appropriate plants Fish and Wildlife Service, 2012; New Jersey Department and grasses to build the dune system’s root structure, of Environmental Protection, 2015; Pagliughi, 2015). In certain cases, Avalon has been able to obtain temporary including the development of a specialized “Cape Dune legal exemptions to these regulations. Avalon officials Grass” that is suitable for Avalon and other areas of the feel that the regulations are overly invasive because its country with similar climate and soil conditions. Local beach nourishment activities benefit both wildlife and nurseries and the Department of Public Works prop - tourism (deButts, 2015; Pagliughi, 2015; Wahl, 2015). agate these grasses, which are planted by volunteers - Regulations have also prevented Avalon from imple on scheduled dune maintenance days. The dunes must menting beach nourishment approaches when and also be maintained after storm events. Currently there is where borough officials feel they are needed. a dune template (i.e., blueprint) approved by the Army Corps of Engineers that the borough must comply with when conducting any maintenance efforts (deButts, 3. Hazard Mitigation Planning and 2015; Pagliughi, 2015; Wahl, 2015). Communication Avalon Business Administrator Scott Wahl insists that the Replenishing beaches with sand is another important number-one goal of all its shoreline protection efforts aspect of Avalon’s shoreline protection efforts. Beaches is to save lives. It also tries to learn from storms, even along Avalon’s northern shoreline regularly lose sand due ones that do not occur in Avalon. Scott Wahl shared to storms, tides, currents, and an eddy created by the that “every event is an education.” As such, Avalon 8th Street jetty. This sand is washed to southern points has invested in a number of strategies to improve its on the island, where the beaches are actually widening. capacity to share information and respond to storms. Beach erosion is a problem for the borough because - These efforts are outlined in the borough’s 2010 haz sand is vital for both storm protection and tourism. When ards mitigation plan, which it is working to revise as of permits and sand volume allow, beach fills are completed 2015. Avalon has an online and social media presence to with sand dredged from the Townsend Inlet or from share up-to-date information when storms occur. It has a the south end of Avalon. Beach fills are an expensive reverse 911 system to contact residents with emergency endeavor, often costing more than $100,000. To more information, as well as a dedicated AM radio station. systematically address the problem, Avalon entered into Telephone poles throughout the borough also display a $62 million ($80 million in $2014), 50-year agreement tide markers, so individuals know what a certain level with the Army Corps of Engineers in 2003 for scheduled of tide means and can prepare appropriately. Avalon beach nourishment activities (replenishing beaches with - recently acquired a mobile animal shelter after witness sand) every three to five years. Unfortunately, the Army ing that residents were reluctant to leave their homes Corps of Engineers fell several years behind schedule and during storms. has since been working with Avalon to conduct beach nourishment activities after storm events rather than at 1962 Nor’easter Motivates Avalon to a specified schedule. Create Policies Supporting Development of Natural Dune System Interviewees note that regulations have become a barrier to dune maintenance and beach fill activities. Avalon On Ash Wednesday in 1962, a large nor’easter hit the previously managed its own nourishment activities; New Jersey coast. At the time, Avalon was not a tourist

55 AVALON, NEW JERSEY CASE STUDY: 53 Exhibit 3. Avalon’s sand dune system. Source: Borough of Avalon, 2009. destination and was not as developed as it is today. started a property exchange or buy-out program to acquire properties as borough land and compensate land Nevertheless, the storm devastated structures and the shoreline. News articles and reports stated that up to owners who lost their homes in the storm (Ianieri, 2009). As noted in a news piece, Avalon zoning official Frank six feet of sand had moved 1,000 feet inland; homes were gutted and some were picked up and moved from McCall shared that in the late 1960s, Avalon created Dune their foundations. There were vacant tracts of land where Line Ordinance 442, which created a no-build zone along the beachfront and set properties back from the ocean homes once stood (Gabbet, 1962; New York Times, 1963; Farrell and Sinton, 1983). (Barlow, 2012). In 1968, Avalon bought hundreds of acres of beachfront to create a 500-foot buffer between its This storm motivated Avalon to take some important dunes and its first row of homes (Hanley, 1998). Finally, in steps to prepare for future storms. Some efforts took 1979, Avalon created its first master development plan to more than a decade to put in place. The first major effort - help articulate its long-term growth plans. Avalon devel oped this plan later than neighboring communities and, was the development of physical infrastructure. Avalon according to Mayor Pagliughi, this enabled the borough built a seawall, a 4,500-foot bulkhead, a jetty at the north end of the island, and four groins perpendicular to learn from their experience. For example, Avalon’s lot sizes are bigger than neighboring communities, which to the sea wall about 1,500 feet apart (Farrell and Sinton, 1983; Perez, 2013). helps control the quantity of structures, stormwater runoff, and flooding potential. Avalon’s second major effort to prepare for future The third, and most important, action further prepared storms was changing development codes to reduce the Avalon for future storms by developing a sand dune potential impact of future storms. For example, Avalon system (Exhibit 3). These dunes were constructed by the restricted the number of motels and controlled the size borough on vacated portions of land (Ianieri, 2009). As of private homes (Sullivan, 1966). In 1962, Avalon also

56 AVALON, NEW JERSEY CASE STUDY: 54 Exhibit 4. Avalon’s maritime forest. Source: Borough of Avalon, 2009. a concession, Avalon allowed a four-block section of the or established, and development exists just behind the borough to be developed in order to preserve the larger seawall (Farrell and Sinton, 1983). This area remains dunes (Sullivan, 1966). Today, these dunes have been highly vulnerable to coastal storms even with a number of natural and hard barriers. expanded and have naturally developed into maritime forests in some locations (Exhibit 4). While most of these dunes are owned by the borough, there are cases where Hurricane Gloria Motivates Avalon to Renew individuals have retained ownership of dune-covered its Shoreline Protection Efforts land. These owners never officially accepted Avalon’s Despite the development of dunes, a seawall, and a jetty buy-out, and pay nominal property taxes each year (less after the 1962 nor’easter, Mayor Pagliughi shared that than $1; Ianieri, 2007). the borough still needed to use “stop-gap” measures to mitigate the damage of individual storms, particu - Private property ownership of some of the dunes has larly along the north end of the borough where dunes were not established. After these protections were put created some problems for the borough. For exam - ple, in 2012, the Avalon was ordered to pay one couple in place, Avalon did not work to intensively maintain or build upon these efforts. When Hurricane Gloria hit in $284,000 ($292,834 in $2014) to compensate them late September 1985, the borough experienced exten - for their property, which they had intended to rebuild sive damage. A portion of the dune system, valued at decades after the 1962 nor’easter (Ianieri, 2007; Leach, 2010; Associated Press, 2012). In other parts of Avalon, $821,000 to replace ($1.8 million in $2014), blew away (Sullivan, 1985). Borough officials identified this time as housing was allowed to remain. In the north end of critical for renewed shoreline protection efforts. Mayor Avalon, an extensive dune system was never planned

57 AVALON, NEW JERSEY CASE STUDY: 55 Martin Pagliughi said, “We concentrated on the beach range of groups, including the Avalon Home and Land front as the primary focus (of our efforts) because in Owner Association and scout troops. The volunteers plant grasses and learn about Avalon’s dune system. 1985 and 1986 water was running through the living rooms of the houses. There was zero protection. We The Wetlands Institute, a local nonprofit, also conducts weekly tours of the dune system in summer months said ‘We’ve got to look at something here.’ Nobody else is going to do it. They’re not going to come to you and for tourists. The Avalon Environmental Commission has developed educational placards along the beach say this is what you’ve gotta do. The town’s gotta come up with it. We’ve got to find a solution.” access paths. Finally, the borough uses severe events as an opportunity to remind the community about the importance of Avalon’s shoreline protection efforts. As a Long-Serving Leadership Maintains result of these public education and outreach activities, Momentum there is broad community support for shoreline protec - The leadership of Avalon has changed little over the past tion projects, even when local taxes are needed to fund 25 years. Mayor Martin Pagliughi served on the Borough protection efforts. Council for four years before being elected as mayor in 1991 (State News Service, 2014), and has been serving as Maintaining Shoreline Protection mayor ever since. Several borough staff have been active Infrastructure for Ongoing Resiliency for nearly as long, including semi-retired Public Works to Storms Director Harry deButts, who now serves as the borough’s Avalon sees shoreline protection as vital to protect human Deputy Emergency Manager. These individuals helped life as well as to maintain its built infrastructure and tour - to develop and oversee shoreline protection in Avalon; ism industry. Officials stress that Avalon cannot rely rally public, state, and federal support; and ensure that necessary funding is there to maintain the borough’s entirely on state or federal dollars given the importance of these efforts and the need to act quickly. Waiting to various protection efforts in a timely manner. receive outside funding would leave Avalon vulnerable to storms and could jeopardize its beach tourism economy. Building and Maintaining Community Buy-in Avalon officials stated that they do not get frustrated - Avalon’s shoreline protection efforts involve an ongo with the near-constant need for repairs. They see main - ing public education and outreach campaign. Scott tenance as part of their job, and something that needs to Wahl put it quite simply, “Dunes and beaches provide be planned and budgeted for. Scott Wahl said, “The beach an overwhelming benefit to the town.” Avalon engages is an investment, not an expense.” Avalon budgets 5–10 the community in a number of ways. The borough holds years into the future, with maintenance efforts usually annual talks with the Avalon Home and Land Owner occurring every few years and after storms. Association to explain the role the dunes and hard infra - structure play in protecting the borough. Additionally, Funding Shoreline Protection - the borough reminds residents that its shoreline protec tion efforts have a direct benefit to them through lower Avalon officials recognize that diverse funding has been a crucial resource for Avalon’s efforts. Over the past 25 flood insurance premiums. Shoreline protection is also incorporated into the local school curriculum. Children years, the borough has used tens of millions of dollars on beach nourishment activities. Locally, Avalon’s funding help to grow seeds at the borough’s greenhouse and later plant Avalon’s specialized variety of dune grass with the has come from a combination of local taxes and bonds borough’s Public Works Department. Borough officials acquired by the borough. Avalon is a relatively wealthy feel that children are the best and most invested advo community with a strong property tax base, which can - - be used for its comprehensive shoreline protection strat cates for Avalon’s dune system and protection efforts. egy. At times, even after major storms, state and federal Each spring the borough’s Environmental Commission funding have failed to come through, pushing Avalon to holds a volunteer dune grass planting event, or “Dune rely on its own tax base. Grass Planting Party.” This event usually brings in a

58 AVALON, NEW JERSEY CASE STUDY: 56 Beginning in 1992 and 1993, the borough hired consul - - flooding) (Pagliughi, 2015; Wahl, 2015). Borough offi tants to navigate funding opportunities and lobby for cials also tout a statement from Assistant Secretary of the Army Jo-Ellen Darcy after Hurricane Sandy that “... pressing shoreline protection measures at the state and the property behind the beaches in Avalon were well federal levels. Lobbyists have helped Avalon access more protected...where there has been no federal beach proj - funding than if it had tried to identify and pursue funding ect, the community didn’t fare that well.” However, Cape avenues on its own. Lobbyists also give the borough a presence in Washington, DC, freeing it to focus on local May County and Avalon were not among the hardest-hit counties in the state (O’Dea, 2013). Avalon officials see matters. Key borough officials, such as the mayor, also make trips to Trenton, NJ, and Washington, DC, from its efforts as necessary for the survival of the community. These efforts “keep (Avalon) from washing off the face time to time to advocate for shoreline protection efforts - of the Earth,” says Mayor Pagliughi. However, Avalon offi in Avalon. This includes several meetings and presenta - cials admit that they cannot protect Avalon from every tions with high-level staff in the Congress and Executive storm. While officials feel they are doing everything they Branch. Avalon estimates that over time it has obtained can to prepare for storms, even potentially more severe more than $50 million in federal, state, and local funding ones that might come with climate change, they know to support natural buffers, hard infrastructure, and other that a truly severe storm still has the potential to inflict - hazard mitigation activities. For state and federal fund ing, Avalon almost always needs to provide matching serious damage. Nevertheless, borough officials have not seriously considered new potential impacts of climate funding or meet certain requirements to be eligible. For change such as sea level rise. federal funding, the borough typically needs to contrib - ute 9 percent of the total project cost (deButts, 2015). - Avalon’s efforts have helped it earn a number of achieve A key challenge for Avalon is convincing others of the ments and accolades. First, Avalon has the best rating on the National Flood Insurance Program’s CRS among importance of shoreline protection. Particular pushback coastal communities in New Jersey. This low rating gives has come from the federal Office of Management and - Budget (OMB). Borough staff reported that OMB is trying residents a reduced flood insurance rate. Avalon has car to increase coastal communities’ share of the cost of Army ried out a number of activities to specifically address Corps of Engineer beachfill projects. To work against these components of the program to achieve this rate. For - barriers, borough officials inform agency staff and elected example, Avalon is “increasing building heights; get ting easements on the beach; maintaining a large dune officials that $1 invested by the federal government for system; having a flood warning system for residents; - beach protection results in $320 ($376 in $2014) in fed completing beach replenishment projects; installing 14 eral tax revenue from beach tourism (Houston, 2008). pumping stations to remove water; requiring flood vents Borough staff also emphasize the importance of beach tourism as a national economic driver. on homes to prevent houses from being pushed off their foundation; maintaining drainage systems; setting up an emergency evacuation center in Cumberland County; and preserving open space” (Degener, 2013). Second, Accomplishments of Avalon’s Avalon has a Standard & Poor’s AAA bond insurance Shoreline Protection Efforts rating (deButts, 2015; Pagliughi, 2015). This high rating Avalon’s dune system has helped the borough weather a - means Avalon is a good investment. It helps the bor ough to secure better financing rates on loans when it number of storms with minimal property damage. While mostly tied to anecdotal evidence, all those interviewed aims to carry out shoreline protection measures. Third, for this case study agree that Avalon’s work has helped in 1996 Avalon earned recognition from the Insurance protect it from storm damage and is a model for other Institute for Property Loss Reduction with a Community Spotlight Award (Press of Atlantic City, 1996). Finally, in communities. One measure of this is that after Hurricane 1997 Avalon won the Hurricane Mitigation Award during Sandy, Avalon did not have a single total loss property the National Hurricane Conference—an event sponsored in the entire borough (though many homes experienced

59 AVALON, NEW JERSEY CASE STUDY: 57 by the U.S. Federal Emergency Management Agency (FEMA), the American Red Cross, the National Weather Service, and the National Oceanic and Atmospheric Administration (Keough, 1997). Avalon officials regularly share information on their community’s shoreline protection efforts, indicating that they have spoken with counterparts in places such as Anchorage, AK; Galveston, TX; Saco, ME; as well as nearby communities. Additionally, they have presented at national conferences, and held meetings and pre - sentations with high-level staff in the Congress and Executive Branch. The borough is eager to share its story with other communities that can learn from Avalon’s efforts. Officials encourage other communities to reach out to them. Moving Forward Despite its efforts to protect itself against storms, Avalon still has a number of vulnerabilities. As already described, since Avalon sits on a barrier island, flooding and storm surge pose a threat to back-bay properties, which are not protected by natural barriers. However, several pump stations were recently installed to address this issue. The borough also recently passed an ordinance to heighten bulkheads as properties are redeveloped or undergo significant improvements. Borough officials, Exhibit 5. Japanese black pines in including Mayor Pagliughi, acknowledge that these Avalon’s dune system. Source: Alexis St. Juliana, Stratus Consulting. bulkheads will not prevent flooding, but instead will reduce the impacts of waves during storms. It will take 15–30 years before most of the bulkheads along Avalon’s back bay meet the new height requirements. population level is low. However, during the summer, the - bridge presents a critical vulnerability to quickly evac The north end of the borough is also still quite vulnera - uate tens of thousands of visitors in both Avalon and ble, despite the installation of rip rap and a small dune Stone Harbor. system. Avalon continually re-evaluates its options for protecting this area, but acknowledges it will likely Avalon’s next big project is the probable development remain the most vulnerable section of the borough, even of several “T”-shaped breakwaters perpendicular to the with significant improvements. shore. The borough expects that these structures will reduce beach loss and the need for expensive beach Limited storm evacuation routes also contribute to nourishment activities by the Army Corps of Engineers— - Avalon’s vulnerability. There is only one bridge lead helping to save money in the long run. Sea level rise is ing to the island. The bridge has sufficient capacity to being considered in the development of the design of cope with an evacuation in winter months, when the the breakwaters. The height will be adjusted based on

60 AVALON, NEW JERSEY CASE STUDY: 58 mid-range projections for the region. The major concern Acknowledgments - among Avalon residents with this project is the aesthet - We would like to thank the following people for partici ics of the breakwaters, which the project consultant pating in interviews as part of this case study: intends to address in the final recommendation report. Other alternatives were considered, but the breakwaters Martin Pagliughi, • Mayor of Avalon and Cape May have emerged as the most feasible option considering County Emergency Manager both cost and engineering. In the meantime, the Borough Avalon Deputy Emergency Manager Harry deButts, • Council recently approved a $12 million beach nourish - (former Public Works Director) ment project to address beach lost during Hurricane Sandy (Nevitt, 2015). It has garnered support from the • Chair of the Avalon Environmental Brian Reynolds, community despite the cost. Future action might also Commission include the elevation of properties (not just structures), Hatch Mott MacDonald hired as Thomas Thornton, • when significant redevelopment occurs. Avalon’s Borough Engineer The Environmental Commission is also leading efforts to Avalon Business Administrator (former Scott Wahl, • populate the dunes with native plants and grasses for Public Information Officer). further dune maintenance and storm protection. When the dunes were first developed, Japanese black pines were the optimal choice to develop a strong root system Bibliography and resist pests (Exhibit 5). However, the pines are inva - sive, susceptible to pests, and present a fire hazard. The American Community Survey. 2012. American Environmental Commission is working with the Avalon Community Survey. American FactFinder. U.S. Census Home and Land Owner Association and others to remove http://factfinder.census.gov/faces/ Bureau. Available: . Accessed August 19, 2013. nav/jsf/pages/index.xhtml the invasive species. The borough’s Dune Management Plan, finished in 2009, serves as a guide for selecting Associated Press. 2012. After 50 years, couple wins desirable plants and carrying out the invasive removal beach house suit. The Times (Trenton). April 7. and re-vegetation in an appropriate manner (Borough of Avalon, 2009). Communities in New Jersey and Barlas, T. 1991. Storm’s cost nears $27M / Final damage Delaware have expressed an interest in the dune vege - estimate expected to top $30M, Cape Officials say. The tation management plan as a model for their beach and Press of Atlantic City. November 5. dune management efforts. Avalon’s nearest neighbor, Stone Harbor, recently adopted a similar plan. Barlas, T. 1993. Cape May point officials say persistence got reef funding. The Press of Atlantic City. August 12. Another challenge for Avalon is an impending change in leadership. The mayor has been in office for over 20 Barlow, B. 2012. Are we ready for next time? Changes in forecasting, building codes mean better safety, but years, and its long-time Public Works director retired most agree there’s always another storm. Shore News several years ago. While there have been some efforts Today. March 7. to groom current borough staff for leadership roles in the future, it is hard to know if strong leaders exist to fill Borough of Avalon. 2009. Dune Vegetation this void. Current officials in Avalon point to the fact that Management Plan. Lomax Consulting Group. anyone involved in borough government plays a number December 16. Available: http://www.avalonboro.org/ of roles due the borough’s small size; this helps to build news/dune-vegetation-plan/Website%2012_16_09%20 dedication and a positive culture in Avalon government. . Accessed Dune%20Veg%20Mgmt%20Plan.pdf March 9, 2015.

61 AVALON, NEW JERSEY CASE STUDY: 59 Borough of Avalon. 2013. Flood Mitigation Ianieri, B. 2006. Avalon at sea about much-needed beach replenishment. Press of Atlantic City. January 19. Plan Progress Report. September. Available: http://avalonboro.net/wp-content/ . uploads/2012/09/2013-Progress-Report.Final_.pdf Ianieri, B. 2007. Couple wants to rebuild Avalon House washed away in ‘62 storm. Press of Atlantic City. Accessed March 10, 2015. January 30. Dean, C. 2012. Costs of shoring up coastal communi - Ianieri, B. 2009. Appeals court says Avalon can keep ties. The New York Time. November 5. property from ‘62 storm. Press of Atlantic City. July 29. deButts, H. 2015. Interview with Harry deButts, Borough of Avalon. February 26. Kaskey, J. 1998. The next step / officials begin to survey damage to (Cape May) county. The Press of Degener, R. 1994. Storms steal shore towns’ sand. The Atlantic City. February 6. Press of Atlantic City. March 5. Keough, W.F. 1997. Avalon takes national award by storm. The Press of Atlantic City. April 18. Degener, R. 2013. Avalon builds foot higher to save on insurance. The Press of Atlantic City. July 26. Leach, B. 2010. Avalon must pay for land seized in ‘60s. The Press of Atlantic City. June 23. Dowling, J. 1998. A stormy relationship / for decades, Barrier-Island communities and the tumultuous ocean Nevitt, C. 2015. Avalon approves $12 million beach have been entangled in a delicate dance of man vs. nature. The Press of Atlantic City. February 15. fill project. The Press of Atlantic City. February 12. Available: http://www.pressofatlanticcity.com/news/ breaking/avalon-approves-million-beach-fill-project/ Farrell, S. and J. Sinton. 1983. Storm Mitigation . Planning for Avalon, New Jersey. Stockton Center article_5bba6d56-b2fb-11e4-98f5-834ba76f9bd0.html Accessed March 16, 2015. for Environmental Research. Available: http://www. gpo.gov/fdsys/pkg/CZIC-qc944-f37-1983/pdf/CZIC- New Jersey Department of Environmental Protection. qc944-f37-1983.pdf . Accessed January 22, 2015. 2015. New Jersey’s Endangered and Threatened Wildlife. Available: http://www.njfishandwildlife.com/ FEMA. 2014. Community Rating System. http://www.fema.gov/ . Accessed July 14, 2015. June 1. Available: tandespp.htm media-library-data/1408050845935-ee33e56e - 81c3aa3f26e569ff6b248fa7/19_crs_508_oct2014.pdf New York Times. 1963. Storm Damage of 1962 Is . Repaired in Jersey Areas: Jersey Shoreline Gets a New Accessed April 8, 2015. Look. May 14. Gabbett, H. 1962. Storm-spawned 30-foot seas wreck large sections of coastal resort. The Washington Post, Nordstrom, K.F., N.L. Jackson, M.S. Bruno, and H.A. De Times Herald (1959–1973). March 8. Butts. 2002. Municipal initiatives for managing dunes in coastal residential areas: A case study of Avalon, Hanley, R. 1998. As beaches erode, a debate on who’ll New Jersey, USA. Geomorphology 47:137–152. pay for repairs. New York Times. April 20. O’Dea, C. 2013. Interactive Map: Assessing Houston, J. 2008. The economic value of beaches Damage from Superstorm Sandy. NJ Spotlight. —A 2008 update. Shore & Beach 72(3):22–26. March 15. Available: http://www.njspotlight.com/ http://www.lee-county.com/gov/dept/ stories/13/03/14/assessing-damage-from-super Available: - storm-sandy/ . Accessed March 16, 2015. naturalresources/documents/economic_value_of_ . Accessed beaches_%282008%29_coe_jhouston.pdf Page, P. 1993. Stopping shifting sands. The Times March 11, 2015. (Trenton). July 15.

62 AVALON, NEW JERSEY CASE STUDY: 60 Pagliughi, M. 2015. Interview with Martin Pagliughi, Smith, V. 1991. Storms help shift opinion on dunes. The Press of Atlantic City. November 18. Borough of Avalon. February 26. Parry, W. 1998. Coastal towns love shore-up efforts— State News Service. 2014. Disaster Awareness is a Skeptics call beach rebuilding too costly. The Priority for Avalon Mayor, Cape May County OEM. State News Service. August 11. Star-Ledger. May 17. Perez, I. 2013. Jersey Shore Town Makes Its ‘Own Luck’ Strawley, G. 1993. Avalon pushes for federal funds to protect coast. The Press of Atlantic City. February 7. and Escapes Sandy. E&E Publishing. May 9. The Press of Atlantic City. 1995. The Sand Trap/Shore Sullivan, J.F. 1985. Politics; plans for fund to aid beaches are pressed. New York Times. October 6. Towns Try to Fill the Funding Gap. March 5. The Press of Atlantic City. 1996. Avalon Honored/ Sullivan, R. 1966. New Jersey’s Avalon faces an era of Defending the Dunes. July 2. change. New York Times. August 21. The Press of Atlantic City. 1997. Speaking of The Times. 2003. Expert: Storms take toll, but beaches are resilient. The Times (Trenton). May 21. Hurricanes.../Avalon’s Dunes. April 23. The Press of Atlantic City. 1999. Keeping Sand in its U.S. Fish and Wildlife Service. 2012. Piping Plover, Place/Cape May Point’s Artificial Reefs Halt Tide of Atlantic Coast Population. Available: http://www.fws. gov/northeast/pipingplover/overview.html . Accessed Beach Erosion. March 7. July 14, 2015. Richard Stockton College Coastal Research Center. 2013. New Jersey Beach Profile Network 2012 Annual Wahl, S. 2015. Interview with Scott Wahl, Borough of Avalon. February 26. Case Study Summary Report on Shoreline Changes in New Jersey’s Four Coastal Counties Raritan Bay to Delaware Bay Spring of 2011 Through Fall of 2012. Richard Stockton College of New Jersey. July 31.

63 CASE STUDY: BALTIMORE, MARYLAND 61 Baltimore, Maryland Integrating Climate Change Adaptation into an All-Hazards Mitigation Plan BALTIMORE, MARYLAND Alexis St. Juliana, Karen Carney, and Jason Vogel AUTHORS: In this case study, you will learn about: • Using an existing process to integrate climate change adaptation into practice Community engagement processes, including advisory committees, town hall events, • and community meetings • Strategies for engaging in meaningful discourse at community events • Easing the transition from planning to implementation by identifying links between existing programs and future work Using existing community leaders to help spread key messages and engage others • Using grant funding to support initiatives • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

64 BALTIMORE, MARYLAND CASE STUDY: 62 Case Study Summary The Broader Context of Community- Based Adaptation in Baltimore The City of Baltimore is a large, diverse city; it is vulnerable to a number of climate threats, including Baltimore has been working on environmental sustain - heavy precipitation, drought, wind storms, hurricanes ability endeavors for nearly a decade; these efforts laid or tropical storms, storm surge, coastal inundation, the groundwork for its all-hazards mitigation and climate - sea level rise, extreme heat, and degraded air qual change adaptation efforts (Exhibit 1). Many of the same All-Hazards Mitigation Plan ity. In 2012, the city’s people who were involved in early efforts remained involved was due for a periodic update. City staff used this as the city began to address climate change adaptation. opportunity to integrate a climate change risk and vul - nerability analysis into the updated plan − the Disaster One of the city’s first sustainability efforts was The (DP3). To develop the Preparedness Project and Plan Baltimore Sustainability Plan. Development of the plan DP3, city staff conducted a variety of engagement began in 2006, when three Baltimore leaders spurred strategies to gather input from the community. They the city to begin thinking more critically about envi - felt that a thorough and intentional engagement pro - ronmental sustainability. These leaders included Mayor cess would help build a plan with feasible actions that Shelia Dixon, City Council Member Jim Kraft, and Beth - had community member support. The plan’s vulner Strommen in the Department of Planning (Baja, 2015; ability analysis identified flooding, extreme heat, and Heller, 2015). By 2007, with the support and actions of multiple types of storms as the greatest threats to these leaders, the City Council approved the creation of a Baltimore. The DP3 included 50 strategies and 231 new Baltimore Commission on Sustainability (Baltimore - actions intended to help Baltimore reduce its vulnera city Council, 2007a, 2007b). In 2009, the city released bility to current hazards and future changes in climate. The Baltimore Sustainability Plan (Baltimore Office of Sustainability, 2009). Baltimore staff also believed that educating community members on existing hazards and climate change would In 2007, the city created the Office of Sustainability, help residents and neighborhoods be better prepared - which now leads Baltimore’s all-hazards mitiga to respond to extreme events and climate hazards. tion and climate change adaptation planning efforts, Building off of the process and the consensus that DP3 - as well as many other sustainability-related ini generated, the city quickly transitioned from develop - tiatives. The Office of Sustainability grew from ing the DP3 to implementing vulnerability reduction two people in 2007 to 12 in 2015 (Kennedy, 2015). Staff actions, with a specific focus on reducing vulnerability actively seek grants from a variety of sources including to flooding, storms, and extreme heat. These actions state funding and foundations; this has helped them to included the city’s new disaster preparedness initiative develop plans and projects, and to fund staff positions. for residents, called Make a Plan, Build a Kit, Help Each As discussed later in this case study, many of Baltimore’s Other, and the city’s effort to improve neighborhoods’ sustainability, climate change mitigation, all-hazards capacity to prepare and respond to hazardous events, mitigation, and climate change adaptation activities are - called Resiliency Hubs (see below for a detailed explo funded through grants (Baja, 2015; Kennedy, 2015). ration of these two actions). In 2012, the Office of Sustainability and the Baltimore In 2015, the city’s comprehensive adaptation planning and Climate Action Plan (CAP) Advisory Committee guided implementation efforts earned Baltimore the American the development of the CAP, which focused on green - Society of Adaptation Professionals’ Prize for Progress house gas mitigation efforts (Baltimore Office of in Adaptation. However, it remains to be seen whether Sustainability, 2013). Climate change adaptation prior - building the capacity of residents and neighborhoods will ities appeared in the CAP as an area for future work. In reduce the city’s vulnerability to climate impacts. 2011, at the same time that Office of Sustainability staff were drafting the CAP, Baltimore’s 2006 All-Hazards

65 BALTIMORE, MARYLAND CASE STUDY: 63 Climate The Baltimore Establish Request to Baltimore earns All-Hazards Baltimore American Society Action Sustainability Disaster Mitigation commission on Federal of Adaptation Plan Plan Preparedness Plan Emergency sustainability, Professionals’ Management Oce of Project and Prize for Progress Agency to Sustainability Plan (DP3) in Adaptation incorporate climate change Make a Plan, Build a Kit, Help adaptation in Each Other campaign all-hazards mitigation plan Resiliency Hubs pilot project 2011 2012 2006 2007 2014 2013 2015 2016 2009 Exhibit 1. Timeline of actions in Baltimore, MD. Mitigation Plan was due for its five-year update—as of climate change adaptation. However, they were ulti - mately only able to include a short discussion of future mandated by the Federal Emergency Management adaptation planning. Thus, the staff decided to include Agency (FEMA). Staff requested and received a one-year extension from FEMA so that they could integrate risk comprehensive adaptation planning within the DP3. This analysis, vulnerability assessment, and climate change seemed like a natural fit to the staff, given their feeling adaptation planning. This process yielded 231 actions that climate change adaptation planning should align to reduce Baltimore’s vulnerability to current hazards closely with all-hazards mitigation and climate change mitigation (Baja, 2015; Kennedy, 2015). Kristin Baja and future changes. Of the actions in the DP3, this case study focuses on two of the early and ongoing actions said, “Everything that you do with a climate adaptation plan, like a risk assessment, a vulnerability assessment, implemented by Baltimore that help build capacity in residents and neighborhoods—Make a Plan, Build a Kit, needs to be done in an All-Hazards Mitigation Plan. Both of these things were coming up at the same time... Help Each Other and Resiliency Hubs. The city has com - they were so similar. We thought it made more sense to pleted a number of these actions in order to reduce its combine these efforts and make the connection with... vulnerability (see text box). climate mitigation, so that all of these plans are more comprehensive, working together, and complementing each other” (Baja, 2015). To develop and integrate adap - Why and How Baltimore Integrated tation into the DP3, staff Beth Strommen and Kristin Climate Change Adaptation into Baja obtained additional funding from the Maryland the DP3 Department of Natural Resources and the Maryland Emergency Management Agency (MEMA; Baja, 2015). City Staff Seized Opportunity to Include Adaptation in an All-Hazards Mitigation Analysis of Climate Change Risks and Plan Update Vulnerabilities Shaped the Plan As discussed above, Baltimore and its Office of The DP3 included analyses of climate change risks, vul - Sustainability had a long history in working on cli - mate change mitigation and sustainability. During its nerabilities across Baltimore, and Geographic Information efforts on the CAP, staff in the Office of Sustainability Systems information. These assessments were integral to had originally wanted to include an in-depth coverage developing the strategies and actions in the DP3.

66 BALTIMORE, MARYLAND CASE STUDY: 64 information on future climate conditions, such as more extreme events and events not experienced in the past. EXAMPLES OF OTHER ADAPTATION ACTIONS City staff relied on readily available climate data from RESULTING FROM DP3 experts including Rich Foot, a local climate scientist, and agencies and organizations including NOAA, the Baltimore Adoption of a new floodplain code— National Climate Assessment, the Maryland Department percent chance of a now regulates to the 0.2 of Natural Resources, MEMA, the Union of Concerned flood citywide (or, a flood once in 500 years), Scientists, and the Intergovernmental Panel on Climate has a Flood Resilience Area in tidal zones, and Change (IPCC). As an example, the city used sea level enforces a two-foot freeboard requirement. rise projection ranges from the Maryland Climate Change Multiple new and redeveloped structures have - Commission and the IPCC. Temperature and precipita been flood-proofed or elevated to reduce risk to tion projections came from the IPCC (City of Baltimore, people and property. 2013). However, the IPCC projections were for a very broad region. City staff understood this was a limitation; Adoption of the International Green Construction data were not available at a local scale and the city did Code, Electrical Code, and Plumbing Code— not have the resources for new modeling efforts. The city considers energy efficiency, greening, and stormwater management for building permits citywide. EXHIBIT 2. HAZARDS ADDRESSED IN THE DP3 Development of the Growing Green Initiative— Poor air quality The initiative transforms vacant land to green Coastal storms space, reduces stormwater runoff, grows food, Dam failures and creates community spaces. Seven major Droughts projects are currently being implemented. Earthquakes Extreme heat events The city requires Capital Improvement Process— Floods all departments to explain how their project takes Hurricanes/tropical storms climate change into account and makes the city Landslides/land slumps more resilient. Sea level rise Severe winter storms Removal of impervious surface and planting of Storm surge/coastal inundation The city and partners are using these efforts trees— Tornadoes to manage flooding and high heat. Thousands Tsunamis of trees have been planted and many sections of Windstorms impervious surface have been removed. Winter Storms and Nor’Easters Sources: City of Baltimore, 2015; City of Baltimore, 2014. Thunderstorms (lightning and hail) Source: City of Baltimore, 2013. Climate change risk analysis: Two types of information influenced Baltimore’s climate change risk assessment. First, city staff consulted information from FEMA, MEMA, and the National Oceanic and Atmospheric City staff developed an in-house Vulnerability analysis: Administration (NOAA) to develop a list of key local Vulnerability Assessment Tool for Advisory Committee climate hazards or risks (Exhibit 2), described the risks members to rank possible hazards in terms of probability in detail, and shared information on historic events or - of occurrence, human impact, property impact, eco trends related to those risks. Second, the city located nomic impact, and the city’s level of preparedness. This

67 BALTIMORE, MARYLAND CASE STUDY: 65 tool showed that extreme heat, as well as multiple types stakeholders served on infrastructure, buildings, natural systems, and public services subcommittees. The full of storms presented the greatest risks for Baltimore (City committee met five times throughout the development of Baltimore, 2013). - of the DP3. City staff helped keep the advisory commit tee informed and connected between meetings. Geographic Information System analysis: The city also carried out an in-house geographic information system - Part of the city’s strategy in selecting the advisory com analyses. One component of this was a Community Asset mittee was to bring in community liaisons that could Inventory to identify physical and societal vulnerabilities. effectively inform the community of the city’s plans. At This inventory mapped major employers, cultural assets, - the same time, the advisory committee allowed repre and specific segments of the population such as chil - sentatives of various community entities to contribute dren, elderly, and residents who did not speak English. to the plan in a forum where their ideas were weighed Additional assessments mapped potential climate risks equally and not readily dismissed (Baja, 2015). Inez Robb or current land use to help identify the community assets served on the Advisory Committee for the Sandtown- that were most vulnerable to a given hazard (see for Winchester neighborhood and said that she joined example, Exhibit 3; City of Baltimore, 2013). For example, because, “I thought it would educate the community. It using FEMA’s Hazus-Multi-Hazards tool, the city mapped would help me to help others to understand. I believe wind, storm surge, and sea level rise vulnerability across in it genuinely, I know it is important. ...I have to look the city. at all angles...to help me to have a better quality of life and the people I know.” She felt that many of her con - Broad Scale Community Engagement tributions were accepted by the Advisory Committee, Influenced the Plan such as her suggestion to include telephone numbers To ensure the actions in the plan were feasible and had in all outreach documents because not all community - community member support, city staff aimed to edu members have access to email. She also felt that the cate community members and gather input on disaster Advisory Committee was an effective body overall. The preparedness and climate change adaptation during the committee members were engaged and willing to work - development of the DP3. To accomplish this, they devel through differences to reach consensus (Robb, 2015). oped an intentional community engagement process. Gene Taylor, the Chief Security Officer at Baltimore’s They wanted the DP3 process to start a dialogue that - National Aquarium, has contributed to several emer would continue after the development of the plan. This gency management activities in the city and served on community engagement process went beyond what the the building sub-committee for the DP3. The aquarium is city had done in the past for efforts like the Sustainability located adjacent to water in the city’s Inner Harbor and Plan or CAP; the engagement process was central to is highly vulnerable to storms, such as Hurricane Isabel building support for the DP3. The three main engage - in 2003. Kristin Baja, also the city’s Floodplain Manager, ment pathways included an Advisory Committee, town put the builder of a new downtown facility in touch hall meetings, and community meetings. with Gene Taylor to share guidance. With his advice, the builder ultimately installed floodgates and other storm Advisory committee and sub-committees: The DP3 protection measures (Taylor, 2015). Advisory Committee consisted of 35 representatives from city agencies, emergency response entities, public City staff coordinated two town Town Hall meetings: utilities, public health agencies, hospitals, businesses, hall meetings as part of the DP3. These meetings are neighborhoods, local non-profits, and other entities. typical of community engagement processes in the Initially, city staff wanted to have nearly 60 members on city; similar events were held to develop the CAP (Baja, the advisory committee, but decided to cap participation 2015; Kennedy, 2015). To encourage meeting attendance, at 35 members and involve additional individuals through the city offered transportation support, childcare, and refreshments (Baja, 2015). A total of 153 people attended subcommittees (Baja, 2015). Subject matter experts and

68 CASE STUDY: BALTIMORE, MARYLAND 66 Exhibit 3. Baltimore City tree canopy map developed to determine community assets susceptible to extreme heat. Source: City of Baltimore, 2013.

69 BALTIMORE, MARYLAND CASE STUDY: 67 the two meetings (City of Baltimore, 2013). In addi - tion to sharing information about climate hazards and preparedness and gathering input from dialogue with community members, staff conducted two participatory exercises (City of Baltimore, 2013): Each participant was given 500 “DP3 Dollars” and asked - where the city should spend the $500 to create resil ience. Participants’ spending reflected: • 22 percent on stormwater infrastructure 21 percent on resilient energy systems • percent on transportation infrastructure • 19 Exhibit 4. Community member voting in a town percent on human health programs 15 • hall participatory exercise. Source: City of Baltimore, 2013. • 12 percent on trees and greening percent on building codes • 10 injury or damage if a hazard occurred. The sessions also helped inform the strategies and actions established for Each participant was given six stickers to place next - the DP3. City staff targeted these meetings in neigh to individual strategies he or she felt were important borhoods most vulnerable to impacts and worked with (Exhibit 4). From most selected to least selected, com - a community member or liaison to identify participants munity members chose: and host the event (Baja, 2015). • Integrate resiliency, redundancy, and structural stabil - ity into the city’s drinking and water system to ensure Kiesha Allen hosted one of the events in her home safe and reliable water storage and distribution (Exhibit 5). She felt that it was important for her and her neighbors to learn about flood risk because several • Modify urban landscaping requirements and increase waterways separate their neighborhood from the rest permeable surfaces to reduce stormwater runoff - of Baltimore, they are far from some emergency ser • Create an interconnected network of green spaces vices, there is no natural community meeting-place in the to support biodiversity and watershed based water event of a disaster, and the June 2012 derecho storm had quality management heightened their concerns about natural disasters (Allen, 4 2015). Kiesha Allen said, “It ended up being 15 people in Use green corridors and parks to help protect surround • - my dining room...just to get together and brainstorm and ing communities from the impacts of hazard events. answer questions... We used software...to determine our risk factor on flooding. Where I live, it wasn’t a surprise. - City staff coordinated sev Community meetings: It was a surprise for people that lived on the higher land. eral smaller community meetings with typically 20 or They thought they were safe. They realized ‘Oh, so we’re - fewer people in residents’ homes, churches, commu not safe.’ We wouldn’t have known otherwise” (Allen, nity centers, or libraries (City of Baltimore, 2013). These 2015). She felt that she and her neighbors learned a lot meetings focused on climate changes, including flood about current flood risk in their neighborhood and future - risk or extreme heat, and educated community mem flood risk from climate change, as depicted using the bers about the risks in their neighborhood. The sessions software tools. The meeting included information on how identified and shared preparedness measures and the to prepare for flood events by elevating appliances and actions participants could take to reduce the chance of 4. A derecho is “a widespread, long-lived wind storm. Derechos are associated with bands of rapidly moving showers or thunderstorms” (NOAA, 2015). The derecho produced approximately 60- to 70-mile-an-hour winds, caused major wind damage, and knocked out power to nearly 900,000 homes in Maryland. Because the power outages occurred during the hottest portion of the year, a lack of air conditioning contributed to several heat-related deaths (U.S. DOC, 2013).

70 BALTIMORE, MARYLAND CASE STUDY: 68 waterproofing basements. She felt that flood insurance, in particular, is not a viable option for everyone because of the cost (Allen, 2015; City of Baltimore, 2013). As a result of the multiple engagement activities, the Advisory Committee and city staff developed 50 strate - gies and 231 actions to reduce Baltimore’s vulnerability to current hazards and future changes in climate. The - Advisory Committee and city staff considered and pri oritized each action’s feasibility and a number of other criteria (Baja, 2015). Exhibit 6 represents a subset of strategies and actions with high-priority scores. Exhibit 5. One of several community meetings. Source: City of Baltimore, 2013. EXHIBIT 6. SAMPLE STRATEGIES AND ACTIONS FROM THE DP3. Strategy Infrastructure-1: Protect and enhance the list of plant and tree species known to have a resiliency and redundancy of electricity system broad range of environmental tolerances • Action: Establish a comprehensive mainte - Action: Partner with utility to evaluate protect • - nance program that includes pruning for sound ing power and utility lines from all hazards structure and the removal of hazardous limbs Action: Determine low-lying substation vulner - • - and trees. First focus on areas where vulner ability and outline options for adaptation and able infrastructure is nearby such as energy mitigation supply and roads Strategy Buildings-2: Enhance city building Strategy Public Services-3: Designate community codes that regulate building within a floodplain leaders and organizations that can assist and or near the waterfront provide support during hazard events • Action: Develop Construction Best Practices for Action: Identify and evaluate plans already in • development within floodplains place and work to improve utilization of com - munity-based leaders to assist in preparedness • Action: Encourage green roof installations to and response include vegetative and reflective technologies for all new commercial, industrial, multifamily, Strategy Public Services-8: Conduct climate, and city-owned development resiliency, and emergency planning education and outreach Strategy Natural Systems-2: Utilize green corridors and parks to help protect surrounding • Action: Educate and train community groups communities from the impacts of hazard events to participate in responding to hazards Action: Anticipate the impacts of future • - • Action: Generate a comprehensive communi changes in temperature and weather on the ty-specific all-hazards outreach campaign urban forest by developing a comprehensive Source: City of Baltimore, 2013.

71 BALTIMORE, MARYLAND CASE STUDY: 69 Participants make emergency plans with the assistance City Staff Moved Quickly from Drafting the of city staff. The plans help community members collect DP3 to Implementation important contact information, identify an evacuation Once the DP3 was complete, implementation began route and meeting place, and list neighbors who might - immediately. One item that Kristin Baja identified as facil need assistance in an emergency. Then participants make itating this transition was cross walking the strategies emergency kits. The kits are not prepared in advance; and actions with existing plans and projects in the city, participants visit stations throughout the meeting space state, and among stakeholder groups (Baja, 2015). She to learn about each item that goes into a kit. Staff have said, “Implementation is not solely on the city. Because a few selected community members build their kits at stakeholders developed the plan and overlapped plan the end of the meeting to ensure attendance through elements with existing projects, this made it more likely the full event. that they will embrace the plan and try to integrate cli - mate change into future thinking” (Baja, 2015). Make a - Staff emphasize building trust with community mem Plan, Build a Kit, Help Each Other and Resiliency Hubs are bers. Many of the participants have had few interactions two examples of high-priority climate change adaptation with city staff, or have historically had negative inter - actions that helped Baltimore meet DP3 goals. actions with city officials. Staff members try to change that by taking citizen concerns seriously. If a community This program Make a Plan, Build a Kit, Help Each Other: member identifies a specific problem on their property is the city’s disaster preparedness initiative for residents, or in the neighborhood, no matter its relation to the topic which relies on multiple avenues to educate and prepare citi - at hand, staff make sure to convey it to the relevant city zens. The program kicked off in April 2014 at a large event with department and follow up until the problem is addressed. 300 participants. Since then, Office of Sustainability staff, - Staff hold themselves accountable for making these con including Kristin Baja, Zane Hadzick, and Alice Kennedy, nections across city agencies and stakeholder groups have conducted approximately 40 smaller meetings (Baja, 2015; Hadzick, 2015, Kennedy, 2015). throughout Baltimore, reaching more than 1,450 commu - nity members (Baja, 2015; Hadzick, 2015, Kennedy, 2015). This program is a new initiative of the Resiliency Hubs: Meetings occur in neighborhoods that have requested par - Office of Sustainability; the program’s focus is to build ticipation in the program or are particularly vulnerable to neighborhood resiliency to climate change and other certain impacts (Baja, 2015; Hadzick, 2015). Staff tailor the hazards. From city staff perspective, these hubs should discussion to each neighborhood’s relative risks or vulner - be a neighborhood building that can serve as a daily abilities (Baja, 2015; Hadzick, 2015). The staff shared three community center and a go-to location in the event of a specific principles that they use to conduct the meetings. - disaster. The location would not be a city-owned build ing, but rather the building of a trusted neighborhood Staff do not use a presentation or slides to share organization, like a non-profit. Ideally, the hubs already information on existing hazards and climate change operate as neighborhood institutions that are used for a risks, vulnerability, or preparedness. This informa - wide range of purposes throughout the year. Over time, tion is in the room on posters and handouts, and staff the hope is that the hubs can meet additional or chang - are prepared to speak to these topics. Staff prefer to ing neighborhood needs in addition to helping reduce begin a dialogue with the participants to learn how the vulnerability of neighborhoods to climate change. recent events have affected residents and what they Additional criteria include capacity to store or collect perceive as the biggest risks in their neighborhood emergency food and supplies, accessibility, multiple - (Exhibit 7). This leads to a discussion on how cli spaces to assist people in the event of a disaster, and a mate change might alter the types of risks the strong liaison to lead the hub. Elements that the project neighborhood faces, or the frequency or intensity of brings to the hubs include increased communication and - existing hazards. In many cases, community mem energy capacity through solar power and back-up bat - bers point to changes that are already taking place teries. Ideally, the hubs would also be environmentally (e.g., the frequency or intensity of rainfall).

72 CASE STUDY: BALTIMORE, MARYLAND 70 Exhibit 7. Sample poster used at various community events. Source: City of Baltimore, 2013.

73 BALTIMORE, MARYLAND CASE STUDY: 71 sustainable and limit energy and water use, and contrib - Accomplishments ute to urban agriculture and neighborhood stormwater Those interviewed for this case study agree that management (Baja, 2015). City staff believe these hubs Baltimore is headed in the right direction to reduce its help improve the capacity of entire neighborhoods to vulnerability to climate change. In addition to developing - prepare and respond to extreme events or climate haz the DP3 and educating stakeholders through the DP3 ards. For example, the hubs serve as a meeting place for process, the city has completed a number of the plan’s residents to come together, which can help them build 231 actions to reduce its vulnerability to existing hazards connections and work together to respond to or recover and climate change. from an event. Considering the three priority climate change concerns Community member Earl Johnson serves on the for Baltimore—extreme heat, flooding, and storms— Baltimore Sustainability Commission and is a trained Baltimore’s actions help reduce vulnerability in a number Community Emergency Response Team (CERT) member. or ways. For example, city staff believe that Make a Plan, He had a similar idea for “Sustainable Blocks,” and idea Build a Kit, Help Each Other and Resiliency Hubs help which closely resembles the city’s vision for Resiliency improve residents’ ability to appropriately prepare and Hubs. Johnson said, “It was important for me for our respond to climate change impacts, including extreme blocks to be more sustainable when it comes down heat, storms, and other events. Similarly, city staff feel to bad weather... I wanted to figure out a way for the that the city’s new floodplain code will, over time, help community members who respond on the ground to ensure that structures are less vulnerable to flooding. be more prepared. If things really went bad, who do Likewise, staff identify the Growing Green Initiative, people turn to? Will they be prepared? That is where we removing impervious surface, and tree planting as efforts started to think about how do we make our blocks more that will help the city better manage stormwater and sustainable and connect people” (Johnson, 2015). The lessen impacts from extreme heat events. city is now working with Johnson to align his ideas with Resiliency Hubs. Some of Johnson’s sustainable blocks Make Plan, Build Kit, Help Each Other, and Resiliency criteria that the city is considering are: Hubs are making progress to help Baltimore reach its Being or becoming aware of basic city services and • goals within the DP3. Since Make a Plan, Build a Kit, who to contact with problems (e.g., trash pickup and Help Each Other began, the city hasn’t had a significant recycling) climate-related disaster. However, there are anecdotal stories of the program’s pervasiveness. Earl Johnson Making sure the blocks are clean • regularly brings up preparedness topics at monthly • Identifying who is at risk in the neighborhood, such as meetings for his neighborhood, Oliver, and surrounding seniors, people with medical conditions, and parents neighborhoods. As a result of this work, he said that his with young children neighbors, “...know there are options. They are changing knowing that there is more than one option. The option • Identifying who on the block can help manage that they typically had was, ‘Make this decision by myself, at-risk population I’m alone—I don’t know what to do.’ Now we collectively - Identifying infrastructure issues (e.g., basements vul • make decisions when it comes down to emergencies.” nerable to flooding, storm drainage issues) Staff are planning to revisit the neighborhoods where they have hosted events to refresh community mem - Identifying evacuation needs • bers’ knowledge and answer further questions (Hadzick, • Ensuring that individuals are prepared for disasters 2015). Resiliency Hubs has also made progress on a pilot and have sufficient food and water (Johnson, 2015). project, having established a back-up power source and

74 BALTIMORE, MARYLAND CASE STUDY: 72 Exhibit 8. Cool roof installation at the Resiliency Hubs pilot. Source: City of Baltimore, 2015. a “cool roof” with The Door, a local nonprofit (Exhibit 8). (Baja, 2015). They hope to have these new indicators However, Make a Plan, Build a Kit, Help Each Other faces developed by winter 2015–2016. In a separate effort, the city is working with George Mason University to a major challenge; its current grant funding ends in 2015 and future funding remains uncertain (Baja, 2015). develop a more rigorous and analytical method for Resiliency Hubs also face several challenges; for exam - determining the effectiveness of its efforts. Specifically, the city wants to be sure it asks residents appropriate ple, some city officials are reluctant to invest in facilities not owned by the city. As a result, Office of Sustainability baseline questions so that it can later assess improved - knowledge of concepts and the effectiveness of its staff are seeking outside funding for activities. In addi tion, more work needs to done to train the hub liaisons capacity-building programs. (Baja, 2015). City staff annually track the progress of each of the Exhibit 9. Summary of the status of DP3’s 231 actions along a continuum—pending, very the 231 DP3 Actions early stage, early stage, mid stage, advanced stage, Pending 62 or implemented (Baja, 2015; Exhibit 9). For example, “Develop stricter flood regulations for critical facilities,” 85 Very early part of strategy Buildings-1, is noted as “implemented” 44 Early because staff successfully changed the floodplain code (Baja, 2015). However, city staff acknowledge it can be 23 Mid difficult to track the success of educating community Advanced 7 members through programs such as Make a Plan, Build a Kit, Help Each Other (Baja, 2015). They are trying to 10 Implemented/ongoing identify new and better indicators through a collabo - Source: City of Baltimore, 2014. ration with the Urban Sustainability Directors Network

75 BALTIMORE, MARYLAND CASE STUDY: 73 City staff are Strengthen public-private partnerships. Moving Forward proud of the work they have done to engage private - To further reduce the vulnerability of residents to exist entities through the DP3 process. They plan to continue ing hazards and the impact of climate change, city staff to engage these entities and help them adapt to climate plan to continue to implement the 231 actions in the change. For example, the city is starting an outreach DP3. The actions and strategies within the DP3 were campaign with waterfront and industrial businesses. designed with multiple criteria, including feasibility, in mind. Despite this, city staff recognize that they cannot Use three principles to guide ongoing work. (1) ensure implement all 231 actions at one time (Baja, 2015). See that social equity continues to be a core value in planning Exhibit 10 for a summary of the status of the actions as and implementation efforts, (2) continue to collaborate of 2014. Some of the actions have a lower priority, are with regional and national networks to enhance climate higher cost, or are targeted for a later date. These actions change adaptation efforts and learn best practices, and will take longer to accomplish. A few priority activities (3) prioritize actions that have both climate change mit - exist in the near-term: igation and adaptation benefits. Continue to make headway on Resiliency Hubs. Just one pilot hub is in progress, but staff envision hubs Acknowledgments throughout the city. Resiliency Hubs may also serve as an extension of Make a Plan, Build a Kit, Help Each Other. We would like to thank the following people for partici - The current funding for Make a Plan, Build a Kit, Help pating in interviews as part of this case study: Each Other will run out in 2015, but city staff see scaling • Keisha Allen—Resident and DP3 community up from individual preparedness to neighborhood pre - meeting host paredness as a natural continuation of this action, and one that might attract new funding (Baja, 2015). • Kristin Baja—Baltimore City Department of Planning, climate and resilience planner Ongoing work to revitalize vacant lots and remove Zane Hadzick—Baltimore City Department of • - Like Resiliency Hubs, revitaliz impervious surfaces. Planning, environmental planner ing vacant lots and removing impervious surfaces are activities that have been started, but that staff plan to Lynn Heller—Abell Foundation, vice president; and • continue as a way to help manage stormwater. Baltimore Sustainability Commission member • Earl Johnson—Resident and trained CERT member Protect cultural and historic assets against climate change. Protecting cultural and historic assets was not • Alice Kennedy—Baltimore City Department of a major element of the DP3, but the importance of these Planning, sustainability coordinator assets was acknowledged. Staff hope to include retro - • Inez Robb—Resident and DP3 Advisory Committee fitting and protecting historic assets into the DP3 within member the next year. They feel the plan is flexible enough to meet these emerging needs (Baja, 2015). Gene Taylor—National Aquarium Baltimore, chief • security officer; and DP3 Sub-committee member. - Continue to effectively earn grant funding for adap tation. Many of the actions in the DP3 will only be achievable with outside support. In this, the Office of Sustainability staff recognize that they might need to be flexible, or make modest adjustments to their DP3 climate change adaptation prioritization to earn grant funding.

76 BALTIMORE, MARYLAND CASE STUDY: 74 Public Awareness about the Causes and Impacts Bibliography of Climate Change; and Providing for a Special Allen, K. 2015. Interview with Keisha Allen, Resident. https://baltimore.legistar. Effective Date. Available: June 24. - com/LegislationDetail.aspx?ID=2175805&GUID=C CAD11AC-5979-4032-935D-0B5F807DC - Baja, K. 2015. Interview with Kristin Baja, Baltimore . Accessed C94&Options=ID|Text|&Search=sustainability City Department of Planning. June 24. July 2, 2015. Baltimore City Council. 2007a. 06-0506: Baltimore City Baltimore Office of Sustainability. 2009. The Office of Sustainability for the Purpose of Establishing Baltimore Sustainability Plan. Baltimore Office of the Baltimore City Office of Sustainability; Providing Sustainability, MD. Available: - http://www.baltimore for the Appointment of an Executive Director and sustainability.org/sites/baltimoresustainability.org/ Staff for the Office; Providing for the Establishment files/Baltimore%20Sustainability%20Plan%20FINAL. and Implementation of an Environmental Management pdf . Accessed July 2, 2015. Program; Specifying the Powers and duties of the Office and the Executive Director; and Generally Baltimore Office of Sustainability. 2013. Baltimore Relating to an Office of Sustainability. Available: - http://www.baltimore Climate Action Plan. Available: https://baltimore.legistar.com/LegislationDetail. sustainability.org/sites/baltimoresustainability.org/ aspx?ID=2175270&GUID=DC369803-D559-417B-957F files/BaltimoreCAP_FINAL_130415.pdf . Accessed July - -9B67FB291A51&Options=ID|Text|&Search=sustainabil 7, 2015. . Accessed July 2, 2015. ity Baltimore Office of Sustainability. 2014. The 2014 Baltimore City Council. 2007b. 07-0582: Resource Annual Sustainability Town Hall—A Success!! March Sustainability FOR the Purpose of Renaming the 31. Available: https://baltimorehazards.wordpress. Commission on Resource Conservation and Recycling com/2014/03/31/join-us-at-the-annual-town-hall- to be the Commission on Resource Sustainability; . Accessed July 6, 2015. event/ Reconstituting the Commission’s Membership; Restating and Modifying the Commission’s Duties; Expanding City of Baltimore. 2006. All-Hazards Plan for Baltimore the Information to be included by City Agencies in City: A Master Plan to Mitigate Natural Hazards. City of their Annual Energy Consumption Reports; Requiring Baltimore Department of Planning, MD. City Agencies to Submit an Annual Greenhouse - http://emergency.baltimorec November 11. Available: Gas Emissions Reduction Report; Providing for the ity.gov/Portals/Emergency/documents/Baltimore%20 Commission to Develop a Comprehensive Recycling . Accessed July 2, 2015. City%20Mitigation%20Plan.pdf Plan for the City; and Generally Relating to Resource Conservation, Recycling, and Sustainability. Available: City of Baltimore. 2013. City of Baltimore Disaster https://baltimore.legistar.com/LegislationDetail.aspx - Preparedness and Planning Project: Disaster ?ID=2175413&GUID=0E16EC60-1BE1-4DF6-A94A-673E8 Preparedness and Planning Project. October 15. 28AAB74&Options=ID|Text|&Search=07-0582 . Accessed - https://www.dropbox.com/sh/kgfos Available: July 2, 2015. ha0v04pm0p/AADc1tnWqP7yKGndIrUmRUHda/ Baltimore_DP3Plan2013_Spreads_LowRes.pdf?dl=0 . Baltimore City Council. 2007c. 07-0834: Baltimore Accessed June 26, 2015. City’s Membership in the International Council for Local Environmental Initiatives (ICLEI)’s Cities for City of Baltimore. 2014. 2014 Annual Sustainability Climate Protection Campaign for the Purpose of Report. Available: http://baltimoresustainability. Expressing Approval for the City of Baltimore to Join org/sites/baltimoresustainability.org/files/Annual_ ICLEI as a Full Member, to Participate in the Cities for Report_2014_Pages_Web_2.pdf . Accessed August 20, Climate Protection Campaign, and, as a Participant, 2015. to Pledge to Take a Leadership Role in Promoting

77 BALTIMORE, MARYLAND CASE STUDY: 75 City of Baltimore. 2015. Climate Resilience: A Combined Hazard Mitigation and Climate Adaption Process. Submission for the ASAP Prize for Progress in Adaptation. Hadzick, Z. 2015. Interview with Zane Hadzick, Baltimore City Department of Planning. June 24. Heller, L. 2015. Interview with Lynn Heller, Abell Foundation. June 24. Johnson, E. 2015. Interview with Earl Johnson, Resident. June 24. Kennedy, A. 2015. Interview with Alice Kennedy, Baltimore City Department of Planning. June 24. NOAA. 2015. About Derechos. Storm Prediction Center. U.S. National Oceanic and Atmospheric Administration, National Weather Service, National Centers for http:// Environmental Prediction. June 9. Available: www.spc.noaa.gov/misc/AbtDerechos/derechofacts. . Accessed August 6, 2015. htm Robb, I. 2015. Interview with Inez Robb, Resident. June 24. Taylor, G. 2015. Interview with Gene Taylor, National Aquarium Baltimore. June 24. U.S. DOC. 2013. The Historic Derecho of June 29, 2012. U.S. Department of Commerce, National Oceanic and Atmospheric Administration National Weather Service, Silver Spring, MD. Available: http://www.nws.noaa.gov/ os/assessments/pdfs/derecho12.pdf . Accessed August 6, 2015.

78 CASE STUDY: BOSTON, MASSACHUSETTS 76 Boston, Massachusetts Climate Change Preparedness and Resiliency Checklist BOSTON, MASSACHUSETTS Missy Stults, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: • Techniques to ensure public and private-sector building projects are preparing for climate change • Building partnerships with the private sector to ensure strategies are appropriate and to enhance compliance with implementing key strategies -wide • How Boston is using green buildings as a launch pad for larger community actions related to reducing vulnerability and enhancing overall resilience CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

79 BOSTON, MASSACHUSETTS CASE STUDY: 77 Case Study Summary Broader Context As the largest city in New England, Boston has and The City of Boston has historically been shielded from continues to be a major center of economic activity, severe impacts associated with extreme weather events thanks to its location and the protection afforded by cultural diversity, and social opportunity. Its location on the coast affords it numerous advantages but also poses the 34 harbor islands, which substantially dampen and serious threats in the form of issues such sea level rise, dissipate storm surges. According to the Boston Living coastal and inland flooding, and severe weather such With Water Design Competition, the downside of this percent of as Nor’easters. These threats have been getting more strategic location is that “approximately 30 intense, frequent, and of longer duration over the last Boston (our filled tidelands) lie within 8’ of today’s high tide and, without intervention, will be at risk of chronic few decades, and these trends are projected to continue due to climate change (Melillo et al., 2014). saltwater flooding by 2100” (City of Boston, 2015c). The possibility of this breech, as well as more inland flood - According to the National Climate Assessment (Melillo ing, is growing due to climate change. More specifically, Massachusetts Climate Change climate change projections for the Boston area indicate et al., 2014) and the Adaptation Report (Commonwealth of Massachusetts, that flooding, particularly flooding related to sea level 2011), the average annual temperature in the Northeast rise, is very likely to increase over the coming decades. is projected to rise between 3°F and 10°F by 2080, with the number of days over 90°F in Boston rising from the In the face of this threat, Boston Mayor Thomas M. Menino current average of 10 to between 31 and 62 per year due started a series of initiatives to “green” the built environment to climate change. Climate projections also suggest that that culminated in 2013 when the Boston Redevelopment Authority (BRA) Board mandated that climate change while the absolute amount of precipitation falling per be considered as part of the review process of large new year will stay close to current levels, this precipitation will fall in fewer, more intense storms (City of Boston, 2013). developments and large renovation projects. This mandate Additionally, Boston is subject to significant changes in revised Article 80 of the Boston Zoning Code to require all - sea levels. This is due to both rises in global sea levels and private property owners proposing to develop new build the fact that Boston’s land mass is subsiding, or sinking, ings over 20,000 square feet or proposing renovations over at about six inches per century (City of Boston, 2013). 100,000 square feet to “identify changes in the climate and environment and how such changes will affect the project’s environmental impacts including survivability, integrity, and These changing weather conditions, combined with a growing population, caused the City of Boston to safety of the project and its inhabitants” (BRA, 2013). This begin a comprehensive program to address climate mandate has been implemented by requiring developers to complete a Climate Change Preparedness and Resiliency change. Initially, this effort focused on reducing the city’s contribution to climate change by mitigating city Checklist (Checklist). The purpose of this Checklist is to and community-wide greenhouse gas emissions. Over - assess how climate change and extreme weather con ditions could affect a building over its design life. The time, however, this work evolved to include efforts to prepare for the risks and impacts associated with a completed Checklist is submitted to the BRA as part of a changing climate. These climate preparedness efforts project’s Article 80 Review and is factored into decisions - regarding whether or not to permit a project for develop began to crystallize in 2007, when Mayor Menino issued ment. To date, a number of projects have been redesigned an Executive Order directing all city offices to incor - to accommodate projected changes in climate and nearly porate climate change into municipal and community all projects now locate systems above flood levels. One planning, projects, permitting, and review processes (City of Boston, 2013). In 2010, the Mayor’s Climate example is the Spaulding Rehabilitation Hospital, profiled Action Leadership Committee, building on the 2007 below. Overall, however, the time lag between proposing a Executive Order, recommended that “every city gov - new development and completing the project means that ernment department and agency undertake a formal the full impact of the Checklist and the larger change to Article 80 cannot yet be fully assessed. review of the possible implications of climate change

80 BOSTON, MASSACHUSETTS CASE STUDY: 78 Article 80 revised to require all large-scale projects to consider climate change Mayor Menino Menino created BRA develops City is creating Online survey Menino issues preparedness elected Green Building Article 80 created by BRA, an Executive indicators Task Force Order relative Environment to Climate Action Department, and private in Boston sector Present 1996 1993 2003 2007 2013 2012 Exhibit 1. Case study timeline. for its on-going programs and infrastructure in the next of post war urban-flight, in 1957, the Boston City Council ten years, and implement changes or establish programs and the Massachusetts Legislature created the BRA and policies based on that review” (City of Boston, 2013). (see Exhibit 1). Today, the BRA is Boston’s planning and Based partly on this recommendation, the City of Boston economic development agency and is tasked with over - decided to integrate a comprehensive climate adapta - seeing development within the City of Boston (BRA, tion framework into the 2011 Boston Climate Action Plan 2015a). For the majority of its history, the BRA utilized update (City of Boston, 2011). formal and informal guidelines including the zoning code for how development and redevelopment projects were Today, the City of Boston is working on a number of reviewed by the city. As projects became larger and initiatives to create a more resilient and prepared city, more complicated, in 1996 the BRA officially adopted including the Complete Streets program, green infra - Zoning Article 80, which codified policy and practices structure installations, an urban forestry program, to “provide clear guidelines for the development review numerous educational initiatives to help businesses and process relating to large projects (adding more than citizens understand their vulnerabilities, and updates 50,000 square feet), small projects (greater than 20,000 to its wetland and floodplain ordinances. In addition, square feet), planned development areas (new overlay the city now requires that developers consider climate zoning districts for project areas larger than 1 acre), and change when designing new large developments or institutional master plans (projects relating to academic when undertaking large renovations of existing build - and medical campuses)” (BRA, 2015b). ings. This effort is the focus of this case study. Innovation Around Green Building and Climate Action Emerges in the Public Sector Why and How Boston Created From its inception, Article 80 of the Boston Zoning Code has been used to improve the performance of Boston’s the Checklist building stock. The work to significantly scale-up the Article 80 of Boston Zoning Code Created environmental performance of buildings subject to to Address Unique Review Requirements Article 80, as well as other buildings, gained traction; for Large-Scale Projects however, shortly after the election of Mayor Menino in - Boston has and continues to be a major center of eco 1993, the Mayor and his staff began working on a number nomic development and innovation for the region. of initiatives focused on greening the built environment, Recognizing the importance of the city and the impacts including reducing energy consumption in city buildings,

81 BOSTON, MASSACHUSETTS CASE STUDY: 79 installing onsite renewable energy installations, and pur - - frequency of flooding and extreme heat events, com chasing renewable energy offsets (Hunt, 2006). In the bined with growing information about projected future early 2000s, Boston’s green building efforts became climate impacts in Boston. In particular, work coming out of organizations such as the Union of Concerned more sophisticated when city staff approached the - Scientists and the National Climate Assessment demon mayor with an idea of “developing more formal green building standards” following the guidance provided strated how the climate in Massachusetts could change (e.g., Massachusetts could feel more like New Jersey by in the recently released U.S. Green Building Council’s mid-century), as well as how Boston could be impacted (USGBC’s) Leadership in Energy and Environmental Design (LEED) standard (Dalzell, 2014). In response to (e.g., Boston will likely experience 2.5 feet of sea level rise by mid-century), were strong motivators for action the suggestion, Mayor Menino created a Green Building - (City of Boston, 2007b, 2013). Task Force in 2003 to explore what a formal green build ing standard for the city could look like and to identify - barriers to building green in Boston (City of Boston, Both the LEEDing by Example program and the require 2003; Hunt, 2006). An Executive Order Relative to Climate Action ments from in Boston affirmed the city’s commitment to greening the public sector. These actions also set a precedent that the In November 2004, Mayor Menino announced a three- city would eventually build upon to promote voluntary, year mandatory implementation plan for how the city would implement the Green Building Task Force’s 10 and eventually mandatory, green building efforts in the private sector (City of Boston, 2007a, 2007c). recommendations (Hunt, 2006). Included within the - Action Plan was the requirement that any new city build ings achieve LEED certification. This action was known Partnering with the Private Sector to as LEEDing by Example. The Mayor’s Action Plan also Bring Climate Considerations to Bear in required that all projects receiving financial support from Development Planning the city meet LEED certifiability requirements (i.e., new, - As mentioned above, until the late 2000s, Boston’s adap non-city of Boston buildings receiving financial support tation efforts within the built environment focused on from the city had to demonstrate that they could meet government buildings or buildings that received financial LEED requirements but they did not have to go through support from the city. However, city staff decided that the official certification process) (City of Boston, 2007a). in order for Boston to become more sustainable and resilient in the long-term, the private sector, and private Shortly thereafter in 2007, Mayor Menino issued an developers in particular, would need to both mitigate An Executive Order Relative to Climate Executive Order, and adapt (Dalzell, 2014; Spector, 2014). focusing explicitly on mitigating and Action in Boston, adapting to climate change (City of Boston, 2007c). Among the many things included in the Executive The first step in this process was a requirement that all - Order, the most pertinent to the city’s climate adap private developers subject to Article 80 of the Boston tation efforts was a mandate that all city departments Zoning Code demonstrate that their projects were LEED - and agencies include climate projections in their plan certifiable. The specific green building requirement of the ning and project-review efforts (Spector, 2014; City of Zoning Code, known as Article 37, requires developers to demonstrate to the BRA and the Boston Environment Boston, 2015b). “Effectively, this Executive Order began Department that their proposed projects could achieve the process of integrating climate change into everything LEED certification utilizing the most appropriate LEED the city does,” noted Carl Spector, Director of Climate Rating System(s). Although USGBC certification is not and Environmental Planning in the Boston Environment required, most projects seek certification, especially at Department (2014). the Silver, Gold, and Platinum performance levels, to According to Carl Spector, the impetus for including fully demonstrate their leadership and realize market value (Dalzell, 2014). According to John Dalzell, a senior climate change into city operations was the increasing

82 BOSTON, MASSACHUSETTS CASE STUDY: 80 architect at the BRA, this work was essential as it merged While the informal questions during project review the “regulatory tools and the leadership process to provided some useful information, BRA and Boston transform market practices” and “allowed us to start a Environment Department staff wanted more specifics conversation with our community about how to build about (1) what developers had already done to prepare their buildings, (2) what developers were planning to do, better buildings” (2014). - and (3) what developers saw as the city’s responsibil ity in regards to preparing for climate change (Dalzell, Given the success of using Article 80 to transform 2014; Spector, 2014). To that end, in 2012 the BRA and building practices, combined with growing awareness about the impacts of climate change, BRA and Boston the Boston Environment Department collaborated with Environment Department staff decided to explore real estate associations and other development partners strategies for getting the private sector to also adapt - to create an online survey to deepen their understand ing of and how climate change was being considered in to projected climate impacts. To initiate this process, development and redevelopment projects. Collaboration staff began intermittently asking developers during the with the development community from the onset project review process if and how they were integrat - helped ensure the questions were clear for builders and ing climate change considerations into their designs for developers and helped enhance the number of survey new buildings or their operations of existing buildings respondents (Dalzell, 2014; Spector, 2014). Initially, the (Spector, 2014). These questions were asked informally survey was only sent to a select number of building and responses were not used to inform decisions about owners and developers, with a particular focus on those permitting. Since developers were not required to answer near the coast. Over time, however, the survey was given these questions, no changes to Article 80 of the Boston Zoning Code were needed. to all applicants for new projects. Carl Spector points out that “the survey was still informal and completion of it was optional, albeit strongly encouraged. However, we were clear to point out that there were no right or wrong “We want to see buildings answers” (2014). that are resilient for the In part, the development community was willing to occupants. It gets into core engage in these informal discussions between 2009 strategies of resilience—we and 2012 because the timing coincided with a height - don’t want to lose businesses, ened awareness about the threats of extreme weather employment opportunities or and climate change to the built environment. In particu - endanger our residents.” lar, many of the developers that operate in Boston also have operations in New York City, which were affected JOHN DALZELL by Superstorm Sandy. Integrating Climate Change Consideration Nevertheless, the answers to these informal questions Into Article 80 and Requiring Completion provided insight to city staff about private developers’ of the Checklist thinking as it pertained to preparing for climate change; By late 2013, the BRA Board, driven by the work of BRA in addition, these questions provided the city with and Boston Environment Department staff, decided to - feedback about “what developers saw as their respon formally require that all large-scale projects consider sibilities and capacity to take action” (Spector, 2014). climate change impacts (Dalzell, 2014). This was officially Asking these questions also provided the city with an achieved in November 2013 through a policy revision to opportunity to set the expectation with the development Article 80 of the Boston Zoning Code review process community that climate change was a city priority and that required all new development projects over 20,000 should be considered during project design. square feet and all major renovations over 100,000

83 BOSTON, MASSACHUSETTS CASE STUDY: 81 square feet (i.e., those subject to review under Article Exhibit 3 provides a general schematic of the project 80) to utilize the best available science to “identify review process for projects subject to Article 80. changes in the climate and environment and how such changes will affect the project’s environmental impacts Leveraging Strong Leaders and Strategic including survivability, integrity, and safety of the project Partnerships and its inhabitants” (BRA 2013). The process to embed climate adaptation considerations into the Boston Zoning Code unfolded over nearly 10 To help developers meet this requirement, BRA and years. During that time, the city worked closely with Boston Environment Department staff updated their a number of partners to ensure their proposed path informal questionnaire and created the Checklist. was realistic, manageable, and achievable. One of the Developers are now required to complete the Checklist key elements of their work, according to John Dalzell, as part of their project review application. The Checklist was ensuring that the city was first to act. The city’s “requires all projects to consider the impacts of future - leadership and innovation in preparing the built envi climate conditions, over the expected life of the project, ronment for climate impacts was evident through both due to Extreme Heat and Weather and, for projects in the LEEDing by Example program and Mayor Menino’s or near floodplains or areas prone to flooding, due to 2007 Executive Order on Climate Action. What both of Rising Sea-Levels. For any environmental impacts due to - these initiatives did was change how internal govern climate change that are identified, [respondents must] ment operations were unfolding, thereby demonstrating describe planning, design, and / or construction strate - to private developers that preparing for climate change gies that will be employed to avoid, eliminate or mitigate was feasible. any adverse impacts” (BRA, 2013). During the development and initial implementation Exhibit 2 provides an example of climate adaptation-related of the Checklist, Brian Sweat was the Director of the questions into the Checklist. According to the instructions accompanying the Checklist, respondents have to answer Boston Environment Department. He came to the city from Boston Properties, the largest commercial property questions pertaining to how both direct impacts (e.g., sea owner in Boston, where he worked on the organiza - level rise, higher maximum and mean temperatures), as well as cascading impacts (e.g., longer interruptions of utility tion’s sustainability team. His experience with property development in Boston gave him credibility both within services or disruptions to transportation systems), could government as well as with private developers. Because impact their proposed projects (BRA, 2013). Exhibit 2. Snapshot of Boston’s Checklist.

84 BOSTON, MASSACHUSETTS CASE STUDY: 82 of his wealth of experience, if a developer were to claim Using the Checklist to Reduce that certain activities simply were not feasible, he could Vulnerability in Boston draw upon his experience to counter their claims, point - Boston is in the process of implementing the revisions ing out examples of work that he had done or that he to Article 80 and the requirement to complete the knew about which refuted such claims. According to Checklist. BRA and Boston Environment Department Carl Spector, Brian Sweat’s experience allowed him to staff are quick, however, to point out that the city does “identify areas where it was practical to move more not prescribe solutions when a climate impact affects the aggressively than we might have otherwise” (2014). He viability of a development or redevelopment project. The was a trusted source of information for the private sector Checklist does, however, reference promising practices and helped to bridge the divide between the city and that developers are encouraged to consider. What this private developers. means is that developers have the flexibility to determine how best to respond to projected climate impacts. For example, for a site facing sea level rise in the coming decades, the developer may choose to raise the base ele - “Developing in the city is vation of a building. Alternatively, a builder may decide complex and there are often that the first floor could be sacrificed and design the tradeoffs. By embedding building with breakaway walls and windows. By leaving the implementation flexible, the City of Boston is giving climate adaptation concerns developers the option of designing solutions that are in the development process, context specific. According to John Dalzell, “we recog - we are sending a signal that nize that there is no one solution, that solutions need to climate adaptation is an be site and context specific” (2014). important element that needs to be considered on par with While the BRA and the Boston Environment Department other development concerns.” provide developers with flexibility, they can still require changes through the permitting process if the solution CARL SPECTOR proposed by the developer is deemed insufficient. For example, a building proposed for development near the coast or in a Federal Emergency Management Agency Opposition to Boston’s efforts did and continues to exist. (FEMA) floodplain will be required to adhere to prac - The opposition focused on how expensive it would be tices that ensure the building is capable of withstanding and who would be responsible for paying for the requisite flooding. If the city feels that the proposed practices adaptive measures. Additionally, property developers are insufficient, it can require the developer to consider want to know that the city is taking action within the alternative options. Similarly, if developers fail to address public realm to ensure the resilience of services such as climate change in their applications and the project - transportation, electric, sewer, and other public infra reviewers believe their proposed projects are likely to be structure. As noted by one developer, “if I make all these vulnerable, the city can require that applicants redo their changes to my building but my tenants aren’t able to get Checklists. If a project still fails to address climate change, to the facility because the roads or subway is flooded, the reviewers can deny the project, thereby removing it why should I bother?” (Spector, 2014). This is why, as - from development consideration. This type of interven noted by John Dalzell, it was imperative that the city go tion has been rare to date. More commonly, the Checklist first and demonstrate that integrating climate adaptation provides a foundation for meaningful discussions and considerations into built environments was feasible and brainstorming with project developers about how they cost effective. can ensure their facilities are maintained for the full life - cycle of the building (Dalzell, 2014; Spector, 2014).

85 CASE STUDY: BOSTON, MASSACHUSETTS 83 Exhibit 3. BRA large project review process.

86 BOSTON, MASSACHUSETTS CASE STUDY: 84 Accomplishments of Boston’s Checklist “The requirement in Article 80 design review guidelines does - While clear metrics for gauging the impacts of embed not specify what builders ding climate adaptation considerations into Article 80 of the Boston zoning code do not yet exist, what is clear is should do, but it gives a that the requirement has not slowed down development strong signal that something in the city. According to Carl Spector, the requirement needs to be done while has also led to an increase in awareness and the overall recognizing that there are education level of the development community (2014). lots of different approaches to This can be seen in the increasing quality and depth of address climate concerns.” responses to Checklist questions that have emerged over time (Spector, 2014). CARL SPECTOR When asked if the city’s work in this area has been a success, John Dalzell and Carl Spector note that Boston’s There are not many projects that have been built since efforts are a work in progress. “I’m reluctant to call it a this change in Boston has taken place, meaning that few success yet, but I say it’s certainly a productive step,” projects have had to adhere to the climate adaptation notes Carl Spector. John Dalzell comments, “our work is requirements in the Checklist. Part of the reason for still nascent but we are making good progress.” Perhaps this is the newness of the requirement as well as the the most important sign that the change to Article 80 long timeline associated with moving a project from - and the requirement to complete the Checklist is work - conception to completion. One project that has fac ing is that “it’s both changing practice and providing tored climate change into its major renovation is the information today so that we can iteratively change Spaulding Rehabilitation Hospital. Spaulding, located practice in the future” (Dalzell, 2014). Ultimately, the on the edge of the Charlestown Navy Yard, had been requirement is about transforming practice and making looking to make a series of upgrades to its facility. But climate change considerations part of the mainstream - after Hurricane Katrina struck the Gulf Coast, the orga way to develop in Boston, which appears to be happen - nization realized that it had to rethink its design in order ing (Spector, 2014). to ensure the safety of patients and staff in extreme weather situations. Working with the city, Spaulding identified a series of activities, including raising all crit - Moving Forward ical power equipment to higher floors, ensuring that all patient windows are operable, and putting backup Going forward, the BRA and the Boston Environment - power generators on the roof, to help ensure the hos Department plan to revise the Checklist to ensure that pital could stay operational and safe in the case of questions are as clear and direct as possible. In particular, extreme weather conditions. When making decisions a thorough review of responses received from Checklists about what actions to take, the Spaulding design team indicated that some of the questions were ambiguously “looked at the worst-case scenario of flooding during worded, leading to some questionable responses. Given a major coastal storm —not just today, but at any point this, the city is trying to do a better job of writing clear over the next century” (Wickersham, 2012). The results, and direct questions. - according to Carl Spector, are one model for how cli mate change can and should be factored into building The city is also working to develop more specific rec - design and renovations. ommendations on promising practices that developers will be encouraged to consider. For example, instead of

87 BOSTON, MASSACHUSETTS CASE STUDY: 85 providing a reference to the National Climate Assessment, designed as “quantitative measures of the preparedness of the Boston community, [which will help the city] set which the city currently does in the Checklist, Boston is goals..., and [allow the city] to report on [their progress] working to extract promising practices from the assess - annually” (City of Boston, 2014). ment that it can provide directly to developers. This should streamline the time required to complete the Checklist while also sending a much stronger signal that these promising practices are the types of things Boston Acknowledgments is looking for its development community to consider. We would like to thank the following people for partici - John Dalzell notes that, “we are already starting to push pating in interviews as part of this case study: for other practices that are dual purpose or that have multiple benefits. For example, one of the big things • John Dalzell, senior architect, BRA relevant to keeping buildings occupiable or functional is Carl Spector, director of climate and environmental • maintaining a reliable source of energy. As such, we are encouraging developers to look at onsite renewable and planning, Boston Environment Department. or clean energy generation. The goal is to be clean and resilient, which is sustainable and financially attractive” (Dalzell, 2014). Bibliography In regards to larger next steps, the city is focused on BRA. 2013. Climate Change Preparedness and Resiliency implementing the various strategies included in the Guidelines. Boston Redevelopment Authority, City of In Greenovate Boston: 2014 Climate Action Plan Update. Boston, MA. particular, the goal of “ensuring public and private sector BRA. 2015a. A History of the BRA. Boston developments and major capital projects are prepared Redevelopment Authority. Available: for expected climate change over their projected life” is http://www.bostonredevelopmentauthority.org/ likely to drive much of the city’s culture adaptation work about-us/bra -history. Accessed March 2, 2015. (City of Boston, 2014). Specific actions that fall under this goal area include (City of Boston, 2014): BRA. 2015b. Boston’s Article 80 Review Process. Boston Redevelopment Authority. Available: http:// • “Work[ing] with property owners, neighborhood www.bostonredevelopmentauthority.org/projects/ groups, and other stakeholders to establish building -is-article-80. Accessed development-review/what preparedness priorities, best practices, guidelines for January 15, 2015. implementation, and cost/benefit information City of Boston. 2003. Menino Announces Green • Explor[ing] mechanisms to provide property owners Building Task Force. June 18. Available: http://www. financial and technical support for increasing climate Accessed cityofboston.gov/news/Default.aspx?id=1734. preparedness April 16, 2015. Work[ing] with the Commonwealth, the insurance • and finance sectors, and property owners to identify City of Boston. 2007a. Article 37: Green Buildings. modifications to building codes in accordance with, Article inserted on January 10. Available: http:// www.bostonredevelopmentauthority.org/getattach - and align insurance policies and incentives and loan ment/7fb975b2 -e811-4a5d-98cf-48c20469c70c. underwriting with best practices in building resiliency.” Accessed March 2, 2015. To track progress in these areas as well as the other cli - City of Boston. 2007b. Climate Change. The City of Greenovate Boston: mate adaptation actions identified in Boston’s Climate Action Plan. City of Boston, MA. , the city is creating a set 2014 Climate Action Plan Update of preparedness indicators. These indicators are being

88 BOSTON, MASSACHUSETTS CASE STUDY: 86 City of Boston. 2007c. Executive Order of Mayor Dalzell, J. 2014. Interview with John Dalzell, Senior Architect, Boston Redevelopment Authority. Thomas M. Menino: An Order Relative to Climate http://www.cityofboston. December 5. Action in Boston. Available: gov/images_documents/Clim_Action_Exec_Or_tcm3- 3890.pdf Hunt, III, J. 2006. Sustainable Boston: A Greenprint for . Accessed January 15, 2015. - http://www.usmayors.org/ener Our Future. Available: . gysummit/atlanta06/presentations/friday/hunt.ppt City of Boston. 2011. A Climate of Progress: City of Boston http://www.cityof Climate Action Plan Update. Available: - Accessed December 2, 2014. /A%20Climate%20of%20 boston.gov/images_documents 202011_tcm3-25020. Progress%20-%20CAP%20Update% Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). 2014. pdf Climate Change Impacts in the United States: The . Accessed March 6, 2015. Third National Climate Assessment. U.S. Global Change Research Program. doi: 10.7930/J0Z31WJ2. City of Boston. 2013. Climate Ready Boston. City of Boston, MA. Spector, C. 2014. Interview with Carl Spector, Director City of Boston. 2014. Greenovate Boston: 2014 Climate of Climate and Environmental Planning with the Boston Environment. December 5. Action Plan Update. Summary Report. Available: http://www.cityofboston.gov/images_documents/ %20Boston%202014%20CAP% Commonwealth of Massachusetts. 2011. Massachusetts 20Update_ Greenovate Summary_tcm3-49733.pdf Climate Change Adaptation Report: September 2011. . Accessed March 6 2015. Submitted by the Executive Office of Energy and Environmental Affairs. Available: City of Boston. 2015a. 2014 Draft Climate Action Plan: http://www.mass.gov/ - eea/docs/eea/energy/cca/eea-climate-adaptation-re For Public Comment. City of Boston. Available: http:// port.pdf www.cityofboston.gov/images_documents/Draft . Accessed August 4, 2015. %20 2014%20CAP%20Update%20For%20Public% 20 - . Accessed Wickersham, J. 2012. Spaulding Rehab puts cli Comment_12NovFINAL2_tcm3-48598.pdf March 2, 2015. mate change in concrete terms. The Boston Globe. April 20. Available: http://www.bostonglobe.com/ opinion/2012/04/19/spaulding-rehab-puts-climate- City of Boston. 2015b. Archives Guide—Planning Board (4030). Available: http://www.cityofboston. change-concrete-terms-preparing-for-great-flood/ gov/archivesandrecords/guide/planning.asp VIv8s4C42oWkFX0wFaVuiI/story.html . Accessed . Accessed March 2, 2015. March 2, 2015. City of Boston. 2015c. Boston Living With Water. Available: http://www.bostonlivingwithwater.org /. Accessed March 6, 2015.

89 CASE STUDY: CHULA VISTA, CALIFORNIA 87 Chula Vista, California Cool Roofs Ordinance and Shade Trees Policy CHULA VISTA, CALIFORNIA Heather Hosterman, Karen Carney, and Jason Vogel : AUTHORS In this case study, you will learn about: Implementation of a climate change adaptation process to engage the community • in selecting adaptation options Reducing vulnerability to warming temperatures and the urban heat island effect • through a cool roofs ordinance and a shade tree policy CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

90 CHULA VISTA, CALIFORNIA CASE STUDY: 88 Although it will take more time to know the full impact of Case Study Summary Chula Vista’s actions, community members feel that the The City of Chula Vista, the second largest city in the implemented actions will reduce the city’s vulnerability San Diego metropolitan area, developed a stakehold - to the urban heat island effect. er-driven climate planning process to identify, evaluate, and implement a suite of climate adaptation actions. The suite of actions targets energy use; the urban heat island Broader Context effect; public health; coastal resources; water supply and reuse; and the local, green economy (Reed, 2014). In this The City of Chula Vista started working on climate change case study, we focus on two specific actions intended to 5 Chula Vista was the first local gov - in the early 1990s. address warming temperatures in the San Diego region ernment of fewer than one million residents to become (City of Chula Vista, 2011): a founding member of the International Council for Local Environmental Initiatives (ICLEI; Reed et al., 2005). The Chula Vista’s cool roofs ordinance mandates the use of • city adopted a Climate Action Plan in 2000 to address - reflective or “cool” materials for roofs in new residen the threat of climate change to their community (City tial developments to reduce urban heat island effects of Chula Vista, 2000). The Climate Action Plan identi - (City of Chula Vista, 2011). From 2012 to 2013, Chula fied Chula Vista’s carbon dioxide (CO2) emissions and Vista required cool roofs on all new inland residential mitigation measures to reduce CO2 emissions (City of developments (Reed, 2014, 2015). The city is currently Chula Vista, 2000). In 2008 and 2011, Chula Vista revised revising its cools roofs program to meet California its Climate Action Plan to incorporate climate change building standards; the city expects to expand the mitigation and climate change adaptation, respectfully. cool roofs policy to new residential buildings in the entire city (Reed, 2015). To revise and implement the city’s Climate Action Plan, Chula Vista’s shade trees policy mandates the planting • Chula Vista developed and implemented a stakehold - of shade trees in new parking lot projects to reduce er-driven climate planning process. This process involved urban heat island effects; these plantings must achieve several steps: 50 percent canopy cover over parking stalls within 5 to 15 years of planting (City of Chula Vista, 2012; - City staff developed a road Step 1. Develop a roadmap. Reed, 2014). map that (1) clearly outlined the tasks for the Climate Change Working Group (CCWG); (2) established a time - line for the tasks; and (3) listed community sectors that Chula Vista developed policies that require the integra - should be represented through the process. In essence, tion of these actions into new development projects in the roadmap established the ground rules for identifying 2010; these policies were approved by the City Council in and evaluating climate adaptation actions. October 2010. According to Brendan Reed, Chula Vista’s Environmental Resource Manager, city staff are now . City staff used the sectors Step 2. Engage stakeholders working with developers to implement these policies. identified in the roadmap to invite residents, businesses, Between 2012 and 2013, Chula Vista had incorporated and community representatives to the CCWG. The City some cool roofs into new developments; since 2013, recruited 16 members from organizations that would be the program has been on hold while the city evaluates vulnerable to the local impacts of climate change (or that how its green building standards will meet California’s had constituents who would be) as well as organizations new building codes (Reed, 2015). As of March 2015, the in a position to help implement climate adaptation strat - - city had not incorporated shade trees into new devel egies. Over a one-year time period, city staff worked with opments, but city staff are working with developers to the CCWG and the community to identify and evaluate ensure their inclusion in future projects (Radley, 2015). 5. Interviewees were unable to specify why the city started working on climate change in the early 1990s. However, they believe that the City of Chula Vista had a baseload power plant in its jurisdiction at that time and environmental justice issues around the power plant were a motivator for involvement in climate change (Reed, 2015).

91 CHULA VISTA, CALIFORNIA CASE STUDY: 89 climate mitigation or adaptation actions to present to meetings, City Council meetings, and public workshops the City Council. The CCWG also helped city staff host to introduce the city’s climate adaptation risks and rec - public workshops on the planning process that engage ommend adaptation actions to address those risks. - other residents and encourage other community mem bers to contribute to the planning effort at City Council In 2008, the CCWG used this process to review over 90 or commission meetings. climate change mitigation measures designed to reduce greenhouse gas emissions in Chula Vista’s municipal Step 3. Gather information. Throughout the year, the operations and the broader Chula Vista community. The CCWG gathered technical information, such as projected - CCWG ultimately recommended seven climate mitiga climate change impacts for the region and a range of tion measures, which the City Council approved and are implementing (Exhibit 1). potential mitigation or adaptation actions to mitigate or adapt to those impacts. The CCWG also invited technical Recognizing that even with mitigation efforts, the cli - experts in the region to present regional climate change mate will still change, the City Council directed staff data and information. to reconvene the CCWG to look at how the city could prepare itself for climate change impacts and create a The CCWG, with input from city Step 4. Analyze options. climate adaptation strategy. The CCWG reviewed 180 staff, then analyzed the options. The public was often potential adaptation actions and ultimately recom - involved in providing comments on the options. mended 11 climate adaptation actions. See Appendix A for information about the climate adaptation matrix used Step 5. Select and recommend options. Finally, the to quantify climate risks, categorize the 180 potential CCWG prioritized and selected the final options to adaptation actions, and score the adaptation actions. include in the Climate Action Plan. The selected options In October 2010, the City Council accepted the CCWG’s were then recommended to the City Council and the recommendation to implement the 11 climate adaptation community. The CCWG participated in city commission Exhibit 1. List of Chula Vista climate mitigation measures and climate adaptation actions Climate adaptation actions: Climate mitigation measures: a Cool paving • Clean vehicle replacement policy for city fleet • a • Shade trees Clean vehicle replacement policy for city-contracted fleets • a • Business energy evaluations • Cool roofs • • Green building standard Local water supply and reuse Solar and energy-efficiency conversion program • • Stormwater pollution prevention and reuse • Education and wildfires Smart growth around trolley stations • • Extreme heat plans Turf lawn conversion program • a Open space management • a Wetlands preservation • Sea level rise and land development codes • a Green economy • a. These measures have the potential for both mitigation and adaptation benefits. Sources: City of Chula Vista, 2008, 2011.

92 CHULA VISTA, CALIFORNIA CASE STUDY: 90 actions, including a cool roofs ordinance and shade trees How and Why Chula Vista - policy in new development projects to reduce vulnerabil Implemented Its Suite of Adaptation ity to urban heat island effect (Exhibit 1). We focus this Actions, Specifically the Cool Roofs case study on these two programs. Ordinance and Shade Trees Policy In addition to Chula Vista’s work on climate change, Chula As we describe below, several factors led to Chula Vista’s Vista is part of a larger, regional collaborative in San implementation of the cool roofs ordinance and shade Diego—the San Diego Regional Climate Collaborative trees policy to reduce the city’s vulnerability to urban (Climate Collaborative). The Climate Collaborative was heat island effect. Exhibit 2 shows the timeline of factors established in 2011 to provide a forum for public agencies leading to community action. to share experiences, leverage resources, and advance solutions on climate change planning (Hedge, 2015). Chula Vista Citizens Sensitized to Climate The mission of the Climate Collaborative is “to be a Change through Climate Hazards network for public agencies that serve the San Diego region by sharing expertise, leveraging resources, and Climate hazards are already affecting the Chula Vista advancing comprehensive solutions to facilitate climate community. The San Diego region is prone to wildfires change planning” (Climate Collaborative, 2014). Climate (San Diego Foundation, 2008) –persistent dry weather Collaborative members include public agencies—for - and low moisture, combined with Santa Ana winds, cre example, the cities of Chula Vista and San Diego and ated fire-conducive conditions that enabled the 2003 - the San Diego Airport Authority—and supporting mem wildfire in the San Diego region to spread rapidly and may bers—for example, the San Diego Foundation and San have enabled the 2007 wildfire (Exhibit 3; Viswanathan Diego Gas & Electric (Climate Collaborative, 2014). Chula et al., 2006). These wildfires burned approximately Vista is involved in the Climate Collaborative’s efforts 745,600 acres in San Diego County, destroyed more to develop a Multi-Jurisdictional Hazards Management than 4,200 homes and many other structures, killed Plan that incorporates climate change risks (Reed, 2015). 25 people, and resulted in significant local firefighting 2009–2010 Chula Vista implements stakeholder-driven climate planning process to identify, January: City evaluate, and implement a suite Council creates of climate adaptation strategies new cool roofs 2010 ordinance October: Chula Vista Climate Change Working Group May: City presents final recommendations Significant Chula May: Climate Chula Vista Chula Vista revises Chula Council creates for the climate adaptation wildfire Vista Adaptation phasing the Vista Climate Action Plan new shade strategies to the City Council; seasons Strategies adopts to incorporate new begins cool roofs trees policy the City Council approves the Implementation Climate climate mitigation ordinance and working recommendations and directs Plans approved Action measures shade trees on city staƒ to develop Climate by the City Plan policy into climate Publication of Adaptation Strategies Council change development Focus 2050 Report Implementation Plans 2003 2013– 2009– and 2011 2012 2008 1990s 2000 present 2010 2007 Exhibit 2. Chula Vista timeline of factors that lead to community action.

93 CHULA VISTA, CALIFORNIA CASE STUDY: 91 Exhibit 3. Harris Fire in San Diego County in 2007. Source: David S. Roberts. costs—upwards of $80 million for the 2007 wildfire (San temperatures will be between 1.5 and 4.5°F warmer (San Diego State University Foundation, Undated). In addition Diego Foundation, 2014). Increased awareness of climate - to wildfires, the region has experienced warming tem hazards, combined with other factors, focused Chula peratures. In 2013, temperatures were 1.7°F above the Vista’s climate adaptation actions on specific climate historical average (San Diego Foundation, 2014). risks, such as the cool roofs ordinance and shade trees policy to address warming temperatures. These types of events may become more frequent and severe in the future (San Diego Foundation, 2008). The Focus 2050 Report Empowers City Recent catastrophic wildfires and gradually warmer Staff to Take Action temperatures are raising awareness about potential The Focus 2050 Report, commissioned by the San Diego - climate impacts in the region, which is generating aware Foundation, further spurred Chula Vista’s interest in ness of climate change. Brendan Reed indicated that “better understanding the potential vulnerability of its wildfires, which burned on the eastern edge of Chula infrastructure, economy, and public health to climate Vista, were “visual hazards” for the community (Exhibit change” (Reed, 2014, p. 47). The report presented down - 3). Increased awareness of climate change from these scaled climate change impact data for the region in a short visual hazards prompted the San Diego Foundation to and digestible report that was accessible to resource prac - increase its focus on climate change. According to Nicola titioners and policymakers (Exhibit 4; Reed, 2015). The Hedge, Director of Environment Initiatives at the San report also identified adaptation as a necessary part of cli - Diego Foundation, wildfires were catalytic in increasing mate action (Reed, 2015). As Brendan Reed stated, “I can’t the San Diego Foundation’s role in climate change and say enough of the importance of this report in providing developing the report, San Diego’s Changing Climate: A digestible information to city staff and politicians. I’m not Regional Wake-up Call (Focus 2050 Report; San Diego a climate scientist, so having digestible climate informa - Foundation, 2008; Hedge, 2015), described below. In tion is critical in being able to take action” (Reed, 2015). addition, by 2050, scientists expect annual average

94 CHULA VISTA, CALIFORNIA CASE STUDY: 92 San Diego’s San Diego will not be climate will be able to meet its hotter and drier energy needs Sea levels will be 12–18 inches Native plant In 2050, if current higher and animal ... trends continue species will be lost forever San Diego will face a severe water shortage Public health will be at risk, especially among San Diego’s elderly and children Wildfires will be more frequent and intense By 2050, San Diego’s population is expected to grow by 50% to 4.5 million people. Exhibit 4. San Diego’s changing climate. Source: San Diego Foundation, 2008. The Focus 2050 Report was modeled after a similar local media (Hedge, 2015). The highlights from the report in King County, Washington and was produced Focus 2050 Report were later incorporated into the with input, guidance and expertise from more than 40 State of California’s Climate Adaptation Strategy in local scientists, as well as community and technical 2009 and have been used by several local agencies experts (Hedge, 2015). Before developing the Focus and decision-makers to inform climate action efforts 2050 Report, The San Diego Foundation worked with (California Natural Resources Agency, 2009; Reed, other community partners to invite Ron Sims, a former 2014). Given the utility of the first report, the fast King County Executive, to speak with Foundation staff changing landscape of climate action and new climate and other local leaders regarding how King County science available through regional research institutions, and other regions can tackle the challenge of climate - the Foundation recently collaborated with other orga change (Snover et al., 2007; Hedge, 2015). The 25-page nizations in a project called Climate Education Partners Focus 2050 Report was presented to city councils and to publish an updated version of the Focus 2050 Report nonprofits in the region, and disseminated through (Hedge, 2015).

95 CHULA VISTA, CALIFORNIA CASE STUDY: 93 - design manual and planning documents, and tack Chula Vista Develops Plans for the Cool led concerns about “turning parking lots into forests Roofs Ordinance and Shade Trees Policy instead of their functional use of parking for cars” and As described in the broader context section, the City ensuring the policy conformed with tree growth esti - of Chula Vista undertook the climate planning process mates for parking lots (Radley, 2015). This working to evaluate how the city could prepare itself for climate group shifted the focus of the new policy from shading change impacts. The climate planning process resulted percent percent of the full parking lot to shading 50 50 in a recommendation for 11 climate adaptation actions, of parking spaces, which was considered achievable including mandating cool roofs and shade trees for new and acceptable to city staff (Radley, 2015). development projects: • For cool roofs, the CCWG suggested creating a new In developing the Climate Adaptation Strategies ordinance that required the use of cool roofs (i.e., roofs Implementation Plans, city staff created mechanisms to with colors that improve solar reflectance) on new phase in the use of cool roofs and shade trees in new residential developments developments: • For shade trees, the CCWG suggested the city adopt • For the cool roofs adaptation action, the City Council - a new shade tree policy that required the incorpora created an ordinance in January 2012 to require new tion of shade trees into all municipal projects and all homes in its eastern area to use cool roofing mate - private development parking lot projects. rials; Chula Vista’s building code was amended in March 2012 to implement the ordinance as outlined Once the climate planning process was complete, in California’s green building guidelines (Reed, 2014). city staff developed Climate Adaptation Strategies However, when the State of California updated its Implementation Plans; these plans were approved by energy code in 2013, Chula Vista’s energy codes were the City Council in May 2011 (City of Chula Vista, 2011). - voided. As such, Chula Vista is in the process of redo Although the planning process was different for each ing the cool roof cost-effectiveness analysis. Based on adaptation action, these implementation plans tended to preliminary results, the city expects to expand the cool include information on implementation steps, economic roofs policy to new residential buildings in the entire costs, performance metrics, and timelines (City of Chula city (Reed, 2015). Vista, 2011; Reed, 2015): • For the shade trees adaptation action, the City Council To inform the cool roofs adaptation strategy, for exam • - ple, the city conducted a cost-effectiveness study that implemented a new policy in May 2012 that required compared the cost of traditional roofs versus the cost per - shade trees for new parking lots that achieve 50 of cool roofs, and the payback period for the energy cent canopy cover over parking spaces within 5 to 15 savings from the cool roofs (Reed, 2014). The study years of planting (City of Chula Vista, 2012). The policy concluded that cool roofs would be cost-effective for also allows for flexibility in alternative compliance inland homes, where temperatures are higher, because methods such as light colored or “cool” paving or solar the energy savings would pay back the incremental carport shade structures, and provides extra credit for costs of the cool roof over its lifetime (Reed, 2014). retaining healthy, mature trees (City of Chula Vista, As such, new inland developments were required to 2012). The shade tree working group also updated the install cool roofs. Chula Vista Landscape Manual to align it with the new Shade Tree Policy and ensured that the Chula Vista • To inform the shade trees adaptation strategy, a Design Manual was consistent with the new Shade working group of city staff and landscape architect Tree Policy (Radley, 2015). consultants was convened to develop an achievable - shade trees policy. According to Mary Radley, land Chula Vista is currently phasing the cool roofs ordinance scape architect for Chula Vista, this working group looked at existing policies, such as the landscape and shade trees policy into development.

96 CHULA VISTA, CALIFORNIA CASE STUDY: 94 deputy mayor, pointed to fact that climate change is Accomplishments from increasingly being integrated into all aspects of life in Implementing the Cool Roofs Chula Vista—education programs on climate change are Ordinance and Shade Trees Policy integrated into schools, residential xeriscape gardens are becoming common, and infrastructure for electric By November 2013, Chula Vista completed all imple - vehicles is widespread (Bensoussan, 2015). Brendan mentation progress steps it outlined for the cool roofs Reed suggested that Chula Vista has shown leadership ordinance and shade trees policy (City of Chula Vista, in creating actionable climate change plans, and the city 2013). According to Brendan Reed, these steps will has taken more of a deep dive into action than most reduce Chula Vista’s vulnerability to heat over the long- communities (Reed, 2015). Nicola Hedge indicated that term (Reed, 2015). To track the performance of each the San Diego Foundation and other regional commu - adaptation strategy, Chula Vista developed performance nities often point to Chula Vista as a leader in the region metrics. The cool roofs strategy uses the “number of new in taking tangible, discrete actions, and reporting back residential units that incorporate cool roofs” to quantify to their City Council on their progress (Hedge, 2015). its performance and the shade trees strategy uses the “number of new projects that incorporate the new shade - Over the years, Chula Vista received many acknowledge trees standard” (City of Chula Vista, 2011, pp. 9 and 12). ments and accolades for its work on climate change. Most Starting in 2012, some new homes had been constructed recently, Chula Vista received the U.S. Environmental with cool roofs; however, as mentioned above, the cool Protection Agency’s 2014 Climate Leadership Award for roofs strategy is currently under review. In addition, the - providing climate action leadership to their peers, com - city is currently working to ensure that all new develop petitors, and partners. According to Pamela Bensoussan, ment projects comply with the new shade trees policy; “these awards are constant positive reinforcements to however, it has not officially tracked compliance rates elected officials to continue doing [climate change] (Radley, 2015). According to Mary Radley, the impact of work” and these awards help to guarantee political will the shade trees policy is likely to be limited, even with to act on climate change (Bensoussan, 2015). full compliance: “it will improve parking lots by providing more shade; however, it is not a radical improvement” (Radley, 2015). Moving Forward Chula Vista continues to implement and improve its adaptation actions. For the shade trees policy, the city “Mitigation is a 5K, while is working with developers to ensure compliance in all adaptation is the marathon. new development projects. For the cool roofs ordinance, For adaptation, we are the city is in the process of redoing its cost-effectiveness institutionalizing climate - analysis under the new California energy codes. City per change and climate adaptation sonnel hope to expand the cool roofs policy from only into the city’s policies now— inland structures to the entire city (Reed, 2015). expecting big returns later.” Moreover, the San Diego Foundation is very active in the BRENDAN REED regional climate change issues. For example, the San Diego Foundation is investing in building the capacity of local researchers to conduct a population vulnerability - Interviewees agreed that Chula Vista was success assessment for the entire San Diego region to identify ful in integrating climate change adaptation into the and map those populations most vulnerable to climate city’s planning, management, and operations. Pamela change impacts (Hedge, 2015; for more information, Bensoussan, Chula Vista’s city council member and see Exhibit 5). Climate change will likely have more

97 CHULA VISTA, CALIFORNIA CASE STUDY: 95 immediate and significant impacts on vulnerable com - Acknowledgements munities; the Foundation expects that the vulnerability We would like to thank the following people for partici - mapping information will empower these vulnerable pating in interviews as part of this case study: communities to increase their capacity to prepare for the effects of climate change (Hedge, 2015). The Foundation • environmental resource manager, Brendan Reed, expects this information will be available to communities City of Chula Vista by the end of 2015 (Hedge, 2015). Mary Radley, landscape architect, City of Chula Vista • City Council member and Pamela Bensoussan, • deputy mayor, City of Chula Vista EXHIBIT 5. IDENTIFYING AND MAPPING IMPACTS OF CLIMATE CHANGE ON director of environment initiatives, • Nicola Hedge, VULNERABLE COMMUNITIES IN SAN DIEGO San Diego Foundation. Drs. Stigler-Granados and Gersberg conducted a population vulnerability assessment at the census Bibliography - tract level for San Diego County to better under stand the distributional and equity implications Associated Press. 2014. Southern California Swelters in of climate change. Results from the vulnerability Heat Wave. USA Today. September 15. Available: http:// assessment indicated that several communities - www.usatoday.com/story/weather/2014/09/15/south in the county were at high or elevated risk to . Accessed March ern-california-heat-wave/15689051/ the negative impacts of climate change such 10, 2015. as heat stress, displacement due to sea level rise and increased illness. The most vulnerable Bensoussan, P. 2015. Interview with Pamela populations were mostly located in inner city Bensoussan, City Council Member and Deputy Mayor, neighborhoods and along the U.S.-Mexico border. City of Chula Vista. March 4. Based on these findings, the researchers California Natural Resources Agency. 2009. 2009 conclude that: California Climate Adaptation Strategy. A Report to the Governor of the State of California in Response to • New initiatives could be developed that inte - http://resources. Executive Order S-13-2008. Available: grate the priorities and needs of communities ca.gov/docs/climate/Statewide_Adaptation_Strategy. vulnerable to the effects of climate change. For pdf . Accessed March 10, 2015. example, public health planners could develop early warning systems in appropriate languages. City of Chula Vista. 2000. Chula Vista CO2 Reduction Plan. Adopted November 14. Available: Increased surveillance and monitoring of iden - • http://38.106.5.202/home/showdocument?id=5445 . tified areas can be helpful for reducing overall Accessed April 14, 2015. population impacts. City of Chula Vista. 2008. Climate Change Working Leaders from these communities can assist in • Group Measures. Implementation Plans. July. Available: appropriate adaptation strategy planning. http://38.106.5.202/home/showdocument?id=5433 . Accessed April 3, 2015. Source: Stigler-Granados and Gersberg, Undated. City of Chula Vista. 2011. Climate Adaptation Strategies. Implementation Plans. May. Available: . http://38.106.5.202/home/showdocument?id=5443 Accessed March 9, 2015.

98 CHULA VISTA, CALIFORNIA CASE STUDY: 96 City of Chula Vista. 2012. Shade Tree Policy. Policy San Diego Foundation. 2014. San Diego, 2050 Is Number 576-19. January 3. Available: http://www. Calling. How Will We Answer? Available: http://www. . Accessed March 10, 2015. sandiego.edu/2050/ . chulavistaca.gov/home/showdocument?id=8093 Accessed March 9, 2015. San Diego State University Foundation. Undated. The City of Chula Vista. 2013. Climate Action Plan. San Diego Wildfires Education Project. San Diego State Implementation Progress Report. November. Available: University. Available: http://interwork.sdsu.edu/fire/ purpose.htm . Accessed March 10, 2015. . http://38.106.5.202/home/showdocument?id=5441 Accessed March 12, 2015. Snover, A.K., L. Whitely Binder, J. Lopez, E. Willmott, J. Climate Collaborative. 2014. San Diego Regional Kay, D. Howell, and J. Simmonds. 2007. Preparing for Climate Change: A Guidebook for Local, Regional, and http://sdclimatecol - Climate Collaborative. Available: laborative.org/ . Accessed April 14, 2015. State Governments. The Climate Impacts Group and - King County Washington. In association with and pub lished by ICLEI—Local Governments for Sustainability. Hedge, N. 2015. Interview with Nicola Hedge, Director of Environment Initiatives, San Diego Foundation. March 4. Stigler-Granados, P. and R. Gersberg. Undated. Identifying and Mapping Impacts of Climate Change Politico. 2012. 2012 Presidential Election. Available: on Vulnerable Communities in San Diego, CA. Research http://www.politico.com/2012-election/results/map/#/ President/2012/ Poster. San Diego State University. . Accessed February 4, 2013. Radley, M. 2015. Interview with Mary Radley, U.S. Census Bureau. 2013a. B19013: Median Household Landscape Architect, City of Chula Vista. March 4. - Income in the Past 12 Months (in 2013 inflation-ad justed dollars). 2009–2013 American Community - Survey. U.S. Census Bureau’s American Community Reed, B. 2014. Leveraging climate adaptation plan Survey Office, American FactFinder. ning for heat island mitigation. Sustain, A Journal of Environmental and Sustainability Issues. 29:47–49. The Kentucky Institute for the Environment and U.S. Census Bureau. 2013b. DP05: Demographic and Housing Estimates. 2009–2013 American Community Sustainable Development. Available: http://louisville. Survey. U.S. Census Bureau’s American Community edu/kiesd/sustain-magazine/SUSTAIN-29rev.pdf . Survey Office, American FactFinder. Accessed March 10, 2015. Reed, B. 2015. Interview with Brendan Reed, Environmental U.S. EPA. 2014. Heat Island Effect. United States Resource Manager, City of Chula Vista. March 4. http:// Environmental Protection Agency. Available: . Accessed March 9, 2015. www.epa.gov/heatisland/ Reed, B., M. Meacham, and R. Partida-Lopez. Viswanathan. S., L. Eria, N. Diunugala, J. Johnson, and 2005. 2005 Greenhouse Gas Emissions Inventory. C. McClean. 2006. An analysis of effects of San Diego City of Chula Vista. Available: https://sphinx. wildlife on ambient air quality. Journal of the Air & chulavistaca.gov/clean/conservation/climate/ Waste Management Association 6:56–67. - documents/GHG_InventoryReport_Final.pdf?s=3D1B 67956F94EE4C8EAC34649038918E483B5EBA . Accessed March 10, 2015. San Diego Foundation. 2008. San Diego’s Changing Climate: A Regional Wake-up Call. A Summary of the Focus 2050 Study Presented by the San - Diego Foundation. Available: http://www.sdfoun dation.org/Portals/0/Newsroom/PDF/Reports/ . Accessed Focus2050glossySDF-ClimateReport.pdf April 17, 2015.

99 CHULA VISTA, CALIFORNIA CASE STUDY: 97 Is the action in the city’s jurisdiction? For example, the • Appendix A. Chula Vista Climate city has an external water provider and, therefore, the Adaptation Planning Process city has limited influence on actions that look at water Chula Vista city staff developed adaptation matrices to supply and conveyance. quantify climate risks and categorize climate adaptation Is the action fiscally feasible? For example, the • actions. Above is the matrix for projected warming air action does not rely on General Fund support for temperatures. implementation. The risks were described as the product of the likeliness • Does the action complement current measures? For of an impact occurring and the consequence of that example, the city did not want the adaptation action impact on the local community. Each factor was scored to contradict or duplicate current mitigation measures. from one to five and overall risk was categorized as “low,” “medium,” or “high.” The CCWG, with help from city staff, As shown in this matrix, Chula Vista ranked projected then evaluated the adaptation options for the specific warming air temperatures as a high vulnerability risk risk using the following screening criteria: (scoring 20 out of 25 points) and considered several adaptation options as in the city’s jurisdiction, fiscally feasible, and complementary of current measures.

100 CLEVELAND, OHIO CASE STUDY: 98 Cleveland, Ohio The Neighborhood Climate Action Toolkit and Climate Action Fund CLEVELAND, OHIO Missy Stults, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: • Strategies for engaging citizens in low income areas • Building neighborhood cohesion and stability to create the adaptive capacity needed to address climate change How Cleveland is navigating the challenge of quantifying vulnerability reductions • when climate change is mainstreamed within discussions of broader community concerns (e.g. economic development, human health) CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

101 CLEVELAND, OHIO CASE STUDY: 99 their neighborhoods strong and what challenges they Case Study Summary currently face that need attention. After participating Once a city with a strong manufacturing economy, in a workshop, during which they complete the Toolkit, Cleveland has seen a stark decline in this economic base, residents are able to apply for funding from the City’s yielding increased poverty rates and growing economic Climate Action Fund to implement specific projects. disparity. In recent years, the city has also experienced While still in its infancy, the Toolkit is designed to build increases in the frequency and duration of high heat days social cohesion, a critical aspect of adaptive capacity in and heavy precipitation events, trends that are expected Cleveland’s view, in pilot neighborhoods. If, and to what to continue or worsen under future climate change. degree, the Toolkit and the associated Climate Action Fund will lead to reductions in the city’s vulnerability Despite recent rebounds in some core neighborhoods, to climate impacts still remains to be seen. Cleveland has the second highest rate of poverty among major U.S. cities, with more than 35 percent of the population residing in poverty (up to 65 percent in The Broader Context of the Cleveland certain neighborhoods). As such, the city has closely tied its climate change efforts to the revitalization of its Toolkit and Climate Action Fund neighborhoods. The city believes that helping provide When the Great Recession of 2007 hit, Cleveland was residents with safe and stable neighborhoods that have already struggling economically and socially, having - economic opportunities will build the enabling condi not yet rallied from the urban decline of the 1960s and tions needed to have a more adaptive citizenry that is 1970s that disproportionately impacted low-income able to incorporate climate change into their thinking neighborhoods. According to Krumholz and Hexter and actions. (2012, p. 1), the “neighborhood crisis of the 1970s ... was a reaction to the urban renewal and highway programs The city’s work on this began in earnest in 2009 of the 1960s, school desegregation and white flight, the with the Sustainable Cleveland 2019 initiative, and unresponsiveness of city services, and the redlining by was continued through a detailed citywide climate banks and insurance companies.” The dearth of invest - action plan and the development and rollout of the ment in poor urban neighborhoods during this time left Cleveland Neighborhood Climate Action Toolkit many neighborhoods disconnected and fragmented (Toolkit). Designed and implemented in tandem with from one another and from city government. When the Community Development Corporations (CDCs), the Great Recession struck, the city, and in particular the Toolkit helps neighborhoods leverage existing assets - historically marginalized neighborhoods and their resi to fight economic decline, increase adaptive capacity, dents had very little capacity to cope with the economic reduce greenhouse gas emissions, and prepare for a perturbations brought on by the crisis. For example, climate-altered future. Through the Toolkit, residents between early 2008 and 2014, Cleveland lost 13,000 are given an opportunity to identify what assets make jobs and saw the community-wide poverty rate rise to percent (Perkins, 2015; U.S. Census, 2015). more than 35 This rapidly deteriorating state of life for residents We know that a connected spurred Cleveland Mayor Frank G. Jackson and his community is a more resilient staff to initiate a process to re-envision the future for community. the city, which crystallized into Sustainable Cleveland 2019 (Sustainable Cleveland 2019, 2015). The goal of APARNA BOLE, MD, FAAP. Sustainability Manager, University Hospitals (UH) Sustainable Cleveland 2019 is to “develop a 10-year Medical Director, Community Integration, UH initiative that engages people from all walks of life, Rainbow Babies & Children’s Hospital working together to design and develop a thriving and resilient Cleveland region that leverages its wealth of

102 CLEVELAND, OHIO CASE STUDY: 100 assets to build economic, social, and environmental 33 actions, spilt into 6 focus areas: energy efficiency and green building, advanced and renewable energy, well-being for all” (Sustainable Cleveland 2019, 2015). sustainable mobility, waste reduction and resource con - One of the key components of the Sustainable Cleveland servation, land use and clean water, and community 2019 platform is an annual Summit in which “a diverse engagement and public health. group of people vested in and dedicated to Cleveland ... use their vast knowledge and imagination to create an action plan for building a green economy for Cleveland’s future” (Sustainable Cleveland 2019, 2015). Each Summit Even if climate change is built around one of nine topics determined by citizens to be essential to creating a more sustainable Cleveland: was not a factor, taking the energy efficiency, local foods, advanced and renewable actions laid out in this plan energy, zero waste, clean water, sustainable transpor - would still make sense from tation, vibrant green space, vital neighborhoods, and an economic, environmental, people (Sustainable Cleveland 2019, 2015). According to and equity perspective; Jenita McGowan, Cleveland’s chief of sustainability, the climate change adds urgency. - Sustainable Cleveland 2019 initiative focuses on “reinvent ing the community as a sustainable city writ large; it’s CCAP as broad as sustainability can be, ensuring everyone can participate and benefit from our work” (McGowan, 2015). Three of the 33 actions specifically address adaptation: (1) recognize capacity of neighborhoods and community groups to implement climate mitigation and adaptation 2012 was the warmest year initiatives; (2) conduct climate change vulnerability ever in Cleveland, since assessment and integrate projected impacts into exist - record keeping began in 1871. ing plans; and (3) develop and implement an urban tree plan to increase tree canopy (CCAP, 2013). Cleveland’s MATT GRAY progress toward implementing the CCAP overall has been “piecemeal, focusing on areas where we have part - ners ready to act, funding readily available, or internal While the annual summits have been useful in pulling momentum” (McGowan, 2015). As of mid-2015, 11 of the together diverse stakeholders, “the city needed a more 33 actions are underway or on track to be completed detailed plan for how to achieve many of the components in short order (McGowan, 2015). However, the city has of economic, environmental, and social sustainability” made progress on the first adaptation-related action by (Gray, 2015). This led to the creation of the Cleveland developing the Cleveland Toolkit and the Climate Action Climate Action Plan (CCAP). The CCAP took the ideas Fund, which are the focus of this case. within Sustainable Cleveland 2019 that were specifically focused on climate adaptation and mitigation and pro - vided structured guidance for what needs to be done, Why and how Cleveland Developed by whom, when, and how. the Toolkit and Climate Action Fund To create the CCAP, the Mayor’s Office of Sustainability The Emergence of CDCs in Cleveland convened a 50-member Climate Action Advisory Committee composed of commercial, industrial, edu - The City of Cleveland has more than 25 distinct CDCs cational, government, and non-profit stakeholders from that provide an array of support services, information, around Cleveland (Sustainable Cleveland 2019, 2015). and resources to neighborhoods throughout the city. The Together, the stakeholders created a plan that outlines specific activities and services offered by each CDC vary,

103 CLEVELAND, OHIO CASE STUDY: 101 City of Cleveland passes a predatory lending City creates the ordinance to stop The Great Cleveland the impending City releases City begins Recession Neighborhood foreclosure crisis; City launches Cleveland Climate the Cleveland working on occurred, Climate Action The State of Ohio CDCs begin Action Fund the Sustainable Climate the Cleveland leading to high Toolkit in ruled the city did emerging in created and first Cleveland 2019 Action Plan Climate unemployment partnership not have that Cleveland Initiative projects financed Action Plan in Cleveland with CDCs authority 2012 2014 2015 2002 2007 2009 2013 1970s Exhibit 1. Timeline of actions in Cleveland, OH. p. 2). In the last two decades, the work of CDCs has been “depending on the needs, opportunities, and available instrumental in the creation of thousands of new and assets of the particular neighborhoods” being served by rehabilitated housing units as well as the development each CDC (Krumholz and Hexter, 2012, p. 7). of new retail, commercial and industrial space, and eco - nomic opportunity (Krumholz and Hexter, 2012). The origin of the community development movement in Cleveland stemmed from the “neighborhood crisis of the 1970s” as described in the broader context section above (Exhibit 1). During this time, resources and investments People power is the answer to were being transferred out of poor urban neighborhoods true and lasting climate action into the suburbs south and west of the city. This dearth of investment, resources, and support led to the emergence in Cleveland. This means that of community development organizations, principally a citizen-centered approach is - those focused on “rebuilding and revitalizing commu needed to align climate action nities through the use of available resources including with the assets, capacities, the social, human, cultural, and economic capital of and priorities of Cleveland neighborhood residents” (Krumholz and Hexter, 2012, residents. p. 1). During this period, many of the emerging CDCs built strong bases of support through techniques such as SUSTAINABLE CLEVELAND 2019 community organizing, skills development, sweat equity, and the creation of cooperative businesses (Krumholz and Hexter, 2012). Partnering to Develop Concrete Actions Via the Toolkit Early victories made by Cleveland’s CDCs to combat redlining and market disinvestment in neighborhoods - Recognizing the importance of neighborhood invest included work on affordable housing, such as placing ment and neighborhood engagement, the City of - “controls on home heating and fuel costs for low-in - Cleveland was eager to engage “neighborhood and com come households ... (the enhancement of) mortgage munity groups to implement climate change mitigation subsidies, tool rental programs and cleanup campaigns and adaptation initiatives” (CCAP, 2013, p. 74). The city to improve neighborhood appearance in the hope that jumpstarted this effort by working with the partners doing so would attract new homeowners and lead to engaged in the three EcoDistricts in Cleveland: Enterprise healthier neighborhoods” (Krumholz and Hexter, 2012, Community Partners and neighborhood-based CDCs

104 CLEVELAND, OHIO CASE STUDY: 102 from the Kinsman, Detroit Shoreway, and Glenville neigh - and, more specifically, to “build on their strengths, or assets, to engage residents in developing creative climate borhoods. The partners worked to identify the types of climate-related activities that were already underway in action projects that people will care about, get involved in, and lead” (Sustainable Cleveland 2019, 2015). The Toolkit their neighborhoods and what additional types of sup - port were needed to increase climate and sustainability was built upon the principles of Asset-Based Community Development and developed with the assistance of Jenny activities. In selecting partners, the city deliberately focused on CDCs that represented Cleveland’s diverse Hirsch, a consultant from the Asset-Based Community - neighborhoods including those that primarily served Development Institute (McGowan, 2015). Exhibit 2 pro vides a summary of the four steps in the Toolkit as well as African-American and low-income neighborhoods, as the resources available to help achieve each step. well as neighborhoods with a high population of seniors and citizens with asthma (McGowan, 2015). The result - One of the core elements of the Toolkit is an acknowl was the Cleveland Toolkit, a resource that includes multiple tools and guidance materials that CDCs, neigh - edgement that each neighborhood already has an array of assets that make it strong and that can be drawn borhood associations, or individuals can use to “identify and scale up local action that’s good for people and the upon to increase community-wide adaptive capacity. planet” (Sustainable Cleveland 2019, 2015). Examples in the toolkit of community assets that can be enhanced to make the neighborhood stronger include local organizations, block clubs, book clubs, people’s skills and passions, historical buildings, popular gath - ering places, natural areas, family traditions (of saving/ Projects that build on local being frugal, gardening, sharing, etc.), and a community assets inspire greater history of coming together to address big challenges. participation and ownership and are tailored to the neighborhood, resulting in more creative climate The Cleveland Neighborhood action that better addresses Climate Action Toolkit has neighborhood aspirations. been developed to help neighborhoods and residents CLEVELAND TOOLKIT incorporate the climate actions into their local work in ways that advance neighborhood The Toolkit is designed to help neighborhoods and visions while meeting CAP residents: goals at the same time. Learn about Cleveland’s Climate Action Plan • MATT GRAY • Identify neighborhood assets and concerns and relate them to climate action • Develop neighborhood climate action project ideas The Toolkit is designed to address more than just cli - mate change. The Toolkit and the climate action projects Develop a neighborhood climate action project pro - • posal that they can use to secure funding to implement that emerge from it are encouraged to address neigh - borhood-level concerns, which could include youth their climate action project ideas. development, safety, job training, passing down cultural traditions, employment opportunities, green space Included in the Cleveland Toolkit are resources and tools development, and more (Sustainable Cleveland 2019, to help neighborhoods achieve the aforementioned goals

105 CLEVELAND, OHIO CASE STUDY: 103 EXHIBIT 2. CLEVELAND TOOLKIT STEPS AND SUPPORTING TOOLS (STEP AND TOOLS) information about Cleveland’s two ecodistrict 1. Learn about climate change and the CCAP neighborhoods “Climate Action and Cleveland: Building a • Neighborhood Carbon Footprint Calculator • Green City on a Blue Lake” Presentation 3. Develop a Neighborhood Climate Action • Climate Action Videos that demonstrate how everyday Clevelanders are taking action in their Project idea homes, at work, and in their neighborhoods Workshop Facilitator’s Guide: • Develop Your Identify neighborhood assets and concerns, 2. Own Neighborhood Climate Action Project , which provides guidelines for bringing and relate them to climate action - together neighborhood stakeholders to partici - Climate Action Visual Collages that demon • pate in a climate action workshop strate Clevelanders taking climate friendly Sustainable Cleveland Website: Get Involved in actions across the city • Your Community • Neighborhood Climate Action Case Studies • Neighborhood Carbon Reduction Calculator • - “I am Sustainable Cleveland” poster cam paign, which includes posters submitted by 4. Submit a Neighborhood Climate Action Project Proposal Clevelanders of actions they are taking to advance Cleveland’s climate goals • Cleveland Climate Action Fund Proposal Neighborhood Climate and Sustainability • template Action Reports that provide detailed allowing it to travel to and serve areas of Cleveland that 2015). However, residents also must relate their key areas of concern to climate action and, specifically, to one of have historically not had access to healthy food options the goals outlined in the CCAP. Through this process, the - (Bridgeport Café, 2015). By combining economic devel city hopes to ensure that neighborhoods are selecting opment and local food production with the distribution actions that address their priorities, but also align with - of healthy food options, the Bridgeport Café is contrib citywide efforts to mitigate and adapt to climate change. uting to improved access to local, nutritious and healthy food, reduced vulnerability to disruptions in food supply, Exhibit 3 provides an example of a neighborhood asset and enhanced economic wellbeing. Cleveland believes mapping exercise conducted in the Kinsman neighbor - that these kinds of neighborhood level projects increase hood. Using the example of the Bridgeport Café, the the adaptive capacity of residents to cope with climate city was able to demonstrate the utility of their asset- related impacts (e.g., natural disasters). based community development process, which shows how an asset builds on existing resources, addresses Implementing Strategies that Build current concerns, uses outside support, and connects Neighborhood-Level Adaptive Capacity to climate change. The Bridgeport Café is a local busi - Because of the diversity and uniqueness of Cleveland’s ness that sells healthy food, employs local residents, and - neighborhoods, solutions for building adaptive capac serves as a community gathering place. In addition to its ity are based in the interests, needs, and existing assets brick-and-mortar location, the Café recently started a within each neighborhood. This had led to a diversity Mobile Market and now accepts EBT cards for payment,

106 CLEVELAND, OHIO CASE STUDY: 104 of strategies being identified and implemented, includ - Creation of the Cleveland Climate ing the incorporation of sustainability standards into Action Fund affordable housing designs, updated zoning laws that - Unfortunately, funding to implement neighbor allow for urban farming and green energy production, hood-level climate initiatives has historically been the emergence of new social ventures focused on issues hard to find. To remedy this, the City of Cleveland’s like local food production and distribution, and programs Office of Sustainability, in partnership with the Green focused on reducing neighborhood crime (Sustainable City Blue Lake Institute, The Cleveland Clinic, The Gund Cleveland 2019, 2015). Together, these projects are leading Foundation, the Cleveland Foundation, and others, to safer and closer-knit neighborhoods, increasing home has initiated the Cleveland Climate Action Fund. The ownership rates, greater investments in neighborhood Climate Action Fund is designed to simultaneously infrastructure such as parks, and lower unemployment provide training and financing for neighborhood level rates (Sustainable Cleveland 2019, 2015). Cleveland sees activities while also providing a means for Cleveland’s building these ties and increasing the quality of life of its largest employers to mitigate their carbon footprint residents as crucial to enabling future action on climate by investing in neighborhood-level climate action change, even if these actions do not directly reduce vul - - (McGowan, 2015). Neighborhoods that have demon nerability in and of themselves. Exhibit 4 provides more strably used the Toolkit are encouraged to submit their examples of neighborhood-based projects that are help - project ideas to the Climate Action Fund. Through a ing increase the adaptive capacity of Cleveland residents. competitive grant application process, Climate Action Fund administrators select the top projects to finance. To date, the Climate Action Fund has provided $46,000 to twelve projects, including one focused on hiring and EXHIBIT 3. ASSET MAPPING FOR KINSMAN training youth to provide zero-emissions landscaping NEIGHBORHOOD — services, another focused on enhancing community EXAMPLE: BRIDGEPORT CAFÉ composting, one aimed at local food production, and two to support solar panel installations (Cleveland Build on neighborhood assets Climate Action Fund). “In the future, the goal is to Engaged residents • secure additional financing so that significantly more Available commercial space • projects can be started” (Gray, 2015). • Shared community vision Building and Maintaining Community Address neighborhood concerns Support • Alternatives to fast food The idea for and the process to develop the Cleveland • Health and nutrition Toolkit and the Climate Action Fund emerged from • Community gathering spaces engagement with the local community. In particular, the city’s close partnership with many of the CDCs, and Access to fruits and vegetables • their collaboration in visioning, developing, testing, and implementing the Toolkit has helped the city quickly Use outside support move from conception to implementation (McGowan, U.S. Department of Health and Human Services • 2015). According to Jane Fumich, Director of Aging Local funders • and Donnald Heckelmoser, Community Development Department, the CDCs have also been great partners Take climate action for ensuring that residents know about and have access • Community engagement—public health to other climate adaptation-related resources such as • Sustainable mobility the city’s home weatherization program and the heating assistance program (Fumich, 2015).

107 CLEVELAND, OHIO CASE STUDY: 105 Exhibit 4. Examples of climate action at the neighborhood level as highlighted in the Cleveland Toolkit. - appraised of sustainability and climate-related activi In addition to the CDCs, members of the Mayor’s Climate ties and accomplishments. The city also invites residents Action Advisory Committee were also involved in devel - to write blog posts about the actions they are taking oping and providing input into the development of the to “help build a green city on a blue lake” (Sustainable Toolkit as well as all other strategies included in the city’s Cleveland 2019, 2015). These posts are then shared with Climate Action Plan (Pietro, 2015). According to Matt the wider public. Additionally, the “I am Sustainable, Pietro, Sustainability Specialist at UH, “the Neighborhood - Cleveland” poster campaign affords residents, busi Climate Action Toolkit was one of the most important nesses, neighborhoods, students, and others a chance items included in the CCAP and we wanted to make to show visually how they are contributing to making sure that it was designed with language that is relatable Cleveland a more sustainable community (Exhibit 5). to community members who aren’t necessarily versed - So far, more than 100 posters have been created by res in the science behind climate change. The Toolkit was idents (McGowan, 2015). These interactive engagement designed to let them know how climate change could techniques appear to be helping Cleveland maintain impact their everyday lives and what they can do to be interest and momentum around sustainability and prepared” (Pietro, 2015). The Toolkit has been used to - climate action while also allowing the city build a repos fund adaptive capacity enhancement efforts in a number itory of examples of climate activity that can be used to of neighborhoods throughout the city. encourage others to join in the climate action movement. However, no quantifiable assessment of the amount of In terms of broad community awareness, the city uses vulnerability reduction has yet been conducted, making community events, an annual sustainability summit, it hard for the city to know exactly what impacts their and quarterly meetings, as well social media such as efforts have had. e-newsletters, Twitter, and Facebook to keep residents

108 CLEVELAND, OHIO CASE STUDY: 106 Exhibit 5. Examples from the “I am Sustainable, Cleveland” poster campaign. A further sign of the city’s accomplishments to date is the Accomplishments of Cleveland’s fact that multiple CDCs and neighborhood leaders have Toolkit and Climate Action Fund used the Toolkit to start community discussions about existing and future climate change impacts as well as opportunities for mitigating (Gray, 2015). “Without the Assessing the accomplishments of Cleveland’s Toolkit Toolkit as a catalyst, it’s unclear if these conversations and the associated climate action projects is challenging would be taking place” (McGowan, 2015). One barrier to due to (1) the distributed nature of the effort, (2) the progress has been the need for more funding to implement - limited funding available to support project implementa projects. A second barrier is the effective assessment and tion, and (3) limited staff capacity to track progress. That measurement of adaptation actions. Nevertheless, the fact said, neighborhood social cohesion does appear to be on that a wide range of activities have been accomplished the rise and interest in climate action remains stable, if with limited financing indicates that the Toolkit and its not growing, based on the level of inquiries received to process have been successful in engaging neighborhoods host Neighborhood Climate Workshops (Gray, 2015). As - and building the social cohesion Cleveland believes nec noted by Dr. Aparna Bole, “a connected community is a essary to bolster adaptive capacity. more resilient community, and in Cleveland, we have a lot of issues with disconnected communities, especially with Unfortunately, the city has struggled to convince most - those identified in our CCAP as being the most vulnera external funders that resilience in Cleveland is best ble. Issues such as high foreclosure rates or high turnover - achieved by marrying social cohesion, economic devel might limit the ability of communities to be resilient. So opment, and climate preparedness. For example, the if there are things we can do to enhance social cohesion city has applied three times without success to major and encourage people to work together, then chances resilience initiatives to undertake actions such as vul - are we are helping their communities to become more nerability assessment and resilience planning and to resilient” (Bole, 2015). Matt Gray agrees, “Resilience in improve the urban tree canopy. “This is frustrating,” Cleveland is about being prepared for external shocks. notes Jenita McGowan, “because this ignores the reali - That includes weather and climate-related shocks, but ties of where we are and what we need as a city ... our also economic shocks. In Cleveland, you can’t disconnect applications for these programs demonstrates that we these issues” (Gray, 2015).

109 CLEVELAND, OHIO CASE STUDY: 107 are incredibly poor and that climate is the straw that will that restoring Cleveland’s tree canopy is one of the most soon break the camel’s back. This hasn’t yet resonated important climate adaptation strategies for managing stormwater and cooling the city. The plan takes an equity with most organizations who are funding resilience work” (McGowan, 2015). Below is an excerpt from a approach to trees as a climate adaptation, public health, and quality-of-life strategy for Cleveland’s neighborhoods. recent application from the city that explains how they view the connection between resilience, social cohesion, Going forward, the city will continue to seek funding and poverty reduction (McGowan, 2015): to support more neighborhoods in using the Toolkit The traditional long-term impacts of poverty and additional funding for the Climate Action Fund so that neighborhood-level projects can be implemented include higher instances of chronic disease, high (McGowan, 2015). In fact, the goal of the Climate Action levels of chronic stress, living in unsafe and sub - Fund is to hold workshops and fund projects in every standard housing, lack of educational opportunity, - Cleveland neighborhood by 2017 (McGowan, 2015). lack of job readiness, and lack of access to afford able healthy foods. Poverty and inequality affect Another priority area for action is finding funding to Cleveland’s children in greater proportion with 51 - percent of children living in poverty. A major support the development of a detailed vulnerability assessment that identifies the specific needs and areas ity of Cleveland’s poor live in housing stock built for intervention within the City, the second element of prior to 1940, most of which is energy inefficient, expensive to heat and cool, and located in areas the CCAP that addresses adaptation. Once completed, with a low tree canopy cover. We anticipate that the vulnerability assessment will provide the city with a traditional long-term poverty impacts will be exac - roadmap for future, city-led projects (Gray, 2015). erbated by greater prevalence of high heat days Partnering with the county and surrounding municipal - and urban heat island effect, greater intensity of storms and flooding, increased food and fuel ities is also a high priority. Cleveland is only one of 59 municipalities within Cuyahoga County, meaning that prices, and disruptions to systems of particular importance to those living at or below the poverty regional efforts to reduce vulnerability may need to be level including public transit, emergency services, coordinated at higher levels of governance (Gray, 2015). and social services. The city is interested in helping foster that collaboration and coordination, but is waiting for clear signals from - surrounding municipalities and the county that such col laboration would be welcome (McGowan, 2015). Creating connectivity is not A final area of focus for the city pertains to the use of sexy in a technical way, but I language and overall community education. According think it is critically important to Aparna Bole (2015), “the language of climate change and research supports this. has become very political in our country. This means JENITA MCGOWAN that we sometimes have to choose our language so that we engage the right leaders in the right away. Talking about resilience, air quality, and extreme events in a really data-driven manner appears to work for us.” The city will continue to explore various ways of framing climate Moving Forward resilience and adaptation so that they reach the widest Recently, Cleveland has partnered with Cleveland array of stakeholders as possible. By starting with alter - Neighborhood Progress on a Climate Resiliency and native language that resonates with stakeholders, the city Urban Opportunities plan with the support of The Kresge believes it can build trust and rapport with individuals that - Foundation. The city has also partnered with local nonprof can later be leveraged to have a more open and frank its on the creation of a Cleveland Tree Plan which notes community discussion about climate change.

110 CLEVELAND, OHIO CASE STUDY: 108 Fumich, J. 2015. Interview with Jane Fumich, Director Acknowledgments of the Cleveland Department of Aging. February 9. We would like to thank the following for participating in interviews as part of this case study: Gray, M. 2015. Interview with Matt Gray, Director of the Mayor’s Office of Sustainability with the City of chief of sustainability, City of • Jenita McGowan, Cleveland. February 10. Cleveland Heckelmoser, D. 2015. Interview with Donnald director of the Cleveland Mayor’s Matthew Gray, • Heckelmoser, Program Administrator in the Cleveland Office of Sustainability Department of Community Development. February 9. • sustainability manager, UH; medical Dr. Aparna Bole, Krumholz, N. and K.W. Hexter. 2012. Re-Thinking the director, community integration, UH Rainbow Babies Future of Cleveland’s Neighborhood Developers: & Children’s Hospital Interim Report. Center for Community Planning and sustainability specialist, UH • Matthew Pietro, Development, Maxine Goodman Levin College of Urban Affairs, Cleveland State University. March. Jane Fumich, director, Cleveland Department of Aging • McGowan, J. 2015. Interview with Jenita McGowan, program administrator, • Donnald Heckelmoser, Chief of Sustainability, City of Cleveland. February 10. Cleveland Department of Community Development. Perkins, O. 2015. Cleveland Area Won’t Regain Jobs Lost during Recession until 2019, Forecast Says. Bibliography http://www.cleveland.com/ January 22. Available: business/index.ssf/2015/01/cleveland_area_wont_ regain_job.html . Accessed February 12, 2015. Bole, A. 2015. Interview with Dr. Aparna Bole, Sustainability Manager at University Hospitals. Pietro, M. 2015. Interview with Matthew Pietro, February 9, 2015. Sustainability Specialist at University Hospitals. February 9. Bridgeport Café. 2015. About us. Available: -us/. Accessed http://www.bridgeportcafe.com/about Sustainable Cleveland 2019. 2015. FAQ. Available: November 16, 2015. /. http://www.sustainablecleveland.org/about/faq Accessed February 12, 2015. CCAP. 2013. Cleveland Climate Action Plan: Building Thriving and Healthy Neighborhoods. Available: U.S. Census. 2015. State and County Quick Facts. http://www.sustainablecleveland.org/wp-content/ Available: http://quickfacts.census.gov/qfd/ uploads/2013/10/Cleveland-Climate-Action-Plan- . Accessed February 12, 2015. states/39/3916000.html . Accessed January 30, 2015. Final2013-web.pdf Cleveland Climate Action Fund. 2015. Cleveland - Climate Action Fund. Available: http://www.cleveland /. Accessed February 19, 2015. climateaction.org

111 EL PASO COUNTY, TEXAS CASE STUDY: 109 El Paso County, Texas Kay Bailey Hutchison Inland Desalination Facility EL PASO COUNTY, TEXAS AUTHORS: Alexis St. Juliana and Jason Vogel In this case study, you will learn about: Robust water management planning with multiple strategies • Addressing financially feasible strategies in the near term and re-evaluating next steps periodically • • Engaging in dialogue with decision makers (local, state, and federal) The role of strong leadership • Sharing information with other communities • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

112 EL PASO COUNTY, TEXAS CASE STUDY: 110 the desalination plant. Additionally, the facility helped to Case Study Summary reduce the area’s vulnerability during a period of drought El Paso’s water utility, an independent utility from the in 2012 and in 2011 when a historic freeze impacted the city and county with budgetary discretion, had been city’s reservoirs; EPWU relied on brackish water during aware for years of the combined potential impacts surface water shortages. The desalination facility and of the growing population and drought on El Paso’s EPWU’s other water resource management efforts are water resources. Since the 1960s, they have worked to projected to reduce El Paso’s vulnerability to climate reduce consumption and increase system efficiency. In - change for the next 50 years. Exhibit 1 presents a time 1991, they developed a comprehensive Water Resource line of activities in El Paso. Management Plan, which included a variety of strategies to conserve water and acquire backup water sources. 6 In line with this plan, El Paso Water Utilities (EPWU) The Broader Context of Adaptation finished construction of the 27.5-million-gallon-per- in El Paso day Kay Bailey Hutchison inland desalination facility in 2007 (on the cover). The development of the facility The City of El Paso is located in the Chihuahua desert - resulted from proactive planning efforts and a conflu and is at the end of the line for surface water supplies ence of various external drivers, including freshwater from the Rio Grande. As such, it has been aware of wells becoming brackish, a lower price threshold for the potential impact of drought for decades. The city desalination membrane technology, a drought between has also become more aware of flooding after a 2006 2003 and 2004, and the U.S. Department of Defense event and extreme temperatures after a freezing event (DoD) Base Realignment and Closure process. EPWU is in 2011 (Baldwin; 2015, Montoya, 2015). To address now able to convert formerly unusable brackish water these impacts, the city is involved in several climate into a drinking water resource for their community. change adaptation initiatives. First, El Paso is part of The development of the facility also helped to alleviate - the Rockefeller Foundation’s 100 Resilient Cities initia DoD concerns about future water supply reliability in El tive that intends to focus on local drought, flooding, Paso —The Department changed from targeting Fort - extreme temperatures, economic opportunity, and haz Bliss for closure to seeing it as a valuable resource and ards preparedness concerns (Baldwin, 2015; 100 Resilient expanding it. The U.S. Army removed personnel restric - Cities, 2015). Second, the city’s Office of Resiliency and Sustainability is working with Climate Solution University tions at the base, growing the base population roughly to finalize a climate change adaptation plan in December 4 times to 32,000. This growth is an asset to El Paso’s 2015. Potential adaptation activities include green local economy and would not have taken place without Minor New modeling Water Drought; Plant begins Climate Freeze Edmund Collaboration Base drought of Hueco Resources plant used at operations event; change Archuleta between Realignment Bolson begins Management full capacity analysis of plant used EPWU and and Closure becomes Plan at full EPWU’s Fort Bliss process President capacity water begins and Chief for first resources Executive ocer of time EPWU • Desalination becomes less costly • Build broad scale support • Freshwater wells turn brackish 2003– 2007 2012 2000 1991 2011 2008 1989 1997 2005 2004 Exhibit 1. Timeline of activities in El Paso. 6. EPWU is an independent entity from the City of El Paso, with its own governing board. Its revenue and expenditures are all managed internally. EPWU serves the City of El Paso and most of El Paso County (EPWU, 2007b). Outside its service area, EPWU provides technical support to colonias (unincorporated settlements) to write and manage grants that would fund improved water supply and waste water management options (Reinert, 2015).

113 EL PASO COUNTY, TEXAS CASE STUDY: 111 infrastructure projects to reduce flooding, the develop - resulting in major power outages, even shutting down ment of an innovation district for clean energy and water, some water supply facilities. During this event, EPWU and a tree planting campaign to minimize urban heat relied on the Kay Bailey Hutchison Desalination Plant to provide another water source. In response to the impacts island effects (Baldwin, 2015). In fact, the city is already - of the freezing event on the overall water supply system, in discussions with the Texas Trees Foundation to com plete a more thorough analysis of El Paso’s tree canopy. EPWU began a new project to install back-up generators and insulate equipment to minimize disruptions from Finally, this office also leads a number of climate change mitigation activities related to their 2009 Sustainability cold or freezing weather in the future (Montoya, 2015). Plan. These activities include energy conservation and - efforts to reduce traffic congestion by improving trans - To address water shortages or drought, EPWU has exten portation options (Baldwin, 2015; City of El Paso, 2015). sive water conservation, reclamation, and water supply diversification programs. EPWU’s comprehensive con - servation plan includes measures such as: - EPWU is an important player in El Paso’s climate adap tation, particularly with regard to flooding and drought. • Universal metering EPWU’s stormwater management activities began after a flooding event in 2006 when the city council created Landscaping rebate program • a stormwater management utility with discrete funding, • Education and outreach - to be managed by EPWU (Montoya, 2015). The new util ity developed the city’s first Stormwater Master Plan in • Rebate, retrofit, and incentive programs (rebates for 2009 with over 100 projects to create new and improve WaterSense appliances, etc.) existing stormwater infrastructure throughout EPWU’s • Water reuse/reclaimed water EPWU, management area ( 2007d; Montoya, 2015). It - completed several multi-million dollar stormwater proj • Measures to determine and control water loss and ects and is working on a $22-million pump station and continuous leak detection program $12-million pond system to mitigate flooding (Montoya, 2015). In 2011, the region experienced a freezing event Enforcement (EPWU, 2014a). • ATER W A ND W ASTEWATER U TILITY F UND Y CALENDAR - ONSUMPTION C ATER W APITA C ER P EAR 24 0 23 0 22 0 21 0 20 0 19 0 18 0 17 0 16 0 15 0 14 0 13 0 12 0 19 86 20 06 20 04 20 02 20 00 19 98 19 96 19 94 19 92 19 90 19 88 20 10 19 84 19 82 19 80 19 78 19 76 20 12 20 08 19 74 20 14 Exhibit 2. Per capita water consumption in El Paso, TX, from 1974 to 2014, in gallons per capita per day (gpcd). Source: EPWU, 2014a.

114 EL PASO COUNTY, TEXAS CASE STUDY: 112 In particular, EPWU has been using reclaimed water Why and How EPWU Developed since 1963 and has attained international recognition the Kay Bailey Hutchison for its innovative and extensive use of recycled water Desalination Facility (EPWU, 2007a). EPWU now operates one of the most extensive and advanced reclaimed water systems in EPWU Develops an Effective Water Texas for industrial use and landscape irrigation (EPWU, Resources Management Plan that Phases in 2007a). As a result of all these efforts, EPWU has been Alternate Water Resources able to reduce its per capita water consumption values (Exhibit 2). In addition to water conservation the util - In 1989 Edmund Archuleta began managing EPWU as ity has worked extensively to diversify water sources President and Chief Executive Officer. At this time, EPWU to include groundwater, surface water, and brackish was relying almost entirely on groundwater resources in groundwater. In October 2014, EPWU earned the the Mesilla Bolson and Hueco Bolson aquifers (Exhibit 3). Sustainable Water Utility Management Award from the Demands on these aquifers from withdrawals by El Paso Association of Metropolitan Water Agencies for pro - (TX), Las Cruces (NM), and Ciudad Juarez (Mexico) were active water management strategy focused on policy, beginning to show; water levels were dropping with with - planning, and technology (EPWU, 2014b). This case drawals exceeding natural recharge rates (Department study focuses on the development of El Paso’s desalina - of the Army, 2004; Hutchison, 2004; Archuleta, 2015). tion facility as a piece of El Paso’s overall water supply El Paso was also in an ongoing legal battle with New planning efforts. Mexico over water rights to these aquifers. Considering Exhibit 3. Location of Hueco Bolson and Mesilla Bolson.

115 EL PASO COUNTY, TEXAS CASE STUDY: 113 all these factors, Mr. Archuleta determined that the water ranches over 100 miles away from the community as future water resources. EPWU Public Service Board needed to develop a Water Resource Management Plan. The plan aimed to diversify the community’s water resources to preserve the fresh - Brackish Water Intruding into Freshwater water that remained in the aquifers for future need. This Wells Motivates El Paso to More Seriously 1991 plan presented several options for El Paso’s next 50 Consider Desalination 7 years of water management: As early as the 1980s, EPWU knew that brackish water • Use of surface water—rely on allocations from the and freshwater sources were migrating within its aqui - Elephant Butte Reservoir and the Rio Grande fers, but it had not completed a comprehensive analysis. In 1997, with support from the U.S. Geological Survey, • Conservation—limit water use through education, EPWU engaged in new hydrologic modeling to better restrictions, enforcement, incentives/rebates, and analyze and understand its groundwater resources higher rates (Archuleta et al., Forthcoming). Then, in the late 1990s • Additional reclamation of water—treat wastewater for and early 2000s, EPWU began to notice a significant non-potable uses such as irrigation or industry problem with some of its wells. The water in those wells was becoming brackish and did not meet drinking water • Importation of water—acquire water ranches (land and quality standards. The U.S. Geological Survey’s modeling associated water rights) outside El Paso and construct and EPWU’s drilling and sampling data showed that El pipelines Paso’s and Ciudad Juarez’s current pumping were caus - • Inland desalination (Archuleta, 2004). ing brackish water to intrude EPWU’s freshwater wells. EPWU notified officials at Fort Bliss that they should The first three of these options were of immediate be aware of this issue in their own wells. EPWU began interest to the utility. Over time, the utility was able to reconsidering the option of inland desalination at this - lower per-capita water consumption through conserva juncture. In addition, between 2003 and 2004, El Paso tion from about 225 to 130 gallons of water per person experienced a drought that resulted in use restrictions per day; this work continues today even though further for surface water resources. reductions are becoming more difficult to attain (EPWU, 2014a). EPWU was also able to construct a new water Technological Advances Make Desalination treatment plant, the necessary infrastructure, and rights a Financially Feasible Option to use surface water from the Elephant Butte Reservoir In the late 1990s and early 2000s, EPWU found that the and the Rio Grande. In general, the utility switched strat - cost of desalination had decreased. Since the early 1990s, egies to preserve groundwater resources. This consisted new providers created competition in the reverse osmosis of conserving water, reclaiming water, and relying on membrane market. Additionally, improvements in tech - “renewable” surface water (as long as there were not nology made desalination less energy intensive and less drought conditions). Prior to the 1991 plan, surface water costly to operate (Archuleta, 2004; see the text box). The was an almost non-existent part of EPWU’s water supply. cost of constructing and operating a desalination facil - EPWU determined it was an important untapped source ity was now a more viable option, although still costly. of water. System upgrades, made over many years, were Based on the size of the Hueco Bolson and estimates of finally completed between 2008 and 2009 (Hutchison, future need, EPWU estimated it could construct a 20 mil - 2015). The last two options from the 1991 plan were not lion-gallon-per-day treatment facility. Fort Bliss officials immediately feasible due to the high cost of installing knew that EPWU was considering desalination and felt it pipelines and desalination technology. However, EPWU could work for Fort Bliss too. Fort Bliss and Army Corps invested in understanding desalination options through of Engineer officials considered a separate 7.5-million- tours of Florida desalination facilities, developed several gallon-per-day facility to help meet water needs. small-scale desalination pilot projects, and purchased 7. Beginning in 1997, the Texas Water Development Board implemented a new requirement that 16 multi-county regions (comprising the entire state) develop water supply plans. EPWU now works with its regional counterparts on water supply plans in addition to its own planning activities. The most recent plan was completed in 2011.

116 EL PASO COUNTY, TEXAS CASE STUDY: 114 EPWU and Fort Bliss Form a Critical WHAT ABOUT THE ENERGY COSTS Partnership ASSOCIATED WITH DESALINATION? Prior to the partnership to develop the desalination plant there had been limited collaboration between Fort Bliss Desalination is a very energy-intensive process. and EPWU. EPWU had treated Fort Bliss wastewater However, desalination of brackish water is less percent of its drinking water and supplied about 20–25 energy intensive than desalination of ocean (Perez, 2001; Archuleta, 2015). water. The brackish water in the Hueco Bolson aquifer is less salty than ocean water so less EPWU officials said that they felt the development of treatment is required. Specifically, the salinity a joint desalination facility would be beneficial for the of the plant’s source wells range from 2,000 to - community and Fort Bliss. Constructing a single 27.5-mil 4,000 mg/l (milligrams per liter) while ocean lion-gallon-per-day facility would be less expensive water’s is 33,000 mg/l. Additionally, the Kay than building two individual plants. However, locating Bailey Hutchison facility does not run at full the desalination facility on Fort Bliss property required capacity. It is primarily intended to meet El Paso’s a great deal of negotiating. EPWU took on the task of water needs in times of drought or otherwise convincing Fort Bliss and DoD officials. EPWU brought to reduced surface water flows. These factors com - the table several bargaining pieces. EPWU would: bined made the facility a cost-effective option • Drill test and source wells at the time the facility was constructed over the next best alternative—importing water from • Design and construct the facility ranches 100 miles away. - Design and construct the 22-mile desalination concen • trate pipeline and deep injection wells • Operate the facility Use of Brackish Water Presents a Unique • Sell water to Fort Bliss at a negotiated price. Water Management Opportunity Those interviewed for this case study indicated that In exchange, EPWU asked that Fort Bliss: freshwater pumping by both EPWU and Fort Bliss Complete the Environmental Impact Statement • caused brackish water to migrate to freshwater supply required under the National Environmental Policy Act wells. The increased salinity was high enough that the water was not suitable for distribution without additional Drill test wells for concentrate disposal • treatment. EPWU hydrology staff were concerned that Lease its land to EPWU for the plant, pipeline, and • - two desalination facilities in close proximity would exac injection wells. erbate the current problem of brackish water migration. Instead, officials felt that a single desalination facility in In this arrangement, Fort Bliss and the DoD would take the right location could help to draw brackish water for on a smaller portion of the $91 million in capital costs treatment, while preserving fresh groundwater in the than EPWU, while increasing water supply reliability aquifer. EPWU modeling showed that the best location (Exhibit 4). This reliability meant both greater water for the plant was on Fort Bliss’ property. This location security and ongoing operations at Fort Bliss. Housing was in proximity to freshwater wells that had become the plant on Fort Bliss property also helped to address saline, existing water lines and storage tanks, and water U.S. Army security and terrorism concerns, as with any 8 to dilute the desalination concentrate. water treatment facility. The U.S. Army felt that the facil - ity would be better protected on Army land (Barrera, 2015). Additionally, as a federal entity, the U.S. Army 8. Most desalination facilities dispose of their waste (or concentrate) in the ocean. Since El Paso’s desalination plant is an inland facility, it had to devise an alternative. El Paso opted for deep well injection of the diluted concentrate, which required a lengthy regulatory approval process. For detailed information see Archuleta et al. (Forthcoming).

117 EL PASO COUNTY, TEXAS CASE STUDY: 115 felt it made the most sense for Fort Bliss to lead the El Paso was concerned about the potential loss of Fort - Environmental Impact Statement process. The arrange - Bliss; Fort Bliss is a major economic driver in the commu nity. The development of the desalination facility could ment gave EPWU the necessary land and easements to reassure the DoD of El Paso’s long-term water supply - construct the operation, possibly helped the project nav reliability and could actually increase the number of igate the Environmental Impact Statement with greater - people stationed at Fort Bliss, bringing economic ben ease, helped EPWU to manage groundwater hydrology efits to El Paso. in order to preserve freshwater resources, and increased El Paso’s water supply reliability. However, leasing the land from Fort Bliss was a challenge. An agreement was EPWU Builds Broad-Scale Support necessary to even conduct initial surveys on Fort Bliss Local Leadership property. The final negotiated 50-year lease allowed Interviewees and news articles indicated that EPWU, the - EPWU to preliminarily construct the facility, the desali Greater El Paso Chamber of Commerce, former Mayor nation concentrate disposal pipeline, and concentrate Carlos Ramirez, former Mayor Joe Wardy, and others disposal injection wells (Archuleta, 2015; Barrera, 2015). went to Washington, DC, to speak with members of The lease also allows for ongoing operations of the plant. Congress and DoD officials (Perez, 2001). Early on, con - However, the arrangement does not grant Fort Bliss free versations were aimed at building DoD’s support for the treated water—Fort Bliss has a negotiated wholesale project, and sought access to Fort Bliss and financing. water rate with EPWU. Once the Base Realignment and Closure process was announced, local leadership made the case for keep - Exhibit 4. Capital costs to develop the Kay Bailey ing and strengthening Fort Bliss. A critical part of these Hutchison desalination facility (in millions) conversations was the planned desalination facility and Cost Item long-term water supply reliability. At this time, EPWU had already begun designing the desalination facility, Production wells $32 which was vital for demonstrating the promise of the Plant and pipeline $40 facility. The Base Realignment and Closure process may - have expedited the development of the facility and pro Concentrate disposal wells and pipeline $19 vided local leaders a platform to advocate for the plant. Total $91 Political Allies Source: Reinert, 2014. EPWU relied heavily on allies in Congress and the DoD to help make the plant happen. In particular, U.S. Senator - Kay Bailey Hutchison (Texas) who sat on the appropria 2005 Base Realignment and Closure tions Subcommittee on Military Construction, Veterans Process Builds Momentum for Desalination Affairs, and Related Agencies played an integral role in The DoD scheduled a periodic Base Realignment and - securing $26 million for the plant (Exhibit 5). All mili - Closure process for 2005. In this process, the DoD deter tary construction projects over a certain dollar threshold mines what military facilities are no longer needed or can must go through this subcommittee. Additionally, U.S. be consolidated. Fort Bliss and all other facilities were Congressman Sylvester Reyes (Texas) advocated for the considered for closure. Fort Bliss was in some jeopardy facility and helped secure funding (Department of the of closure, despite being one of the larger facilities in the Army, 2004). Congressman Reyes pushed for EPWU and United States (1.1-million acres; DoD, Undated). The U.S. Fort Bliss to develop the plant together as it would be Army’s Director of Environmental Programs had serious difficult to get funding for two desalination plants in concerns about the reliability of water supplies at the one Congressional District (Barrera, 2015). By working facility and had even capped the population at Fort Bliss together, EPWU and Fort Bliss felt they had better oppor - based on this concern (Cushing, 2015; Dayoub, 2015). tunities for state and federal funding. EPWU’s significant

118 EL PASO COUNTY, TEXAS CASE STUDY: 116 investment in the plant also had a large influence on the this process yielded few critical concerns over the plant, although there were some objections. The primary congressional appropriation. If the military were to build example was the proposed alternative for concentrate its own plant at Fort Bliss, it would likely cost more than the $26 million appropriation—the plant would address disposal. EPWU and Fort Bliss had always indicated that their preferred option for concentrate disposal was the critical concern of water supply reliability for less deep well injection. As an alternative, evaporative ponds money than if Fort Bliss had attempted to construct the plant on its own. Additionally, Fort Bliss officials made were also considered. Several individuals objected to the construction of such evaporative ponds because the case for the plant to be operated by EPWU, which had extensive expertise in water operations. Considering of the land area they would occupy (nearly 700 acres) and the potential harmful effects on birds and other this, the plant would help to keep Fort Bliss open and the wildlife (Department of the Army, 2004). The Trans- U.S. Army could continue to use its vast training grounds. Pecos Audubon Society felt that, managed properly, such ponds could potentially benefit wildlife. However, Exhibit 5. Contributions to the development of since the cost of the deep well injection was much lower, the Kay Bailey Hutchison desalination facility EPWU and Fort Bliss pursued the deep well injection (in millions) - option. Other concerns included the risk of seismic activ Amount Funding sources ity from deep well injection and desalination concentrate contaminating privately held freshwater wells in the area EPWU bond and cash $60.7 (Department of the Army, 2004). Fort Bliss responded Congressional appropriation $26.0 to all written comments as part of the Environmental Impact Statement process. However, the comments did U.S. Army in-kind (Environmental Impact Statement and drilling for feasibility of not dramatically change the project plans. $3.3 injection wells) Texas Water Development Board interest-free loan $1.0 Accomplishments of the Total $91.0 Desalination Facility Several other elected officials expressed support for the Those interviewed for this study agree that the Kay facility, including U.S. Senator John Cornyn (Texas), and Bailey Hutchison inland desalination facility is a success. Texas State Senators Eliot Shapleigh and Frank Madla Not only was an unusable water resource converted into (Department of the Army, 2004). a potable water supply, the desalination facility is the largest inland plant worldwide. Additionally, EPWU was Community Buy-in the first utility to use deep well injection of desalination concentrate. Elza Cushing who was an EPWU Public Those interviewed for this case study felt that the El Paso Service Board member and also worked at Fort Bliss community was supportive of EPWU’s decision to pursue stated, “In my career I think that [the development of the desalination. With EPWU educating the community on desalination facility] is the most important thing I’ve ever water conservation for nearly 15 years, most people, done.” In general, interviewees noted that the develop - industries, and organizations recognized the need for ment of the desalination facility has met five important future water supply reliability. Additionally, since the goals for El Paso and Fort Bliss: plant and injection wells are contained on the Fort Bliss property, few residents were directly affected by the development or operation of the facility. 1. Short-term water supply reliability—In 2011 during a freeze event and in 2012 during a period of drought Fort Bliss staff led the development of the Environmental the desalination facility operated at full capacity Impact Statement. Public meetings that were part of (Crowder, 2012; Montoya, 2015). In both cases it

119 EL PASO COUNTY, TEXAS CASE STUDY: 117 Exhibit 6. El Paso’s 2009–2013 municipal water demand (millions of gallons) 2013 2012 2011 2010 2009 163.5 163.2 158.5 161.1 Peak day 152.6 Average day 99.8 104.3 106.4 102.4 101.6 Source: EPWU, 2014a. supplemented pumping at El Paso’s groundwater Long-term groundwater management—the plant has 3. facilities. In particular, in 2012 the utility was not - seized an opportunity to ensure that fresh ground able to use surface water from the Elephant Butte water resources are protected and available in the - Reservoir. The plant allowed El Paso to avoid man future. The plant was developed in a strategic location datory water restrictions, although EPWU still asked to manage groundwater flows. The utility sees value residents to voluntarily cut down on their water use. in operating the plant to help manage the flow of EPWU officials see desalination as a “drought-proof” water resources in the Hueco Bolson aquifer. Strategic option due to the reserves of brackish water in the pumping can help to maintain unique reserves of Hueco Bolson aquifer. fresh and brackish water into the future, even if there are not immediate drought conditions that require El Paso uses roughly 100 million gallons of water the use of the desalination facility (Hutchison, 2015; per day (Exhibit 6). The 27.5-million-gallon-per- Reinert, 2015). Additionally, the relative high-quality day desalination facility has the potential to meet of the concentrate being injected into the deep wells a significant portion of El Paso’s water needs when (the concentrate is less saline than the groundwater - surface supplies are limited. EPWU’s current ground in that location) could create a future water source, water capacity is 164 million gallons of water per as technology allows. day (including the desalination facility) and surface water capacity is 100 million gallons of water per 4. Economic growth—as a result of the desalination day (EPWU, 2014a). While there are sufficient water plant, Fort Bliss has been able to grow substantially resources in a normal year, the 27.5-million-gallon- (Dayoub, 2015). Fort Bliss is about four times larger per-day desalination facility provides much-needed since the plant was developed. Fort Bliss grew from reliability when water supplies are low. approximately 8,000 military personnel in 2005 to - 32,000 in 2015, not including family members or civil - 2. Long-term water supply reliability—state water plan ian workers (DoD, Undated; Barrera, 2015; Dayoub, ning requires planning for the drought of record. 2015; Archuleta, 2015). This is a significant economic There is no requirement to plan for future or worse gain for El Paso. Specifically, those stationed at Fort drought due to climate change. In 2007, State Senator Bliss bring their families and spend money in El Paso, Eliot Shapleigh helped pass Senate Bill 1762 that which boosts the local economy. Interestingly, this required the Far West Texas regional water planning growth also brings more water users into a drought- area to conduct a climate change analysis (The Portal prone region, potentially exacerbating El Paso’s to Texas History, 2007; Texas Water Development - vulnerability to drought. However, this impact is rel Board, 2008). As a result, in 2008 an EPWU employee atively modest at this point; the additional 24,000 conducted a climate change analysis of El Paso water users brought in to Fort Bliss by the plant represents supplies. This analysis found that EPWU’s current a 3 percent increase from the estimated total number plans are sufficient for the projected climate over the of users in 2013 (EWPU, 2014a). next 50 years (Hutchison, 2008).

120 EL PASO COUNTY, TEXAS CASE STUDY: 118 5. Leading peers in the water industry—EPWU staff at the potential detriment to wildlife. In addition to these alternatives currently or soon to be available, EPWU is and Edmund Archuleta (now retired from EPWU) planning for the future and is working to ensure that is are regularly asked to speak about their work on the has options for importing water from up to 100 miles - desalination facility and overall water supply man away. Slowly, EPWU is putting in place the necessary agement activities. According to Edmund Archuleta, easements to import water from Dell City. If, and when, Scott Reinert of EPWU, and others, the uniqueness this becomes a viable option for El Paso (probably no of the inland desalination facility draws interest from sooner than 2040), the water would need to be desali - communities worldwide to learn about desalination nated since it is brackish (Archuleta, 2015; Barrera, 2015; potential in their communities. The plant serves as - Mrkvicka, 2013; Crowder, 2014). However, EPWU recog the primary public education center for the utility nizes importing is one of its highest cost water supply with its TecH2O visitor center. Staff at EPWU regularly options so it will continue to work to conserve water and give tours and talk about the plant to officials from identify additional alternatives. other communities. Other Texas communities such as Austin, San Antonio, the Lower Rio Grande valley, - The city’s involvement in the 100 Resilient Cities initia the Lower Wilcox, and Bexar County are considering tive and adaptation planning through Climate Solutions or moving forward with desalination, learning from University have the potential to lead to actions which El Paso’s experience. Additionally, those interviewed will reduce El Paso’s vulnerability to drought, flooding, mentioned that EPWU has borne the initial burden and extreme temperatures. Next steps include finalizing of getting the proper permits for deep well injection planning efforts, a possible greenway project to mitigate of the desalination concentrate (see Archuleta et flooding, work with the Texas Trees Foundation to con - al., Forthcoming); future inland desalination facili - duct a tree canopy assessment and eventually planting ties might experience fewer regulatory hurdles, and trees to mitigate urban heat island effects, and a number can learn from EPWU’s experience. In particular, of preparedness outreach activities with both residents - San Antonio has begun construction on a desali and businesses. Implementation of these actions could nation facility that will use deep well injection and begin as early as January 2016 (Baldwin, 2015). the permitting process has been less burdensome (Archuleta, 2015). Acknowledgments Moving Forward We would like to thank the following people for partici - pating in interviews as part of this case study: While El Paso’s desalination facility and other water management measures are expected to provide suffi - University of Texas at El Paso Edmund Archuleta, • cient supplies for years to come, EPWU continues to (formerly EPWU) re-evaluate and plan. Where groundwater and surface Lauren Baldwin, City of El Paso • water supplies have always been El Paso’s most afford - able water sources, desalination, purified water, and • Elza Cushing, formerly with Fort Bliss and the EPWU reclaimed water present attractive alternatives, although Public Service Board at a higher cost. In particular, EPWU identified purified • Richard Dayoub, Greater El Paso Chamber of water as the next best step for ongoing water supply Commerce reliability. Purified water is treated wastewater that undergoes an advanced purification process before it Bill Hutchison, • independent groundwater consultant is distributed. However, one interviewee suggested that (formerly EPWU) increased use of reclaimed water and the potential use • Christina Montoya, EPWU of purified water present problems for El Paso’s parks EPWU • Scott Reinert, and conservation areas. These plans would divert water

121 EL PASO COUNTY, TEXAS CASE STUDY: 119 • University of Texas at El Paso, and the John Sproul, Crowder, D. 2014. EPWU Looks to Hudspeth County for Water: Drought on Rio Grande Speeds up Plans Trans-Pecos Audubon Society to Import Water. El Paso Inc. December 22. Available • John Barrera, Fort Bliss (written response). - http://www.elpasoinc.com/news/local_news/arti . cle_49234be8-89f4-11e4-aa04-c762d27c90a0.html Accessed August 13, 2015. Bibliography Cushing, E. 2015. Interview with Elza Cushing, former Fort Bliss. February 25. Dayoub, R. 2015. Interview 100 Resilient Cities. 2015. El Paso’s Resilience with Richard Dayoub, The Greater El Paso Chamber of Challenge. Available: http://www.100resilientcities. Commerce. February 23. org/cities/entry/el-pasos-resilience-challenge#/-_/ . Accessed April 8, 2015. Department of the Army. 2004. Proposed Leading of Lands at Fort Bliss, Texas, for the Proposed Siting, American Community Survey. 2012. American Construction, and Operation by the City of El Paso Community Survey. American FactFinder. U.S. Census of a Brackish Water Desalination Plant and Support Bureau. Available: http://factfinder.census.gov/faces/ Facilities. Available: https://www.bliss.army.mil/DPW/ . Accessed August 19, 2013. nav/jsf/pages/index.xhtml Environmental/documents/FORT%20BLISS%20 DESAL%20FEIS.pdf . Accessed January 26, 2015. - Archuleta, E. 2004. Desalination of brackish ground water in El Paso, Texas. In The Future of Desalination DoD. Undated. Fort Bliss, Texas. U.S. Department of in Texas. Volume 2: Biennial Report on Seawater Defense. Available Desalination. Texas Water Development Board, Austin, http://www.militaryinstallations.dod.mil/pls/ https://www.twdb.texas.gov/ TX. December. Available: psgprod/f?p=132:CONTENT:0::NO::P4_INST_ID,P4_ publications/reports/numbered_reports/doc/R363/ . Accessed March INST_TYPE:4375%2CINSTALLATION main.pdf . Accessed December 29, 2014. 13, 2015. Archuleta, E. 2015. Interview with Edmund Archuleta, EPWU. 2007a. Reclaimed Water: Water Shouldn’t former EPWU. February 23. http://www.epwu.org/ Only Be Used Once! Available: . Accessed February 13, 2015. reclaimed_water/ Archuleta, E., M. Fahy, S. Reinert, H. Gonzalez, R.S. Raucher, J. Clements, J. Oxenford, M. Mickley, W. EPWU. 2007b. Water: Past and Present Water Dugat, M. Cappelle, T. Davis, A. Tarquin, W. Hargrove, http://www.epwu.org/water/ Supplies. Available: A. Michelsen, Z. Sheng, R. Lacewell, and A. Fernald. . Accessed February 13, 2015. water_resources.html Forthcoming. El Paso Water Utilities’ Kay Bailey Hutchison Desalination Plant, Texas. In Desalination EPWU. 2007c. Water: Setting the State for the Future. Concentrate Management Policy Analysis for the Arid Available: http://www.epwu.org/water/desal_info.html . West. WateReuse Research Foundation. Alexandria, VA. Accessed February 13, 2015. Baldwin, L. 2015. Interview with Lauren Baldwin, EPWU. 2007d. El Paso County Stormwater Master Sustainability Program Specialist. July 29. Plan. Available http://www.epwu.org/stormwater/ . Accessed July 29, 2015. master_plan.html Barrera, J. 2015. Response to Comments from John Barrera, Fort Bliss. April 6. EPWU. 2014a. El Paso Water Utilities 2014 Water Conservation Plan As per Rule 363.15 Required Water City of El Paso. 2015. Programs: Office of Resilience Conservation Plan Texas Water Development Board. and Sustainability. Available: http://www.elpasotexas. http://www.epwu.org/conservation/pdf/ Available: . Accessed April 8, 2015. gov/sustainability/programs Conservation_Plan_2014.pdf . Accessed February 13, 2015. Crowder, D. 2012. Desal Plan Running Near Capacity. EPWU. 2014b. Public Information: El Paso Water El Paso Inc. May 27.

122 EL PASO COUNTY, TEXAS CASE STUDY: 120 Utilities Receives National Award for Sustainable Water U.S. El Paso Time. April 23. http://www.epwu. Management. October 22. Available: org/public_information/news_releases/nr_141022-01. Reinert, S. 2014. Overview of the El Paso Kay Bailey html . Accessed February 13, 2015. Hutchison Desalination Plant. Presented at the Multi- State Salinity Coalition. Las Vegas, Nevada. February 20. Far West Texas Water Planning Group. 2011. 2011 Far Reinert, S. 2015. Interview with Scott Reinert, El Paso West Texas Water Plan. Prepared for the Texas Water Development Board by LBG-Guyton Associates, Austin Water Utilities. February 23 and July 29. and Houston, TX. January. Stratus Consulting. 2011. El Paso Triple Bottom Line: Desalination and Reuse Water. Stratus Consulting Inc., Hutchison, B. 2004. Water Desalination and Reuse Boulder, CO. October 13. Strategies for New Mexico. New Mexico Water Resources Research Institute. September. Texas Water Development Board. 2008. Far West Texas Climate Change Conference: Study Findings and Hutchison, B. 2008. Climate Change Impacts on http:// Conference Proceedings. December. Available: Municipal Water Management in El Paso, Texas. Presented at the Far West Texas Climate Change - www.twdb.texas.gov/publications/reports/special_leg http://www. islative_reports/doc/climatechange.pdf Conference. June 17. Available . Accessed groundwater-conference.uci.edu/files/Chapter1/2008_ March 13, 2015. . Accessed March 2, 2015. conf_Hutchison,%20WR.pdf Texas Water Development Board. Undated. Worth Its Hutchison, B. 2015. Interview with Bill Hutchison, inde Salt: El Paso Water Utilities—Kay Bailey Hutchison - Desalination Plant. Available http://www.twdb.texas. pendent groundwater consultant. February 16. gov/innovativewater/desal/worthitssalt/doc/Worth_ Hutchison, W.R. 2009. Desalination of brackish Its_Salt_Jan2014_ KBH.pdf . Accessed February 13, - groundwater and deep well injection of concen 2015. trate in El Paso, Texas. In Proceedings of the World The Portal to Texas History. 2007. 80th Texas Legislature, Environment and Water Resources Congress 2009. Regular Session, Senate Bill 1762, Chapter 575. June Kansas City, MO. Sponsored by EWRI. May 17–21. 15. Available: http://texashistory.unt.edu/ark:/67531/ Montoya, C. 2015. Interview with Christina Montoya, . Accessed March 13, 2015. metapth155764/m1/1/ Vice President-Marketing and Communication. July 29. Mrkvicka, M. 2013. Behind the Dell City Water Deal. El Paso Inc. March 14–20. Available - http://texas livingwaters.org/wp-content/uploads/2013/04/ tlw-news-3-14-04.pdf . Accessed August 13, 2015. Perez, D. 2001. Desalination Plant Would Be Largest in

123 FLAGSTAFF, ARIZONA CASE STUDY: 121 Flagstaff, Arizona Flagstaff Watershed Protection Project FLAGSTAFF, ARIZONA AUTHORS: Megan O’Grady, Karen Carney, and Jason Vogel In this case study, you will learn about: • Using a bond to raise funds to reduce vulnerability Securing public support for actions that reduce vulnerability • • A successful partnership between multiple jurisdictions at different government levels CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

124 FLAGSTAFF, ARIZONA CASE STUDY: 122 - invested in a wide range of activities to protect the for Case Study Summary ests’ integrity over the long-term. Since the 1990s, northern Arizona has experienced several catastrophic wildfires. Damage from one of One of these activities began in 1997 when individuals these fires, the 2010 Schultz fire, also contributed to from the Coconino National Forest of the USFS, the City severe flooding during heavy rains shortly after the fire. - of Flagstaff, Northern Arizona University, and environ Increased temperatures and more intense precipitation mental and business groups came together and formed due to climate change could lead to similar or even more the Greater Flagstaff Forests Partnership (Greater damaging events in the future. Flagstaff Forests Partnership, 2014; see Appendix A for a list of GFFP partners). The primary goals of the GFFP In November 2012, voters in Flagstaff passed a $10 mil - are to: lion bond measure to fund forest-thinning activities to “Restore natural ecosystem structures, function, and • reduce the risk of catastrophic wildfire in the watersheds composition of ponderosa pine forests around Flagstaff, thus creating the Flagstaff Watershed - Protection Project (FWPP). The FWPP involves for Manage forest fuels to reduce the probability of • est-thinning treatments in critical but hard-to-treat areas catastrophic fire of the forests around Flagstaff, including in the city’s two • Research, test, develop, and demonstrate key main watersheds, Rio de Flag and Lake Mary/Mormon ecological, economic, and social dimensions of Mountain. The majority of the project area is comprised restoration efforts.” (Greater Flagstaff Forests of National Forest (approximately 10,544 acres), but Partnership, 2014). Arizona state and city lands are also included. The U.S. Forest Service (USFS), the City of Flagstaff, and the In the same year, the City of Flagstaff created its Wildland Arizona State Division of Forestry have conducted treat - Fire Management division with the mission to, “promote, ments in pre-approved areas and the USFS is conducting - create and maintain a sustainable healthy forest eco a treatment analyses on the remaining acres through system and a FireWise community, thereby protecting the National Environmental Policy Act (NEPA) process. and enhancing public safety and community well-be - Although most of the specific projects planned under ing” (City of Flagstaff, 2014c). These organizations and the FWPP are waiting for a NEPA review, the FWPP proj - their activities helped raise awareness about the need ect has generated a lot of good will among stakeholders, to manage wildfire risk and they specifically identified has received decisive political support in the ballot box, key areas in need of treatment. Today, treatment is con - and has attracted additional funding to supplement the ducted by multiple entities, including the GFFP, the City $10 million bond. of Flagstaff, the State of Arizona, and the USFS. These entities coordinate their work to ensure that all of the forests around Flagstaff are treated in a consistently and Broader Context comprehensively manner, regardless of who owns the forest land. Flagstaff’s economy and culture are closely linked to its nearby forests. The city is located in the foothills While there are many different forest management of the San Francisco Peaks among one of the largest efforts in and around Flagstaff, this case study focuses on contiguous pine forests on Earth. The forest provides a the FWPP and its efforts to reduce vulnerability to cat - wide range of recreational opportunities, such as skiing, astrophic wildfire. While the area affected by the FWPP camping, hiking, and mountain biking, which draw is relatively small, it targets critical areas not otherwise nearly 5 million visitors annually. The city also depends designated for treatment by other efforts due to steep on nearby forests for most of its drinking water (City slopes, challenging terrain, unique vegetation types, and of Flagstaff, 2014b). Because forests are so important the presence of the threatened Mexican spotted owl. to the city culturally and economically, Flagstaff has

125 CASE STUDY: FLAGSTAFF, ARIZONA 123 - intense, and devastating fires (photo on cover). Other Over the last decade Flagstaff has also become increas factors, such as the bark beetle outbreak, had contrib - ingly aware of the potential effects of climate change uted to the declining health of the area’s forests. on their community and the forests. In 2006, the City Council signed on to the U.S. Mayors Climate Protection Flagstaff’s economy and culture are closely linked to the Agreement, and in 2007 the council hired a full-time Sustainability Director, Nicole Woodman (Smith, 2012). forests, so local experts took action. In 1997, the same year the GFFP was formed, the City of Flagstaff created - Among other activities, Ms. Woodman led the develop ment of a climate change vulnerability assessment for its Wildland Fire Management division. GFFP began to the city, which identified whether and how climate might - raise awareness about the importance of forest manage threaten key city sectors and issues. The assessment ment and identify key areas in need of treatment. - identified catastrophic wildfire risk in the city’s water sheds as one of Flagstaff’s main vulnerabilities (City of Flagstaff, 2012b). However, even though Flagstaff has “The reality of climate change, - engaged in climate change adaptation planning, inter viewees stated that vulnerability reduction activities drought, and the increasing implemented under FWPP were not directly informed threat of destructive wildfires or motivated by Flagstaff’s adaptation efforts, although and insect outbreaks to our - they did state that this work will help improve the resil forested watersheds challenge ience of forests to changing conditions. us to examine our approach to forest management and take bold action to restore Why and How Flagstaff Implemented the resilience and health of the FWPP Arizona’s forests, and protect Flagstaff and the Forest forest values for future generations.” Flagstaff sits in the middle of a large contiguous ponder - osa pine forest. In the 1990s, these forests faced a series GOVERNOR’S FOREST HEALTH COUNCILS, - of significant wildfires that began to increase commu 2007 nity awareness about how past management practices had increased the forests’ susceptibility to large-scale, Finalize the EIS July: DEIS released April: Notice of February: Southwest Schultz fire Several wildfires with four alternatives Intent (NOI) to Fire Science and subsequent Consult with prepare an EIS Consortium Conference flooding eects GFFP and Wildland the USFS October: Cost published Fire Management November: Question 405 avoidance study division founded on the ballot released Draft a decision 1990s 2010 2014 2015 2012 2013 Exhibit 1. FWPP timeline. DEIS: Draft Environmental Impact Statement; EIS: Environmental Impact Statement.

126 FLAGSTAFF, ARIZONA CASE STUDY: 124 Schultz Fire and Subsequent Flooding Developing a Bond Measure and Building Support among Stakeholders Following a series of record-breaking fires throughout the 2000s, in 2010 an abandoned campfire started the Schultz fire in the Coconino National Forest just north of Flagstaff. The fire burned over 15,000 acres. A month WORKING WITH THE NAVAJO NATION AND - after the fire was contained, Flagstaff and the surround OTHER NATIVE TRIBES ing area experienced the fourth wettest monsoon event on record. The Schultz fire had damaged vegetation and As part of the FWPP, officials considered all ground cover, diminishing the forest’s capacity to absorb individuals who were impacted by the Shultz much of the rain that fell. Thirty million gallons of water fire and flood. This included the Navajo Nation - ran off the Schultz fire hillsides, resulting in severe flood because several Navajo Nation cultural sites were ing as far away as 10 miles from the fire site (Klassen and destroyed in the Shultz fire. The Navajo also own Howard, 2011; Youberg et al., 2011). The flooding affected a 140-acre parcel in the Dry Lake Hills FWPP several residential areas; damaged a main water pipeline, project area. As part of the FWPP, the City of cutting off approximately 20 percent of the city’s water Flagstaff and representatives from the Navajo supply; damaged 320 Native American cultural sites; Nation developed an agreement where some of and killed a 12-year-old girl (Klassen and Howard, 2011; the bond funds will be used to conduct treatment Youberg et al., 2011; Brehl et al., 2014). on tribal land. The treatment will be conducted in phases and the Navajo Nation will review and According to interviewees, Flagstaff residents became provide a permit for each phase. Native tribes more aware of their vulnerability to wildfire following the who hold the San Francisco Peaks as Traditional Schultz fire; residents also came to recognize a fire’s sec - Cultural Property have also been consulted as ondary effects, such as flooding, erosion, and impacts to part of the NEPA planning process regarding their water supplies. Every individual interviewed for this treatment on USFS lands. case study believed that the Schultz fire and subsequent flooding were major factors in the formation and support of the FWPP (Brehl et al., 2014; Elson and Phelps, 2014). When Paul Summerfelt and his colleagues returned to Flagstaff, they organized a local workshop to pitch the Peer Learning from Santa Fe at the - idea of the PWS approach to the sustainability com Southwest Fire Science Consortium missioners, city staff, department heads, and the City In late February 2012, GFFP representatives attended a Manager, Kevin Burke. Kevin Burke was supportive of conference in Santa Fe, New Mexico, sponsored by the the idea but proposed that Flagstaff raise funds for its Southwest Fire Science Consortium. According to the forest management project in a different way; he knew interviewees, at this conference they heard a presentation of a city bond that was set to expire later that fall. If about an effort in Santa Fe to identify the communi - the city allowed the bond to expire, it would decrease ty’s willingness-to-pay to help protect their watershed - Flagstaff residents’ taxes. However, Kevin Burke pro resources from catastrophic fire damage. Santa Fe had posed that the city renew this bond and redirect the secured a grant to conduct the Payment for Watershed - funds to wildfire management, which would provide sup Services (PWS) approach to forest management, which port for forest management without increasing taxes included a significant amount of community outreach (Brehl et al., 2014). The bond would raise $10 million and education (Brehl et al., 2014). Paul Summerfelt, the for the management of approximately 15,000 acres of city’s Fire Management Officer, and GFFP President at forest around Flagstaff that was not currently covered the time, attended the conference and realized that the under other projects (Nielsen and Solop, 2013); this land - GFFP and others in Flagstaff could motivate their com included the Coconino National Forest, and Arizona state munity to help fund critical forest management as well. and city lands.

127 FLAGSTAFF, ARIZONA CASE STUDY: 125 Although transferring the bond funds would legally percent) and that the “Forest Service restoration” (84 would be accountable to the City” of Flagstaff with this require both the City Council and a city-wide vote of percent) (Nielsen and Solop, 2013; project design (70 approval, it would create community ownership of the Figure 1). work and allow Flagstaff to access the funds quickly. Using bond funding would avoid the need for the city to The planning effort on the National Forest is now led conduct a costly and lengthy willingness-to-pay study. by the FWPP Interdisciplinary Team (IDT), which is This idea was presented to the City Council for vote in spring 2012. The council voted in favor of the initiative, - comprised of approximately 16 core members and 8 con sulting members, including a representative from the City and bond question 405 was created for the ballot of the next fall’s city-wide election. As soon as the City of Flagstaff. The city was granted Cooperating Agency Council approved putting the bond on the ballot, a small status early in the planning process to enable Flagstaff to have a seat at the planning table. An executive com - team of individual Flagstaff citizens organized a Political mittee is also in place to discuss overarching decisions Action Committee (PAC) in support of the measure. They related to FWPP, including funding and implementation. spoke with a campaign consultant and raised $8,000– 9,000 (Brehl et al., 2014). According to interviewees, the The executive committee is comprised of representatives PAC conducted a hands-on, on-the-ground campaign from the USFS, the city, Coconino County, and the Arizona State Department of Forestry. The committee meets once that included distributing yard signs, soliciting support monthly to help facilitate overall project coordination (see door-to-door, and handing out flyers at local events and “Moving Forward” below). farmers’ markets. In November 2012, bond question 405 was presented to the voters. The bond would provide support for Accomplishments of the FWPP forest management “[t]o prevent flood damage to the City of Flagstaff and to protect the city water supply Although large-scale implementation of the FWPP has not yet begun, interviewees reported on several proj from damages which occur from large-scale and/or - ect successes. With 73 severe wildfire(s) in town watersheds in the city” (City percent voter approval, the bond of Flagstaff, 2012a, slide 5). Money raised through the issue was remarkably successful in the election, and that high level of public interest and involvement has car bond would support activities on city, state, and federal - lands. Each agency would be in charge of treatment on ried through to the planning process. Those involved with the campaign and FWPP members credit its high their land, but treatment options would be explored col - laboratively through a partnership. The bond funding voter-approval rating in part with the strength of public would be held by the city and distributed as needed engagement, in addition to the still-fresh memory of the Schultz fire (Brehl et al., 2014; Elson and Phelps, 2014). to other agencies. For example, the USFS would retain This widespread support is even more meaningful con decision-making authority on what activities would be - allowed on National Forest land, but the city would main sidering that the Ecological Restoration Institute’s exit - tain decision-making authority on the bond dollar (i.e., polling found that the majority of voters incorrectly what the money would fund). The initiative passed with believed that the bond was going to increase their taxes percent voter approval (Nielsen and Solop, 2013). 73 (Nielsen and Solop, 2013). Exit polling conducted by Eric Nielsen and Fred Solop Interviewees reported that the high voter-approval rating at Northern Arizona revealed that the majority of voters has continued to be important to the project because it supporting the bond issue were primarily concerned with demonstrated strong public support for the project and decreasing the risk of post-fire flooding and protecting empowered the community to take ownership of it; this city water resources. The majority of supporters also high level of public support has potentially influenced those opposed to the FWPP; and has sent a signal to - “strongly agreed” or “agreed” that the project “part nership is a model of how to accelerate needed forest national, state, and local leaders that the community

128 FLAGSTAFF, ARIZONA CASE STUDY: 126 is dedicated to the project’s success. This has also led 2012 is expected to end with the release of the Final ROD - in September 2015; this is roughly half the time it typi the project team to continuously inform the public and cally takes for a project of this scale (Summerfelt, 2014). encourage public input into the project as much as pos - sible, well beyond what is required by law (Brehl et al., 2014; Elson and Phelps, 2014). For example, the FWPP In April 2013, a Notice of Intent to prepare an EIS was has developed a monitoring plan to track whether and published in the Federal Register, and the FWPP IDT how key goals of the project are being achieved over released a Proposed Action to the citizens of Flagstaff outlining different treatment options. Based on com time. According to interviewees, the public noted the - ments the FWPP team received, the USFS released a importance of such a plan, and key themes to address DEIS in July 2014, which analyzed four treatment alter - in it, during the bond campaign. The FWPP has held 20 natives: no action, minimal treatment, proposed action public workshops to refine the plan and ensure that key with cable logging, and proposed action without cable voter concerns have been included (FWPP, 2014d). logging (e.g., using helicopter logging and specialized In the two years following the passage of the bond, the steep-slope equipment) (see Appendix B). project raised an additional $2 million in direct and in-kind The DEIS was open for public comment for 45 days. funding. The formal partnership between Flagstaff and the Simultaneously, the FWPP team also held public meetings USFS, which was established soon after the bond passed, and outreach events to raise awareness and solicit public has led to substantial USFS contributions to the project; feedback. Between these events, and email and hard-copy as of fall 2014, the USFS has contributed approximately - $1.6 million to cover planning costs, wildlife surveys, hand submissions, the team received comments from 107 indi thinning, prescribed burning, archaeological surveys, nox viduals who raised 530 separate issues. Every comment - was in support of the project as a whole, but the responses ious weed surveys and treatments, and road work (Elson and Phelps, 2014). An additional $400,000 has come from raised various concerns about how the treatments would the State of Arizona, Coconino County, Northern Arizona be conducted. It helped the team realize that there was University, volunteers, and local citizens (FWPP, 2014b; a need to create a transparent and widely publicized Summerfelt, 2014). - implementation plan to address public concerns regard ing contractor oversight, mitigation measures, and area closures. In the fall of 2014, the FWPP IDT drafted this plan along with a decision that addressed public comments Moving Forward by developing a blend of all three treatment alternatives. Although the project idea and public support came The IDT also finalized the EIS and conducted a formal together quickly, interviewees said that treatment work consultation with the U.S. Fish and Wildlife Service for in the Rio de Flag and Lake Mary watersheds could take activities related to the Mexican spotted owl. up to 8 to 10 years to fully complete based on the com - In the meantime, the USFS has been able to conduct plexity of the project, legal and contracting processes, - and seasonal operating limitations. some work on portions of FWPP lands that were previ ously approved for treatment through the NEPA process. As mentioned previously, Flagstaff has decision-making Treatment methods already used include controlled - authority over the bond dollars and the USFS has deci burns, hand thinning, and piling of cut material (i.e., slash; sion-making authority over what occurs in the National see Exhibit 3). The state conducted a mechanical treat - Forest. However, there is a wide diversity of stakeholders ment operation on a parcel of state land, and the city involved in the FWPP. The immediate focus of the FWPP has been engaged doing hand thinning and controlled burning on a number of City and private land parcels. IDT is to finalize a treatment plan through a Record of Decision (ROD) so that large-scale treatment work can This work has allowed the FWPP team the opportunity begin on the National Forest as soon as possible. To that to provide visual examples of treatment options to help end, the NEPA planning process that began in November further inform the public.

129 FLAGSTAFF, ARIZONA CASE STUDY: 127 Exhibit 3. Two treatment demonstration areas in the Coconino National Forest: a controlled burn area (left) and a burn pile of cut debris (i.e., slash) (right). Photograph source: Megan O’Grady, Stratus Consulting. Sustainability Manager, Most recently, in October 2014, the Rural Policy Institute Nicole Woodman, • of Northern Arizona University released a Cost Avoidance City of Flagstaff Study that estimated the amount of financial impact Anne Mottek Lucas, • Mottek Consulting avoided by implementing the FWPP project. The study - Northern Arizona University Diane Vosick, • results estimate a range of potential losses from cata strophic wildfire and post-fire flooding to be between • Wildland Fire Management, Paul Summerfelt, $573 million and $1.2 billion dollars if no treatment is City of Flagstaff. - done to the forests. While the FWPP project will not elim inate these risks entirely, the estimated project treatment costs of $10 million compare highly favorably to these potential losses (Arizona Rural Policy Institute, 2014). Bibliography Arizona Daily Sun. 2014a. Extreme fires deserve more prevention tools. September 18. Available: Acknowledgments http://azdailysun.com/news/opinion/editorial/ - extreme-fires-deserve-more-prevention-tools/arti - We would like to thank the following people for partici . cle_c2a550eb-0413-53a9-abe9-85b37a1d790f.html pating in interviews as part of this case study: Accessed October 20, 2014. Mike Elson, Coconino National Forest • Arizona Daily Sun. 2014b. Watershed protection Coconino National Forest Erin Phelps, • means drastically altering forest. July 13. Available: - http://azdailysun.com/news/opinion/editorial/water Mark Brehl, • Wildland Fire Management, shed-protection-means-drastically-altering-forest/ City of Flagstaff article_b5ded800-0a43-11e4-adb6-0019bb2963f4. html . Accessed October 20, 2014.

130 FLAGSTAFF, ARIZONA CASE STUDY: 128 Arizona Rural Policy Institute. 2014. Flagstaff City of Flagstaff. 2012c. Forest Health and Water Supply Protection Project. Ballot Question #405. Watershed Protection Project: Cost Avoidance - Question & Answer Sheet #2. September 25. Available: Study. October. Available: http://www.flagstaffwater shedprotection.org/wp-content/uploads/2014/10/ http://www.flagstaff.az.gov/documentcenter/ . Accessed . Accessed October 20, 2014. view/41050 Final-FWPP-Cost-Avoidance-October-27.pdf October 20, 2014. City of Flagstaff. 2014a. Climate Adaptation and Bacon, J. 2010. Shultz fire, day 3. Arizona Daily Sun. http://flagstaff.az.gov/index. Management. Available: Accessed October 20, 2014. http://azdailysun.com/news/local/ June 23. Available: aspx?nid=1732. schultz-fire-day/collection_be2f256c-7ecb-11df-9e5b- City of Flagstaff. 2014b. Community Profile. Available: 001cc4c03286.html #0. Accessed October 20, 2014. http://www.flagstaff.az.gov/index.aspx?NID=2. Betz, E. 2011. Southwest spring dries with climate Accessed October 20, 2014. change. Arizona Daily Sun. May 10. Available: City of Flagstaff. 2014c. Wildland Fire Management. http://azdailysun.com/news/local/south - http://www.flagstaff.az.gov/index.aspx - west-spring-dries-with-climate-change/ Available: Accessed October 20, 2014. ?SID=361. article_ba31463a-f4da-57ec-a528-c953d707a78b.html . Accessed October 20, 2014. CLIMAS. 2013. Advancing Climate Adaptation Brehl, M., A. Mottek Lucas, P. Summerfelt, D. Vosick, in Flagstaff: Expert Discussion Session. Climate and N. Woodman. 2014. Interview with Mark Brehl, Assessment for the Southwest. August 20. Available: Wildland Fire Management, City of Flagstaff, AZ; Anne - http://www.climas.arizona.edu/event/advancing -cli mate-adaptation-flagstaff-expert-discussion-session. Motek Lucas, Mottek Consulting; Paul Summerfelt, Accessed October 20, 2014. Wildland Fire Management, City of Flagstaff, AZ; Diane Vosick, Northern Arizona University; and Nicole Woodman, Sustainability Manager, City of Flagstaff, Elson, M. and E. Phelps. 2014. Interview with Mike Elson AZ. Flagstaff, AZ. October 21. and Erin Phelps, Coconino National Forest. Flagstaff, AZ. October 21. CAKE. 2014. Climate Adaptation Knowledge Exchange: Flagstaff Search. Available: FWPP. 2014a. About the Flagstaff Watershed http://www.cakex.org/ http://www. Protection Project. Timeline. Available: search/apachesolr_search/Flagstaff . Accessed October /#timeline. flagstaffwatershedprotection.org/faqs 20, 2014. Accessed October 20, 2014. Caravona, B. 2011. Memorandum to CAC re: Framing FWPP. 2014b. Frequently Asked Questions. Flagstaff “Restoration.” City of Flagstaff. February 1. Available: http://www. Watershed Protection Project. Available: http://www.flagstaff.az.gov/documentcenter/ /. Accessed flagstaffwatershedprotection.org/faqs . Accessed October 20, 2014. view/13121 October 20, 2014. City of Flagstaff. 2012a. City of Flagstaff Bond - FWPP. 2014c. FWPP DEIS Comparison Summary docu Question. Forest Health & Water Supply Protection ment. Available: http://www.flagstaff. Project. November. Available: http://www.flagstaffwatershedprotection.org/ az.gov/documentcenter/view/40301 . Accessed wp-content/uploads/2014/07/FWPP-DEIS- October 20, 2014. Comparison-Summary.pdf . Assessed April 20, 2015. City of Flagstaff. 2012b. City of Flagstaff Resiliency and FWPP. 2014d. FWPP Monitoring Plan. Available: Preparedness Study. September. Available: http://www. . flagstaff.az.gov/DocumentCenter/Home/View/38841 http://www.flagstaffwatershedprotection.org/wp-con - Accessed June 18, 2015. tent/uploads/2013/03/FWPP-Monitoring-Plan.pdf . Accessed April 20, 2015.

131 FLAGSTAFF, ARIZONA CASE STUDY: 129 Governor’s Forest Health Councils. 2007. Statewide Smith, D.M. 2012. Flagstaff sustainability chief Nicole Woodman keeps cool head as temperatures rise. Strategy for Restoring Arizona’s Forests, E. Aumack, Grist. October 5. Available: http://grist.org/cities/ T. Sisk, and J. Palumbo (eds.). Published by Arizona Public Service. Phoenix, AZ. June. Available: flagstaff -sustainability-chief-nicole-woodman-keeps- http:// - www.fs.usda.gov/Internet/FSE_DOCUMENTS/stel a-cool-head-as-temperatures-rise/. Accessed October prdb5137128.pdf . Accessed October 20, 2014. 20, 2014. Greater Flagstaff Forests Partnership. 2014. Greater Summerfelt, P. 2014. Email to Megan O’Grady, Stratus Flagstaff Forests Partnership. Available: . www.gffp.org Consulting re: Study Follow-up Questions. City of Flagstaff, Flagstaff, AZ. December 6. Accessed October 20, 2014. U.S. Census Bureau. 2013a. B19013: Median Household Kelly, J. Undated. Flagstaff’s City Wide Resiliency Study. Institute for Sustainable Communities. Available: Income in the Past 12 Months (in 2013 inflation-ad - justed dollars). 2009–2013 American Community http://sustainablecommunitiesleadershipacademy.org/ - resource_files/documents/flagstaffs-city-wide-resilien Survey. U.S. Census Bureau’s American Community cy-study.pdf . Accessed October 20, 2014. Survey Office, American FactFinder. Klassen, K. and D. Howard. 2011. The Shultz fire & U.S. Census Bureau. 2013b. DP05: Demographic and subsequent flooding. Firefighter Nation. January 1. Housing Estimates. 2009–2013 American Community http://www.firefighternation.com/article/ Available: Survey. U.S. Census Bureau’s American Community Survey Office, American FactFinder. features-0/schultz -fire-subsequent-flooding. Accessed October 20, 2014. USDA Forest Service. 2014. FS Seeks Public Comments on Flagstaff Watershed Protection Project; Public Melillo, J.M., T. Richmond, and G.W. Yohe (eds.). 2014. Climate Change Impacts in the United States: The Meetings Invitation. July 3. Available: http://www.fs.usda.gov/detail/coconino/ Third National Climate Assessment. U.S. Global Change -events/?cid=STELPRD3807109. Accessed Research Program. doi:10.7930/J0Z31WJ2. news October 20, 2014. Mindock, C. 2013. Flagstaff moves forward on the watershed protection project. Arizona Daily Sun. U.S. EPA. 2013. Climate Impacts in the Southwest. http://azdailysun.com/news/ U.S. Environmental Protection Agency. Last updated April 30. Available: http://www.epa.gov/cli September 9. Available: - local/flagstaff-moves-forward-on-the-wa - matechange/impacts-adaptation/southwest.html tershed-protection-project/ . Accessed October 20, 2014. article_80695e24-b1c6-11e2-b3e9-001a4bcf887a.html . Accessed October 20, 2014. Youberg, A., K. Koestner, and D. Neary. 2011. Wildfire, rain and floods: A case study of the June 2010 Schultz Nielsen, E. and F. Solop. 2013. Forest Health and Water Supply Protection Project Ballot Measure: Exit Poll wildfire, Flagstaff, Arizona. Arizona Geology. Available: Results. May. Available: http://www.flagstaffwater http://www.azgs.az.gov/arizona_geology/winter10/ - shedprotection.org/wp-content/uploads/2013/06/ article_feature.html . Accessed October 20, 2014. Prop405_ExitPoll_FactSheet_May20131.pdf . Accessed October 20, 2014. Politico. 2012. 2012 Presidential Election. Available: /#/ http://www.politico.com/2012-election/results/map President/2012/. Accessed February 4, 2013. Rasker, R. 2014. Email to Jason Vogel, Stratus Consulting re: Flagstaff Contacts. Headwaters Economics, Bozeman, MT. October 20.

132 CASE STUDY: FLAGSTAFF, ARIZONA 130 Appendix A. Members of the Greater Flagstaff Forests Partnership Associates Voting members Arizona Public Service • Arizona Game & Fish Department • National Park Service—Flagstaff Area National • • Arizona Forest Restoration Products Monuments • Arizona State—Forestry Division Cooperators City of Flagstaff—Fire Department • • Coconino County—Community Development • Ponderosa Fire Advisory Council Department USDA Coconino National Forest • • Coconino Natural Resource Conservation District • Coconino Rural Environment Corps • Ecological Restoration Institute at Northern Arizona University • Mottek Consulting, LLC • Northern Arizona University—School of Forestry The Arboretum at Flagstaff • The Nature Conservancy • U.S. Fish and Wildlife Service—Region 2 • Wildwood Consulting, LLC •

133 CASE STUDY: FLAGSTAFF, ARIZONA 131 Appendix B. Summary of Treatment Options Outlined in the DEIS Alternative 2: Alternative 3: Alternative Proposed action Alternative 1: 4: Minimal Proposed action No treatment without cable logging treatment Actions with cable logging Jack Smith 8,937 acres 8,937 acres Total treatment acres 5,802 acres Schultz/ 5,963 acres DLH 5,963 acres DLH 3,459 acres DLH Eastsidea 2,975 acres MM 2,343 acres MM 2,975 acres MM 55 percent 0 percent 85 percent Percentage of total project 85 percent area to be treated 79 percent DLH 46 percent DLH 79 percent DLH 100 percent MM 100 percent MM 79 percent MM 0 acres 846 acres 438 acres 832 acres Acres to be hand thinned 652 acres DLH 699 acres DLH 438 acres DLH 147 acres MM 180 acres MM 0 acres MM Acres to be mechanically 7,124 acres 0 acres 5,264 acres 7,137 acres thinned b 2,953 acres DLH 4,743 acres DLH 4,697 acres DLH 2,394 acres MM 2,311 acres MM 2,427 acres MM Acres to be helicopter 0 acres 0 acres 973 acres 0 acres logged 973 acres DLH 0 acres MM Acres to be cable logged 0 acres 1,242 acres 0 acres 0 acres 1,169 acres DLH 73 acres MM 0 acres 8,937 acres Acres to be prescribed 8,937 acres 5,802 acres burned 3,459 acres DLH 5,963 acres DLH 5,963 acres DLH 2,975 acres MM 2,975 acres MM 2,343 acres MM a. Past projects with acreages within the FWPP boundary that could be implemented. b. Includes cable logging areas that could be cut by hand. DLH: Dry Lake Hills. MM: Mormon Mountain. Source: FWPP, 2014c.

134 FORT COLLINS, COLORADO CASE STUDY: 132 Fort Collins, Colorado PHOTO: City of Fort Collins Water Demand Management FORT COLLINS, COLORADO Lorine Giangola and Jason Vogel AUTHORS: In this case study, you will learn about: • Achieving water-use reductions through combined regulatory actions and voluntary conservation programs • Taking quick action after an extreme event to advance drought management • Protecting a key economic sector Limitations to drought management in the West • Leveraging community support for demand management actions • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

135 FORT COLLINS, COLORADO CASE STUDY: 133 more attention to communities’ vulnerabilities and to the Case Study Summary need to prepare for increasing climate variability and Like most communities in the arid intermountain west, uncertainty about water availability. Colorado has a long Fort Collins is accustomed to managing water shortages history of drought and water shortages. While climate and responding to drought. Severe drought events in the - change models do not project decreases in total pre last few decades have increased the urgency of efforts to cipitation in Colorado, drought conditions could worsen reduce the city’s vulnerability to future water shortages. as a result of earlier snowmelt and warmer summers; - Furthermore, under climate change, warming tempera simultaneously, water demand is expected to increase tures and shifting precipitation patterns could lead to as the population grows (Gordon et al., 2015, Lukas and more frequent or more intense drought events. Gordon, 2015). Colorado faces additional challenges in dealing with multiple, interrelated climate impacts. For In 2012, Fort Collins updated its Water Supply and example, wildfire risk increases under drought conditions, Demand Management Policy, which requires the water and flood risk increases when heavy precipitation falls on utility to maintain a water supply that can meet a dry or scorched land that is less able to absorb and retain demand of 150 gallons per capita per day (gpcd) during water—as has been seen in recent years along Colorado’s a 1-in-50 year drought. This case focuses on two key, Front Range. Water resource managers face these com - interactive elements of the policy: (1) The Water Supply plex dynamics as they try to prepare for potentially more - Shortage Response Plan, which outlines specific regu severe and prolonged droughts in the future. latory measures that reduce water use quickly during a severe drought; and (2) the city’s water conservation Fort Collins’ leaders recognize and understand the programs, which aim to achieve reductions in water use - potential impacts of climate change on the city’s vulner that are sustained even in times of water abundance. ability, and the community has made significant progress toward cutting its greenhouse gas (GHG) emissions since These strategies have allowed water managers to reduce it developed its first GHG reduction plan in 1999. As of the community’s total water use and to quickly reduce early 2015, the city had reduced its GHG emissions to demand even further during water shortages. In fact, levels that are 5 percent below 2005 emissions, despite water managers believe that their efforts to decrease percent. Over the same time a population increase of 16 overall water use have reduced the need to enact restric - period, the city has experienced a 22 percent increase in tions under the Water Supply Shortage Response Plan. economic growth (City of Fort Collins, 2015). On March They also agree that their integrated approach to supply 3, 2015, the City Council unanimously approved the city’s - and demand management has decreased their vulnerabil latest plan to reduce GHG emissions to levels that will ity to short-term drought. Still, the city’s decision-makers make the city carbon neutral by 2050. are concerned about Fort Collins’ ability to cope with long-term droughts, and their economic impacts, if the - In recent years, the city has expanded its climate port city does not increase its water storage capacity. Although folio to include climate change adaptation planning, and climate change has not explicitly motivated these particu - has engaged in adaptation initiatives at the regional level, lar actions, city staff are well aware of climate change risks through the Western Adaptation Alliance, and at the and Fort Collins’ strategies have achieved lasting water national level. In 2013, former Fort Collins Mayor Karen savings and tangible reductions in vulnerability to future Weitkunat was appointed to the President’s Climate climate change-related drought. Preparedness and Resilience Task Force, which convened state, local, and tribal leaders from around the United States to develop recommendations for effective fed - eral government response to community-level impacts Broader Context of climate change. Fort Collins’ involvement in climate Water resource management in the West is complex change adaptation discussions at the national level has and challenging, and recent severe droughts have drawn spurred action on local adaptation initiatives and has

136 CASE STUDY: FORT COLLINS, COLORADO 134 made it easier to engage city staff at upper levels of city to formalize a regulatory action plan for reducing management in adaptation planning (Smith, 2015). City water use during drought. In 1977 a serious drought left staff have worked with consultants to conduct vulnera - reservoirs nearly empty, leading the Fort Collins water bility and risk assessments for each city department and utility to enact lawn watering restrictions for the first time, and spurring the city to create a part-time water to identify potential adaptation strategies. - conservation position to develop its first water conser vation initiatives (Exhibit 1). As the city’s population Fort Collins has been a national leader in climate change continued to grow in the 1980s, Fort Collins worked to mitigation, and climate change adaptation planning is acquire more water rights and increase its water storage underway across multiple city departments. However, the - city’s adaptation actions are still in the planning stages, and capacity. Rapid water resource development and con are therefore not a specific focus of this case study. Instead, cern about future water shortages, similar to the 1977 drought, prompted a review of the city’s water policies this case study focuses on the city’s water conservation programs and the Water Supply Shortage Response Plan, in 1987, and in December 1988, Fort Collins adopted its which prescribes the concrete actions that water managers - Water Supply Policy to guide future water supply acqui sition and management. In April 1992, after upgrading in Fort Collins take to reduce their vulnerability to drought. the water conservation manager position to full-time, the city developed and adopted a Water Demand Management Policy, which outlined water-use goals and Why and How Fort Collins Developed measures for meeting those goals. Its Water Supply and Demand Another severe drought in 2002 again led the utility to Management Strategies enact water-use restrictions late in the summer. At the Severe Drought Motivates Fort Collins to time, the city’s water management plans did not formally Address Water Supply Shortages outline these restrictions, and the utility did not conduct A series of droughts in the last few decades has moti - any extensive study in developing its 2002 restrictions vated water utilities managers to restrict water use and plan. Water managers looked to what other utilities in intensify conservation efforts, eventually prompting the the region, like Denver Water, were doing to restrict Water Supply and Drought; water restrictions not Demand Management necessary because Policy combines and of reductions updates previous supply through and demand policies conservation programs Water Supply Shortage Response Plan High Park Fire establishes tiered water use restrictions to Level 1 Water Supply and respond to severe restrictions City initiates Water Demand Water Supply Severe Severe Demand drought; conservation implemented out permitting Management Policy adopted, drought drought Management programs expanded of uncertainty Policy updated process for Policy adopted, requiring city about water to include expansion of outlining to maintain a supply and water consideration of Halligan conservation supply that quality after fire; climate change Reservoir goals and meets demand and precipitation restrictions lifted Level 1 restrictions measures during a 1-in-50 uncertainty in June implemented year drought 2002 2003 1988 1977 2012 1992 2006 2013 Exhibit 1. Timeline of Drought Management Actions in Ft. Collins.

137 CASE STUDY: FORT COLLINS, COLORADO 135 water use so that they could quickly formulate their industry, and they are taking voluntary actions to reduce their total water use and the amount of water used to own restrictions, recalls Donnie Dustin, Water Resources Manager at Fort Collins Utilities. The severity of the 2002 produce each unit of beer (Kyle, 2015). drought made water managers realize that they needed A severe or long-term water supply shortage that would to formalize these measures for future responses, and the utility set out to design new, tiered restrictions, require the city to reduce the amount of water delivered - which it outlined in its 2003 Water Supply Shortage to its breweries would threaten the viability of the indus Response Plan. The response plan was then embedded try in Fort Collins. The city has never implemented water restrictions for industries, but after the 2012 High Park in the 2003 Water Supply and Demand Management Policy, which updated and combined the 1988 and 1992 Fire in the foothills west of the city, “the breweries really paid attention” to water quantity and quality threats plans into one comprehensive document at the request from drought and subsequent wildfires, says Katy Bigner, of the City Council. In early 2003, the utility enacted the Environmental Planner for Fort Collins. Bruce Hendee, new Level 1 restrictions, but heavy spring snowfall eased former Chief Sustainability Officer for the City of Fort drought conditions, and the utility lifted the restrictions in September. Collins, who served from January 2010 to February 2015, agrees that, “We are heavily, heavily at risk if we have - The drought not only motivated the city’s decision-mak even a five-year-in-a-row drought. Our brewing industry ers to formalize drought plans and actions, but it also is really big...If we went too long without water storage, that’s a serious economic threat.” motivated the Fort Collins community to increase its participation in conservation programs and to change its water-use habits. The city’s conservation efforts Insufficient Water Storage Capacity Limits intensified and water managers developed new con - Options for Drought Management servation programs after the 2002 drought; community Storage is a major limitation to increasing the city’s engagement increased when residents recognized the resilience to drought and a primary motivation for importance of saving water during severe drought conserving and protecting existing supplies. Utility (D’Audney, 2015). Water managers believe that the managers and city administrators agree that storage is water-use restrictions enacted during the drought the city’s most significant need in preparing for future - underscored the need to take water conservation seri droughts, and that the city will continue to be vulnera - ously, and that these regulatory measures were a factor ble until storage capacity is increased. Fort Collins has in motivating the increase in voluntary conservation been involved in the permitting process for expanding actions (D’Audney, 2015; Dustin, 2015; Smith, 2015). Halligan Reservoir, which lies in the foothills northwest of the city, since 2006 (cover image). This 100-year old Economic Concerns Motivate Fort Collins to reservoir currently holds about 6,400 acre-feet, and the Address Water Supply Shortages city needs to acquire at least an additional 8,125 acre- Fort Collins’ decision-makers are very concerned about feet to meet its supply requirements (Duggan, 2014). - economic impacts of future droughts. The city’s 16 brew If the city attains a permit from the U.S. Army Corps of eries and Avago, a large company that manufactures Engineers, and if the City Council ultimately approves computer components, all depend on a reliable and the project, construction likely will not begin until 2018 or 2019 (Webb, 2015). Adding storage capacity will allow clean water supply. The city’s three largest breweries— Anheuser-Busch, New Belgium Brewing Co., and Odell the city to increase the amount of water it collects during wet or average years so that more water is available Brewing Co.—collectively use over one billion gallons of water each year (Kyle, 2015). Although the Water Supply later, especially during droughts. Water managers have Shortage Response Plan does not restrict water use for not adjusted their water supply modeling specifically - for climate change, mainly for the practical reason that brewing operations, Fort Collins’ breweries have recog nized the need to increase water-use efficiency in the the city has been engaged in the permitting process for

138 FORT COLLINS, COLORADO CASE STUDY: 136 the expansion of the Halligan Reservoir since 2006, and impacts of drought and the need to reduce vulnerabil - ity (Dustin, 2015; Smith, 2015; Webb, 2015; Weinheimer, any change the utility makes to its supply calculations 2015; Weitkunat, 2015). or projections must be reviewed, further prolonging the permitting process (Dustin, 2015). In addition to inadequate storage infrastructure, Accomplishments of Fort Collins’ reduced natural water storage capacity contributes to Demand Management Strategies the vulnerability of water supplies in Colorado’s Front - Range communities. Declining forest health (most vis Fort Collins decision-makers agree that current demand ibly caused by pine and spruce beetle epidemics and management approaches have decreased the city’s - severe fires) and altered hydrology in forested water vulnerability during short-term water shortages and sheds diminish the forests’ natural capacity for water increased its resilience to drought. Significantly reduc - storage. Forests play an important role in capturing and ing demand, in anticipation of shortages and also during protecting water supplies, but “our forests are not doing drought, allows water managers to retain more water well,” says Bruce Hendee. Since the High Park Fire, the in storage for drought years. Slowing the drawdown of - water utility has engaged with regional watershed pro stored supplies, and having more water left at the end tection initiatives that work toward making Fort Collins’ of a drought, helps the city recover and return to normal watershed more resilient to wildfire and to other supply water-use levels more quickly and easily. redundancy threats (Webb, 2015). Diminished natural The utility has used the Water Supply Shortage Response water storage capacity increases the city’s reliance on Plan not only to respond to drought, but also to respond - voluntary conservation programs and regulatory strat to wildfire impacts on water supply. During the dry egies to meet supply requirements established in the summer of 2012, a lightning strike ignited the High Water Supply and Demand Management Policy. Park Fire, which devastated the mountain communities in Larimer County west of Fort Collins and had major City Decision-Makers Leverage Community impacts on the city’s watershed. The fire burned over Support for Demand Management 87,000 acres of forest and destroyed over 250 homes. Extreme events like the 2002 drought and the 2012 Early in 2013 the utility again enacted Level 1 restrictions High Park Fire, despite the hardships they impose, because of uncertainty about water supply and water create opportunities to build support for government quality after the fire. Precipitation events in the spring actions, and can motivate citizens to take an interest of 2013 eased these concerns, and the utility lifted the in water management planning. When Fort Collins was restrictions in June. updating its Water Supply and Demand Management Policy in 2012, decision-makers and hired facilitators Enacting water-use restrictions has been an effective held stakeholder meetings with environmental groups, drought response strategy in Colorado’s Front Range - farmers, and other citizens interested in water manage communities, including in Fort Collins (Kenney et al., ment issues. The updated Water Supply and Demand 2004), and conservation programs have produced - Management Policy passed quickly in 2012, after res lasting water-use reductions in the city. Between idents experienced firsthand some of the previously 2003 and 2012, Fort Collins experienced a significant identified uncertainties about water supply shortages drop in water use—from about 200 gpcd to about 150 (Bigner, 2015). The Fort Collins community generally has gpcd—despite population growth (Dustin, 2015; Webb, responded very positively to water-use restrictions and 2015). Residential outdoor water use has dropped by - to utility projects that enhance water storage and treat 50 percent since the 2002 drought (D’Audney, 2015), ment capacities. Managers attribute the community’s and businesses’ and city operations’ water use has also support to an educated and informed citizenry that has declined (City of Fort Collins, 2013; Weitkunat, 2015). The experienced severe drought and that understands the city’s decision-makers attribute the demand decrease

139 FORT COLLINS, COLORADO CASE STUDY: 137 to the combination of regulations and conservation measures. At that point, the city’s water supply will be outreach during the 2002 drought. “My sense was that depleted unless the city increases it storage capacity to a people were motivated by the drought and were pro level that can meet critical demand during a very severe - and/or prolonged drought. vided tools” for changing their water use habits, says Lucinda Smith, the city’s Director of Environmental Services. The region experienced another drought in 2012, though less severe than the 2002 drought, and Moving Forward the utility would have needed to impose restrictions Fort Collins’ decision makers believe that increasing again in 2012 if not for the conservation programs, says Laurie D’Audney, former water conservation manager at water storage will be the most effective way to enhance the community’s resilience to drought, and the city has Fort Collins Utilities. These water-use trends suggest that combining regulatory measures with ongoing conserva been pursuing a permit for expansion of the Halligan - tion outreach can produce longer-lasting water savings Reservoir for several years. But building resilience to during droughts than can short-term restrictions alone. drought, especially by building more storage, can be expensive. “Cost will be the biggest barrier,” says Bruce Still, the city’s managers have serious concerns about Fort Hendee. The Halligan expansion could cost $35 million more than what the city has spent to date; half of these Collins’ vulnerability, and economic resilience, to potentially funds are already in reserve, and the utility plans to - more severe and long-term drought. While city administra tors and utility managers feel prepared to manage relatively acquire the rest through projected development in the utility’s water service area over the next few decades short-term droughts through their current policies, “We (Dustin, 2015). The city does, however, already own haven’t been tested, in my opinion, for some of these severe droughts, like in California and Texas,” says Katy enough water rights, so costs will be associated mainly Bigner. Bruce Hendee agrees that, “We might get through with infrastructure development and improvements. a five-year drought, but I don’t think we’d get through a While the Fort Collins community has generally been seven-year drought. When I read about super-droughts, like in the Dust Bowl era, I get really worried about our ability supportive of the city’s water and drought manage - ment strategies, utility managers do hear from citizens to last much longer than that because I don’t think we can who oppose parts of the Water Supply and Demand deliver water to our major companies.” - Management Policy. Some residents think that conser vation program resources would be better spent on - According to these assessments, Fort Collins water man agers have been successful in managing a certain level increasing storage capacity, says Laurie D’Audney. On the other hand, “We have people who oppose things of vulnerability to drought, and demand management strategies have increased the community’s resilience such as storage,” says Donnie Dustin. Despite conflicting - during a drought of an anticipated degree of severity. values among some community members, decision-mak ers believe that they have been successful in integrating The Water Supply Shortage Response Plan has been public input into water management planning, and in effective for responding to relatively short-term drought, leveraging public support in order to take action after and it increases the city’s adaptive capacity for respond - extreme events. Due to the overall success of water ing to more severe drought in the future. Conservation - programs have produced lasting water-use reductions, demand management programs and community out reach since the 2002 drought, the utility has set a goal but these measures can only reduce water use to a cer - of reducing water use even more—from the current 150 tain point after which it becomes much more difficult gpcd to 140 gpcd by 2020. to reduce water use. Fort Collins remains vulnerable to drought that is more severe than 1-in-50 years, and to long-term drought that would require more drastic Although climate change was not an initial motivation response measures than those outlined in the response for Fort Collins’ drought management strategies or for plan, or that would require more extreme conservation developing its Water Supply Shortage Response Plan or

140 CASE STUDY: FORT COLLINS, COLORADO 138 conservation programs—“We’re steeped in variability, Acknowledgments regardless of climate change,” says Donnie Dustin—there - We would like to thank Fort Collins city staff for partici is awareness in the Utilities Department that climate pating in interviews for this case study: change could make the city’s resource management challenges more difficult. In 2012 the city’s Water Supply environmental planner, City of Katy Bigner, • and Demand Management Policy was updated to include Fort Collins language about climate and precipitation uncertainty, and Laurie D’Audney, • former water conservation to highlight the need to consider climate change effects manager, City of Fort Collins Utilities on water supplies. The policy states that “the city will continue to monitor climate change information and, if • water resources manager, City of Donnie Dustin, necessary, will revise its water supply planning criteria Fort Collins Utilities and assumptions to ensure future water supply reliability.” • Bruce Hendee, former chief sustainability officer, City of Fort Collins Yet, according to water managers, drought planning and climate change adaptation are one and the same. director, environmental services Lucinda Smith, • “Climate adaptation planning is just good planning. department, City of Fort Collins It’s hard to separate it...Because that’s the way we do water resources and treatment Carol Webb, • business, some of these elements have already been operations manager, City of Fort Collins Utilities integrated into our regular planning,” says Carol Webb, the utilities’ Water Resources and Treatment Operations legislative policy manager, • Dan Weinheimer, Manager. “Even though we haven’t necessarily labeled it City of Fort Collins as climate [change] adaptation planning, it resulted in former mayor, City of Fort Collins. • Karen Weitkunat, that.” Katy Bigner agrees that, “Utilities already plans to the extremes. If anything, [climate adaptation] validates the approaches we already have.” Bibliography Although water managers currently do not anticipate a need for new or separate plans to prepare specifically Bigner, K. 2015. Interview with Katy Bigner, for climate change, the water utility is engaged in city- Environmental Planner, City of Fort Collins. February wide climate adaptation planning initiatives, which aim 20, 2015. to reduce the expense of responding to climate-related disasters and to decrease vulnerability to future climate City of Fort Collins. 2009. Water Conservation Plan. http://www.fcgov.com/utilities/img/site_ Available: change (City of Fort Collins, 2014). “The bottom line is, specific/uploads/conservation-plan.pdf . responding to disaster is expensive. Planning for disas - March 26, 2015. ter is doable,” says former Mayor Weitkunat. The city is working with consultants to conduct risk and vulnerabil - City of Fort Collins. 2013. Municipal Sustainability ity assessments for all city departments, and to outline Annual Report. Available: http://www.fcgov.com/ goals, strategies, and decision processes for adaptation climateprotection/pdf/2013AR_092314_web. actions. In 2013, Brendle Group, in coordination with the Accessed March 26, 2015. pdf?1419444197. Geos Institute, facilitated climate adaptation workshops with city decision-makers, where they reviewed climate City of Fort Collins. 2014. Summary of Current Efforts - science, discussed adaptation, and identified and priori & Next Steps: Climate Change Adaptation. August tized vulnerabilities of each city department (City of Fort 26. Available: http://www.fcgov.com/enviro/pdf/ - Collins, 2014). “One of the main goals is to institutional climate-change-adaptation-final.pdf?1420049264. Accessed March 26, 2015. ize, in each department, ways to consider climate change in long-range plans,” says Lucinda Smith.

141 CASE STUDY: FORT COLLINS, COLORADO 139 Kyle, S.J. 2015. Fort Collins brewers bottle up excess City of Fort Collins. 2015. Draft 2015 Climate Action http://www. water use. Coloradoan. February 16. Available: http:// Plan: Framework. February 25. Available: . fcgov.com/climateprotection/pdf/draft-cap-feb25.pdf www.coloradoan.com/story/money/2015/02/16/fort- Accessed April 6, 2015. /. collins-brewers-bottle-excess-water-use/23368057 Accessed April 21, 2015. D’Audney, L. 2015. Interview with Laurie D’Audney, former Water Conservation Manager, City of Fort Lukas, J. and E. Gordon. 2015. Colorado’s climate: Past Collins Utilities. March 2. and future. Chapter 2 in Colorado Climate Change Vulnerability Study, E. Gordon and D. Ojima (eds.). Duggan, K. 2014. Fort Collins loses partner in University of Colorado, Boulder, CO and Colorado State Halligan Reservoir expansion. Coloradoan. February University, Fort Collins, CO. http://archive.coloradoan.com/ 13. Available: -Collins- article/20140212/NEWS01/302120097/Fort Politico. 2012. 2012 Presidential Election. Available: /#/ http://www.politico.com/2012-election/results/map loses-partner-Halligan-Reservoir-expansion. Accessed President/2012/. Accessed February 4, 2013. April 21, 2015. Smith, L. 2015. Interview with Lucinda Smith, Director, Dustin, D. 2015. Interview with Donnie Dustin, Water Environmental Services Department, City of Fort Resources Manager, City of Fort Collins Utilities. February 24. Collins. March 4. U.S. Census Bureau. 2013a. B19013: Median Household Fort Collins Utilities. 2015a. Map of Upper Cache La Poudre River Watershed and Colorado-Big Thompson Income in the Past 12 Months (in 2013 inflation-ad - justed dollars). 2009–2013 American Community http://www.fcgov.com/utilities/ project. Available: what-we-do/water/water -quality. Accessed March 26, Survey. U.S. Census Bureau’s American Community Survey Office, American FactFinder. 2015. Fort Collins Utilities. 2015b. Photo of Halligan Reservoir. U.S. Census Bureau. 2013b. DP05: Demographic and Housing Estimates. 2009–2013 American Community Available: Survey. U.S. Census Bureau’s American Community - http://www.fcgov.com/utilities/what-we-do/water/hal -water-supply-project. Accessed April 21, 2015. Survey Office, American FactFinder. ligan Webb, C., 2015. Interview with Carol Webb, Water Gordon, E., R. Klein, V. Deheza, and S. McNeeley. 2015. Resources and Treatment Operations Manager, City of Chapter 5—Water Sector. In Colorado Climate Change Fort Collins Utilities. February 17. Vulnerability Study, E. Gordon and D. Ojima (eds.). University of Colorado, Boulder, CO and Colorado State Weinheimer, D. 2015. Interview with Dan Weinheimer, University, Fort Collins, CO. Legislative Policy Manager, City of Fort Collins. March 4. Hendee, B., 2015. Interview with Bruce Hendee, Weitkunat, K. 2015. Interview with Karen Weitkunat, former Chief Sustainability Officer, City of Fort Collins. February 17. former Mayor, City of Fort Collins. March 4. Kenney, D.S., R.A. Klein, and M.P. Clark. 2004. Use and effectiveness of municipal water restrictions during drought in Colorado. Journal of the American Water Resources Association 40(1):77–87.

142 GRAND RAPIDS, MICHIGAN CASE STUDY: 140 Grand Rapids, Michigan Vital Streets and Sidewalks Spending Guidelines GRAND RAPIDS, MICHIGAN Missy Stults, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: • Leveraging existing community concerns to reduce vulnerability to climate change Tackling flooding through changes in street design policy and practice • Using public-private partnerships to achieve community and • government goals CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

143 GRAND RAPIDS, MICHIGAN CASE STUDY: 141 Grand Rapids Climate Resiliency Report estimates that Case Study Summary “precipitation is expected to increase from a baseline For the last 30 years, the City of Grand Rapids has been average of 7.6 cm to 7.8 cm and 8.3 cm in 2022 and 2042, devising solutions to manage stormwater. However, respectively” (West Michigan Environmental Action - recent flooding events, combined with aging stormwa Council, 2013, p. 9). In light of these significant changes, ter infrastructure and growing public discontent about municipalities throughout the Midwest are looking for the dilapidated state of roads, presented an opportunity strategies to more effectively manage precipitation. to rethink how stormwater was managed in the city. To address these concerns, the city created the Vital Streets - The City of Grand Rapids has a long history of taking cli - and Sidewalk Spending Guidelines (Guidelines) mandat mate change and sustainability action as demonstrated ing the use of green infrastructure when upgrading road by the fact that the city boasts the highest per capita and stormwater infrastructure. Through extensive public number of Leadership in Energy and Environmental engagement combined with the deteriorating state of Design (LEED) buildings in the nation, and was the first roads, the Guidelines and funding to implement them city to be recognized by the United Nations University percent of voter support in early 2014 passed with 66 as a Regional Centre of Expertise for Education on (LaFurgey, 2014). Sustainable Development (West Michigan Environmental - Action Council, 2013). The city also has a nationally recog As of mid-2014, all upgrades to existing road or nized sustainability plan, the Grand Rapids Sustainability stormwater infrastructure, as well as any new road or Plan, which aims to achieve “an economic, social, and stormwater projects in Grand Rapids, are required to environmentally sustainability future” for the city and prioritize green infrastructure techniques or justify why its citizens (City of Grand Rapids Office of Energy and these techniques are not technically feasible. According Sustainability, 2015). Included in the Sustainability Plan to stakeholders in Grand Rapids, the Guidelines and the are 231 targets in 14 goal areas, including goals focused associated move to a greener infrastructure are helping on a strong economy, great neighborhoods, healthy life - to change the culture of stormwater management in the styles and healthy environments, energy and climate city while simultaneously enhancing local water quality, protection, and environmental quality and natural sys - replenishing the city’s aquifer, cleaning the local air, tems. As of fiscal year 2014, the city has successfully reducing the urban heat island effect, and enhancing completed 155 of their targets (66.5 percent; City of the overall sense of community. Grand Rapids Office of Energy and Sustainability, 2015). Recently, the City of Grand Rapids, in partnership with the West Michigan Environmental Action Council (WMEAC) Broader Context undertook a climate change vulnerability assessment to identify how climate change could impact the city. When it rains, it pours. At least, that seems to be the The results showed that one of the most serious threats case recently in Grand Rapids and across the Midwest. facing the city was flooding associated with increased According to the National Climate Assessment (Melillo precipitation events (West Michigan Environmental et al., 2014), between 1958 and 2012, the amount of Action Council, 2013). This finding confirmed the city’s precipitation falling in the Midwest during the heaviest - suspicion and added fodder to efforts aimed at proac storms (the 1 per percent storms) has increased by 37 - tively managing water throughout Grand Rapids. cent. This increase in precipitation had led to serious riverine and inland flooding events, disrupted economic Today, the City of Grand Rapids has a number of initia - activities, endangered lives, and destroyed homes, crops, tives that have recently been completed or are underway infrastructure, and businesses. Moreover, climate change to reduce the impact of heavy precipitation events, projections for Michigan estimate that precipitation will including the separation of all combined sewer systems; increase between 20 percent and 70 percent more by an urban forestry program; significant investments in the end of the century (Melillo et al., 2014) and the

144 GRAND RAPIDS, MICHIGAN CASE STUDY: 142 green infrastructure such as bioswales, rain gardens, floodwall project, which raised all existing floodwalls and porous pavement, and green roofs; incentives for home embankments one foot above the 100-year flood mark - established in the 1904 flood (Clark, 2014). Despite these owners to install rain barrels and rain gardens; and water conservation and reuse programs. One of the more inno - investments in physical infrastructure, the Grand River vative programs currently being pursued, however, is a has continued to overflow, with a historic flooding event occurring in April 2013 (Exhibit 1). public-private partnership focused on simultaneously preventing flooding and enhancing the quality of roads - The legacy of inundation led the city to investigate strat throughout the city: the Grand Rapids Guidelines. This initiative is the focus of this case study. egies in addition to floodwalls for minimizing the threat of both riverine and inland flooding. This work gained traction roughly 30 years ago when Grand Rapids began efforts to remove all existing combined sewer systems and Why and How Grand Rapids replace them with separate sanitary sewer and stormwa - Implemented Its Guidelines ter systems (Alibasic, 2014). Motivation for this change came from the State of Michigan, which was actively A Long History of Flooding and State Water working with the city to reduce the amount of sewage Quality Mandates Pushed the City toward being discharged into the Grand River (Lunn, 2014). Grey Stormwater Infrastructure From as early as 1883, documents show that major flood - When heavy rainfall events occur, combined sewer systems can get overwhelmed, making them unable ing on the Grand River, which runs through downtown Grand Rapids (from events such as log jams, spring to effectively manage and treat sewer and stormwater waste separately. In these cases, excess sewer combines snowmelt, ice jams, and heavy rains), damaged homes, with stormwater and flows directly into discharge basins. businesses, and roads primarily along the city’s west side In Grand Rapids, this discharge basin is the Grand River. (Olson, 2014). Following a major flood at the turn of the In the early 1980s, the State of Michigan began citing the century (1904), the city built its first floodwalls in 1911 city as being in violation of water-quality requirements with additional floodwalls built in 1927, 1934, and 1936 (Lunn, 2014). In response, the city began working with (Clark, 2014). In 2003 the city completed its most recent 25 21.85 feet 19.25 feet 04/21/2013 19.64 feet 19.54 feet 19.50 feet 19.29 feet 04/03/1960 18.83 feet 18.50 feet 18.60 feet 03/01/1985 05/27/2004 03/28/1904 03/08/1976 09/04/1986 03/03/1982 04/18/2013 06/09/1905 20 15 10 5 0 Exhibit 1. Highest Grand River crests on record for the City of Grand Rapids. Source: Clark, 2014.

145 GRAND RAPIDS, MICHIGAN CASE STUDY: 143 the state to devise a strategy to reduce the amount of - was support for undertaking and financing improve ments to the existing stormwater system (2014). This combined sewer and stormwater entering the Grand River. The result was the creation of a stormwater man - effort, known as the Community Stormwater Master Planning Initiative, culminated in a 2012 report entitled, agement plan in 1988 that called for the division of the (West Sustainably Managing Stormwater in Grand Rapids Grand Rapids combined sewer systems into separate Michigan Environmental Action Council, 2012). - stormwater and sewer systems. To date, over 99.2 per cent of the combined sewer pipelines have been replaced (58 out of 59 in system overflow points), and plans are The Sustainably Managing Stormwater in Grand Rapids report identified five priorities for the city, most notably, the underway for eliminating the one remaining combined prioritization of green infrastructure over traditional hard sewer and stormwater system by 2016 (Lunn, 2014). physical infrastructure. Upon the report’s release, organi - zations such as the Chamber of Commerce requested a Continued Flooding Ignites Support for more detailed look at what infrastructure improvements Green Infrastructure were needed (both grey and green), where they were To date, the city has invested hundreds of millions of needed, and how they would be funded (Occhipinti, 2014). dollars in the transition to a separate sewer and sani - Based on this feedback, the City of Grand Rapids hired an tary system and has successfully reduced the amount of engineering consulting firm, for approximately $450,000, sewage entering the Grand River (Lunn, 2014). This work, to help (1) create a Stormwater Asset Management Plan, - however, has not eliminated the growing threat of local (2) create a Stormwater Capital Improvement Plan, (3) ized flooding. In fact, a U.S. Environmental Protection update the city’s Stormwater Technical Reference Manual, Agency 2008 report found that in the Great Lakes and (4) create an asset management software tool that region, “projected long-term (2060–2099) changes in allows the city to visually see where improvements to precipitation suggest that if combined sewer overflow the stormwater system are needed (Occhipinti, 2014). (CSO) mitigation efforts are designed based on his - The results from these deliverables confirmed that sig - torical precipitation, many systems could experience nificant investments were needed to upgrade the city’s increases in the frequency of CSO events beyond their deteriorating stormwater infrastructure and that green design capacity resulting in increases in overflow volume - infrastructure could, in many cases, provide an alterna discharged to receiving waters” (U.S. EPA, 2008, p. 2). tive to traditional grey infrastructure in meeting both This realization, combined with the fact that localized stormwater needs and other community-wide goals. In flooding was occurring more frequently, led a number addition to the work done by the engineering consulting of citizens, nonprofits, and city staff to seek alternative firm, a series of other reports, as denoted in Exhibit 2, strategies for managing stormwater. were instrumental in laying the foundation for community support of green infrastructure. According to Haris Alibasic, the director of the City of Grand Rapids Office of Energy and Sustainability, the Green Infrastructure Included in Road movement to rethink how stormwater was managed in Improvements through Creation of Grand Grand Rapids crystallized during a series of community Rapids’ Guidelines stormwater discussions held in partnership between the city and the WMEAC (2014). Initiated in the late 2000s, The next issue was how to begin implementing and financing key infrastructure improvements. In Grand these meetings were held with businesses, nonprofits, - Rapids, and throughout Michigan, street infrastructure neighborhood associations, residents, and city com missioners to explore stormwater best management has been in dwindling disrepair for years. With the intense winter of 2013 leading to even more potholes practices from around the country and devise a plan for how Grand Rapids could integrate relevant prac and damaged roads, residents and businesses united in - demanding the city invest in major repairs to city streets tices into its operations. Haris Alibasic indicated that in addition to public meetings, a survey was administered (Occhipinti, 2014). to more than 600 residents to assess whether there

146 GRAND RAPIDS, MICHIGAN CASE STUDY: 144 1911–2003 Floodwalls built May 2014: Vital Street State cites Grand Guidelines and Rapids for income tax violation of extension water quality passed in a requirements special election Grand Rapids begins eorts to Technical Sustainably Community Updated Updated City of Creation of remove all existing studies Managing Stormwater the City’s Sustainability Grand Rapids Sustainability Stormwater combined sewer Stormwater Master Plan Sustainability FY11–15 Plan management systems April: in Grand Planning Plan Sustainability oversight historic Rapids report Initiative Plan 1988: Stormwater commission flood released formed Management Plan formed Late 2015 2010 1980s 2005 2011 2014 2012 2013 2000s Exhibit 2. Key dates and actions related to green infrastructure transition in Grand Rapids. Nick Occhipinti, director of policy and activism at infrastructure is deemed technically unfeasible, the city must justify why this is the case and identify ways that WMEAC, said that he recognized that the “smartest time green infrastructure can be used to supplement more to do stormwater upgrades is when you’re working on traditional hard infrastructure approaches. streets;” he notes that WMEAC worked with the city to leverage the political interest and will around street repairs to also update stormwater infrastructure. One Building and Maintaining Community idea for funding this work that quickly gained traction Support for Green Stormwater Management was the extension of an income tax that was about to The Guidelines and the associated income tax extension - expire (Occhipinti, 2014). City staff, elected officials, non did face some opposition. A group of citizens actively profits such as WMEAC, and many businesses agreed opposed new, large-scale stormwater investments and that pursuing an extension to the income tax was a the movement to create the Guidelines (Occhipinti, politically viable solution for financing needed repairs. 2014). This opposition group included constituents who As such, the city set to work drafting specific details for supported the transition to green infrastructure but did how the income tax extension, combined with other city not think the city was investing enough in making the funds, could be used to simultaneously repair streets and requisite changes. upgrade key stormwater infrastructure. To navigate citizen opposition, said Nick Occhipinti, the The result of these efforts was the Grand Rapids city, WMEAC, and other partners “did our best to sit down Guidelines, which specify how the income tax extension with opponents and explain, in detail, why this is an issue, - as well as other city funding would be spent, estab what the need is, and why we care about it. We also did lish stormwater performance standards, and create a public advocacy and education including an intentional stormwater oversight commission to help guide the citizen outreach effort in which we worked directly with implementation of the Guidelines. Perhaps most impor - - community leaders to discuss the need” (2014). In addi tantly, the Guidelines require that, whenever feasible, the tion, public meetings, listening sessions, and dozens of city must invest in green infrastructure as opposed to - presentations were delivered to community stakehold traditional hard infrastructure. In situations where green ers to help educate people on the need for stormwater

147 GRAND RAPIDS, MICHIGAN CASE STUDY: 145 upgrades and build support for the Guidelines. In the public service announcements and community forums, helped to build the critical support needed to pass the end, stakeholders came to a general consensus that (1) stormwater management is important; (2) investments Guidelines (Lunn, 2014). - in stormwater are going to be critical; and (3) to effec tively manage stormwater, the city needed to have a solid understanding of what infrastructure currently exists, Accomplishments of Grand Rapids’ what state it is in, what needs to be done to properly Guidelines manage it, and what upgrades are needed (Alibasic, 2014; Lunn, 2014). Moreover, by combining discussions about The City of Grand Rapids is now implementing the stormwater upgrades with road repair, the city was able Guidelines. According to Nick Occhipinti, the city’s to make a more holistic case about why public investment Environmental Services Department is “already expe - in critical infrastructure was essential. riencing better funding for stormwater” (2014). Haris Alibasic said, “It makes sense to have these projects done To maintain support for the Guidelines and their imple - - using green infrastructure. Ultimately it also helps com mentation, the city uses hands-on events where city munities (residents, businesses) to better understand the commissioners and the public get together to plant value of green infrastructure. When you have a project trees, clean bio-retention islands, and help maintain like Joe Taylor Park, where you can incorporate green rain gardens. As Mike Lunn notes, “We try to involve the infrastructure elements, certainly the community can community as much as we can and really highlight our appreciate the value of onsite stormwater management” projects that exist as stormwater amenities. We try to (see Exhibit 3; 2014). The Grand Rapids community is give people ownership over these projects so they feel also experiencing some co-benefits associated with the invested and engaged” (2014). use of green infrastructure. For example, better water quality, replenishment of the city’s aquifer, cleaner air, While a number of individuals were supportive of heightened walkability, heat island reduction, improved stormwater management efforts and, more specifically, - aesthetics, and energy savings are all co-benefits asso the move toward green infrastructure, a few elected ciated with green infrastructure that the city is already and appointed officials and staff were particularly experiencing or believes it will face in the future (Alibasic, instrumental; these included Mayor George Heartwell; 2014; Occhipinti, 2014). Commissioner Ruth Kelly; Deputy Mayor Eric Delong; Haris Alibasic, the director of the City of Grand Rapids Office of Energy and Sustainability; Mike Lunn, the director of the City of Grand Rapids Department of Stormwater isn’t sexy... but Environmental Services; Suzanne Schulz, the director its solutions can be. of the City of Grand Rapids Planning Department; and NICK OCCHIPINTI WMEAC members (Occhipinti, 2014). Through these extensive engagement and outreach Has the transition to green infrastructure been a success? - efforts, the City of Grand Rapids was able to success “Yes and no,” says Nick Occhipinti. “We are not done yet” fully pass both the Guidelines and the income tax (2014). Haris Alibasic shares this sentiment, noting “there - extension needed to help finance the implementa are always opportunities for progress in everything that tion of the Guidelines. These two efforts passed with we do. We have to continually invest and evaluate our 66 percent of voter support during a special May 2014 progress as opposed to saying that we have succeeded. election (LaFurgey, 2014). While the clear and grow - In this case, I couldn’t call our work a failure; I wouldn’t ing need for updated streets was a strong motivator call it a complete success. I would call it a positive step for action, public education and outreach around the in the right direction” (2014). need for stormwater upgrades, including efforts such as

148 GRAND RAPIDS, MICHIGAN CASE STUDY: 146 Mike Lunn, director of Environmental Services for the to date. That’s why we are moving to the next phase City of Grand Rapids, notes that, “Yes, I think we are where we are looking at the exact science and future projections and incorporating these into our stormwater - very successful around stormwater and we are start management planning initiatives” (2014). ing—especially with Joe Taylor Park, Mary Waters, and Tremont Parks—to have a lot of things to talk about. We just don’t talk about them enough” (2014). Measuring success is hard, but for Mike Lunn and his team, one The idea is to try to get simple strategy is to see if “three years later, we still have vegetated solutions in place and they are still working, the rain to stay where it and if they are, then chances are they are going to con - lands. And we know that tinue working for much longer” (2014). the climate always changes so we prefer using green Even though the city does not currently have specific met - infrastructure because it will rics to track the success of green infrastructure, it does help us keep the water out use two screens to measure the success of any project (Alibasic, 2014): Did the strategy reduce greenhouse gas of the river and lessen our emissions and was the strategy financially sound? While impact on the environment. these metrics do not embody all of the possible ways MIKE LUNN of measuring success, they do provide a litmus test for ensuring projects are in alignment with broader city goals. In addition, Haris Alibasic notes that the city is currently looking for metrics of resilience that can be incorpo - According to all the interviewees, the city recognized this rated into the next round of updates to the Grand Rapids - need and, in response, extended a contract with the engi - Sustainability Plan, the city’s guiding document pertain neering consultancy firm Tetra Tech to assess key issues ing to all aspects of social, environmental, and economic such as how climate change could affect rainfall patterns sustainability, and these new metrics are likely to include and what areas of infrastructure are the most vulnerable - more specific measurement related to stormwater man - to issues such as extreme weather and increased pre agement (Alibasic, 2014). Perhaps more than any physical cipitation. The final product developed by Tetra Tech is metric of success, the indicator that Grand Rapids is doing meant to help guide the City of Grand Rapids in making something right is the fact that, despite extremely limited decisions on which projects to undertake, how best to staffing, green stormwater management appears to “be a integrate green infrastructure into these projects, and part of the city’s culture” (Lunn, 2014). when the projects should be undertaken to optimize the efficiency of the system. “There is a recognition that climate change will inevitably Moving Forward have an impact on stormwater infrastructure,” said Haris - While climate change has not yet been explicitly inte Alibasic. “And the way that infrastructure is planned in grated into stormwater management efforts in Grand Grand Rapids is about taking into consideration the long- - Rapids, Haris Alibasic and Mike Lunn both note that cli term as opposed to the short-term view and perspective. mate change was and remains an underlying theme that This goes along with climate change resilience prepared - drives the city’s investment decisions (2014). As noted ness, preparation, and planning because it affords us an by Mike Lunn, the city has been incorporating future opportunity to look at projections of climate change and projections into stormwater planning for years by doing integrate them into our infrastructure planning” (2014). things such as “designing to a 25- or 100-year storm as opposed to a 10-year storm” (2014). According to Haris Even though climate change was not explicitly factored Alibasic, “We did not use exact projections in our work into the city’s existing stormwater management plans,

149 GRAND RAPIDS, MICHIGAN CASE STUDY: 147 EXHIBIT 3. JOE TAYLOR PARK. THE PICTURE ON THE LEFT IS THE OLD PARK. THE PICTURE ON THE RIGHT IS THE NEWLY REMODELED PARK. In addition to the installation of stormwater fea - Situated in the east side of Grand Rapids, Joe Taylor tures, Harger said, “city officials asked neighbors Park was created in 2011 and is one of the city’s newest parks. Originally noted as being “park poor” to help design a kid-friendly park” (Harger, 2011). Through this process, residents requested a picnic or underserved when it came to park space, the shelter, playground, seating areas, and a water park. Baxter neighborhood and surrounding area had - been flagged as in need of park space for years. In The park caters to smaller children as well as fam addition, localized flooding in the area had been ilies and single residents. More recently, residents installed a series of urban gardens. raised as a concern necessitating action. Initially, to address flooding-related concerns, the Today, Joe Taylor Park is 2.2 acres of what was once city looked at installing a 10-million-gallon con - blighted land that now creates an urban landscape crete holding basin. However, through a series of more accessible and comfortable to the residents stakeholder meetings and reviews, the city decided, abutting the area. In addition, the site collects, treats, and drains stormwater from the entire neigh instead, to install an infiltration basin composed - of green infrastructure. A pervious parking lot, borhood (approximately 40 acres) and is able to light-emitting diode (LED) security lighting, and manage the first inch of water falling during a storm directly onsite (Harger, 2011; Lunn, 2014). a cistern to capture rainwater from the park to irrigate the park’s trees and lawn were also installed (Harger, 2011; Lunn, 2014). Newly remodeled Joe Taylor Park Joe Taylor Park before renovation - Grand Rapids does have a Resilience Report that has continue to be important in driving stormwater man agement efforts in the city (Haris Alibasic, 2014). The been helping lay the foundation for integrating climate Resilience Report discusses 22 sectors or topics within change into other city planning efforts (West Michigan Grand Rapids likely to be affected by climate change, Environmental Action Council, 2013). The Grand Rapids one of which is stormwater. To make the findings of the Resilience Report was created by WMEAC in partnership Resilience Report more applicable, Haris Alibasic and with the city and was instrumental in helping the city his team in the Office of Energy and Sustainability are acquire localized climate data that have been and will

150 GRAND RAPIDS, MICHIGAN CASE STUDY: 148 working to integrate key findings from the report into Bibliography the updated Grand Rapids Sustainability Plan (due to be released before the end of 2015). Alibasic, H. 2014. Interview with Dr. Haris Alibasic, Director of the Grand Rapids Office of Energy and Sustainability. October 27. The more successful you are, City of Grand Rapids Office of Energy and Sustainability. 2015. Sustainability Plan: Fourth Year the more opportunities you . www.sustainablegr.org Progress Report. Available: get to continue doing these Accessed July 27, 2015. things. Clark, C. 2014. 2013 Flood: Experts Describe How Close MIKE LUNN Grand Rapids Was to Crippling Floodwall Breach. http://www.mlive.com/news/grand-rapids/ Available: index.ssf/2014/01/2013_flood_experts_describe_ Moving forward, the city has three priorities: (1) install - . Accessed November 3, 2014. ho.html ing a greener infrastructure while maintaining what Ellison, G. 2013. Great Flood of 1904 Revisited: The already exists, (2) formally integrating climate change Grand River Has a Long History of Overflowing its and resilience into citywide plans and operations, and http://www.mlive.com/ Banks. April 18. Available: (3) finding additional funding to complete the needed news/grand-rapids/index.ssf/2013/04/grand_river_ - upgrades to the stormwater system. The city’s newly cre flood_1904.html . Accessed November 3, 2014. ated (summer 2014) stormwater management oversight commission will play a key role in helping to ensure these Harger, J. 2011. Grand Rapids Opens Joe Taylor Park; an priorities are achieved. In addition, an opportunity exists Oasis for Kids in a Once-Blighted Neighborhood. June for more regional work, but what this opportunity looks - 28. Available: http://www.mlive.com/news/grand-rap like and how it is seized remains to be seen (Lunn, 2014). ids/index.ssf/2011/06/grand_rapids_opens_joe_taylor. . Accessed November 4, 2014. html LaFurgey, J. 2014. GR Road Tax Extension Passes. Acknowledgments -low- http://woodtv.com/2014/05/06/turnout Available: for-gr-road-tax-vote/. Accessed November 3, 2014. We would like to thank the following people for partici - pating in interviews as part of this case study: Lunn, M. 2014. Interview with Mike Lunn, Director of Haris Alibasic, director of the City of Grand Rapids • the Grand Rapids Environmental Services Department. Office of Energy and Sustainability October 27. director of the City of Grand Rapids • Mike Lunn, Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). 2014. Department of Environmental Services Climate Change Impacts in the United States: The Third National Climate Assessment. U.S. Global Change director of policy and activism, • Nick Occhipinti, Research Program. doi:10.7930/J0Z31WJ2. WMEAC. NWS. 2014. Weather Forecast Office Grand Rapids, http://water. MI. National Weather Service. Available: weather.gov/ahps2/hydrograph.php?wfo = grr&gage = gdrm4. Accessed November 3, 2014.

151 GRAND RAPIDS, MICHIGAN CASE STUDY: 149 Occhipinti, N. 2014. Interview with Nick Occhipinti, Director of Policy and Activism at the West Michigan Environmental Action Council. October 27. Olson, G. 2014. A Short History Grand Rapids, Michigan. Available: http://grcity.us/ administrative-services/customer-service/Pages/A- Short-History-of-Grand-Rapids.aspx . Accessed November 3, 2014. Politico. 2012. 2012 Presidential Election. Available: /#/ http://www.politico.com/2012-election/results/map President/2012/. Accessed February 4, 2015. U.S. Census Bureau. 2013a. B19013: Median Household Income in the Past 12 Months (in 2013 inflation-ad - justed dollars). 2009–2013 American Community Survey. U.S. Census Bureau’s American Community Survey Office, American FactFinder. U.S. Census Bureau. 2013b. DP05: Demographic and Housing Estimates. 2009–2013 American Community Survey. U.S. Census Bureau’s American Community Survey Office, American FactFinder. U.S. EPA. 2008. A Screening Assessment of the Potential Impacts of Climate Change on Combined Sewer Overflow (CSO) Mitigation in the Great Lakes and New England Region. National Center for Environmental Assessment. Office of Research and Development, Washington, DC. West Michigan Environmental Action Council. 2012. Sustainably Managing Stormwater in Grand Rapids: A Report of the Grand Rapids Community Based http:// Stormwater Planning Initiative. Available: grcity.us/enterprise-services/Environment-Services/ - SOC %20Resources/ sustainably-managing-stormwa . Accessed: November 3, 2014. ter-in-grand-rapids1.pdf West Michigan Environmental Action Council. 2013. Grand Rapids Climate Resiliency Report. West Michigan Environmental Action Council. Grand Rapids, Michigan.

152 MIAMI-DADE, FLORIDA CASE STUDY: 150 Miami-Dade, Florida Integrating Climate Change Adaptation into a Comprehensive Development Master Plan MIAMI-DADE, FLORIDA Alexis St. Juliana, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: • Strong and consistent leadership on climate change issues • Regional collaboration and peer learning • Integration of adaptation into comprehensive planning The importance of reliable and defensible climate change information • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

153 MIAMI-DADE, FLORIDA CASE STUDY: 151 environmental sustainability initiatives (Miami-Dade Case Study Summary County, 2011). For example, in 1993 the county began its Miami-Dade County in Florida is vulnerable to a range Urban CO2 Reduction Plan to mitigate climate change of climate change impacts including coastal storms and (Miami-Dade County, 2013b). sea level rise. In particular, county officials consider sea level rise a serious and pressing threat. In some locations, - Around 2003, Harvey Ruvin began to push for more con streets already flood during high tides. Future sea level crete action on climate change, including the organization rise also threatens the county’s drinking water sources of an ad hoc committee on climate change adaptation. and important infrastructure, like water treatment facil - In 2006, the Board of County Commissioners officially ities. In 2006, the county created a Climate Change appointed a Climate Change Advisory Task Force led - Advisory Task Force to look into climate change mitiga by Ruvin and 25 community stakeholders or topic area tion and adaptation opportunities. Stemming from this experts to identify the anticipated impacts of climate and the county’s long history of environmental action, change in Miami-Dade County (Miami-Dade County, 2011, the Department of Regulatory and Economic Resources, 2014a, 2014i, 2015b-g). In 2008, this task force recom - including the Planning Division, identified climate change mended further study of sea level rise, expanding efforts adaptation as a new issue to address in its Comprehensive to reduce greenhouse gas emissions, and developing Development Master Plan (CDMP). In 2013, the Board mechanisms for future consideration of climate change of County Commissioners approved integrating cli - adaptation (Miami-Dade County, 2008, 2010a). mate change considerations into multiple elements of the CDMP (i.e. Land Use; Transportation; Conservation, A number of more recent county actions demonstrate Aquifer Recharge and Drainage; Water, Sewer & Solid ongoing interest in these issues. In 2009, the county Waste; Coastal Management; and Intergovernmental joined the four-county Southeast Florida Regional Climate Coordination). These changes will require county depart - Change Compact (the Compact). Planning Division staff ments to take climate change into consideration during Nichole Hefty and Mark Woerner serve on the Compact’s capital improvement projects and other decision-making steering committee representing Miami-Dade County. processes. Although integration of climate change into They contribute to regional strategies and partnerships the CDMP has occurred, the county has not had sufficient to address climate change. In 2010, county staff incorpo - time to incorporate these climate change aspects of the rated the Climate Change Advisory Task Force’s work into CDMP into departmental procedures. Additionally, staff GreenPrint, the county’s sustainability plan, which outlines in the Planning Division feel they need to provide county climate change emissions mitigation and environmental departments with more detailed projections of climate sustainability activities (see the Moving Forward sec - change impacts, specifically developed for Miami-Dade, tion for more information). In 2013, the Board of County before the departments can make informed decisions on Commissioners created a Sea Level Rise Task Force, also how to effectively adapt. led by Harvey Ruvin, to assess the potential impacts of sea level rise in the county (Miami-Dade County, 2014g). In July 2014, the Task Force issued six recommendations for action on sea level rise (see the text box). The Broader Context of Climate Change Adaptation in Miami-Dade County The county continued its climate change-related work Miami-Dade County has a long history of environmen - under the leadership of then Commission Chair, Rebeca tal action. In the 1980s and 1990s, these efforts were Sosa (Miami-Dade County, 2015a). In 2014, Commissioner spurred by Harvey Ruvin, then commissioner, now Clerk Sosa sponsored an amendment to the CDMP which of the Courts. Under Ruvin’s leadership and as a found - requires the integration of climate change and sea level ing member of ICLEI-Local Government for Sustainability rise into water facilities planning (Miami-Dade County, (formerly International Council for Local Environmental 2014a–i). In January 2015, she brought six resolutions Initiatives), Miami-Dade began work on a number of corresponding to the recommendations of the Sea Level

154 MIAMI-DADE, FLORIDA CASE STUDY: 152 SEA LEVEL RISE TASK FORCE RECOMMENDATIONS - comprehensive study and develop adaptation strat The Sea Level Rise Task Force recommends accel- egies to address potential flood damage reduction erating the adaptation planning process by seeking and saltwater intrusion associated with sea level and formally selecting the engineering and other rise. This strategy should expeditiously address relevant expertise needed. rising sea levels, a time frame for implementation, and a potential funding mechanism. The Sea Level Rise Task Force recommends that the Miami-Dade Board of County Commissioners The Sea Level Rise Task Force recommends that direct county administration to establish formal - Miami-Dade County’s resiliency efforts must incor oversight, and dedicate sufficient resources and porate support for Everglades restoration, including staffing to ensure implementation and update of making restoration a top priority for county lobbying the specific Climate Change Advisory Task Force efforts, and must strategically utilize and fully fund recommendations. both acquisition and management needs for the county’s Environmentally Endangered Lands Program. The Sea Level Rise Task Force recommends that Miami-Dade County implement the Adaptation Recognizing the need to develop insurance mech- Action Areas called for in the CDMP and incorpo- anisms that will provide real help to the victims rate sea level rise and storm surge risks utilizing of climate change impacts, The Sea Level Rise best available data. Task Force recommends that Miami-Dade County - consider initiating discussions with private insur While recognizing the recent efforts to address ance and reinsurance professional organizations, flood protection and saltwater intrusion by the member local governments in the Southeast Florida South Florida Water Management District and Climate Change Compact and the Florida Office of Miami-Dade County, the Sea Level Rise Task Force Insurance Regulation in the Department of Financial recommends that Miami-Dade County work jointly Services to develop long-term risk management with the District and the Southeast Florida Regional solutions (Miami-Dade County, 2014h). Climate Change Compact partners to conduct a Rise Task Force to the Commission in order to establish adaptation now appears in the CDMP. Exhibit 1 shares a these as law, as she felt this was important step to further timeline of these actions in Miami-Dade County. of the recommendations (Miami-Dade implementation County, County Commissioner Daniella 2015b-g). A. lo m e ne z have also s Cava and Mayor Car G Levine i How and Why Miami-Dade County recent leadership on climate change issues. provided Integrated Climate Change into Its this context, the Planning Division identified climate In Comprehensive Plan change adaptation as a new issue to address in a 2013 Regular CDMP Review Provides an P. The integration of climate change update of the CDM Opportunity to Identify Climate Change considerations into multiple elements of the CDMP is just as an Important Issue one the of the multiple approaches that county is using The Florida State Statutes (Chapter 163) require that to adapt to climate change. It is the focus of this case each county update its comprehensive plan every study because of the extent to which climate change

155 CASE STUDY: MIAMI-DADE, FLORIDA 153 2007–2015 Water and Sewer Department develops localized climate change impact model 2009–Present Miami-Dade joins and works collaboratively with the Compact Board of County Commissioners approves Planning Division issues CDMP amendments, County Ad hoc Planning Division Climate Miami- CDMP Evaluation and including new climate committee develops Change begins CDMP Dade Planning Appraisal report, change considerations on climate Urban CO evaluation and joins Advisory Division drafts which identifies climate 2 change ICLEI Task Force appraisal Reduction CDMP change as an issue adaptation forms Plan amendments Climate Change Miami-Dade issues forms with new Advisory Task GreenPrint, the county’s climate change Force issues Sea Level Rise Task sustainability plan considerations recommendations Force forms 2008 2006 2012 1990 1993 2013 2010 2003 Exhibit 1. Timeline of actions in Miami-Dade County. seven years (Miami-Dade County, 2014b. Miami-Dade’s The CDMP has served as a tool to tackle these issues by CDMP is used by developers, individual applicants, controlling how Miami-Dade County develops its urban core. For example, the CDMP can help ensure access to and all county departments in planning decisions. alternative transportation (e.g., walking or bicycling) or Any new development or proposed zoning change mass transit, and encourage compact, mixed-use foot must be consistent with the CDMP. The state-required - Evaluation and Appraisal process yields a report that prints for new developments. In this sense, the division is ultimately approved by both the Board of County was already working in a way that was sensitive to the Commissioners and the State of Florida. The report environment, pollution control, and water supply pro - tection. Third, Department of Regulatory and Economic does not actually change the county’s CDMP, but doc - uments major issues and the types of changes the Resources staff members that had been involved with the Climate Change Advisory Task Force and GreenPrint county intends to make. and were therefore familiar with the climate change - adaptation priorities in those efforts. Finally, in 2009, Beginning in 2008, the Planning Division began to pre pare its Evaluation and Appraisal report, due in 2010. A Miami-Dade County joined the Compact. While Miami- Dade was thinking about climate change adaptation confluence of factors led the division’s staff to include before joining the Compact, this new collaborative effort climate change as a new issue in this report. First, the may have further contributed to the desire to include Climate Change Advisory Task Force came out with its initial recommendations in 2008, which included a consideration of climate change in the CDMP. number of climate change mitigation and adaptation The 2010 report includes several explicit county motiva - - measures. Second, the Planning Division had a long his tory of working on energy conservation. This was not tions for incorporating climate change within the CDMP always motivated by climate change mitigation, but (see the text box). rather by concerns regarding water and air-quality issues.

156 MIAMI-DADE, FLORIDA CASE STUDY: 154 Miami-Dade’s Planning Division Integrates EXPLICIT MOTIVATIONS FOR INCORPORATING Climate Change into Relevant Elements of CLIMATE CHANGE WITHIN THE MIAMI-DADE its 2013 Amendments to the CDMP CDMP With approval of the 2010 Evaluation and Appraisal Report, the Planning Division began the process of amend - “Projections of future growth and the planned ing the CDMP. This process takes one full year; it began in locations of such growth must be assessed for the fall of 2012 and ended in the fall of 2013 (Exhibit 2). vulnerability to sea level rise, storm surge and During the year, the appointed Planning Advisory Board other climate change impacts. For these reasons, held a series of meetings to discuss the changes with the climate change is addressed as a major issue in Planning Division. Additionally, the county held several the county’s CDMP.” (p. 1.2-5) public meetings to share the changes and gather public feedback. The Planning Advisory Board formally approved “Costs to adapt to these anticipated cli - the proposed changes to the CDMP. Following this, the mate-related challenges will be much higher if Board of County Commissioners voted to approve the incremental investments are not made now to CDMP amendments in October 2013. County staff point prepare for the future. It is not in the county’s out that currently, several of the county commissioners interests, fiscal, social, economic, environmental, advocate for climate change mitigation and adaptation or otherwise, to delay investment in planning and - actions; Commissioner Rebeca Sosa was noted as a par projects that will solve existing problems, such ticularly important supporter of climate change action. At as drainage, that will worsen and become even the same time there were few vocal opponents of climate more unmanageable, as climate change condi - change mitigation and adaptation on the commission. tions intensify.” (p. 1.2-18) Changes to the CDMP are adopted as a package and address a wide range of issues. Source: Miami-Dade County, 2011. Mark Woerner, the assistant director in Miami-Dade’s - Planning Division, guided the CDMP amendment pro cess and worked with staff to integrate proposed policy The Evaluation and Appraisal report indicates how language into relevant elements of the plan (Land the county intends to change the CDMP by amending Use; Transportation; Conservation, Aquifer Recharge elements of the plan. The report outlined a number of and Drainage; Water, Sewer & Solid Waste; Coastal existing CDMP elements that already related to (but did Management; and Intergovernmental Coordination). not necessarily mention) climate change: Examples of the specific policy language included in • Land Use the CDMP updates are provided in Exhibit 3. To develop this new language, Woerner and staff determined where • Transportation there were natural linkages to climate change within Housing • existing elements, even though they did not have any existing protocol or tools at the time to guide them Recreation and Open Space • in this process. According to Woerner, “Something as Conservation, Aquifer Recharge, and Drainage • important as climate change and sea level rise needs to permeate throughout the whole plan. It affects so many Coastal Management • different components. If you have it all in one element, • Intergovernmental Coordination for example, the public works director may not read that element. He’s only looking at his...It’s better to not call Capital Improvements • attention to it in one element, but to really integrate it • Educational into many elements of the plan.”

157 CASE STUDY: MIAMI-DADE, FLORIDA 155 Draft CDMP Board of County Board of County Final amendments Meetings among Board of County Evaluation amendments Commissioners Commissioners Planning Advisory and vote by Commissioners and and Florida votes to approve Planning Advisory approves transmittal Board, county Appraisal approve CDMP amendments departments, and Board of CDMP amendments report Evaluation and Planning Division to state agencies Appraisal report for review March– September March August May October October April 2013 2013 2010 2011 2013 2012 2013 Exhibit 2. CDMP amendment process. Source: Miami-Dade County, 2014b. geologic, and hydrologic conditions. Miami-Dade It is also likely that the county’s participation in the County and much of South Florida are vulnerable to development of the Compact’s Regional Climate Action sea level rise, storm surge, and saltwater intrusion into Plan influenced CDMP changes. Both Mark Woerner and freshwater aquifers. This latter vulnerability is of partic - Nichole Hefty, Chief of the Department of Regulatory and ular concern in the county, and there are several local Economic Resource’s Office of Sustainability, sit on the Regional Climate Action Plan Staff Steering Committee characteristics that contribute to it. First, the county sits on a very porous calcium carbonate substrate. and helped amend the CDMP (Compact, 2012). However, because the two efforts occurred simultaneously, it is Once saltwater reaches a freshwater source, there is difficult to discern the impact of the Compact’s plan on there is a natural tendency for them to mix. Second, Florida’s freshwater sources are relatively close to the the CDMP. ground surface, making them especially vulnerable to inundation and salinization. Third, Miami-Dade has an To Implement CDMP Elements, Miami- extensive gravity-driven drainage and canal system; Dade Develops Tailored Models to Inform however, with sea level rise, saltwater will move into Decision-Making these canals and impede or prevent their drainage. - While Miami-Dade has included climate change consid This will pose an additional threat during storm surges; erations in its CDMP, these considerations have not yet impeded drainage creates a flooding hazard. In some been fully implemented. Some of the reasons for this cases, sea gates or pumps have already been installed include that the changes were recently adopted and it to help manage water flow in the canals. can take time to implement new plans, and that staff in the Planning Division feel that county departments need 2. The second major factor motivating the development better information on climate change impacts in order to of tailored climate change analyses was concern make informed decisions. Two factors led Miami-Dade over the county’s initial use of inundation informa - County to develop a localized climate change impact tion. Initially, the county relied on The Compact’s model on the interaction of groundwater and surface high-level sea level rise inundation vulnerability water: (1) its unique hydrology, and (2) a lack of existing assessment. These maps were not able to consider climate change impact models or tools that incorporated some of Southeast Florida’s unique features, failing to the county’s unique hydrology. identify known at-risk areas under current conditions, as shown on the county’s Stormwater Management The primary factor for developing an integrated 1. Masterplan and current Federal Emergency groundwater-surface water model was the fact that Management Agency Digital Flood Insurance Rate the county faces a unique combination of climatic, Maps. Therefore, county stormwater modelers felt

158 MIAMI-DADE, FLORIDA CASE STUDY: 156 EXHIBIT 3. EXAMPLES OF CLIMATE CHANGE CONSIDERATIONS IN MIAMI-DADE COUNTY’S CDMP a ) ELEMENTS (MIAMI-DADE COUNTY, 2013 New roadways shall be designed to prevent and Land Use control soil erosion, minimize clearing and grubbing By 2017, Miami-Dade County shall develop a operations, minimize storm runoff, minimize expo - Development Impact Tool or criteria to assess how sure and risk of climate change impacts such as proposed development and redevelopment project increased flood conditions, and avoid unnecessary features including location, site design, land use changes in drainage patterns (TC-6D). types, density and intensity of uses, landscaping, and building design, will help mitigate climate Conservation, Aquifer Recharge, and Drainage impacts or may exacerbate climate related hazards. - - The tool would also assess each development’s pro When building, expanding or planning for new facil ities such as water treatment plants, Miami-Dade jected level of risk of exposure to climate change impacts, such as inland flooding (LU-3F). County shall consider areas that will be impacted by sea level rise (CON-5I). Miami-Dade County shall, by 2017, analyze and Water, Sewer, and Solid Waste identify public infrastructure vulnerable to sea level rise and other climate change-related impacts. This The Miami-Dade County Water, Wastewater, and analysis shall include public buildings, water and Reuse Integrated Master Plan, the primary vehicle waste water treatment plants, transmission lines for planning for water, sewer, and reuse facilities, and pump stations, stormwater systems, roads, rail, shall continue to be updated on a regular basis. bridges, transit facilities and infrastructure, airport The integrated Master Plan shall include initiatives and seaport infrastructure, libraries, fire and police to address climate change and sea level rise that stations and facilities (LU-3G). would impact the water and sewer infrastructure and drinking water supplies (WS-3F). By 2017, Miami-Dade County shall determine the feasibility of designating areas in the unincorpo - - Miami-Dade County shall coordinate with munici rated area of the county as Adaptation Action palities and the State of Florida to monitor existing Areas as provided by Section 163.3177(6)(g)(10), septic tanks that are currently at risk of malfunc - Florida Statute, in order to determine those areas tioning due to high groundwater levels or flooding vulnerable to coastal storm surge and sea level rise and shall develop and implement programs to impacts for the purpose of developing policies for abandon these systems and/or connect users to the adaptation and enhance the funding potential of public sewer system. The county shall also coor - infrastructure adaptation projects (LU-3K). dinate to identify which systems will be adversely impacted by projected sea level rise and additional Transportation storm surge associated with climate change and shall plan to target those systems to protect public - The county shall avoid transportation improve ments which encourage or subsidize increased health, natural resources, and the region’s tourism development in coastal high hazard areas, environ - industry (WS-4H). mentally sensitive areas identified in the Coastal Management and Conservation, Aquifer Recharge and Drainage Elements, and areas of high risk of significant inland flooding (TC-6A).

159 MIAMI-DADE, FLORIDA CASE STUDY: 157 EXHIBIT 3. (CONTINUED). EXAMPLES OF CLIMATE CHANGE CONSIDERATIONS IN MIAMI-DADE COUNTY’S CDMP ELEMENTS ) a (MIAMI-DADE COUNTY, 2013 Coastal Management Intergovernmental Coordination - Rise in sea level projected by the federal gov The county shall continue participation in the Southeast Florida Regional Climate Change ernment, and refined by the Southeast Florida - Regional Climate Change Compact, shall be taken Compact and shall coordinate with other agen into consideration in all future decisions regarding cies, local municipalities, and the private sector - the design, location, and development of infrastruc - to develop initiatives and goals to address cli mate change mitigation and adaptation. Climate ture and public facilities in the county (CM-9H). change-related goals that support regional climate change objectives shall be integrated into the CDMP as appropriate (ICE-5F). - the need to improve upon the Compact’s inunda modeling tool will be an integral piece of the informa - tion maps to produce a more accurate vulnerability tion and guidance they provide to departments. They also feel that county departments need best-available assessment. An additional issue identified, related to - climate change data in order to make informed deci - sharing any type of sea level rise map, is their poten sions. For example, Planning Division staff believe that tial to affect property values in vulnerable areas and departments need to know the magnitude of potential related investment decisions. sea level rise in order to make informed decisions about how best to plan and respond. Since initial mapping tools did not consider some of the unique features and vulnerabilities of Miami-Dade There has been some concern regarding the amount of County, the county pursued the development of more time it has taken to develop the model and the speed at robust and defensible tools. In 2007, the Water and Sewer Department, including staff member Dr. Virginia Walsh, which adaptation is taking place because of the county’s reliance on location-specific data. Mark Woerner shared, partnered with the U.S. Geological Survey to develop - “Before you act too quickly you need to take a mea a new climate change and hydrological modeling tool unique to Miami-Dade County (U.S. Geological Survey, sured approach. The tools have to be reliable and valid or they’ll be more subject to challenge and doubt...You 2014). The new integrated groundwater-surface water modeling tool took several years to develop and went have to make sure that the guidance you’re giving is the through an extensive third-party verification process. It best available. Decisions will be made to grant people generates maps using future ranges of precipitation, sea the right to develop or not. You better be right if you’re level rise, and saltwater intrusion based on the county’s asking someone to adapt infrastructure and it’s going geology, hydrology, and infrastructure. to cost $10 billion, $20 billion, or $1 billion.” However, he also acknowledges that “climate change and sea level - Thus far, the modeling tool has only been used internally rise data are not static; they are dynamic and continu ously changing. Therefore, planning for climate change by the Water and Sewer Department, but the county and sea level rise needs to take this into account and intends for other departments to rely on it for land-use planning, infrastructure, and other decisions. Planning needs to be technically defensible.” Division staff feel that the information produced by the

160 MIAMI-DADE, FLORIDA CASE STUDY: 158 The Accomplishments of Miami-Dade Moving Forward County’s Integration of Climate There is agreement that Miami-Dade County is moving Change into the CDMP in the right direction. However, there are also concerns about whether the county is acting quickly enough on Those interviewed for this study agree that Miami-Dade’s climate change adaptation. While it will take time to fully new considerations of climate change in the CDMP are a discern the impact of integrating climate change into the success, and are an example of the county’s leadership CDMP on the county’s adaptation activities, there are in climate change adaptation. Additionally, stakeholder several ongoing efforts in the county that will contribute groups generally supported the changes. For example, to climate change vulnerability reductions. We describe there was no discussion about the integration of climate them briefly here. change in the CDMP elements during the final Board of County Commissioners hearing. County staff attri - - GreenPrint — GreenPrint is Miami-Dade’s communi bute this to previous public hearings and the Planning ty-wide sustainability plan developed between 2009 and Advisory Board’s endorsement. - 2010. It covers climate change mitigation and adapta tion, as well as other initiatives (e.g., developing green However, county staff also feel it is too early to point to jobs). GreenPrint was influenced by the Climate Change decisions or on-the-ground actions that have changed Advisory Task Force, the Compact, and ICLEI, incorpo - as a result of the changes to the CDMP. There are two rating relevant recommendations from these and other reasons for this. First, the changes to the CDMP were sources. Nichole Hefty supported the effort to develop recently adopted and, in a large county like Miami- GreenPrint and shared that “The primary goal of both Dade, it can take time to implement new plans. For GreenPrint and the Regional Climate Action Plan is to example, each county department has its own 5–10 integrate (climate change) into existing programs and year plan. It will take time for these department-level processes so it’s not a separate thing. As people do their plans to incorporate relevant climate change consid - daily job or planning, they’re thinking about them through erations from the CDMP. Similarly, several of the new the lens of sustainability and the lens of climate change.” considerations call for a 2017 timeline or additional studies. Second, staff in the Planning Division feel - GreenPrint contains climate change adaptation pro that county departments need more precise climate visions that support related analyses and monitoring. - change data in order to make informed capital infra These provisions include “(1) Track local and regional structure planning decisions. For example, the Transit climate change indicators and trends, (2) Develop local Department needs to know the anticipated levels of and regional climate change scenarios depicting various sea level rise to inform improvements. As such, the impacts and time frames, and (3) Integrate future climate Planning Division staff feel that the modeling efforts - change impacts into community and government deci led by the Water and Sewer Department will be vital sion-making for capital, operational, and land-use issues” in order to share actionable data. (Miami-Dade County, 2010b, p. 76). Nichole Hefty says, “At the time, we still had a lot of questions. Our climate There is a set amendment process to adjust the CDMP change goal area was focused on trying to gain more in the future. New climate change considerations, based knowledge to better inform our planning. A lot of the on newer or more reliable information, might need to be initiatives in that goal area are looking at gathering more included. Additionally, the set Evaluation and Appraisal data and developing tools to help inform the process.” process will assess if departments are implementing The county has made some progress in developing tools, CDMP provisions. but it still lacks some critical information, such as more accurate inundation maps.

161 MIAMI-DADE, FLORIDA CASE STUDY: 159 There have been a number of challenges pursuing all and Category 5 hurricane. With this information, the department assessed the elevation of plant components the actions contained in GreenPrint. First, the grant to determine their vulnerability. To protect the treatment that supported its development ended. Second, county leadership turned over. The mayor was successfully plants, the department evaluated three options: (1) - - recalled and subsequently more than 40 county depart construct new facilities, (2) elevate electrical and instru mentation systems, and (3) harden facilities through ments were consolidated into 25. Both of these factors elevating and shuttering plant components (Miami-Dade resulted in the loss of multiple staff members who had County, 2013b). The least-cost option for the county - been involved in GreenPrint. Third, two county commis sioners who championed the effort left office. Fourth, was elevating and shuttering plant components for - the economic recession severely contracted the coun $30 million (Miami-Dade County, 2013c). ty’s budget, affecting its ability to invest in some of the Dr. Doug Yoder, the deputy director of the Water and GreenPrint projects and processes. While county staff Sewer Department, shared that they “don’t want to feel that there is renewed momentum for GreenPrint, overinvest in facilities.” The department is looking at there will still be challenges developing the 2016 update when climate change risks will become a real issue, with fewer staff, for example. and preparing for that time. As the current wastewater Division of Environmental Resources Management treatment facilities reach the end of their usable life, the (DERM) — DERM is involved in a number of efforts Water and Sewer Department will re-evaluate climate that have the potential to reduce the impacts of storm change considerations for new facilities, which will most surge, improve drainage, and reduce flooding. For exam - likely include moving new facilities further inland. The - ple, DERM is reseeding mangroves, preserving coastal department plans to use the more comprehensive cli wetlands, acquiring new conservation land through mate change and hydrological impact modeling tool to - its Environmentally Endangered Lands Program, con design and locate these new facilities. ducting erosion control and beach renourishment, and Local Mitigation Strategy — Miami-Dade has a Local implementing other natural resource restoration projects Mitigation Strategy to address minimizing the impacts of (Miami-Dade County, 2014e). coastal storms, flooding, and other hazards. This strategy In addition to leading was first developed in 1998, with 1992’s Hurricane Andrew Water and Sewer Department — Miami-Dade County’s climate impact modeling efforts, in recent memory. The strategy is implemented by staff the Water and Sewer Department is evaluating upgrades in the Miami-Dade Office of Emergency Management (Miami-Dade County, 2014c). The 2014 update of the - to its three wastewater treatment facilities against cli - strategy lists climate change as a hazard, and specifi mate change impacts. This evaluation was motivated by a U.S. Environmental Protection Agency enforcement cally calls out sea level rise, but the Office has not had sufficient time to implement these new aspects of the action for sewer overflows and discharges (U.S. EPA, 2013). In a sense, the enforcement action has presented strategy (Miami-Dade County, 2014c). Cathie Perkins, an opportunity for the Water and Sewer Department the county’s Emergency Management Planner, shared that “we needed to look to see what other things have to consider climate change and implement adaptation we had not incorporated or considered, and obviously actions as it makes improvements to come into compli - ance with its consent decree. sea level rise and the impact of climate change needed to be looked at.” - The Water and Sewer Department’s consideration of cli mate change predated its efforts to develop a climate Still, several ongoing actions decrease Miami-Dade County’s vulnerability to climate change. For example, change impact modeling tool. The department conducted a storm surge analysis that added the storm surge from the county has a robust program to mitigate wind and - Hurricane Andrew, high tide plus three feet of sea level flood damage. The wind mitigation program not only tar gets critical facilities like hospitals, schools, and homeless rise. This was the equivalent to a 21-foot storm surge

162 MIAMI-DADE, FLORIDA CASE STUDY: 160 shelters, but also works with low-income or elderly res - Acknowledgments idents to install shutters, hurricane glass, or reinforce We would like to thank the following people for partici - roofs. County staff feel that Miami-Dade is well-prepared pating in interviews as part of this case study: for hurricane force winds. Funding from the Federal Emergency Management Agency has supported most • Nichole Hefty, Miami-Dade County, chief of the of these efforts (Miami-Dade County, 2014d). Office of Sustainability • Miami-Dade County, assistant Mark Woerner, The county has also taken several steps to reduce its director of the Planning Division vulnerability to floods. For example, the county par - ticipates in the National Flood Insurance Program’s • Miami-Dade County, emergency Cathie Perkins, Community Rating System. It conducts numerous management planner of fire and rescue activities to prevent flooding and has one of the best Miami-Dade County, deputy director of Doug Yoder, • ratings in the country, resulting in significant reductions the Water and Sewer Department in flood insurance premiums for residents. Roughly half of Miami-Dade’s municipalities also participate in the • Virginia Walsh, Miami-Dade County, chief of the program. The county helps municipalities qualify for Hydrogeology Section in the Water and Sewer lower flood insurance premiums by providing multiple Department. types of support. Support activities include education and outreach to help residents prepare for and prevent We would like to thank the following people for their flooding; environmental programs and regulation to guidance in developing and reviewing this case study: reduce flooding; flood mapping to identify at-risk areas Institute for Sustainable Communities, • Steve Adams, for future flood mitigation; installing, inspecting, and Director of Strategic Initiatives maintaining flood level benchmarks which validate flood maps; and developing topographical, boundary, and • South Florida Regional Planning Council, Jim Murley, other survey information to better understand flood risk. Executive Director. The county is also a Federal Emergency Management Agency Cooperative Technical Partner, both providing - the agency with the county’s mapping needs, and shar Bibliography ing topographical survey and modeling information for flood zone map updates with the agency. Compact. 2012. A Region Responds to a Changing Climate: Southeast Florida Regional Climate Change Other flood mitigation actions include an emergency Compact Counties. Regional Climate Action Plan. detention basin to divert water during storms, dredging October. Available: http://isc.ksepartners.info/ and shaping a canal to improve overall flow and pumping wp-content/uploads/2014/09/regional-climate-ac - efficacy, widening and restructuring canal banks, and the tion-plan-final-ada-compliant.pdf . Accessed installation of large pumps in a couple of areas along the March 30, 2015. county’s canal system to move water over gates when high tides preclude the gravity-designed system’s gates Miami-Dade County. 2008. Second Report and Initial from opening (Miami-Dade County, 2014d). Recommendations. Miami-Dade County Climate Change Advisory Task Force. April. Available: http://www.miamidade.gov/environment/library/ . brochures/08-10-04-ccatf-recommendations.pdf Accessed March 30, 2015.

163 MIAMI-DADE, FLORIDA CASE STUDY: 161 Miami-Dade County. 2010a. Climate Change Advisory Miami-Dade County. 2014e. Miami-Dade Legislative Item File Number: 061152. 06-113. Ordinance Creating Task Force Status of Recommendations. August. Available: http://www.miamidade.gov/environment/ the Miami-Dade County Climate Change Advisory - library/reports/climate-change-recommendations-oc Task Force; Providing for Membership, Organization tober-10.pdf . Accessed March 30, 2015. and Procedure, Appointment and Tenure, Function And Responsibility; Providing Severability, Inclusion Miami-Dade County. 2010b. GreenPrint: Our Design in the Code, and an Effective Date [see Agenda Item No. 12B2]. Available: for a Sustainable Future. December. Available: http://www.miamidade.gov/ govaction/matter.asp?matter=061152&file=true&year . - http://www.miamidade.gov/GreenPrint/pdf/plan.pdf Folder=Y2006 . Accessed March 30, 2015. Accessed April 2, 2015. Miami-Dade County. 2014f. Miami-Dade Legislative Miami-Dade County. 2011. CDMP major issues: UDB Item File Number: 142497. R-1024-14. Resolution capacity and expansion. Chapter 1 in Evaluation and Appraisal Report, 2010. Available: Pertaining to May 2014 Cycle Applications Requesting http://www.miami - Amendments to the Comprehensive Development dade.gov/planning/ear2010/library/2010EARChapter1. . Accessed March 30, 2015. pdf Master Plan; Directing the Mayor or Designee to Act in Accordance with the Transmittal Instructions Miami-Dade County. 2013a. Comprehensive included in This Resolution Related to Application Development Master Plan (CDMP): Adopted No. 7, Amending the Text of the Water, Sewer and Solid Waste Element of the CDMP; Requesting Components. Available: http://www.miamidade.gov/ State Land Planning Agency to Review Application . Accessed March 30, 2015. planning/cdmp-adopted.asp No. 7; Reserving the Right to Take Final Action at a Later Date; and Declaring Intent to Conduct One or Miami-Dade County. 2013b. Ocean Outfall Legislation. http:// More Subsequent Public Hearings. Available: Compliance Plan. Miami-Date Water and Sewer www.miamidade.gov/govaction/matter.asp?mat Department. June 28. Available: - http://www. miamidade.gov/water/library/reports/ocean-out - ter=142497&file=true&yearFolder=Y2014 . Accessed fall-legislation.pdf . Accessed April 3, 2015. July 14, 2015. Miami-Dade County. 2013c. Urban CO2 Reduction Plan. Miami-Dade County. 2014g. Miami-Dade Sea Level http://www.miamidade.gov/environment/ Available: Rise Task Force Report and Recommendations. - . Accessed March 30, 2015. co2-reduction.asp http://www.miamidade.gov/plan July 1. Available: . ning/library/reports/sea-level-rise-final-report.pdf Miami-Dade County. 2014a. Climate Change Advisory Accessed April 3, 2015. Task Force. Available: http://www.miamidade.gov/ environment/boards/climate-change-task-force.asp Miami-Dade County. 2014h. Preserving our Natural . Resource Resilience. Sea Level Rise Task Force Meeting. Accessed March 30, 2015. March 7. Available: http://www.miamidade.gov/ planning/library/presentations/2014-03-07-preserv - Miami-Dade County. 2014b. Evaluation and Appraisal ing-our-natural-resilience.pdf . Accessed April 2, 2015. Report (EAR) 2010. Available: http://www.miamidade. . Accessed March 31, 2015. gov/planning/cdmp-ear.asp Miami-Dade County. 2014i. Sea Level Rise Task Force. http://www.miamidade.gov/planning/ Miami-Dade County. 2014c. Local Mitigation Strategy. Available: . Accessed April 2, 2015. boards-sea-level-rise.asp Whole Community Hazard Mitigation Part 1: The http://www.miamidade. Strategy. November. Available: gov/fire/library/OEM/part-1.pdf . Accessed April 1, 2015. Miami-Dade County. 2015a. About Commissioner Rebeca Sosa. Available: http://www.miamidade.gov/ Miami-Dade County. 2014d. Local Mitigation Strategy. district06/about-commissioner-sosa.asp . Accessed July 14, 2015. Whole Community Hazard Mitigation Part 6: Completed Projects. Available: http://www.miamidade.gov/fire/ . Accessed April 1, 2015. library/OEM/part-6.pdf

164 MIAMI-DADE, FLORIDA CASE STUDY: 162 Miami-Dade County. 2015b. Miami-Dade Legislative - www.miamidade.gov/govaction/matter.asp?mat ter=150052&file=true&yearFolder=Y2015 . Accessed Item File Number: 150048. R-44-15. Resolution Directing the Mayor or Designee to Study the July 14, 2015. Feasibility of Designating Climate Change Adaptation Miami-Dade County. 2015f. Miami-Dade Legislative Action Areas as Recommended in the Comprehensive Item File Number: 150053. R-48-15. Resolution Development Master Plan [See Original Item under File No. 142560] Available: Requesting that the South Florida Water Management http://www.miamidade.gov/ govaction/matter.asp?matter=150048&file=true&year - District, the United States Geological Survey, and the Folder=Y2015 . Accessed July 14, 2015. Southeast Florida Regional Climate Change Compact Partners Work with Miami-Dade County on Issues of Climate Change and Sea Level Rise, and Directing the Miami-Dade County. 2015c. Miami-Dade Legislative Item Mayor or Mayor’s Designee in Conjunction with the File Number: 150049. R-45-15. Resolution Directing the Mayor or Mayor’s Designee to Prepare an Action Office of Intergovernmental Affairs to Work Jointly with these Entities to Conduct a Comprehensive Plan and Report to Implement the Miami-Dade County Study and Develop Adaptation Strategies to Address Climate Change Advisory Task Force Recommendations Potential Flood Damage Reduction and Saltwater of (i) Establishing Departmental Oversight for the Intrusion Associated with Sea Level Rise and Put Implementation of the Task Force Recommendations and (ii) Dedicating Sufficient Resources and Staffing to Forth a Time Frame for Implementation and Potential Funding Mechanisms. January 21. Available: Review, Update, and Implement the Miami-Dade County http:// www.miamidade.gov/govaction/matter.asp?mat - Climate Change Advisory Task Force Recommendations ter=150053&file=true&yearFolder=Y2015 . Accessed [See Original under File No. 142561]. Available: - April 3, 2015. http://www.miamidade.gov/govaction/matter.asp?mat ter=150049&file=true&yearFolder=Y2015 . Accessed Miami-Dade County. 2015g. Miami-Dade Legislative July 14, 2015. Item File Number: 150054. R-49-15. Resolution Miami-Dade County. 2015d. Miami-Dade Legislative Directing the Mayor or Designee in Conjunction with the Office of Intergovernmental Affairs to Item File Number: 150051. R-46-15. Resolution Directing the Mayor or Mayor’s Designee to Prepare Initiate Discussions Related to Climate Change with Private Insurance and Reinsurance Professional an Action Plan and Report to Accelerate the Climate Organizations, Member Local Governments in the Change Adaptation Planning Process by Evaluating the Southeast Florida Climate Change Compact, The Engineering and Other Relevant Expertise Needed to Develop an Enhanced Capital Plan that Includes But Florida Office of Insurance Regulation’s Department of Financial Services, and Other Key Stakeholders to Is Not Limited to Flood Protection, Salinity Structures, Develop Long-Term Risk Management Solutions [See Pump Stations, and Road and Bridge Designs, and to Original Item under File No. 142567]. Available: http:// Determine the Costs of Retaining the Experts Needed [see Original Item under File No. 142562]. Available: - www.miamidade.gov/govaction/matter.asp?mat ter=150054&file=true&yearFolder=Y2015 . Accessed http://www.miamidade.gov/govaction/matter.asp?mat - . Accessed ter=150051&file=true&yearFolder=Y2015 July 14, 2015. July 14, 2015. U.S. EPA. 2013. Miami-Dade County Clean Water Act Settlement. June 6. Available: Miami-Dade County. 2015e. Miami-Dade Legislative http://www2.epa.gov/ - Item File Number: 150052. R-47-15. Resolution enforcement/miami-dade-county-clean-water-act-set . Accessed April 3, 2015. Directing the Mayor or Mayor’s Designee to Continue tlement Strategic Implementation of Miami-Dade County’s Environmentally Endangered Lands (EEL) Program, U.S. Geological Survey. 2014. Origins and Delineation Consistent with Program Objectives as Approved of Saltwater Intrusion in the Biscayne Aquifer and by the Voters, and to Identify Potential Additional Changes in the Distribution of Saltwater in Miami-Dade Long-Term Funding Sources for the Continued County, Florida. Scientific Investigations Report 2014– 5025. Available: http://pubs.usgs.gov/sir/2014/5025/ Acquisition and Management of EEL Lands [See pdf/sir2014-5025.pdf . Accessed April 2, 2015. http:// Original Item under File No. 142564]. Available:

165 CASE STUDY: COASTAL MOBILE COUNTY, ALABAMA 163 Coastal Mobile County, Alabama Oyster Reef Restoration COASTAL MOBILE COUNTY, ALABAMA AUTHORS: Lorine Giangola and Jason Vogel In this case study, you will learn about: • Restoring coastal ecosystems and reducing storm and human impacts through oyster reef restoration • Cultural and economic motivations to preserve coastal ways of life • Taking advantage of timely funding opportunities • Leveraging community support for restoration projects after an environmental disaster CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

166 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 164 along two sections of degraded coastline in the bay (see Case Study Summary Exhibit 2). Since then, multiple groups have partnered Mobile County lies in the southwestern corner of with Alabama’s coastal communities to implement addi - Alabama, between the Mississippi border and Mobile tional oyster reef restoration projects. Project managers Bay. It is the second most populous county in the state, have observed wave energy attenuation at the reef sites, and a quarter of its total area is water. Because of its and the restoration efforts have received national recog - coastal location, Mobile County experiences damages nition for decreasing coastal communities’ vulnerability from tropical storms and hurricanes such as Katrina, and to storms and human impacts. from coastal development. Human activities, especially the channelization of river systems and shipping activity, have degraded the wetland and estuarine ecosystems The Broader Context of Coastal that can help protect coastal communities from storm Restoration in Coastal Alabama impacts. The decline in coastal ecosystem integrity threatens fisheries and the livelihoods that depend on Human activities have altered Gulf Coast ecosystems these natural resources. Exhibit 1 provides a timeline of dramatically over the last several decades. Although actions in Mobile County. channeling river systems and building flood protec - tion infrastructure has reduced flood risks for many The cultural and economic impacts of coastal eco - inland communities, these projects have fundamen - system degradation have generated support for tally altered hydrology, water quality, and the natural restoration actions in Alabama’s Mobile Bay. In 2009, sediment-delivery processes that build and replenish The Nature Conservancy (TNC) in Alabama received coastal marshes and wetlands. The U.S. Fish and Wildlife a grant from the National Oceanic and Atmospheric Service estimates that over half of the Gulf’s wetlands were lost between 1790 and 1980. From 1998–2004, Administration (NOAA), through the American Recovery nearly 400,000 acres of the Gulf’s freshwater wetlands and Reinvestment Act (ARRA), to rebuild oyster reefs 1950s–present Since the 1950s, Alabama has lost over 50% of its wetlands 2010 Deepwater Horizon oil spill Restore Act in the Gulf of Mexico allocates restoration causes severe degradation funding to NOAA. Hurricane Dennis 1998–2004 of coastal ecosystems and The Nature causes moderate drives a new wave of Conservancy in Nearly 400,000 damage in restoration projects along Alabama receives a acres of Gulf Alabama Alabama’s coast two-year NOAA wetlands disappear Hurricane Katrina grant to restore at a rate four times 2010–present causes severe oyster reefs along the national average Hurricane damage along the Human activity two sections of Multiple groups are Gustav causes Alabama coast and and coastal degraded coastline. funding and implementing 2004 moderate to cuts a path through development oyster reef restoration severe damage Hurricane Ivan Dauphin Island, eliminate over projects in coastal Alabama. along the causes severe accelerating oyster half of Gulf of Community participation Alabama coast damage along the reef decline due to Mexico remains strong. Alabama coast saltwater intrusion wetlands 2010– 1998– 1790– 2008 2009 2005 present 2004 1980 Exhibit 1. Timeline of actions in Mobile County.

167 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 165 disappeared at a rate four times the national average availability for the estuarine plants and animals that (MBNEP, 2015). Since the 1950s, Alabama has lost 36,468 live on reefs (NOAA, 2015b). This case study focuses acres (54.4 on restoring oyster reefs in Alabama’s Mobile Bay to percent) of its coastal wetlands (Handley et al., 2007), and the decline of these coastal ecosystems reduce vulnerability to storm and human impacts and threatens fisheries and leaves coastal communities more to improve coastal ecosystem health. vulnerable to storm impacts. The value of natural barriers, like wetlands and oyster The health of the Gulf’s oyster reefs, and the benefits reefs, in reducing storm impacts is well understood, but they provide for estuarine ecosystems, are also at risk. difficult to quantify. A classic study by the U.S. Army After Hurricane Katrina cut a path through Dauphin - Corps of Engineers estimates that every 2.7 miles of wet Island, a barrier island off the coast of Mobile County, land between the sea and the land reduces storm surge oyster reef decline accelerated due to saltwater intru by one foot (USACE, 1963). However, the protective - effects of coastal ecosystems vary considerably based on sion. Higher salinity levels in coastal estuaries provided favorable conditions for oyster drills, snails that prey on site characteristics and the nature of the storm (Wamsley and decimate oyster reefs. Reefs play an important role et al., 2010). For example, Sheng et al. (2012) estimate that coastal vegetation can reduce inland flooding by 5 in reducing wave energy and protecting estuaries and percent, depending on storm and wetland char - shorelines, and losses of oyster reefs lead to increased to 40 acteristics. Similarly, oyster reefs attenuate wave energy erosion, decreased water quality, and a decline in habitat and reduce shoreline erosion, although their effective - ness also varies by site (Dame and Patten, 1981; Meyer et al., 1997; Piazza et al., 2005; Scyphers et al., 2011). Coastal communities experience the effects of coastal - degradation firsthand, and community investment in res toration in Alabama has been strong, especially since the Deepwater Horizon oil spill in the Gulf of Mexico in 2010. Citizen volunteers have come out in huge numbers to participate in the restoration work; over 600 volunteers joined a single restoration event in April 2013 (Lankford, 2013). Some waterfront residents volunteer for the - Mobile Bay Oyster Gardening Program by growing oys ters on their piers, and program organizers collect the oysters each fall and plant them on restored oyster reefs in Mobile Bay. The volunteer oyster gardeners have pro - duced almost 700,000 oysters since the program began in 2001 (Mobile Bay Oyster Gardening Program, 2015). Volunteer workers and oyster gardeners provide huge - cost savings to restoration groups; without this commu nity participation, the costs and scales of these projects would become prohibitive for many groups. Climate change has not been an explicit motivation for the surge in restoration projects on Mobile Bay; the communities are focused on protecting the coastline Exhibit 2. TNC’s NOAA-funded oyster reef from boat wakes, making it more resilient to storms, and restoration projects. helping coastal ecosystems and wildlife recover from TNC, 2015 . Source:

168 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 166 the Deepwater Horizon oil spill. “A discussion around quality problems that reduce ecosystem productivity, climate resilience or climate vulnerability is, among most like water contamination from runoff, erosion, or spills. After Hurricane Katrina alone, initial seafood production of the public, a non-starter. We focus much more on specific hazards that we then can link to the science on - losses in Alabama (not including infrastructure dam ages) were estimated around $200 million (CRS, 2005). those hazards. We know that people are very aware of storms. A lot of the decisions they make link to their per Residents and seafood industry workers have begun to - sonal experiences with storms, related to the shoreline discuss these vulnerabilities in public meetings, and they or related to their house itself,” says Steven Scyphers, challenge elected officials with questions about long- term sustainability of fisheries and seafood processors, a postdoctoral researcher at Northeastern University and about the likelihood that their children will be able who did his doctoral research on ecological and socio - to find viable jobs in the seafood industry (Haner, 2015). economic dynamics and community perceptions of These residents want greater protection for the coastal restoration in Mobile Bay. resources that sustain their livelihoods. Hurricane damages over the last decade have renewed Why and How Mobile County interest in restoring natural storm buffers like wetlands Restored Oyster Reefs and oyster reefs. Mobile County has experienced repeated storm impacts, including storm surges, flooding, and Coastal Community Motivated to Preserve extensive infrastructure damage; the most recent severe Culture and Economy impacts resulted from Hurricanes Ivan (2004), Dennis The communities of coastal Alabama consider the deg - (2005), Katrina (2005), and Gustav (2008). radation of coastal ecosystems, and the associated impacts on coastal livelihoods, to be threats to their Collaboration Supports Restoration - cultural identity and economic security. Long-time res Projects idents have witnessed the decline of coastal ecosystem An extensive network of partnerships among nongov - health and rising sea level—about 13.5 inches in the last ernmental organizations (NGOs), academic researchers, 150 years (Haner, 2015)—and many residents want to citizens, and state and federal governments helped to restore the coast to its more natural condition. “They’re talking about this change that they’ve seen. ...They have - support the TNC oyster reef project and facilitate com pictures literally from when cameras were invented...so munication among restoration practitioners in coastal they can see the change through the generations,” says Alabama. Collaboration among these groups was cru - cial to the design and implementation of the TNC oyster Judy Haner, director of Marine and Freshwater Programs reef project (Haner, 2015). Before this NOAA-funded at TNC’s Alabama Coastal Program. “They know what it was like when they grew up. Their father and their reef restoration project began, the Dauphin Island Sea father’s father told them about what it was like, and Lab had built several reefs along the coast, and TNC worked with the Sea Lab team on those projects. The they want that back. They want to catch fish off their docks and swim in the water...They have a picture in their - groups worked to identify best practices for reef resto ration, and TNC built one oyster reef before winning the head.” “These older residents...know they want it better NOAA grant in 2009. The Mobile Bay National Estuary for their grandkids,” adds Steven Scyphers. Program (MBNEP), established in 1995 under the U.S. - Coastal residents and industries have experienced eco Environmental Protection Agency (EPA)-funded National Estuary Program, serves as an umbrella group for coor - nomic hardships from storm impacts and declining dinating much of the conservation work in the Mobile ecosystem health. The seafood industry provides over 8,000 jobs in Alabama (Gulf Coast Seafood, 2015) and Bay estuary, and MBNEP’s Comprehensive Conservation Management Plan guides conservation work in Mobile generates $499 million in economic activity for the state Bay. While TNC did not work with local governments - each year (Alabama Gulf Seafood, 2015). But the indus on the NOAA-funded reefs, networking and information try is vulnerable to storm damages and to environmental

169 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 167 sharing among restoration practitioners and the partici the intensity of the response, provided an opportunity - pation of citizen volunteers were essential to the success for public outreach and education about the impacts of coastal ecosystem degradation, and restoration groups of the project. have leveraged community support for spill recovery actions and have developed a new wave of restoration Recovery Act Provides New Source of initiatives that rely on citizen volunteers (Lankford, 2013; Funding for Restoration Projects Haner, 2015; Restore Coastal Alabama, 2015; Scyphers, Funding is often a limitation for restoration projects, 2015; TNC, 2015). especially for non-profit organizations and for local governments that want to implement relatively large- scale projects. TNC and other NGOs in the Gulf often Accomplishments of Mobile County’s - piece together funding through a combination of pri vate donations, state and federal government grants, Oyster Reef Restoration Projects and partnerships with other NGOs. Local governments Restoration project leaders from TNC’s Coastal Programs in coastal Alabama generally do not have the funding - Office consider the reef restoration projects to be a suc or technical resources necessary to implement large or cess so far (see Exhibit 3 for a map of the restoration sites). technically complex restoration projects (Haner, 2015). “We’re providing habitat and oysters, fish love it, there - is wave energy breaking,” says Judy Haner. But practi ARRA presented an opportunity for TNC to secure fund - tioners acknowledge that the effectiveness of oyster reefs ing for oyster reef restoration from a single source. ARRA as barriers can be reduced over time as reefs settle and was a federal economic stimulus package intended to sink below the surface, and as sea level continues to rise save and create jobs and drive economic activity during above the height of the reefs. The TNC oyster reefs have the Great Recession. The ARRA allocated $830 million not been in place long enough to evaluate their ability to NOAA to support projects related to the agency’s to protect the shoreline over the long term, but observ - mission; $167 million was set aside to fund coastal hab - ing even short-term changes in reef function has helped itat restoration (NOAA, 2015a). NOAA issued a call for practitioners learn more about effective reef design. “I project proposals and selected fifty high-priority proj - think that we, as a society and as a scientific practitioner ects that would create jobs in coastal communities and community, need to be very realistic in how we portray restore fisheries and coastal ecosystem resilience. Eight that and not be embarrassed that we’re learning along the TNC projects were funded through NOAA’s ARRA grants, way. Because that’s what we do, and that’s what science is including the coastal Alabama oyster reef project. TNC about. We’re not going to get nature right the first time,” and NOAA have partnered on coastal restoration proj - says Judy Haner. “That’s what I think is exciting—we’re ects since 2001 (TNC, 2015), so the ARRA-funded reef learning this and it’s not taking us twenty years to learn project added to a list of nearly 100 TNC-NOAA resto - this. In the course of just a handful of years, we’ve seen ration projects in coastal states. some changes that we now know we can improve upon without huge secondary investments.” Deepwater Horizon Oil Spill Adds Urgency to Restoration and Motivates In addition to the NOAA-funded TNC reefs, other groups Community Engagement have partnered to build reefs on multiple sites along The Deepwater Horizon oil spill occurred in April 2010, the Mobile County coast and Mobile Bay (see site map - in the middle of the TNC oyster reef restoration project. below). About 2.2 miles of oyster reef have been con Although the spill was not an initial motivating factor structed since 2005, with about $9.37 million from multiple groups in the region, including TNC, Mississippi- for the project, the severity of the ecological impacts motivated the community to join the clean-up response Alabama SeaGrant, Dauphin Island Sea Lab, Alabama Department of Conservation and Natural Resources, and - and the subsequent restoration projects in huge num the MBNEP (Haner, 2015). bers. The visible and dramatic impacts of the spill, and

170 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 168 Exhibit 3. Coastal Alabama oyster reef restoration sites. Project managers stress the need for continuous moni - showed a range of times that these reefs had been in, toring of the sites and ongoing data analysis; the current and the range of technologies and structures that were - used, and what was monitored, and if we were able to lack of monitoring will create a major gap in our under look at this reef at ten years [after construction] and this standing of the effectiveness of oyster reef restoration reef at one month, and look at salinity regimes and dif - as a long-term approach to coastal protection (Haner, ferences, I think we could learn a lot about how to place 2015) and will prevent a comprehensive assessment of - [them]...By analyzing these things and synthesizing the restoration accomplishments. TNC is currently seek ing funding to support the synthesis of existing data information, that’s the only way to figure this out,” says from the Alabama reef sites. “If we had information that Judy Haner.

171 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 169 TNC in Alabama has worked closely with Mobile County 1,000 acres of seagrass and marsh through the 100- - coastal communities in its oyster reef restoration proj 1000: Restore Coastal Alabama project. The success of ects. The NOAA-funded TNC project provided 35-40 - these new projects will depend on continuous commu nity participation in order to maintain the momentum of permanent jobs over the course of the two-year project, restoration actions in coastal Alabama. most of which were filled by Mobile County residents (Haner, 2015), and TNC has hired additional residents In addition to relying on volunteers, Gulf restoration for other reef-building projects since then. TNC also sup - groups are currently working together to train a new ports local seafood processing houses by purchasing generation of workers to sustain conservation efforts in oyster shells to build the reefs. Gulf communities. The Corps Network (TCN), a national - youth development organization that provides job train The Alabama oyster reefs have received national rec - ognition for their effectiveness in addressing coastal ing and leadership training through community and vulnerability. In March 2015, the American Society environmental service projects, launched its Gulf Coast of Adaptation Professionals (ASAP) announced that Restoration Initiative (GCRI) and Climb Conservation Corps programs in the fall of 2014, in partnership with TNC’s oyster reef restoration projects, under the 100-1000:Restore Coastal Alabama program, were one TNC and with other youth development programs. In this pilot project, TNC scientists trained young adults from of four finalists for the 2015 ASAP Prize for Progress. local communities to collect water quality and ecological The coastal Alabama oyster reef restoration projects are data in restoration sites in Mississippi, helping to build - local capacity to manage environmental quality and sup widely considered to be a success story, but building porting community resiliency by training local workers oyster reefs cannot compensate for the loss of so much instead of outsourcing restoration work. - wetland and marsh area in the Gulf and the natural pro tection they provide. Natural, healthy coastal ecosystems Many of TCN’s youth participants come from underserved are replenished with sediment from creeks and rivers, but most of the river systems in the Gulf have been areas, and TCN provides on-the-job training, education training, job placement assistance, life skills training, and dredged and channelized, so sediment no longer flows into the marshes. While living shorelines can serve an access to post-secondary education. These experiences “empower individuals to earn a livable wage and begin a important function in protecting coastal environments, career path that leads to economic and personal self-suf in addition to providing many other ecosystem services, - reducing vulnerability to climate and human impacts on ficiency” (Hosey, 2015), in addition to providing valuable service to their communities. Post-project surveys of the Alabama coast will require an even more extensive and complex approach to ecosystem restoration. participants reveal improved technical understanding of environmental monitoring, and an understanding of how stream health affects communities. The surveys found that 100 percent of participants now have an interest in “a Moving Forward career, training program, or degree” in an area related to their environmental and conservation work (Hosey, 2015). - TNC and other groups and agencies are currently build ing more reefs and working to identify new project sites. The Deepwater Horizon oil spill brought a new sense of Traditionally, conservation and environmental move - urgency to protecting coastal and estuary ecosystems, ments have not effectively engaged disadvantaged populations, even though they often suffer the great - and the spill has driven a wave of major restoration ini - est impacts of environmental degradation and natural tiatives. Since the spill, TNC, along with the Alabama Coastal Foundation, Mobile Baykeeper, and The Ocean disasters. TCN is working to increase engagement of disadvantaged populations in the national environmen Foundation, with support from other governmental, - tal movement, by engaging young adults in restoration NGO, and private research partners, has set a new goal work and providing the knowledge and training to be of restoring 100 miles of oyster reef and protecting

172 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 170 their own environmental stewards (Hosey, 2015). Strong survey results “made us think about how we approach - engagement and successful outcomes have encouraged projects and [how we] approach doing a demonstra TCN to begin to expand its conservation programs for tion in an area where we can get the neighbors talking. underserved youth across all Gulf states and across addi Because word of mouth is probably going to do as much - - tional conservation skill areas, including invasive species as anything,” says Judy Haner. Haner adds that simplify ing the current regulatory process for permitting living management, marsh restoration, oyster reef restoration, coastal stream monitoring, and community outreach shorelines will help sustain restoration momentum and - (Hosey, 2015). This new generation of local conservation prevent waterfront residents from “defaulting” to build workers can help sustain long-term restoration efforts ing a bulkhead just because it’s easier. While physical infrastructure protects private shorelines, it does not and can help reduce reliance on outsourced workers. provide any of the ecological and environmental quality Although TNC did not work closely with municipalities or benefits that living shorelines provide. other local governments in its NOAA-funded reef resto - The Deepwater Horizon oil spill not only increased ration project, engaging local governments is a current goal, and partnerships are starting to develop (Haner, the urgency of coastal ecosystem restoration actions 2015). Some local governments want to build reefs, but and motivated community involvement, but it is also reshaping the funding environment and creating new do not have the funding or technical expertise; TNC helps them identify sites and potential funding sources opportunities and new challenges for restoration groups in the Gulf. Gulf coast states are starting to receive large through grants. sums of money from spill damages, and some coastal communities are expecting a new wave of funding for Large amounts of money and staff and volunteer time coastal recovery projects. However, the Alabama Gulf have gone into building the existing oyster reef proj - Coast Recovery Council has directed the first round of ects in coastal Alabama, and so far these projects have constructed about 2.2 miles of reef, a relatively small payments ($56 million) to economic and infrastructure - portion of Alabama’s coast. If restoration groups want projects, in part because of the support already ded icated to ecological recovery projects (Finch, 2014). to increase the total amount of protected shoreline, they Some groups argue that this use of oil spill penalties will need to work with private landowners on the coast. “In Alabama about 80 percent of our shoreline is privately does not comply with the RESTORE Act (Lankford, owned, so if we want to do anything—enhance commu - 2014; Haner, 2015), which Congress passed after the nity and coastal resilience—we’ve got to work with these Deepwater Horizon spill in order to direct money from civil penalties to Gulf coast states. But TNC Alabama individuals,” says Judy Haner. Steven Scyphers and his does not view the decision unfavorably. “We are behind colleagues have studied these residents’ perceptions of stormwater [infrastructure improvements] 100 percent. - restoration work and the incentives necessary for water front residents to install green infrastructure instead of a We want you to retrofit those leaky, failing utilities. We physical shoreline protection structure. “From the survey want you to upgrade,” says Judy Haner. Still, the sudden - data we have, there’s definitely a range of willingness to influx of oil spill money has the potential to create con do different restoration techniques across residents— flict among groups who have different goals for coastal communities. While relationships among local govern - from extremely unwilling to change, to people that are willing but may not be aware of different alternatives,” ments, NGOs, and Gulf coast residents have generally says Scyphers. The community surveys have helped been congenial, “A big pulse of the restoration money might change that,” says Steven Scyphers. guide TNC’s restoration projects on private land. The

173 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 171 Handley, L., K. Spear, S. Jones, and C. Thatcher. 2007. Acknowledgments Statewide summary for Alabama. In Seagrass Status We would like to thank the following coastal restoration and Trends in the Northern Gulf of Mexico: 1940–2002. experts for participating in interviews, providing addi - U.S. Geological Survey Scientific Investigations Report 2006-5287 and U.S. Environmental Protection Agency tional information and materials, and for reviewing this http://gom.usgs.gov/doc 855-R-04-003. Available: - case study: . Accessed uments/Chapter_J_StateSummForAL.pdf Judy Haner, director of Marine and Freshwater • April 16, 2015. Programs at TNC’s Alabama Coastal Program Haner, J. 2015. Interview with Judy Haner, Director • Steven Scyphers, postdoctoral researcher and NSF of Marine and Freshwater Programs at The Nature SEES fellow at Northeastern University’s Marine Conservancy’s Alabama Coastal Program. March 17. Science Center. Hosey, J. 2015. Interview with John Hosey, Gulf Coast John Hosey, Gulf Coast Restoration Corps director • Restoration Corps Director of Development. August 17. of development, TCN coastal conservation specialist at Mary Kate Brown, • Lankford, K. 2013. Restoring Mobile Bay with 600 of our closest friends. Ocean Conservancy. TNC’s Alabama Coastal Program. April 11. Available: http://blog.oceanconservancy. org/2013/04/11/restoring-mobile-bay-with-600-of- . Accessed April 1, 2015. our-closest-friends/ Bibliography Lankford, K. 2014. Fund Projects Focusing on Economic and Environmental Health as a Whole. Alabama Gulf Seafood. 2015. Always Ask, Never Settle: Letters to the editor. Lagniappe Weekly. December How to Avoid Mislabeled Gulf Seafood. March 26. http://lagniappemobile.com/fund-proj - 23. Available: http://eatalabamaseafood.com/articles/ Available: ects-focusing-economic-environmental-health-whole/ . always-ask-never-settle-how-to-avoid-mislabeled-gulf- Accessed April 8, 2015. seafood/ . Accessed April 1, 2015. MBNEP. 2015. The Coast: Wetlands. Mobile Bay CRS. 2015. Hurricanes Katrina and Rita: Fishing and http://www. National Estuary Program. Available: Aquaculture Industries—Damage and Recovery. mobilebaynep.com/mobile_bay_watershed/the_ala - Congressional Research Service. October 13. Available: . Accessed April 1, 2015. bama_coast/ http://fpc.state.gov/documents/organization/57873. . Accessed March 30, 2015. pdf Meyer, D.L., E.C. Townsend, and G.W. Thayer. 1997. Stabilization and erosion control value of oyster cultch Dame, R.F. and B.C. Patten. 1981. Analysis of energy for intertidal marsh. Restoration Ecology 5:93–99. flows in an intertidal oyster reef. Marine Ecology Progress Series 5:115–124. Mobile Bay Oyster Gardening Program. 2015. Oyster - http://oyster Gardening on Mobile Bay. Available: Finch, M. 2014. Alabama Recovery Council Directs First . Accessed April 8, 2015. gardening.org/ $56 Million to Economic and Infrastructure Projects. Alabama Media Group. December 17. Updated January NOAA. 2015a. NOAA Information Related to the 7, 2015. Available: http://www.al.com/business/index. American Recovery and Reinvestment Act of 2009. ssf/2014/12/alabama_recovery_council_direc.html . National Oceanic and Atmospheric Administration. Accessed April 8, 2015. Available: http://www.noaa.gov/recovery/ . Accessed April 16, 2015. Gulf Coast Seafood. 2015. Member States. Available: . http://eatgulfseafood.com/about/member-states/ Accessed April 1, 2015.

174 COASTAL MOBILE COUNTY, ALABAMA CASE STUDY: 172 NOAA. 2015b. Oyster Reefs. National Oceanic and - http://ches Atmospheric Administration. Available: apeakebay.noaa.gov/oysters/oyster-reefs . Accessed April 16, 2015. Piazza, B.P., P.D. Banks, and M.K. La Peyre. 2005. The potential for created oyster shell reefs as a sustainable shoreline protection strategy in Louisiana. Restoration Ecology 13:499–506. Restore Coastal Alabama, 2015. Restoring Coastal Alabama One Mile at a Time. Available: http://100- 1000.org/ . Accessed April 8, 2015. Scyphers, S. 2015. Interview with Steven Scyphers, Postdoctoral Researcher at Northeastern University’s Marine Science Center. April 6. Scyphers, S., S.P. Powers, K.L. Heck, and D. Byron. 2011. Oyster reefs as natural breakwaters mitigate shoreline loss and facilitate fisheries. PLoS One 6(8):e22396. Sheng, Y.P., A. Lapetina, and G. Ma. 2012. The reduction of storm surge by vegetation canopies: Three- dimensional simulations. Geophysical Research Letters 39(20):L20601. TNC. 2015. Oceans and Coasts. How We Work: Partnering with NOAA. The Nature Conservancy. - Available: http://www.nature.org/ourinitiatives/habi . tats/oceanscoasts/howwework/noaa-partnership.xml Accessed April 16, 2015. USACE. 1963. Interim Survey Report, Morgan City, Louisiana and Vicinity, Serial No. 63. U.S. Army Corps of Engineers, U.S. Army Engineer District, New Orleans, LA. Wamsley, T.V., M.A. Cialone, J.M. Smith, J.H. Atkinson, and J.D. Rosati. 2010. The potential of wetlands in reducing storm surge. Ocean Engineering 37(2010):59–68.

175 CASE STUDY: NORFOLK, VIRGINIA 173 Norfolk, Virginia Coastal Resilience Strategy NORFOLK, VIRGINIA AUTHORS: Alexis St. Juliana and Jason Vogel In this case study, you will learn about: Engaging in no-regrets/low risk actions • Using climate change projections to inform decision making • Sharing information and advice on activities with other communities • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

176 NORFOLK, VIRGINIA CASE STUDY: 1 74 Case Study Summary Installing a mobile pump to deal with tidal • The City of Norfolk is located on the coast of Virginia. flooding at Lea View and 15th Street Norfolk experiences coastal flooding regularly, but Multiple localized neighborhood level drainage • community members report that it has become more nts improveme frequent, more severe, and now occurs in areas where flooding has not traditionally been a problem. Extreme Sources: Georgetown Climate Center, forthcoming; weather events such as nor’easters and hurricanes gen - Schechtman and Brady, 2013; Applegate, 2014; erate large storm surges and heavy precipitation that City of Norfolk, 2014a, 2014c. exacerbate tidal flooding. As a result, the City of Norfolk passed changes to its flood and coastal zone ordinance to reduce the city’s vulnerability to coastal flooding. Beginning in 2014, new structures in flood and coastal The City of Norfolk has been struggling with the impacts zones must be built with their lowest level at least three of both recurrent tidal flooding and inland flooding feet above the 100-year floodplain; existing structures for decades. In an effort to characterize the problem that experience two floods that damage the equivalent and identify solutions to flooding, the city funded a percent or more of their value must also be ele of 25 - series of studies beginning in 2007. These included vated to meet this standard (City of Norfolk, 2013a). This the Preliminary City-Wide Coastal Flooding Mitigation standard was selected based on examination of projec - Concept Evaluation and Master Plan Development, a tions of sea level rise. Newly constructed properties are City-Wide Drainage Master Plan, and long-term tidal and complying with the new standard; however, it will take precipitation flooding analyses (City of Norfolk, 2012; more time to know the full impact of Norfolk’s action. Fugro, 2012; Timmons Group, 2012; City of Norfolk et City staff and appointees feel that the standards will al., 2013). These studies recommend close to $1 billion reduce the city’s vulnerability for several decades into in infrastructure improvements such as floodwalls, tide the future. However, the city is considering additional gates, berm construction, and pump stations; drainage actions to create a more robust response to projected improvements; and road elevation and structural eleva - increases in coastal flooding. tion projects (City of Norfolk, 2014b). The city is beginning to invest in flood mitigation efforts. In its 2012–2016 Capital Improvement Plan, the city bud - The Broader Context of Community- geted $4.5 million to address street flooding citywide, Based Adaptation in Norfolk and $6.5 million to fund beach stabilization and shoreline erosion control (see the text box). In 2014, the city also established a $1 stormwater fee to fund flood mitigation ADAPTATION ACTIVITIES IN NORFOLK activities (Georgetown Climate Center, Forthcoming). However, additional investment is needed for large Brambleton Avenue, Colley Avenue, and Surrey • infrastructure projects. Potential sources of funding Crescent road elevation projects for this work include the National Disaster Resilience Studies for an engineered shoreline at • Competition through the U.S. Department of Housing Ocean View Beach and Urban Development or the U.S. Federal Emergency Management Agency (FEMA; Morris, 2015). • Living shoreline efforts along Haven Creek • Replacing and elevating a bulkhead The city is also addressing tidal and inland flooding concerns through the Rockefeller Foundation’s 100 • 1.5–2 feet above the existing bulkhead Resilient Cities and RE.invest initiatives. These efforts aim to improve the city’s (1) strategy for managing

177 NORFOLK, VIRGINIA CASE STUDY: 175 2010–2011: May–June: Department of Increasing Norfolk initiates January: Ordinance Congress passes Department of City City Planning arranges public numbers of changes become the Biggert-Waters the first of three Planning reviews meetings on proposed property owners e‰ective on January 1 Flood Insurance engineering ordinances in ordinance changes file repetitive studies on Reform Act, which FEMA-defined flood flood claims schedules flood flooding and October: In first June: Planning Commission and coastal zones drainage insurance rate 10 months, roughly passes the proposed zoning increases 50 new structures 2011: Department of ordinance changes must comply with City Planning brings its ordinance changes November: The City Council proposal to the approves ordinance changes Planning Commission 2010– 2007 2013 2012 2014 2009 2011 Exhibit 1. Timeline of the development of Norfolk’s revised flood and coastal zone ordinance. coastal resiliency issues, (2) diversity of economic devel Additionally, they apply to significant portions of the city - opment opportunities, and (3) poverty challenges. As in flood and coastal zones. See Exhibit 1 for a timeline of part of these efforts, Norfolk is reconsidering land-use events related to Norfolk’s work to revise its flood and coastal zone ordinance. planning priorities. For instance, when Norfolk is ready to implement larger-scale flooding solutions person - nel will also consider how to revitalize and re-connect cut-off portions of the city (Morris, 2015). This strategy Why and How Norfolk Implemented also feeds into goals for neighborhood cohesion and its Flood and Coastal Zone Ordinance poverty reduction. City staff are sharing a strategy with non-profits, churches, civic leagues, and neighborhood - associations to build connections with vulnerable com Hours per year with munity members such as the elderly, disabled, or those streets that flood in without transportation. These organizations will serve as the Hague neighbor - hood, Norfolk, VA initial points of contact during hazardous events or even times of personal difficulty (Morris, 2015). Finally, flood mitigation is a component in two city strategy documents. First, the city’s comprehensive plan, , encourages the integration of plaNorfolk2030 sea level rise into development activities (Schechtman and Brady, 2013). Second, this city’s Coastal Resilience Strategy outlines a general approach for managing coastal flooding: plan, prepare, mitigate, and commu - nicate (City of Norfolk, 2014b). The strategy highlights elevating new construction as one measure to prepare for coastal flooding (City of Norfolk, 2014b). This mea - sure and several related zoning ordinance changes are Exhibit 2. Street flooding in Norfolk caused the focus of this case study because they have advanced by extreme high tides or storm surge. past planning stages and become part of local standards. Source: Atkinson et al., 2013.

178 NORFOLK, VIRGINIA CASE STUDY: 176 City of Norfolk and the NFIP. The department manages Increased Flooding Builds Motivation for Norfolk’s overall flood mitigation strategy, floodplain, and Action in Norfolk coastal zone mapping activities, as well as efforts to raise Due to subsidence and sea level rise, episodes of tidal awareness on Norfolk’s flooding issues, although several flooding are becoming more frequent, more severe, and other city departments and regional entities play a role. are occurring in areas where flooding has not traditionally been a problem in Norfolk. For example, certain streets now flood regularly with high tides, including streets that did not flood in the past (Exhibit 2). In 2014, there were 1000 several heavy rain storms that shut down traffic across the 800 city for hours at a time due to roadway flooding. These heavy rainfall events exacerbate flooding at high tide, 600 when many drainage or outflow pipes are submerged or 400 partially submerged and rainwater cannot properly drain. 200 Increased Flood Insurance Claims Motivate 0 Norfolk’s Department of City Planning to 2005 2007 2009 2011 2012 Take Action Properties with multiple flood insurance claims Beginning in 2009, Norfolk’s Department of City Planning saw an increase in insurance claims to FEMA’s National Flood Insurance Program (NFIP; Exhibit 3). The Exhibit 3. FEMA repetitive flood claim records. Source: Adapted from City of Norfolk, 2013b Department of City Planning is the link between the Exhibit 4. Example flood insurance premiums for a home below, at, and above base flood elevation. Source: FEMA, 2013b.

179 NORFOLK, VIRGINIA CASE STUDY: 177 Staff in Norfolk’s Department of City Planning shared that the increase in flood insurance claims was a very EXHIBIT 5. SELECTED PROPOSED CHANGES serious concern for several reasons. First, they were TO NORFOLK’S ZONING ORDINANCE BY THE concerned about Norfolk’s citizens and the impact of DEPARTMENT OF CITY PLANNING flooding on their lives and properties. The department wanted to find a way to minimize impacts to properties Existing regulation so that owners would be protected from worsening Require the first floor level be elevated one (1) • flooding. Second, they were concerned about Norfolk’s foot above the anticipated flood level rating within the NFIP Community Rating System (CRS) Require existing buildings come into compli • - - and the insurance premiums available to Norfolk prop damage or ance with current regulations if erty owners under that program. The Department of improvements from a single event exceeds City Planning wanted to ensure that flood insurance percent 50 of market value of the structure for its residents was affordable for all residents so they would be properly insured in the event of a serious Proposed regulation flood. Third, the city was aware of citizens’ concerns • Require the first floor level be elevated two (2) that flooding was getting worse and that action feet above the anticipated flood level needed to be taken. Finally, in 2012 Congress passed • - Require existing buildings come into compli the Biggert-Waters Flood Insurance Reform Act (the sum ance with current regulations once the Act), which reformed the NFIP and included a schedule of damage and/or improvements exceeds to reduce flood insurance premium subsidies in 2014 of market value of structure over a percent 50 (FEMA, 2013a). Norfolk was already exploring options 10-year period (Cumulative Loss/Improvement) to improve its CRS rating and maintain or lower flood insurance premiums when the Act was passed, but the Or Act possibly sped up the city’s actions. Exhibit 4 shows If flood damage from two events, on average, • insurance premiums for a home below, at, and above percent the market each equals or exceeds 25 base flood elevation. value of the structure (Repetitive Loss) Norfolk’s Department of City Planning Source: Adapted from City of Norfolk, 2013c. Drafts Proposed Ordinance Changes In 2010 and 2011, the Department of City Planning reviewed options for changing the current ordinances To explain in further detail, increasing the city’s standard in FEMA-defined flood and coastal zones. As part of from one foot above base flood elevation (the 100-year this review, the department also consulted sea level floodplain) to two feet above base flood elevation means rise projections from the Virginia Institute of Marine that the lowest level of new construction would need to - Sciences. The department devised a series of pro - be built two feet above FEMA’s mapped base flood eleva posed changes, which would protect citizens from tion; this structural elevation is also called “freeboard.” The flooding and reduce flood insurance premiums by second provision would change regulations on existing improving Norfolk’s status on the CRS. Although there buildings in flood and coastal zones. Previously, a one-foot were several proposed changes, the key changes are freeboard was required when a property incurred a single outlined in Exhibit 5. damage event or implemented improvements worth 50 percent of the building’s insurance replacement value. The new provision would look at cumulative damages and improvements over a 10-year period to determine if

180 NORFOLK, VIRGINIA CASE STUDY: 178 a building should come into compliance with a two-foot freeboard. The Department of City Planning proposed two catalysts: (1) damages and improvements totaling percent of the building’s insurance replacement value, 50 or (2) two flood damage events each totaling 25 percent or more of the building’s insurance replacement value. Planning Commission Considers Climate Change and Revises Proposed Standards In 2011, the Department of City Planning brought its proposal to the appointed Planning Commission. The department presented background information, includ - Exhibit 6. Southeast Virginia sea level rise scenarios. ing sea level rise projections (Exhibit 6). The Planning Source: City of Norfolk, 2013b; Virginia Institute of Marine Sciences, Commission reviewed the department’s recommenda - Undated. tions and recommended one change: that the two-foot freeboard standard be raised to three feet based on - Second, property owners making improvements unre sea level rise projections for Virginia. In particular, lated to flood damage (including damage from other Commissioner Martin Thomas, Jr. suggested that two natural events like high winds) would not be eligible feet of freeboard was insufficient to protect structures for federal assistance. Third, damage or improvement in flood and coastal zones based on the available sea values would be transferred to new property owners. For level rise projections (Thomas, 2014). He felt that raising example, if a property owner made improvements worth their current standard by just one foot would only benefit percent of a building’s value, then when a new owner 35 - the city for the next 15–20 years, and that by increas attempts to repair damage or make improvements worth ing the freeboard standard to three feet, there was a percent or greater, the building would need to come 15 greater potential to protect properties for a longer time into compliance. Disclosure of such damages or improve - period. The Planning Commission unanimously agreed to ments are not required at the time of sale. Fourth, TBA increase the proposed standard to include three feet of had concerns about the cost to developers and buyers freeboard for structures in flood or coastal zones. associated with the three-foot freeboard. The additional height contributes to higher building costs. There were Norfolk Seeks Stakeholder Feedback and also concerns about the historic character of buildings Revises the Ordinance and neighborhoods with structural elevation (City of Norfolk, 2013c). However, even with these concerns, all With the Planning Commission’s recommendations, the parties recognized that Norfolk should take action to Department of City Planning arranged a series of public reduce flood damage and improve its CRS rating. The meetings in May and June 2013 to discuss the proposed concerned parties felt that the city could improve the changes. Through this process, the city heard several con - rating through other means. cerns from a few attendees about the proposed changes. For instance, the Tidewater Builders Association (TBA), The Department of City Planning revised the proposed the Willoughby Civic League, the Hampton Roads Realtor zoning ordinance based on public discourse and internal decision-making. In particular, they removed the 10-year Association and others were concerned about the 10-year cumulative damage and improvement provision cumulative loss provision in favor of a requirement that “existing buildings come into compliance with current (City of Norfolk, 2013c; Willoughby Civic League, 2013). regulations if flood damage from two events, on average, There were several arguments against this. First, with percent the market value of each equals or exceeds 25 an estimated average cost of $100,000 to raise a struc - the structure and the building is structurally damaged ture, most property owners could not afford to comply.

181 NORFOLK, VIRGINIA CASE STUDY: 179 or altered” (City of Norfolk, 2013a, p. 1). This meant that Accomplishments of Norfolk’s existing structures that incur two flood damage events Freeboard Standard percent or more of their value must be elevated. worth 25 Those interviewed for this study agree that the revised In addition to the concerns expressed at public meetings, zoning ordinance is a success and that Norfolk is headed the Department of City Planning realized that they did in the right direction, but there is more work to do. not have an effective mechanism to track cumulative The revised ordinances are part of what will hopefully losses and improvements to properties. From here, the become a more robust coastal and inland flooding strat - Planning Commission voted and passed the proposed egy. They feel that the new standards will help to protect zoning ordinance changes on June 27, 2013. The City structures and are evidence that the city is working to Council formally approved the changes on November address a very real problem. Three feet of freeboard will 26, 2013, which became effective on January 1, 2014 take Norfolk an estimated 60 or 65 years into the future, (Council, 2013). The text box summarizes the final pro - giving the city time to find big-picture solutions to recur - visions of the zoning ordinance changes. rent tidal flooding. Norfolk’s revised flood and coastal zone ordinance went SUMMARY OF NEW FLOOD AND COASTAL into effect January 1, 2014. As of October 2014, over 50 ZONE REGULATIONS IN NORFOLK new construction buildings have had to comply. The • Three feet of freeboard number of existing structures with two flood damage Measure the height of structures from the • percent or more of their value is not events worth 25 Design Flood Elevation or the ground level at the available. These types of claims are reported to the city entrance of the structure, whichever is greater by FEMA, but cannot be made public. Those interviewed for this study agree that it will take some time to gauge Require Elevation Certificates based on pro - • the new regulations’ effectiveness. One person mentioned posed construction with new development and that it may take 30 years to know if these actions were additions in the Special Flood Hazard Area well-founded; the degree of sea level rise will determine • Require all development within a 0.2 percent the regulations’ efficacy. Still, Department of City Planning annual chance of flood to have a finished floor staff have anecdotal evidence of a new construction home or be floodproofed 18 inches above grade selling more quickly due to a lower flood insurance pre - • Require a twenty-foot setback from the landward mium relative to other properties in the flood or coastal edge of mean high water for principal structures zones, despite the additional construction cost. • Prohibit the construction of subgrade crawl spaces within a Special Flood Hazard Area Other cities in the region have looked to Norfolk as a leader on coastal flood mitigation issues. Several commu - Prohibit the use of breakaway walls in Coastal • nities have raised their freeboard standards to three feet High Hazard and Coastal Floodplain districts including Hampton (City of Hampton, 2014; Hampton Identify Coastal Floodplain Districts and provide • Roads Regional CRS Workgroup, 2014). Examples of regulations to match construction requirements similar ordinances that are being considered or have for Coastal High Hazard District passed include: - • Require existing buildings to come into compli • City of Portsmouth (considering a three-foot free - ance with current regulations if flood damage from board; Hampton Roads Regional CRS Workgroup, two events, on average, each equals or exceeds 2014) 25 percent the market value of the structure and the building is structurally damaged or altered • City of Newport News (considering a two-foot free - board; Hampton Roads Regional CRS Workgroup, Source: City of Norfolk, 2013a. 2014)

182 NORFOLK, VIRGINIA CASE STUDY: 180 • City of Poquoson (three-foot freeboard; Hampton - As well, Wetlands Watch and TBA noted that zoning ordi Roads Regional CRS Workgroup, 2014) nances are not a topic of high public interest and there were relatively few people actively engaged or aware • Gloucester County (two-foot freeboard; Gloucester of the topic. They felt this might change in the future as County, 2011) existing structures need to come into compliance. City of Chesapeake (one-and-a-half-foot freeboard; • City of Chesapeake, 2013). The city has also considered implementing transfers of development rights, which would equate to buyouts of properties in the most flood-prone neighborhoods in the - Notably, Virginia Beach tried to raise its freeboard stan city. However, this is a difficult action to take because dard to three feet, but could only achieve a two-foot despite flooding, properties adjacent to the water still standard due to pressure from the building industry. have high property values and bring in significant tax Virginia Beach has more undeveloped land and the dollars; plus, some property owners may be unwilling building industry sees an additional foot of freeboard to relocate. as a more significant cost than in Norfolk. Also, Virginia Beach’s more conservative planning commission was less willing to consider climate change. The city has an array of possible infrastructure projects to consider, but it needs federal support to help fund - these. Some of those interviewed are hopeful that fed eral funds will reach Norfolk due to the large U.S. Naval Moving Forward - presence in the area, and its reliance on sound infrastruc ture in and around Norfolk to maintain its operations. In Although Norfolk is strengthening its protection mea - a similar vein, some of those interviewed felt that if the sures against coastal inundation and greater losses due U.S. Navy were to take concrete action on adaptation or to projections of sea level rise, there are concerns about the effectiveness of the city’s revised standards when request the city to take some concrete action, that would considering Norfolk’s overall vulnerability to flooding. help move the Norfolk adaptation process forward as the Wetlands Watch, an environmental advocacy group in Naval base brings significant economic activity and influ - ence to the region. If funding comes to Norfolk, plans are the region, felt that adaptation will occur very slowly. Since Norfolk’s flood and coastal zones are very built-up, in place to thoughtfully consider viable infrastructure solutions alongside neighborhood vitality in terms of there is a limited amount of new construction that will need to comply; instead, adaptation will occur in a economic development, adaptation to future inland or piecemeal way as existing structures are elevated. A tidal flooding, and improving the lives of residents. second concern from Wetlands Watch is FEMA’s ability to disperse funds in a timely manner; property owners could wait for years for funds to elevate their structures. Acknowledgments Wetlands Watch estimates that if FEMA continues to We would like to thank the following individuals for par - disperse funding at its current rate, repetitive loss prop - erty owners already waiting for FEMA funds (for repairs ticipating in interviews as part of this case study: or elevation) could wait 188 years, not including new Tidewater Builders Association • Joshua Clark, property owners that are added to the list (Stiles et al., Old Dominion University Michelle Covi, - • 2014). In the meantime, property owners could experi ence additional flooding events with limited means to • Christine Morris, City of Norfolk repair their properties. Wetlands Watch’s final concern is • William (Skip) Stiles, Wetlands Watch that the revised standards only focus on structures and will not address the greater flooding problems in Norfolk. Robert Tajan, City of Norfolk • Buildings may be safe, but the city will still flood, leaving Martin Thomas, Jr., Norfolk Planning Commission. • some properties as virtual islands among flooded areas.

183 NORFOLK, VIRGINIA CASE STUDY: 181 City of Norfolk. 2012. Norfolk Flooding Strategy Update. Bibliography http://va-norfolk.civicplus.com/doc - March 27. Available: . Accessed November 3, 2014. umentcenter/view/1751 American Community Survey. 2012. American Community Survey. American FactFinder. U.S. Census City of Norfolk. 2013a. Flood Zone Regulation Changes. Bureau. Available: http://factfinder.census.gov/faces/ December 6. Available: http://www.norfolk.gov/ nav/jsf/pages/index.xhtml . Accessed August 19, 2013. . Accessed November 3, DocumentCenter/View/12688 2014. Applegate, A. 2014. For City of Norfolk, park becomes wetlands once again. The Virginian Pilot. February 20. City of Norfolk. 2013b. Revisions to Floodplain -nor - http://hamptonroads.com/2014/02/city Available: http://www.norfolk. Regulations. July 23. Available: folk-park-becomes-wetlands-once-again#. Accessed . Accessed November gov/documentcenter/view/9106 November 4, 2014. 3, 2014. Atkinson, L.P., T. Ezer, and E. Smith. 2013. Sea level rise City of Norfolk. 2013c. Zoning Ordinance Text and flooding risk in Virginia. Sea Grant Law and Policy Amendment to Chapters 2, “Definitions,” and 11–3, Journal 5(2):3–14. Available: http://www.ccpo.odu. “Floodplain/Coastal Hazard Overlay District (FPCHO),” . edu/~tezer/PAPERS/2013_SGLPJ_Atkinson_SLR.pdf to Amend Terms, Simplify Language, and to Add Accessed November 3, 2014. Requirements for Properties Located within the Floodplain and to Revise Standards for Calculating City of Chesapeake. 2013. Memorandum to Chesapeake Building Height. Planning Commissioners re: An Ordinance amending Chapter 26 of the Chesapeake City Code, entitled City of Norfolk. 2014a. Brambleton Avenue and Colley “Environment,” Article IV, Floodplain Management, by Avenue Improvements. Available: http://www.norfolk. amending Sections 26–86 through 26–105 to affirm gov/index.aspx?NID=203. Accessed November 3, 2014. floodplain districts, require the issuance of permits for - residential and commercial development and redevel City of Norfolk. 2014b. Coastal Resilience Strategy. opment, imposing development restrictions on new http://www.norfolk.gov/DocumentCenter/ Available: and existing residential and commercial construction, . Accessed November 3, 2014. View/16292 establishing enforcement and penalties for violations, and standards for considering variances. June 3. City of Norfolk. 2014c. Ocean View Shoreline Project http://www.cityofchesapeake.net/Assets/ Available: Update. January 7. Available: http://www.norfolk.gov/ supporting_docs/actions_planning/2013/2013-06-12/ DocumentCenter/View/12969 . Accessed November 3, . Accessed November 3, 2014. ta-z-11-10_staff_report.pdf 2014. City of Hampton. 2014. Ordinance to Amend and City of Norfolk, Moffat & Michol, and Fugro. 2013. City Re-Enact Chapter 2.1 of the Zoning Ordinance of the of Norfolk Coastal Flood Mitigation Program. March 13. City of Hampton, Virginia Entitled “Definitions” By Available: http://www.norfolk.gov/DocumentCenter/ Amending Section 2.1-2 Pertaining to the Definition of View/3774 . Accessed November 3, 2014. Height, Chapter 17.3, Article V of the Zoning Ordinance of the City of Hampton, Virginia Entitled “Flood Zone - Council, J. 2013. Norfolk raises standards in its flood District” by amending sections 17.3–31.2, 17.3–32, 17.3– plain law. Inside Business. November 27. Available: 33.1, 17.3–33.2, 17.3–33.3, 17.3–34.1, 17.3–34.2, 17.3–34.3, -raises-standards- http://insidebiz.com/news/norfolk 17.3–34.8 and Adding a New Section 17.3–34.9 Pertaining its-floodplain-law. Accessed November 3, 2014. to Construction Requirements for New Construction and Substantial Improvements for Properties Located Within FEMA. 2013a. Biggert-Waters Flood Insurance Reform http:// Flood Zone Districts. September 10. Available: Act of 2012 (BW12) Timeline. U.S. Department of council.hampton.gov/Documents Document.aspx - / Homeland Security. April 17. Available: http://www.fema. ?q=sEDpEXYoG8JgDF8Ziq6NZWTYsXpHhyWzt8KM0x gov/media-library-data/20130726-1912-25045-8239/ HafKTXFXhtVRuifwl9DiobA%2B5F. Accessed November bw_timeline_table_04172013.pdf . Accessed November 4, 2014. 3, 2014.

184 NORFOLK, VIRGINIA CASE STUDY: 182 FEMA. 2013b. If Your Home or Business Has Been Schechtman, J. and M. Brady. 2013. Cost-Efficient Climate Change Adaptation in the North Atlantic. Flooded Build Back Safer and Stronger: What You Need to Know. January. Available: http://www.fema. National Oceanic and Atmospheric Administration, Sea Grant and North Atlantic Regional Team. Available: gov/media-library-data/20130726-1858-25045-7797/ build_back_stronger02_2013.pdf - http://www.regions.noaa.gov/north-atlantic/wp-con . Accessed December . Accessed 22, 2014. tent/uploads/2013/07/CEANA-Final-V11.pdf November 4, 2014. FEMA. 2014. Freeboard. U.S. Department of Homeland Stiles, W., S.H. Jarbeau, S. Hughes, and M.-C. Stiff. 2014. Security. Available: http://www.fema.gov/flood - The Challenge of Mitigating Virginia’s Flooding and . Accessed November 3, plain-management/freeboard Sea Level Rise Impacts. Wetlands Watch. November. 2014. Available: http://www.wetlandswatch.org/Portals/3/ ww_flood_ WW Fugro. 2012. Preliminary City-Wide Coastal Flooding %20documents/sea-level-rise/ white-paper1-1.pdf . Accessed December 1, 2014. Mitigation Concept Evaluation and Master Plan Development. City of Norfolk City-Wide Coastal Thomas Jr., M. 2014. Interview with Martin Thomas, Jr., Flooding Contract No. 13062. Work Order No. 4. Fugro Atlantic, Norfolk, VA. May. Available: Norfolk Planning Commission, October 29. . http://www.norfolk.gov/DocumentCenter/View/7614 Accessed November 3, 2014. Timmons Group. 2012. City-Wide Drainage Master Plan. Final Submittal. November 8. Available: http://www. Georgetown Climate Center. Forthcoming. Elevating norfolk.gov/DocumentCenter/View/3641 . Accessed November 3, 2014. Roads in Norfolk Virginia. Gloucester County. 2011. Disaster Preparedness Guide: Virginia Institute of Marine Sciences. Undated. Sea- http://www.vims.edu/ Preparedness Begins with You. Summer. Available: Level-Rise Scenarios. Available: newsandevents/topstories/slr_scenarios.php - . Accessed http://www.gloucesterva.info/Portals/0/es/docu . Accessed November 3, 2014. December 9, 2014. ments/hurricane2011.pdf Hampton Roads Regional CRS Workgroup. 2014. Willoughby Civic League. 2013. Minutes of the Regular Bi-Monthly Newsletter. December. Meeting. September 12. Morris, C. 2015. Interview with Christine Morris, City of Norfolk, July 23.

185 CASE STUDY: OAKLAND, CALIFORNIA 183 Oakland, California Oakland Climate Action Coalition Moves Climate Change Adaptation Forward OAKLAND, CALIFORNIA Alexis St. Juliana, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: The Oakland Climate Action Coalition as a model for bringing together community groups • Community organizations as important actors in advancing local climate change adaptation • Bottom-up community climate change policy recommendations • • Incorporating vulnerability analyses into policy recommendations Barriers to adaptation • Examples of adaptation actions led by non-governmental actors • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

186 OAKLAND, CALIFORNIA CASE STUDY: 184 - of Oakland and Oakland’s community-based organiza Case Study Summary tions have been working on exemplary climate change The prevalence and prominence of community-based adaptation planning efforts, implementation has been organizations makes the city of Oakland unique com - limited to a small number of capacity building exercises. pared to many other communities. A number of these organizations have worked directly on climate change The OCAC has been and continues to be an effective related topics since the 1990s, and many more approach and innovative means of bringing community-based climate change and environmental topics through a - organizational input to Oakland’s climate change adap - social justice lens. In 2009, 30 organizations—includ tation efforts. The OCAC may also serve as a model ing those addressing sea level rise, environment, public - for other communities that seek to involve communi health, and social justice topics—came together to ty-based organizations in climate change adaptation form the Oakland Climate Action Coalition (OCAC). The initiatives. OCAC has become a community platform for supporting - climate change adaptation strategy and action; the coa lition is now seen as a leading organization on climate The Broader Context of Community- change adaptation in Oakland. Based Adaptation in Oakland Initially, the OCAC came together with the goal of The Oakland community-based organizations that form influencing the Oakland Energy and Climate Action the backbone of OCAC have been working on climate Plan (ECAP), the city’s climate change mitigation plan. change analyses since the 1990s (Exhibit 1). The prev - The OCAC successfully spurred a more comprehensive alence and prominence of these organizations makes public engagement process for the plan and ultimately Oakland unique compared to many other communi - guided half of the plan’s proposed actions (Garzón, 2015; ties. Some of these organizations approach adaptation Fitzgerald, 2015). through the lens of climate change topics, such as sea level rise, whereas some combine environmental aware - At roughly the same time as the ECAP effort, the OCAC ness with social justice, energy use, energy cost, or partnered with the Pacific Institute as the institute health concerns. In addition to the examples included developed a climate change vulnerability and adap - here, there are many other examples of environmental tation assessment for Oakland. With OCAC input, the action in Oakland motivated by combined environmental - Pacific Institute developed a climate change vulnerabil awareness and concern for other community needs (see ity analysis, adaptation recommendations that account box below). for equity concerns, and generated greater awareness - of these issues which could be applied to future adap Sea level rise tation efforts. - In 1990, the Pacific Institute, an Oakland-based envi ronmental research institute, conducted an early and Although the ECAP and the Pacific Institute assessment influential analysis of sea level rise for the San Francisco have concluded, the OCAC continues to be a key player in - Bay (Gleick and Maurer, 1990; Cooley, 2015). This ini climate change adaptation in Oakland. The OCAC and its tial study spurred the Pacific Institute to continue its members conduct community education and outreach analyses of sea level rise, as well as conduct a 2009 to address Oakland’s vulnerability to extreme heat, wild - evaluation for the entire State of California (Heberger fires, coastal flooding from sea level rise, air quality, and et al., 2009). As part of this 2009 effort, the Pacific future food, water, and electricity prices. Additionally, the Institute conducted a demographic analysis and found OCAC was involved in Oakland’s successful bids to earn that in the San Francisco Bay area, large numbers of grants from The Kresge Foundation’s Climate Resilience low-income residents and communities of color were and Urban Opportunity Initiative and the Rockefeller vulnerable to the impacts of climate change (Cooley, Foundation’s 100 Resilient Cities initiative. While the city

187 OAKLAND, CALIFORNIA CASE STUDY: 185 1990–present Environmental action by OCAC members Oakland begins 100 Resilient Cities Statewide and Initiative San Francisco Bay Oakland joins The Initial sea level sea level rise City announces Oakland releases Pacific Institute leads Kresge Foundation’s rise analysis of analysis by its intent to the Energy and climate change Climate Resilience and the San Francisco Pacific Institute develop the ECAP Climate Action vulnerability analysis Urban Opportunity Bay by Pacific OCAC forms with coalition partners Plan Initiative Institute 2010– 2008 2014 2012 2009 1990 2011 Exhibit 1. Timeline of actions in Oakland, CA. have strong ties with OCAC. The first opportunity was 2015). Other regional entities have also been involved in sea level rise analyses. These include the San Francisco The Kresge Foundation’s Climate Resilience and Urban Opportunity Initiative, which funded the OCAC to sup Bay Conservation and Development Commission, a State - commission dedicated to protecting the San Francisco port the development of a climate change resiliency plan with the expertise of active community-based organiza - Bay. The Commission also leads Adapting to Rising Tides, tions. In particular, this effort aims to improve the climate a regional collaboration of organizations working on adaptation to sea level rise and flooding. Additionally, change resiliency of low-income residents (The Kresge the San Francisco Estuary Institute actively studies sea Foundation, 2014). The second opportunity was the level rise in the region. Rockefeller Foundation’s 100 Resilient Cities Initiative. The OCAC helped the city apply for and win funding under this initiative, which focuses on climate change Air pollution and other issues to build community resilience. Initial Air quality concerns spawned the West Oakland assessments identified earthquakes, flooding, affordable Environmental indicators Project (WOEIP) to work with - housing, and social inequity as primary resilience chal the Port of Oakland to change freight trucking practices lenges (100 Resilient Cities, 2015). and reduce nearby residents’ exposure to air pollution (WOEIP, 2011; Gordon, 2015). On the whole, climate change efforts in Oakland have emphasized greenhouse gas mitigation or climate change adaptation planning. While adaptation plan - Poverty reduction ning efforts are underway, the OCAC, many member - The Ella Baker Center spearheaded a green jobs pro groups, and the city have begun to implement adap - gram to help create opportunities for Oakland residents tation actions to reduce vulnerability to climate change in poverty (Ella Baker Center, Undated). (see the text box for examples of adaptation actions in Oakland). Most of these actions are led by communi - Climate resiliency ty-based organizations. This case study focuses on how In 2014, two separate opportunities pushed the City the OCAC developed, and how it has endured to move - of Oakland and Oakland’s community-based organi climate change adaptation policy and practice forward zations to develop resiliency plans. Both opportunities in Oakland, CA.

188 OAKLAND, CALIFORNIA CASE STUDY: 186 - including the environment, economy, and urban devel Why and How the OCAC Developed opment. Additionally, because WOEIP had worked with and Informed Climate Change the Ella Baker Center on the green jobs program, they Adaptation in Oakland had already built the necessary trust to work together and engage with the city on the ECAP (Beveridge, 2015). To understand the OCAC’s contributions, it is helpful to Bay Localize was another organization that advocated explore its creation, its work with the Pacific Institute on for the creation of the coalition (Schwind, 2015). Kirsten climate change vulnerability and adaptation, the reasons Schwind, Bay Localize co-founder and senior strategist, the OCAC has been effective, and how it successfully said that her group joined because they were concerned influenced the ECAP. that the ECAP process wouldn’t reflect the breadth and depth of grassroots organizing in Oakland; they had Ella Baker Center Spearheaded Creation of worked with city energy staff on past projects that did OCAC to Influence Oakland’s ECAP not have genuine community engagement. Schwind The Ella Baker Center is an Oakland non-profit orga - said, “The OCAC had the potential to improve the ECAP; nization focused on social justice issues. In 2006, with it had the potential to bridge the climate world and social the help of grant funding, the center launched a green justice work” (Schwind, 2015). jobs campaign to improve employment prospects for Oakland residents and to keep them out of poverty (Ella Pacific Institute and the OCAC Partnered Baker Center, Undated). In 2009, the center learned that to Identify Community Vulnerabilities the city planned to develop a climate change mitigation and Climate Change Adaptation plan, called the ECAP. Ella Baker Center staff felt this Recommendations was a prime opportunity to integrate green jobs goals In 2010, approximately a year after the OCAC had within city plans (Fitzgerald, 2015). Additionally, Ella formed, the Pacific Institute was awarded a grant from - Baker Center staff “reached out to a wide variety of com the California Energy Commission’s California Climate munity organizations focused on green, social justice, Change Center to develop a climate change vulnerability - housing, green business, and related issues—organiza assessment and associated adaptation recommenda - tions either already working on or potentially interested tions for Oakland (Garzón et al,. 2012). This effort was in local energy and climate issues. The Ella Baker Center separate from the city’s efforts to develop the ECAP proposed that interested organizations form a coalition and the OCAC’s work to influence the ECAP, but the two to share ideas and give coordinated input to the city” - efforts coincided for a period of time and indirectly influ (Fitzgerald, 2015). After initial meetings, the various enced each other. The Pacific Institute intended to use - organizations decided to develop a more formal part - a participatory research process that engaged commu nership, the OCAC. nity members in identifying community vulnerabilities and equitable adaptation solutions. The Pacific Institute Groups joined the OCAC for various reasons. WOEIP staff felt that the OCAC, already organized, focused Co-Director Brian Beveridge shared that his group joined on climate change, and representing an engaged set the OCAC because “We join everything” (Beveridge, of community groups, was a natural fit for the Pacific 2015). His colleague, Margaret Gordon added that Institute’s participatory research process. - “Anything about the community, we have to investi gate... Eight years ago [we learned] climate change was Pacific Institute staff approached the OCAC steering coming ... and no one was talking about the justice piece, committee about their study and how it related to the climate justice. That’s when we started to say, ‘Okay, this OCAC’s goals. Many OCAC member groups were inter - is something WOEIP needs to be engaged in.’... It was ested and willing to participate in the study (Garzón et a good thing for us to do” (Gordon, 2015). Beveridge al., 2012). To make it easier for OCAC members to par - and Gordon felt the ECAP development process would ticipate in the Pacific Institute’s process, the Institute intersect with several of their organization’s interests,

189 OAKLAND, CALIFORNIA CASE STUDY: 187 EXAMPLES OF ADAPTATION ACTIONS IN OAKLAND • supply sources. An additional goal of the effort - The OCAC holds ongoing workshops on cli mate impacts such as extreme heat, flooding is to create green jobs in the county ( OCAC, 2012; Beveridge, 2015; Gordon, 2015; Schwind, and wildfire. It also developed pocket guides 2015; Fitzgerald, 2015; Hamilton, 2015). with appropriate actions in those emergencies and preparedness measures for limited water • OCAC members on the Food Justice sub-com - - availability, limited food access, rising elec mittee have been working to develop “edible tricity costs, traffic congestion, and poor air parks” in Oakland. This efforts aim dedicate quality (OCAC, 2014; Schwind, 2015). public land food production so that food pro - In January 2014, the OCAC held a workshop • duction can become more localized (Gordon, 2015; Schwind, 2015). sharing the needs of vulnerable community members with emergency responders and The city has an Adopt-a-Drain program to mit • - educating community members on what to igate flooding. Residents or business owners do in emergency situations (Garzón, 2015; volunteer to clean out storm drains prior to Schwind, 2015). precipitation events to help minimize flooding (Hamilton, 2015). The OCAC help to spread the • Bay Localize is helping to organize a regional - coalition of actors around climate change work on this initiative and encourage individu adaptation (Schwind, 2015). als to volunteer (OCAC, 2015). Bay Localize, with funding from the • The city is evaluating adaptation options at the • Port of Oakland (which includes the airport) to U.S. Department of Housing and Urban Development, is working on a project called mitigate the impacts of sea level rise. This work Map My Future, which identifies resiliency is still in the planning phases (Hamilton, 2015). strongpoints across the city (Schwind, 2015). • WOEIP worked with students at University of The OCAC and other partners are working on a California, Berkeley to map climate impacts in • areas of Oakland that are being considered for community energy choice aggregation project to give residents the option for clean energy new development (Gordon, 2015). arranged six separate sessions around OCAC events. these concerns into its study (Cooley, 2015; Garzón et Additionally, the OCAC invited Catalina Garzón of the al., 2012) using Intergovernmental Panel on Climate Pacific Institute to sit on the Adaptation and Resilience Change greenhouse gas emissions scenarios as a basis. To understand vulnerabilities in Oakland, the research sub-committee, further integrating the coalition’s work on the ECAP and on the Pacific Institute’s study. team developed a vulnerability index consisting of 19 separate vulnerability factors. The specific vulnerability The Pacific Institute had planned to evaluate extreme factors and indictors developed by the Pacific Institute heat, wildfires, coastal flooding from sea level rise, research team are in Exhibit 2. The research team then and particulate matter concentration (an indicator of mapped climate impacts and social vulnerability to identify priority areas for adaptation (Exhibit 3). Data air quality) in their vulnerability assessment. OCAC for these factors came from a variety of sources, but pri members indicated a strong interest in understanding - marily the U.S. Census Bureau’s American Community how climate change would affect future food, water, Survey (Garzón et al., 2012) and electricity prices. The Pacific Institute integrated

190 OAKLAND, CALIFORNIA CASE STUDY: 188 EXHIBIT 2. FACTORS INCLUDED IN THE OAKLAND VULNERABILITY INDEX VULNERABILITY FACTOR AND INDICATOR Pre-term births • Households with air conditioning • – Households with an air conditioning unit – Infants that were born before completing 37 weeks (about 8.5 months) of pregnancy Population over 25 with a diploma • – People over age 25 who have a high school Renter-occupied households • – Percent of households where people are renting diploma Over 65 and living alone • • Born outside the U.S. – People who were born outside the United – Percent of households occupied by someone over age 65 who lives alone States Tree canopy cover Impervious areas • • – Land covered by tree canopy – Land in the area that has an impervious surface (e.g., sidewalk or roof) • Under age 18 – Population under age 18 • Residents living in institutions – Population living in “group quarters,” including • Unemployment institutions like correctional facilities, nursing – Population 16 years and over able to work who homes, mental hospitals, college dormitories, are unemployed military barracks, group homes, missions, and • Have jobs working outdoors shelters – Percent of workers who work in agriculture, • Households with limited English forestry, mining, or construction – Population 5 years old and older who answered that they speak English less than Pregnancy • “very well” – Percentage of women 15 to 50 years old who gave birth in the past 12 months • Households with no vehicle • Food access – Percentage of households with no vehicle available – Access to full-service supermarkets according to Low Access Area measurement tool People of color • Youth fitness – People identifying as any other race or • ethnicity besides white. – Fraction of children that are overweight or percentile obese in tract (i.e., fraction over 85th Households in poverty • for age and gender based on the CDC growth – Households with an income that is below curves) percent of the official federal poverty level 200 Adapted from Garzón et al., 2012.

191 OAKLAND, CALIFORNIA CASE STUDY: 189 Exhibit 3. Sea level rise and social vulnerability map. m Social els Lev Vuln in Rise and 1.0 Projected erabilit y Sea Source: Garzón et al., 2012. and participation (Garzón, 2015; Cooley, 2015). This made In addition to identifying climate impacts and social vul - it more difficult for some groups to participate. Second, nerabilities, the Pacific Institute worked with the OCAC to develop a set of nearly 50 adaptation recommenda - the Pacific Institute’s work ended after the ECAP was - tions for extreme heat, flooding, wildfires, rising utility complete. Therefore, the climate change adaptation rec ommendations in their study did not directly influence the and food costs, and poor air quality. Each of the recom - ECAP (Cooley, 2015). Even though the timing was off, the mendations has an associated social equity concern and Pacific Institute’s work with the OCAC on adaptation did multiple policy solutions (Exhibit 4). influence the ECAP indirectly. The city was aware of the Pacific Institute’s work and the two efforts coincided for a The Pacific Institute faced a number of challenges in carrying out this research. First, The California Energy period of time. Additionally, since the ECAP was intended Commission’s California Climate Change Center policies to be updated periodically, most OCAC participants were were such that grant funds could not be used to compen aware that there would be an opportunity, at a later date, - sate the OCAC or its member groups for the their time to revisit climate change adaptation topics.

192 OAKLAND, CALIFORNIA CASE STUDY: 190 EXHIBIT 4. SAMPLE ADAPTATION RECOMMENDATIONS (GARZÓN ET AL., 2012) Advantage: Cultivates local skills and knowledge, EXTREME HEAT: builds local economy, can save money and generate PLANT TREES/INCREASE GREEN SPACE income Description: Plant trees and other vegetation to Disadvantage: Requires skill and time for ongoing help cool urban environment by providing shade and increasing evapotranspiration labor and maintenance Local or organic food frequently Equity concern: - Advantage: Provides multiple benefits, e.g., aes very expensive; farmers markets often do not accept thetic, stormwater runoff reduction, energy savings on cooling, air quality improvements, carbon food stamps; pesticide use can be hazardous and can cause severe health problems for neighbors with sequestration, etc.; generally has positive costs/ certain respiratory and neurological conditions benefit ratios due to co-benefits Requires ongoing maintenance and, Policy solution: Disadvantage: in some cases, water Partner with the city and local organizations • to refund produce vendors for food stamps in - Equity concern: Focused installation only in wealth - order to double the value of produce pur ier areas of the city; gentrification; displacement of chased in order to encourage and enable the - homeless populations with the rejuvenation or eco purchase of locally produced health foods logical objectives of new green space; gentrification • Subsidize local agriculture to keep down con - related to neighborhood greening efforts sumer costs Policy solution: Conduct community outreach and education • • Prioritize neighborhoods with greatest need to expand access to food stamps and healthy for tree planting programs food distribution programs • Promote planting of native trees and plants to • Expand access to public and privately owned reduce water requirements land for local food production Ensure neighborhoods retain affordable or • - Change permitting requirements and regula • low-income housing options tions that pose barriers to community food • Develop mixed-use, mixed-income area with security strategies such as street food vending high levels of community input, engagement, and selling home-cooked foods and involvement in the planning process - Invest in commercial food kitchens run in part • Train Oakland youth and/or young adults to • nership with local community organizations to plant trees as part of the Oakland summer meet community food needs jobs program • Develop healthy food distribution systems to make available and incentivize the purchase of RISING UTILITY AND FOOD COSTS: healthy foods in local stores DEVELOP AND SUPPORT LOCAL FOOD SYSTEMS • Support food local food systems that do not involve the use of chemical pesticides Description: Grow food locally to reduce impact of disasters by supporting local, diverse, and resilient food systems

193 OAKLAND, CALIFORNIA CASE STUDY: 191 Coalition Structure Proved to be Effective for Attendance at city hearings • Supporting Ongoing Trust and Collaboration • Community workshops to gather community The structure of the OCAC has helped it endure past member feedback its initial efforts to influence the ECAP and support the Pacific Institute’s assessment. This structure ensures that all Workshops to share information or expertise • - groups’ ideas were heard, that it reached consensus recom Rallies • mendations, and that it built a foundation for future work. Information booths at community events • The basic structure of the OCAC consists of four subcom - Sources: Cooley, 2015; Fitzgerald 2015; Garzón mittees on the topics of Adaptation and Resilience, Food 2015; Gordon, 2015; Schwind, 2015. Justice, Transportation and Land Use, and Renewable Energy (Gordon, 2015; OCAC, Undated). Each of the roughly 30 member organizations participates in one or more of the subcommittees that aligns with their OCAC members also commit to attending a certain organization’s primary goals or interests. During the number of meetings and to devoting a certain amount development of the ECAP, these subcommittees met of time to coalition activities (see the text box). During frequently to develop specific recommendations for the the development of the ECAP, the OCAC hosted several plan; all decisions are reached by consensus (Garzón, workshops to gather public recommendations for the - 2015; Schwind, 2015). The OCAC also has a steering com - plan (Garzón, 2015). The coalition also educates com mittee comprised of two representatives of each of the munity members on climate impacts, such as extreme subcommittees (Schwind, 2015). For the ECAP efforts, this heat and flooding. The OCAC holds workshops on these steering committee worked to review the recommenda - topics and also offers pocket guides with appropriate tions from each of the subgroups, identify key priorities, - actions for specific situations. In January 2014, the coa - and address any overlap between subcommittee recom lition held a workshop to share the needs of vulnerable mendations. Finally, the OCAC holds quarterly general community members with emergency responders and membership meetings in which all subcommittees and to educate vulnerable community members on what to member organizations participate (Garzón, 2015). do in emergency situations (Garzón, 2015). The OCAC considers many of these coalition activities to be climate - Early on, the OCAC developed a formal set of proce - change adaptation actions, which help build commu dures to guide what types of entities could join the nity members’ ability to prepare and respond to climate coalition, the responsibilities of member organizations, impacts. Finally, the OCAC encourages its member orga - and how decisions would be made (OCAC, Undated). nizations to attend city hearings on relevant topics, such - For example, member organizations must be non-prof as the public hearings that were held to develop the its, represent faith-based congregations, or represent ECAP (Garzón, 2015).Overall, the structure of the OCAC neighborhood associations (Gordon, 2015). and the participation of member groups have helped the coalition build trust among members and endure through time. EXAMPLES OF OCAC ENGAGEMENT ACTIVITIES - One drawback to OCAC’s approach is that member orga Steering committee • nizations must balance their primary organizational goals Sub-committees: Adaptation and Resilience, • (e.g., social justice, housing) with their involvement with Food Justice, Transportation and Land Use, the OCAC. Because of this challenge, OCAC members Renewable Energy - have changed over the course of the coalition’s exis General member meetings • tence, and individual partners’ engagement has waxed and waned as their organization’s needs fluctuate.

194 OAKLAND, CALIFORNIA CASE STUDY: 192 “Many of these [actions] were crafted specifically by OCAC Efforts Successfully Influenced folks like the OCAC with the idea that the OCAC would the ECAP maintain ownership of them. Even though this is a city The OCAC influenced the final ECAP in two ways. First, policy document, a lot of these things we institutionalize OCAC participation changed the level of community in our greenhouse gas reduction strategy were things engagement associated with the plan. Second, the OCAC led by the community, things that had nothing to do helped guide much of the plan’s content. with the city. I think that is unique. Cities are used to only putting in policies that they are accountable for, Regarding the first point, initial public engagement that they’re going to report on. Essentially they’re telling plans for the ECAP included an expert panel and public themselves what to do and sometimes getting com - hearings at City Hall (Schwind, 2015; Fitzgerald, 2015). munity input about how they should do it. In this case, Garrett Fitzgerald, the city’s sustainability program Oakland went about saying ‘no, this document is, in part, manager, who led the ECAP process, shared that “the about city strategy, but this is more about a formulation city had initially planned to use a pretty standard public of a city goal and we acknowledge that aspects of that input process to gather input for the ECAP, primarily are rightfully led by the community, not by the city, and - involving public meetings at City Hall and an online com we’re not going to exclude these parts simply because ment period. We didn’t allocate capacity to host public we are not in charge of them.’” Being listed in the ECAP workshops or attend meetings of other organizations as an implementing organization was one way in which throughout the city” (Fitzgerald, 2015). However, Kirsten the OCAC and its members groups will continue to be Schwind at Bay Localize, said “The OCAC organized engaged in climate change action moving forward. politically to the point where the city couldn’t ignore it” (Schwind, 2015). Fitzgerald was willing to change The city felt that it used a transparent process to score course and work more closely with the OCAC to garner and identify priority climate change mitigation actions. public input; this included attending OCAC meetings This process was designed to maximize positive out - on his own time (Schwind, 2015). Fitzgerald said, “The comes for the community and produce measurable process was transformative. Initially, we had intended results given limited resources. The city feels this prior - to draft the ECAP, gather some input, and make some itization helped it to make significant strides on climate edits. City staff soon discovered that these community change mitigation quickly, with existing resources. organizations had a lot of good ideas for local action and the capacity to help make the process and resulting plan However, many of the OCAC’s recommendations do not much smarter and stronger” (Fitzgerald, 2015). appear in the final ECAP (Garzón, 2015; Gordon, 2015; Beveridge, 2015). For example, the final document does The content of Oakland’s final ECAP includes many not have a robust adaptation section; but several OCAC contributions from the OCAC. Several of the people members would have liked a more detailed adapta - involved estimate that nearly half of the actions in the tion discussion. The city made a conscious decision to final document came from the OCAC (Fitzgerald, 2015; focus on climate change mitigation. The city felt that Garzón, 2015). Daniel Hamilton, who became Oakland’s climate change adaptation is only necessary because of Sustainability Program Manager in 2014, noted that the greenhouse gas emissions. Therefore, climate change public engagement with the OCAC helped to develop a mitigation must come before adaptation. Ultimately, unique plan. He said that OCAC partners “were directly the members understood that the ECAP was a climate responsible for several of the focus areas, including change mitigation plan, and that adaptation would come urban food systems and community cohesion...Many of later (Garzón, 2015). Garzón stated that “Adaptation was the policies and actions were specific to, and in some seen as outside the scope” (Garzón, 2015). cases written by, members of the OCAC” (Hamilton, 2015). Additionally, Hamilton noted that the ECAP was Additionally, some coalition members felt that the city unique because many of the actions within the ECAP did not go far enough to address some of the OCAC’s were not intended to be led by the city. Hamilton said,

195 OAKLAND, CALIFORNIA CASE STUDY: 193 concerns with the final plan. Brian Beveridge of WOEIP Accomplishments said, “the city took our recommendations and did The creation of the OCAC and its work resulted in three what they wanted. The city wrote the policy based on major accomplishments: their interests within our recommendations. The parts that they didn’t find interesting like adaptation and - Engaging community groups to implement adapta 1. neighborhood resilience got one paragraph and no tion actions and reduce vulnerability to climate change implementation ideas. The parts that would save the city money, they embraced those. They also prioritized The OCAC, member groups, and the city have all them in their own way. They said ‘here are the things begun to implement adaptation actions to reduce that are free and easy, and those we’ll work on first. - vulnerability to extreme heat, wildfires, coastal flood Here are the things that will take some resources, so ing from sea level rise, and poor air quality, as well that’s going to be our five year plan. Here’s the stuff as future food, water, and electricity prices. Many of that’s really innovative, but would cost money; that will - these actions help to build community members’ abil be our 20 year plan.’ It was an opportunity for the OCAC ity to prepare and respond to climate impacts, which to advocate strongly for a very innovate set of initia - coalition members believe will help reduce Oakland’s tives to address greenhouse gas reduction and climate, vulnerability to climate impacts. However, most of the but for some of us it fell pretty far short of a true peer actions are in the early stages, and therefore have relationship in which we were treated as equals with not begun to substantially reduce Oakland’s vulner - city staff” (Beveridge, 2015). ability to climate change. Still, the OCAC serves as a platform to support climate change adaptation in - WOEIP felt that this disregard for some of the priori Oakland. ties identified through the OCAC reflect long-standing tensions and mistrust between Oakland residents and government. Margaret Gordon thought four key items 2. The OCAC endures beyond the ECAP and is an integral that were missing from the final ECAP (1) language part of climate change adaptation efforts in the city about protecting people, (2) identifying social vulner - abilities, (3) a plan for infrastructure, and 4) funding to Even though the ECAP was published and began invest in those three items (Gordon, 2015). Additionally, implementation in 2012, and the initial funding she noted that the plan did not result in a standing through the Ella Baker Center ended, the OCAC structure for engagement on these issues, because of continues to operate and address climate change a lack of funding and staff. Still, she said that the city adaptation in Oakland, with the potential to reduce sustainability staff were more interested and sensitive the community’s vulnerability to climate change. Of to these concerns than staff in other city departments note, the OCAC helped the city apply for the 100 (Gordon, 2015). Resilient Cities initiative which began work in Oakland in 2014 (Gordon, 2015). A representative from the Through the OCAC’s work on the ECAP, the coalition was coalition also sat on the committee to help select able to influence a number of the plan’s priorities, include the city’s new Chief Resiliency Officer, the local proj - itself and member groups within the plan, and raise the ect leader for 100 Resilient Cities (Garzón, 2015). profile of adaptation in the plan. The effectiveness of the Additionally, the OCAC itself earned a grant from The coalition on these fronts has helped it establish itself as a Kresge Foundation’s Climate Resilience and Urban vital actor in the community and will help it continue to Opportunity Initiative. Current funding is for climate influence climate change mitigation and adaption efforts change adaptation planning, but the OCAC has the in Oakland. potential to qualify for implementation funding as a second phase of the project.

196 OAKLAND, CALIFORNIA CASE STUDY: 194 3. Creating a new model for community engagement in At the same time, a number of challenges exist. With Oakland on climate issues regard to the Kresge and Rockefeller Foundation and initiatives, members of the OCAC are struggling to build bridges across the two efforts. These struggles stem The OCAC’s work to influence the Oakland’s ECAP from the different structures of the programs: the Kresge was a novel approach. It involved 30 separate com - Foundation work has a bottom-up structure, while the munity groups and developed a process to reach 100 Resilient Cities work is being directed by the city. The internal consensus and then work with the city to - groups are finding it difficult to align the two processes develop a plan that reflected community consider and make in-roads on potentially parallel efforts. Within ations. This approach represents a model for future each individual effort there are additional challenges. work in Oakland, and possibly in other communi - For example, the Kresge Foundation project funded the ties. Oakland’s multitude of engaged community - OCAC; with so many members in the coalition, the fund groups and its defined structure helped to make this ing does not adequately cover the time and costs for approach effective. members’ participation. This closely mirrors the ongoing struggle for coalition members to balance their staff’s everyday work with OCAC commitments. Moving Forward Some long-standing systemic problems exist between Oakland has momentum to take on climate change adaptation. The OCAC, its member groups, and the city the community and the city. The city needs sufficient - funding to develop plans, fund staff, and invest in adap have already made significant progress. In addition to that ongoing progress, Oakland has other promising tation. City staff struggle to address climate change - adaptation along with their regular responsibilities, par efforts underway. ticularly in departments that are not highly involved in climate change discussions. In addition, the city views The Kresge Foundation’s Climate Resilience and Urban Opportunity Initiative and the Rockefeller Foundation’s climate change mitigation as a higher priority than adap - tation (Hamilton, 2015), a point with which the OCAC - 100 Resilient Cities Initiative offer strong opportuni - disagrees. Finally, a long-standing legacy of coopera ties to plan and implement climate change adaptation tion between the city and community members does actions. The Kresge Foundation’s Climate Resilience and not exist. Community members often feel that the city Urban Opportunity Initiative aims to improve the climate does not have effective feedback mechanisms to hear change resiliency of low-income residents (The Kresge Foundation, 2014). The 100 Resilient Cities Initiative community member input and that the city does not intends to build community resiliency around earth put community member or community group input on - quakes, flooding, affordable housing, and social inequity a level playing field with city priorities. However, new (100 Resilient Cities, 2015). city council members and a new mayor are working to - improve the city’s outreach and engagement with citi Additionally, the city hired a new Sustainability Program zens. Additionally, the city’s collaboration with the OCAC and new initiatives such as the Oakland Sustainable Manager to help guide the implementation and update of the ECAP. This position had been vacant for roughly Neighborhood Initiative are laying the ground work for two years, impeding the progress of implementing and further positive collaboration. updating the ECAP in the city. Although the initial ECAP In summary, the OCAC has been a largely successful identifies adaptation as a future action, updating the and innovative means of engaging community-based plan presents an opportunity to reprioritize adaptation actions. City staff feel both climate change mitigation organizations to launch their own climate change adap - tation planning and implantation efforts, in addition to - and adaptation are essential components of a compre bringing input into City of Oakland efforts to address hensive climate change strategy (Hamilton, 2015).

197 OAKLAND, CALIFORNIA CASE STUDY: 195 climate change. The OCAC may serve as a model for Ella Baker Center. Undated. Green-Collar Jobs Campaign Basics. Ella Baker Center for Human Rights, other communities and community-based organizations Oakland, CA. Available: http://ellabakercenter.org/ that seek to improve grass-roots involvement in city-led green-collar-jobs/green -collar-jobs-campaign-basics. climate change initiatives. Accessed July 28. 2015. Fitzgerald, G. 2015. Interview with Garrett Fitzgerald, Urban Sustainability Directors Network. June 10. Acknowledgments - We would like to thank the following people for partici Garzón, C. 2015. Interview with Catalina Garzón, pating in interviews as part of this case study: Community Research and Education in Action for True Empowerment. June 25. co-director, WOEIP • Brian Beveridge, Water Program director, Garzón, C., H. Cooley, M. Heberger, E. Moore, L. Allen, Heather Cooley, • E. Matalon, A. Doty, and the Oakland Climate Action Pacific Institute Coalition. 2012. Community-Based Climate Adaptation • Garrett Fitzgerald, strategic partnerships advisor, Planning: Case Study of Oakland, California. Pacific Urban Sustainability Directors Network Institute. California Energy Commission Publication number: CEC-500-2012-038. Available: http://pacinst. independent practitioner, • Catalina Garzón, - org/wp-content/uploads/sites/21/2014/04/communi Community Research and Education in Action for . Accessed ty-based-climate-planning-Oakland.pdf True Empowerment July 24, 2015. Margaret Gordon, • co-director, WOEIP Gleick, P.H. and E.P. Maurer. 1990. Assessing the Costs sustainability program manager, Daniel Hamilton, • of Adapting to Sea-Level Rise: A Case Study of San City of Oakland Francisco Bay. Pacific Institute, Oakland, California. • Kirsten Schwind, co-founder and senior strategist, Gordon, M. 2015. Interview with Margaret Gordon, Bay Localize. West Oakland Environmental Indicators Project. July 23. Hamilton, D. 2015. Interview with Daniel Hamilton, City of Oakland. July 23. Bibliography Heberger, M., H. Cooley, P. Herrera, P.H. Gleick, and E. 100 Resilient Cities. 2015. Oakland’s Resilience Moore. 2009. The Impacts of Sea-Level Rise on the Challenge. Available: http://www.100resilientcities. California Coast. California Energy Commission. May. org/cities/entry/oaklands -resilience-challenge#/-_/. CEC-500-2009-024-F. Available: http://pacinst.org/ Accessed July 28. 2015. wp-content/uploads/sites/21/2014/04/sea-level-rise. . Accessed July 28, 2015. pdf Beveridge, B. 2015. Interview with Brian Beveridge, West Oakland Environmental Indicators Project. July 23. OCAC. 2012. How can Oakland Improve Energy Efficiency? Oakland Climate Action Coalition. City of Oakland. 2012. Energy and Climate Action Plan. http://www2.oaklandnet.com/ December 4. Available: OCAC. 2014. Oakland Community Action Coalition oakca1/groups/pwa/documents/report/oak039056. Guide. Oakland Climate Action Coalition. pdf . Accessed July 24, 2015. OCAC. 2015. How will Illegal Dumping Impact Oakland? Cooley, H. 2015. Interview with Heather Cooley, Pacific Oakland Climate Action Coalition. Institute. July 16.

198 OAKLAND, CALIFORNIA CASE STUDY: 196 OCAC. Undated. Oakland Climate Action Coalition. /. Accessed Available: http://oaklandclimateaction.org July 29 2015. Schwind, K. 2015. Interview with Kirsten Schwind, Bay Localize. July 20. The Kresge Foundation. 2014. $1.7M in Grants Support Climate-Resilience Efforts Focused on Low-Income Communities. November 20. Available: http://kresge.org/news/17m -grants-support-cli - mate-resilience-efforts-focused-low-income-communi - sthash.7xlcOg5M.dpuf . Accessed July 28. 2015. ties# WOEIP. 2011. Air Quality. West Oakland Environmental Indicators Project. Available: http://www.woeip.org/ air -quality/. Accessed July 28. 2015.

199 SEATTLE, WASHINGTON CASE STUDY: 197 Seattle, Washington Mainstreaming Climate Change into Internal Planning and Decision-Making SEATTLE, WASHINGTON Missy Stults, Karen Carney, and Jason Vogel AUTHORS: In this case study, you will learn about: • How SPU is integrating climate change into operational, planning, capital improvement, and strategic decision-making • Strategies for engaging with academic institutions to build capacity and knowledge Developing learning, adaptive information networks to ensure decisions are based on the • most up-to-date information Leveraging previous extreme events to prepare for future changes in weather and climate • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

200 SEATTLE, WASHINGTON CASE STUDY: 198 changes in the future, as the impacts of climate change Case Study Summary become more evident” (Fleming, 2015). Regardless of Seattle Public Utilities (SPU) serves “652,000 Seattle how changes in projects manifest, more work is needed residential and 64,000 business customers with drink - to understand whether and how SPU’s approach will ing water, sewer, drainage, garbage, and recycling... help make its operations and the populations it serves and suppl[ies] over 700,000 customers in other Puget less vulnerable to extreme weather and climate change Sound area cities with drinking water” (SPU, 2014, p. 6). over the long-term. The utility “has two mountain watersheds, 193 miles of - drinking water transmission pipelines, 1,680 miles of dis tribution mains, and 400 million gallons of transmissions The Broader Context for and distribution reservoir storage...[along with] 448 miles of regular sanitary sewers and a combined sewer Mainstreaming Climate Change system [mostly in the City of Seattle]...and two garbage throughout SPU’s Internal Planning and recycling transfer stations” that process 6,100 tons and Decision-Making of garbage weekly (SPU, 2014, p. 6). As the region’s main - Water management in the Pacific Northwest is a com provider of drinking water, drainage, and waste disposal, plex issue and, with a changing climate, “water resource SPU is vulnerable to fluctuations in weather. managers and planners will encounter new risks, vul - nerabilities, and opportunities that may not be properly Throughout the 1990s and the 2000s, a series of extreme managed within existing practices” (Mellilo et al., 2014). rainfall events and droughts affected SPU’s operations, Fortunately, a number of utilities are investing in meth - - including the utility’s water supply and drainage oper odologies to plan for a climate-altered future. One such ations. These events, combined with growing scientific utility, SPU, has become a national leader in ensuring - evidence about climate change, led SPU to begin study that it is able to meet current and future water-related ing how climate change could affect the organization’s demands of its customers. mission and daily operations. Over time, this work evolved into the formal integration of climate consider - Late in the 20th century, SPU began to realize that its ations into the four levels of SPU’s internal planning and - methods for managing water supply were being chal operations: (1) organization-wide strategic planning, (2) lenged by extreme climate variability. This was most planning at the water division and drainage and sewer- evident between the mid-1980s and mid-1990s when division levels, (3) capital investment decision-making, SPU experienced a major drought (in 1987), heavy pre - and (4) day-to-day operational decision-making. cipitation and flooding throughout the watershed (in 1990, 1995, and 1996), and low snowpack (in 1992), all Today, SPU has developed a system where dozens of resulting in either too much water or too little. In light ordinary, day-to-day decision-making processes are of these extremes, SPU embarked on an effort to more required to consider climate change and/or climate vari - fully understand climate variability within the watershed ability. Interviewees note that SPU’s work has helped to and plan for potential changes (Exhibit 1). - reduce vulnerability by integrating climate into orga nization and division-level planning, and by increasing Today, SPU undertakes a variety of activities to reduce the capacity of staff to understand and respond to cli - its vulnerability to changes in climate, some of which mate variability and change. Despite SPU’s extensive preceded the emergence of climate change as an issue work to modify internal planning, few projects have - of concern or which have non-climate factors as the pri been modified based on projected changes in climate. mary driver. The utility invested in green infrastructure to Paul Fleming, the lead of the Climate Resiliency Group manage water quality, and is now exploring it as a way at SPU, points out that “some projects may not need to manage flooding by expanding the capacity of the to be modified as changes in climate may not impact piped storm water system. SPU has an extensive water them or alternatively, plans could be made to make

201 SEATTLE, WASHINGTON CASE STUDY: 199 Mid 2000s Late 2000s to present Second, Climate change integrated into Seattle Public Utilities’ maintenance and operations regional climate study Serious flooding Third climate that was the study impetus to initiated consider climate change in Climate Seattle Public drainage and projections Utilities’ 1st wastewater planning integrated 6-year strategic business plan into water Climate supply plans including climate Low Major Major Consideration Major Climate First projections change issues precipitation drought of El Niño in precipitation climate snowpack Resiliency integrated into year study events and event Group water supply water supply Climate change urban planning formed at plans ocially Seattle flooding integrated into Public Climate program Stage Gates Utilities established 2006– & 1995 1990 2011 2014 2002 1997 2013 1987 1992 2007 1996 Exhibit 1. Timeline of mainstreaming climate change into internal planning and decision-making at SPU. - conservation and reuse program, works with homeown Why and How SPU Mainstreamed ers and private developers to manage stormwater where Climate Change into Internal it falls, executes an extensive water education program, Planning and Decision-Making and works to maintain and improve land quality through - out its watershed. SPU is also a founding member of the Increasing Intensity and Frequency of Water Utility Climate Alliance, a consortium of some of Extreme Events Raises Staff Awareness the nation’s largest water utilities focused on “providing about Climate Variability leadership and collaboration on climate change issues affecting the country’s water agencies” (Water Utilities In the later portion of the 20th century, a series of Climate Alliance, 2015). extreme weather events began raising concern regarding the long-term sustainability of the city’s water supply. A More recently, SPU has undertaken a series of initia - major drought, potentially the worst on record according tives to ensure that climate change is factored into all to Joan Kersnar, drinking water planning manager for levels of utility planning and decision-making. This work SPU, struck the region in 1987. This led the Seattle Water includes innovative modeling, the creation of climate-re - Department (which merged with the Seattle Engineering lated screening tools, and one-on-one engagement with Department in 1997 to form SPU) to “start improving SPU employees about climate-related issues. This case some of our sources; we also installed a pump plant to profiles some of this work at SPU, highlighting strategies access more storage and drilled more wells” (Kersnar, and techniques being used by the utility to ensure that 2015). Exacerbating the impacts of the drought, how - climate change is factored into all levels of organizational ever, was the high water demand in the Seattle service operations and decision-making. area—“around 170+ million gallons per day, which is more

202 SEATTLE, WASHINGTON CASE STUDY: 200 than what we estimate our firm yield [the maximum yield availability during previous El Niño-like years. These that could be delivered without failure during the second results showed that, in general, El Niño years, especially worst historical drought of record] to be” (Kersnar, 2015). - strong El Niño years, are likely to cause warmer tem peratures in the winter, leading to more precipitation This drought was followed by a major precipitation event falling in the mountain watersheds as rain as opposed to snow (Chinn, 2015). Having this information “put staff in in November 1990, which led to significant flooding down a position where we could understand and communicate the watershed (Kersnar, 2015). This, in turn, led SPU to to our city council and other stakeholders just what it [El explore additional options for managing water storage Niño] could mean in terms of a risk to our water supply” to prevent future extreme flooding scenarios. In 1992, the region experienced a low snowpack year, but because - (Chinn, 2015). This information also enabled staff to pre pare a proactive plan with various steps outlining what the utility was “operating for flood management, mean - could be done during the transition from fall to winter ing we were releasing water in order to keep reservoir if snowpack was expected to be low, to ensure the ade - levels low enough to capture any extreme rainfall that could fall in the region, we were in a situation where we quate supply of water during the following year (Kersnar, had less supply than planned” (Kersnar, 2015). When the 2015). The information gleaned from UW, combined with knowledge obtained through SPU’s analysis of historical snowfall turned out to be low and significant rains did - not materialize, the utility was forced to mandate water- El Niño years, laid the foundation for a deeper under standing of how climate variability has historically use curtailments the following summer (Kersnar, 2015). affected and could continue to affect the city’s water In both 1995 and 1996, the region was again affected by two heavy precipitation events, leading to significant supply and flood management objectives in the future. flooding in major rivers and communities downstream. Partnerships Form to Understand Climate Impacts Specific to SPU SPU’s first climate change study was driven by staff’s “After a few major extreme appreciation that climate change was an issue that SPU weather events, we started to needed to understand. This preceded public concern or look down the road and ask engagement on the issue and illustrates the foresight of how often these events were SPU staff. SPU continued to engage with researchers at going to happen in the future UW to generate specific information about how climate change could impact water resources in the Seattle area. and what this could mean for In addition, SPU began engaging with two other water our water supply.” utilities in the region, Everett and Tacoma, as well as JAMES RUFO-HILL stakeholders in King County, to determine the future of water supply throughout the entire area (Kersnar, 2015). In the mid-2000s, downscaled climatological data were generated for water utilities in Tacoma, Seattle, In 1997, the conversation about the viability of the city’s and Everett. The utilities ran this information through water supply became more sophisticated due in part to their own models in order to generate the 2009 Outlook, projections of a strong El Niño for the 1997–1998 time which provided a long-range view of what future water - period. Staff in the water supply division of SPU were curi demand may be in the three-county region. “The down - ous to know what El Niño conditions meant for Seattle’s scaled meteorological data was also integrated into each water supply and began working with researchers at utility’s supply-side modeling to determine what water the University of Washington (UW) to identify potential supply in the future could look like. This allowed us to impacts and strategies to mitigate them (Chinn, 2015). identify what shortages might exist, especially under a One technique used to understand potential impacts was future altered by climate change” (Kersnar, 2015). an analysis of the city’s records to identify water supply

203 SEATTLE, WASHINGTON CASE STUDY: 201 SPU Creates Climate Resiliency Group to Integrate Climate Change into Internal “How do you think about Planning and Decision-Making climate change from a broad Through this work, it became apparent that climate perspective? Part of my job is change was likely to impact SPU’s operations in modest to try to make climate change - ways over the short-term and potentially in more sig part and parcel of what we do nificant ways in the future (Hoffman, 2015). To build - the capacity of the utility to respond, SPU manage as an organization.” ment created an internal Climate Resiliency Group. This PAUL FLEMING group was formalized in the late-2000s and tasked with helping SPU understand its exposure and sensitivity to climate change and to build up SPU’s capacity to adapt (achieving carbon neutrality was added in 2014; Fleming, Climate Science and Impact Reports 2015). Two full-time staff currently make up the Climate Illuminate Potential Risks Resiliency Group: Paul Fleming and James Rufo-Hill. - According to Joan Kersnar, drinking water planning man ager and Alan Chinn, water resources engineer supervisor According to Paul Fleming, one of the main foci for the - at SPU, it did not take long for these informal conver Climate Resiliency Group is figuring out how to embed sations on climate variability to grow into more formal - climate change into all relevant decision-making pro discussions about long-term climate change (Chinn, 2015; cesses and planning efforts (Fleming, 2015). This has Kersnar, 2015). Part of the reason for this transition was the led to a goal of “mainstreaming climate change into - emergence of an increasing body of literature about cli what we do at SPU” (Rufo-Hill, 2015). Initially, this work mate change, including reports like the Intergovernmental focused on planning within the water division, since Panel on Climate Change’s Assessments and the first this division had a long track record of thinking about Pacific Northwest Assessment on Climate Change, which how climate variability and change could affect the identified projected changes in climate and high-level city’s water supply. Eventually, the Climate Resiliency impacts that could affect the region. Group took the lead in working with other staff to figure out how to integrate climate considerations into: The findings from these assessments were shared in local (1) organization-wide strategic planning, (2) planning at and regional media and led to more public awareness about climate change’s potential impacts on water supply. This led some local politicians to raise “alarms with regards to our water supply system” (Rufo-Hill, 2015). According to Paul Fleming, Lead of the Climate Resiliency Group at SPU, “climate change became this point of pain for us... the con - cept had stirred up enough attention that it was creating turbulence for the organization” (Fleming, 2015). Notably, this “point of pain” came after SPU had initiated and largely completed their first local climate change study. Exhibit 2. Model of mainstreaming climate change into all scales of decision-making at SPU.

204 SEATTLE, WASHINGTON CASE STUDY: 202 the water division and drainage and sewer division levels, utility to focus on in the coming years. In addition, the utility held a series of internal meetings and conducted (3) capital investment decision-making, and (4) day- a survey that asked SPU employees to identify strengths, to-day operational decision-making. According to Paul Fleming, SPU is trying to “embed what we are learning weaknesses, opportunities, and threats (SWOT) for SPU about climate change in what we do, wherever it makes over the coming decade. The point of this SWOT analysis, sense” (Exhibit 2; Fleming, 2015). according to Ray Hoffman, was to “identify our defi - ciencies, gaps, and opportunities for growth. We know we aren’t as efficient as we’d like to be, we aren’t doing Climate Change Integrated into SPU all the best practices in the field and there are strategic Strategic Business Plan opportunities to do better” (Hoffman, 2015). SPU is a complex organization with responsibility for water supply, drainage, wastewater management, and During the 18-month process of creating the plan, “climate solid waste services for the Seattle metropolitan area. - change came up multiple times through multiple differ In 2014, SPU created its first six-year strategic business ent ideas and priorities” (Hoffman, 2015), and thus it was plan, which is used to allocate funding and describes how explicitly integrated in the plan’s first focal area: “Better the organization will ensure the delivery of high-quality protecting your health and our environment.” Specifically, services, while also protecting human health and the the SPU Business Plan calls for SPU to “prepare for water environment. The impetus to create the plan stemmed supply and utility system threats that may occur from from Seattle City Council members, who were impressed climate change” by “increas[ing] reliability of drinking by Seattle City Light’s strategic planning efforts and water supply through system improvements” (SPU, 2014, wanted SPU to emulate the practice. p. 13). The plan also aims to ensure that “utility systems... are climate resilient and environmentally friendly.” Toward that end, the plan specifies that SPU will manage “700 million gallons of runoff annually with green stormwater infrastructure by 2025” (SPU, 2014, p. 23). The fact that funding is directly tied to the priorities iden - tified in SPU’s Strategic Business Plan means that the inclusion of issues such as climate change will continue to affect how SPU does business. “[The plan] has real weight, it’s a living document because our rates are tied to it and we are being held accountable to it” (Fleming, 2015). Ray Hoffman, Director at SPU, notes that the strategies identi - fied in the plan “are things we, as a utility, with input from our customers, identified as being a priority and those are the things we are now accountable to moving forward, including preparing for climate change” (Hoffman, 2015). Opposition to the Strategic Business Plan and, more To complete the plan, SPU engaged a Mayoral and Seattle City Council-appointed customer panel composed of specifically, the strategies included in the plan, did nine individuals from industry, retail, and environmental exist. According to Ray Hoffman, two types of oppo - - organizations; small and large commercial organiza nents emerged: those who thought SPU was doing too little and those who thought SPU was doing too much tions; and low-income communities. The panel met for (Hoffman, 2015). For the former, SPU used monetary 3 hours twice monthly over 18 months, and were tasked with conducting outreach to other customer segments justifications to make the case for why certain actions were included and others, while important, could not be to identify what SPU customers generally wanted the

205 SEATTLE, WASHINGTON CASE STUDY: 203 prioritized at this time. “We let our stakeholders know 20 years (Kersnar, 2015). The intent of these plans is to devise a strategy for how best to meet future water that this is how much money we have to spend: period. supply needs. While the inclusion of climate projections This has to cover both existing operations and infrastruc - ture improvements as well as anything new” (Hoffman, in these plans is not required, SPU integrated projections 2015). For opponents who thought SPU was doing too to understand future water supply in both its 2007 and 2013 plans (Kersnar, 2015). This move largely stemmed much, the conversation centered on the importance of from the growing quantity of climate-related information ensuring the long-term viability of its services, especially emerging from UW and other research hubs as well as water delivery, in the face of an uncertain future. The Strategic Business Plan was officially approved by the growing public concern about climate change impacts to mayor and the Seattle City Council in the summer of the city’s water supply (see previous sections). 2014, and SPU is currently working to implement the specific climate-related actions identified in the plan. One way that climate change is embedded into SPU’s - water supply plan is through the use of climate ensem bles. Rather than depend on a single climate model or Climate Change Integrated into greenhouse gas emissions scenario, ensembles integrate Division-Level Planning information across a range of models and scenarios, SPU is composed of three lines of business: (1) water, (2) which better brackets the range of potential climate drainage and wastewater, and (3) solid waste services. impacts. More specifically, the water division has been Each of these divisions is responsible for both day-to- using climate ensembles to analyze potential future day operations as well as creating long-term plans of climatic conditions and model how those climate con - operation. Water Supply and Drainage and Wastewater ditions could impact the utility’s water supply. The 2007 are the two lines of business most directly tied to SPU’s - and 2013 water system plans each used three to four sce adaptation efforts. The following sections describe how narios that were developed through a partnership with each of these divisions is working to integrate climate UW (Hoffman, 2015). Today, the Climate Resiliency Group change into their long-term planning. worked with the water division and climate scientists at the Climate Impacts Research Consortium [a climate research center for the Pacific Northwest supported by the National Oceanic and Atmospheric Administration “As appropriate, decisions, (NOAA)] to create a broader set of 40 scenarios that plans, and investments are have been downscaled to several point locations in hopefully considered in light SPU’s watersheds. The results from the downscaled models have been and are being fed into SPU’s inter of exposure and sensitivity to - nal models (e.g., its hydrology model and utility system climate change, and adjusted, model), so that the utility can assess how supply could as appropriate, given that be affected under the different scenarios. According to consideration.” Paul Fleming, “this enables us to test our system under PAUL FLEMING different plausible futures” (Fleming, 2015). This work is happening under the auspices of a project known as 9 the Pilot Utility Modeling Application (PUMA) project. PUMA focuses on getting the “next generation of climate Climate Change Integrated into Water data which can then be fed into our internal processes Supply Plan to update our understanding of climate-related impacts The State of Washington requires water utilities to create on supply” (Fleming, 2015). The results from PUMA will water supply plans every 6 years and mandates that be integrated into the next update to SPU’s water supply these plans outline key priorities and actions for the next plan and used to update SPU’s adaptation options. http://www.watersupplyforum.org/home/outlook/ . More information about the PUMA project can be found at 9.

206 SEATTLE, WASHINGTON CASE STUDY: 204 Two key stakeholders involved in the historical and cur 2015). Part of the challenge for SPU is that it is not clear - how the region’s precipitation will change. Overall, rent integration of climate change into water supply planning are Joan Kersnar and Alan Chinn (Fleming, 2015; annual precipitation is likely to remain the same, but how and when the rain falls is less certain (Fleming, 2015). Rufo-Hill, 2015). According to Paul Fleming, these two - The region may experience more intense, shorter-dura individuals have long been driving an organization-wide transition to become a learning, adaptive utility that is tion storms or storms of longer duration may be more capable of integrating the best emerging science into common (Melillo et al., 2014). Dave Jacobs notes, “One of the things we try to do is look at both options [intense planning and decision-making (Fleming, 2015). While no specific individuals were identified as opponents to the short-duration events and long-duration storms] to see how our system would respond. We add a 6 integration of climate change into water supply planning, percent increase to our historical rainfall records when we do our Joan Kersnar and Alan Chinn commented that it is a - long-term model simulations of our system. The rainfall constant battle to get people comfortable with the inher scaling allows us to see how this increase could impact ent uncertainty associated with climate modeling and the system in both high-volume scenarios as well as peak not using that uncertainty as a justification for inaction intensity scenarios” (Jacobs, 2015). (Chinn, 2015; Kersnar, 2015). As discussed in the Moving Forward section later in this document, dealing with uncertainty remains a common challenge across SPU. “The projects identified in Climate Change Integrated into Drainage the Long-Term Control Plan and Sewer Division’s Long-Term Control Plan that we are preparing to The integration of climate change into drainage and implement have actually wastewater planning is more nascent than it is for water changed because of our supply planning. According to Dave Jacobs, System increased knowledge of Operations Planning & Analysis Manager at SPU, “We only recently really got involved in the climate change projected climate impacts.” conversation in order to understand the impact of cli - DAVE JACOBS mate change on urban flooding. This really stemmed from some serious flooding events we had in 2006 and 2007. Prior to that, we didn’t fully understand the extent of the urban flooding issues” (Jacobs, 2015). Dave Jacobs The results from the climate change modeling have noted that several factors contributed to this transition: been incorporated into the Long-Term Control Plan and (1) increased data availability regarding current and his - - show two key areas of concern for SPU: (1) that high-vol torical operations, (2) more frequent extreme weather ume, longer duration storms tend to be at the end of events, and (3) increased awareness concerns from res - the wastewater conveyance line and thus more green idents about localized flooding (Jacobs, 2015). infrastructure may be needed to cope with water-quality issues in these areas; and (2) short-duration storms tend to hit neighborhoods in the urban core where there are Today, the drainage and wastewater line of business is - smaller pipes for conveyance, suggesting that onsite nat working to integrate climate concerns into their updated ural drainage may need to be increased. These findings Long-Term Control Plan, which examines how best to have directly affected the types of strategies that SPU - maintain and upgrade SPU’s infrastructure and oper is recommending for implementation in its Long-Term ations, specifically as it pertains to combined sewer Control Plan (Jacobs, 2015). overflows. Climate change is being integrated into the - plan through a number of venues, most notably the deci Dave Jacobs notes that SPU’s efforts to embed climate sion to apply “a scaling factor on our historical rainfall change into Capital Improvement Projects have been a estimates to account for future climate change” (Jacobs,

207 SEATTLE, WASHINGTON CASE STUDY: 205 long time in the works and it still remains unclear how consultants and with input from other utilities. All proj - ects seeking funding through the Capital Improvements this work will materialize into changes in on-the-ground Program are required to answer the questions pertain - projects. Clear opposition to this work has not emerged, but internal hurdles and the legacy of doing things a “cer ing to climate change. According to Kim Serwold in the - tain way” present challenges to SPU’s work in this area Office of Utility Services at SPU, what this means is that (Jacobs, 2015). In particular, the uncertainty associated “Whenever a project is being proposed to address an with climate change presents a challenge to figuring out issue of concern, project managers need to identify how climate change could affect the project: this is the how to design systems. This uncertainty, combined with first gate. Once a project concept clears the first gate, “pressure to get projects through, can lead to a common the second gate requires the evaluation of alternative situation where teams want singular direction on what they are required to account for in planning and design - options that could meet an identified need. Here, proj ect managers are also required to identify how changes phases of projects” (Jacobs, 2015). To help staff overcome this hurdle, Dave Jacobs and his colleagues in the Climate in future climate could affect the identified options” (Serwold, 2015). Resiliency Group are helping staff in the drainage and wastewater divisions (as well as staff in the water divi - Once project managers complete the requisite Stage sion) navigate future uncertainty by identifying projects that are economically viable over their full lifespan. The Gate form, the responses are reviewed by a series of staff, including senior-level management, to ensure that techniques used to engage with and educate staff are projects are appropriately integrating climate consider - informal: face-to-face conversations and personal or small ations into their project designs. If a project were to be group trainings (Fleming, 2015). proposed and fail to integrate climate considerations that were of relevance, the project proposer would be Climate Change Integrated into Capital asked to reevaluate the project proposal, factoring in Improvement Programs and Investments climate change (Hoffman, 2015). If needed, staff in SPU spends nearly a billion dollars a year on operations the Climate Resiliency Group are available to help the and maintenance and in investments to improve its project proposer complete the Stage Gates questions system. The majority of these investments are designed (Rufo-Hill, 2015). to provide a certain level of service for decades into the future. Given the long lifespan and large expense One project currently going through the Stage Gates of infrastructure projects, the Climate Resiliency Group process is a new pump station in the South Park proposed to SPU management that the capital funding neighborhood, a traditionally underserved, historically - process be changed to mandate that all project pro industrial, low-income area of the city adjacent to the posers seeking funding demonstrate that they have - Duwamish River and in proximity to Elliot Bay. The proj considered how climate change could affect their pro - ect was originally designed a few years ago, but recent posed projects over their lifetimes (Fleming, 2015). This analysis shows that the area around the pump station - has been done through SPU’s capital improvement pro is subject to flooding. The reason for this is that the gram review process: Stage Gates. streets around this particular pump station do not have pipes, meaning that when significant rain falls or a King Stage Gates is a five-step system that projects seek - Tide (an extremely high tide) event occurs, the streets ing funding must undergo in order to ensure they are flood, leaving standing water for hours. Without pipes, designed appropriately and in alignment with SPU’s this floodwater cannot be transported to the pump core values, such as race and social justice and efficiency station or other facilities for treatment and discharge. (Serwold, 2015). In 2014, SPU officially integrated climate Looking at the system as a whole, the project proposers change considerations into the first two gates, or review realized that to address the localized flooding issue and phases, of the process. Staff in the Climate Resiliency safely remove water, pipes would need to be installed Group designed the questions with the assistance of and the pump station and treatment facility would need

208 SEATTLE, WASHINGTON CASE STUDY: 206 to be built (Harrison, 2015). Today the plan is to build robust decision-making so that project proposers are the pump station two-feet higher to deal with sea level comfortable making educated decisions about which rise and include shutoff valves in case sea levels rise fur - climate scenarios to use in their designs. Paul Fleming comments that, “much work in this area still needs to ther. Then, a separate project will be submitted for the active conveyance and treatment of floodwater when - be done to ensure that staff across SPU are comfort it impacts the region. able with making decisions in the face of uncertainty” (Fleming, 2015). Climate Change Integrated into “The main change has been SPU’s Operations that we’re more rigorous in SPU is responsible for the operations and maintenance thinking about climate change of 193 miles of drinking water transmission pipelines, and really integrating it into 1,680 miles of distribution mains, 400 million gallons of projects like our conveyance transmission and distribution reservoir storage, and 448 miles of regular sanitary sewers and combined sewer system. The inclusion of systems (SPU, 2014). All day, every day, SPU must ensure climate considerations into that these systems are operating as designed in order Stages Gates is focusing a to ensure that Seattle residents, as well as residents of deeper conversation around the greater Puget Sound area, are receiving water and preparing for things like sea sewer services (Hoffman, 2015). level rise.” At the operations and maintenance level, weather and SHEILA HARRISON climate variability are major issues of concern. As such, the Climate Resiliency Group is tasked with translating climate and weather information into formats that can Opposition to integrating climate change into the Stage be integrated into day-to-day and week-by-week deci - Gates process emerged around two issues: (1) the addi - sion-making (Fleming, 2015). One way this happens is tional demand being placed on project managers, and by “constantly scanning the forecasts to identify prob - (2) uncertainty about exactly what data and climate lems that might arise due to things such as flooding, projections to use to complete the Stage Gates forms. both in urban areas and in the watersheds, or looking In regards to the first point, staff already felt that the for high tides that could be problematic for our tidally Stage Gates review process was cumbersome so adding influenced assets” (Rufo-Hill, 2015). In addition to this a new requirement around climate change presented forward-looking component, the Climate Resiliency yet another hurdle to getting a project rapidly approved Group is also responsible for a forensic investigation of (Harrison, 2015). The second point of opposition focused historical storms and impacts to help SPU understand - on the lack of clarity around which climate change pro what happened, why infrastructure failed, why a flood jections or future scenarios for precipitation and sea occurred, or more generally, what went wrong. This level rise to use in planning. According to Dave Jacobs, information is then fed back to operations staff so that staff going through the Stage Gates process would often lessons learned about thresholds and system sensitivity comment that, “If science doesn’t know what’s going to can be addressed immediately. In addition, this informa - happen in the future, how do we know what we should tion is shared with staff working on long-term planning be designing for?” (Jacobs, 2015). To date there is no to ensure that systems which are already vulnerable are plan to provide specific climate change projections for getting the attention they need and that solutions for project managers to use. Instead, staff in the Climate systems likely to be vulnerable in the future are being Resiliency Group are trying to educate staff about identified in division-level planning.

209 SEATTLE, WASHINGTON CASE STUDY: 207 Accomplishments of SPU’s Efforts to Mainstream Climate Change “We try to keep people on into Internal Planning and track with what is happening today and get them to think Decision-Making about how they are going to SPU is hoping that its efforts at integrating climate respond in the future.” into multiple levels of planning and decision-making will make the utility’s infrastructure, service delivery, JAMES RUFO-HILL and programs less vulnerable to climate variability and - change. However, other than the work of the water divi sion, SPU’s efforts in this area are still nascent. As such, Integrating climate change concerns into SPU’s daily there are few projects that SPU can point to that have operations and maintenance is perhaps “the largest fundamentally changed because of the requirement to challenge we face in our efforts to mainstream climate consider climate in its design or operations. change,” notes James Rufo-Hill (Rufo-Hill, 2015). At the same time, SPU has focused on operational adjustments When asked if work to date has helped to reduce the as the starting point when thinking about adaptation, vulnerability of SPU to climate change, James Rufo-Hill with SPU’s dynamic operational rule curve for its reser - stated, “We are making progress in building the capacity voirs as one example of how changing operations can of staff to respond to climate variability and change and serve as an adaptation strategy. The reason for this is I think that is a sign of vulnerability reduction” (Rufo- that the timeframe for operations and maintenance is Hill, 2015). Paul Fleming comments, “I think our work on not “synced up with the time frame of climate change. assessment and adaptive capacity enhancement is really Operations is the here and now, climate change is the essential. My hope is that when we have to make tough future” (Fleming, 2015). To bridge this divide, James adaptation decisions, we’ve put in place the knowledge Rufo-Hill and Paul Fleming use weather and climate to help make sure those decisions are right” (Fleming, variability, particularly the extremes in both situations, 2015). Ray Hoffman further commented that you “can to demonstrate what future operations for SPU might see [SPU’s] progress by looking at how successful look like in a climate-altered world. As an example, we’ve been in integrating climate considerations into James Rufo-Hill notes that “there was a period of time our organization-level and division-level planning. These where there wasn’t a water resources meeting where I efforts, if not yet, will very soon translate to projects on wasn’t talking about the ‘blob’—an anomalous region the ground that reduce SPU’s vulnerability to climate of warm water in the Pacific that was fueling storms change” (Hoffman, 2015). and keeping us warm...I talked about it both because it could impact our daily operational decisions but it also presented a way for me to couch climate change into our conversations...this blob could be a normal “When I look at where we are part of our future, meaning the way you are adjusting at in relation to the industry, your operations now might be our new normal mode I’m really happy. That said, of operations in the future” (Rufo-Hill, 2015). Finding when I look at where we - examples of changes in weather that could be demon are in relation to where we strative of a future altered by climate change is one way could be, we have room that SPU staff are trying to integrate climate change into the utility’s operations and maintenance culture. for improvement, room However, Paul Fleming indicated that more work in this to do more.” area is needed (Fleming, 2015). RAY HOFFMAN

210 SEATTLE, WASHINGTON CASE STUDY: 208 In addition, multiple interviewees noted one of the reservoir water storage behind Masonry Dam and has made significant investments in the Morse Lake Pump greatest accomplishments of SPU’s work to date is its transformation to being a data-driven, transparent Plant project to ensure water supply reliability into the organization (Chinn, 2015; Hoffman, 2015; Rufo-Hill, future (Chinn, 2015). 2015). This is perhaps best displayed in SPU’s desire to - base its decisions on ever-improving scientific infor Despite these successes, James Rufo-Hill notes: “it’s been hard to build up appropriate documentation to mation, much of which is commissioned. This scientific make sure we know how often projects are discussing foundation was noted as constantly evolving, flexible, - climate change, which projects are effective once imple and adaptive, meaning that as new information on mented, and how effective they are. It’s been good on climate change becomes available, it can readily be one hand to know the process is working as designed, integrated into organizational tools and resources for but I have no sense for how well it’s working or how seri - daily and long-term decision-making. This readiness ously people are taking it” (Rufo-Hill, 2015). Paul Fleming to integrate new information into planning and oper - shares this sentiment, noting that SPU’s effort is con ational decision-making is due to SPU’s larger efforts - ceptually strong, but it is “unclear if we are definitively - to integrate climate change into all levels of the orga protecting our investments” (Fleming, 2015). To remedy nization. As Paul Fleming notes, SPU “has built, or is in the process of building, a culture where mainstreaming this, SPU is currently exploring options to evaluate the impact that embedding climate change considerations climate change into all levels of what we do is becoming - has had on projects and daily operations and mainte the norm” (Fleming, 2015). nance (Rufo-Hill, 2015). “We’ve become a learning organization—constantly “Utilities are making decision taking new data, learning on infrastructure that has from it, from weather events a long life. The question or extreme events and trying on hand is are we really to constantly prepare.” okay with the decisions we are making under various ALAN CHINN scenarios of what our future could hold? Are our decisions robust enough for multiple A number of tangible activities demonstrate how SPU’s work to mainstream consideration of climate change into different futures?” operations has made a notable difference. For example, JOAN KERSNAR the Water Resources and Watershed Divisions at SPU have made significant investments in additional water - shed snow, weather, and streamflow monitoring and data collection systems to ensure they understand, in real-time, how their water supply is changing. The utility Moving Forward has also made investments towards UW’s high resolution - weather forecasting system and other tools that are spe Going forward, SPU will focus on continuing to build momentum at all levels of the organization around cific to SPU’s operational needs while also using NOAA’s climate preparedness (Fleming, 2015). This includes family of services to understand how short-term changes in weather could affect daily operations. Additionally, supporting and educating top-level executives and field staff about the need to make decisions that are robust SPU made investments to allow 3 more feet of reliable

211 SEATTLE, WASHINGTON CASE STUDY: 209 under current and future climates. To do this, staff in the Climate Resiliency Group will: (1) continue to hold “Ultimately, we are trying to weather and climate trainings, (2) continue to publish protect the community from blog posts about weather and climate issues of relevance to the utility, and (3) conduct personal outreach to key future risks we are aware of.” stakeholders throughout SPU to build “more climate DAVE JACOBS champions” (Fleming, 2015). Another area of continued focus for SPU is helping staff Finally, when asked about challenges for SPU, Paul effectively address the uncertainty associated with Fleming commented, “One of our challenges is that we climate change projections. According to Alan Chinn, tend to focus on a single project at a time. Of course, “there is real pressure to take the median or to take one with issues such as sea level rise, you ultimately need of the scenarios we are using and base all decisions on to be thinking about a suite of projects in a given area. that scenario” (Chinn, 2015). More specifically, many So if you are going to add a pump station in one area interviewees noted a tendency for people to want to and you think about sea level rise and its impacts just to know exactly what they should be planning for. In the that station but fail to think about sea level rises’ impact case of Stage Gates (capital improvement funding), to the surrounding infrastructure, you are creating an project managers want to know exactly what range of isolated solution that won’t be sustained” (Fleming, temperature, precipitation, or sea level rise you want 2015). Transitioning from project-level planning to more them to plan for (Harrison, 2015). Since SPU is not cur - holistic, system-level planning for climate change is a rently planning on providing this level of specificity, staff challenge, particularly when investment decisions are in the Climate Resiliency Group are working on tech - done on a project-by-project basis. This, however, is niques to help other staff become more comfortable where comprehensive, system-wide planning comes in. with uncertainly and be able to make their own informed For SPU, the work of the water division to integrate cli - decisions about which future climate projections to use mate considerations into its system-wide water supply in their planning. According to Paul Fleming, “the goal is plan is one signal that SPU is transitioning to thinking to understand and embrace uncertainty so that you can more holistically about its systems and how climate make informed decisions that are robust under multiple change could affect their operations. potential futures” (Fleming, 2015). An additional area of future emphasis for SPU is the cre - ation of metrics to evaluate how successful the utility Acknowledgments is in increasing resilience or reducing its vulnerability. We would like to thank the following people for partici - According to James Rufo-Hill, SPU needs to improve its pating in interviews as part of this case study: efforts to document and monitor the effectiveness of its operations, decision-making, and planning processes • Alan Chinn, water resources engineer supervisor, SPU (Rufo-Hill, 2015). Without these metrics, SPU is unable to water resources manager, SPU Paul Faulds, • provide robust analyses that demonstrate whether and how its efforts have reduced the utility’s vulnerability to • Paul Fleming, lead, Climate Resiliency Group, SPU climate change. Having clear benchmarks and metrics • Sheila Harrison, project manager, SPU could provide important insights regarding how effec - tive different approaches have been, as well as specifics director, SPU • Ray Hoffman, regarding areas for future growth. system operations planning & Dave Jacobs, • analysis manager, SPU

212 SEATTLE, WASHINGTON CASE STUDY: 210 • drinking water planning manager, SPU Hoffman, R. 2015. Interview with Ray Hoffman, Joan Kersnar, Director, Seattle Public Utilities. February 6. • James Rufo-Hill, climate adaptation specialist and operational meteorologist, SPU Jacobs, D. 2015. Interview with Dave Jacobs, System Operations Planning & Analysis Manager, Seattle Public Kim Serwold, • office of utility services, SPU. Utilities. February 5. Kersnar, J. 2015. Interview with Joan Kersnar, Drinking Water Planning Manager at Seattle Public Utilities. Bibliography February 5. Bierbaum, R.M., J.B. Smith, A. Lee, M. Blair, L. Carter, S. Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). 2014. Chapin III, P. Fleming, S. Ruffo, M. Stults, S. McNeeley, Climate Change Impacts in the United States: The E. Wasley, and L. Verduzco. 2013. A comprehensive Third National Climate Assessment. U.S. Global Change review of climate adaptation in the United States: Research Program. doi: 10.7930/J0Z31WJ2. More than before, but less than needed. Journal of Mitigation and Adaptation Strategies for Global Rufo-Hill, J. 2015. Interview with James Rufo-Hill, Change 18(3):361–406. doi: 10.1007/s11027-012-9423-1. Climate Adaptation Specialist and Operational Meteorologist, Seattle Public Utilities. February 5. Chinn, A. 2015. Interview with Alan Chinn, Water Resources Engineer Supervisor at Seattle Public Serwold, K. 2015. Interview with Kim Serwold, Office of Utilities. February 5. Utility Services, Seattle Public Utilities. February 5. , LLC. Dictionary.com . 2015. Mainstream. Dictionary.com SPU. 2014. Seattle Public Utilities Strategic Business http://dictionary.reference.com/browse/ Available: Plan: 2015–2020. Seattle Public Utilities, Seattle, WA. mainstream . Accessed February 28, 2015. SPU. 2015. Seattle Public Utilities: About Us. Available: Faulds, P. 2015. Interview with Paul Faulds, Water http://www.seattle.gov/util/AboutUs/index.htm . Resources Manager, Seattle Public Utilities. February 5. Accessed on February 28, 2015. Fleming, P. 2015. Interview with Paul Fleming, Lead, Water Utilities Climate Alliance. 2015. About Us. Climate Resiliency Group, Seattle Public Utilities. Available: http://www.wucaonline.org/html/about_ February 5. . Accessed on August 4, 2015. us.html Harrison, S. 2015. Interview with Sheila Harrison, Project Manager, Seattle Public Utilities. February 6.

213 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 211 Southwestern Crown, Montana Forest Restoration SOUTHWESTERN CROWN, MONTANA Heather Hosterman, Jason Vogel, and Karen Carney AUTHORS: In this case study, you will learn about: • A public-private partnership aimed at increasing the ecological integrity of a landscape and providing economic and social community benefits An adaptive management approach to restoration that uses monitoring results to inform • future management practices The value of taking incremental steps where there is agreement, and building on the • understanding gained through those small actions to implement larger projects. CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

214 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 212 more severe and longer wildfire seasons, as described Case Study Summary in more detail below (Westerling et al., 2006), and the community expects these wildlife dynamics to be further The Southwestern Crown region covers approximately exacerbated under future climate change (SWCC, 2010b). 1.5 million acres of “working ranches, private timber - As such, the Southwestern Crown community acquired lands, craggy mountain peaks, abundant wildlife, and - federal funding to conduct forest and watershed resto pristine lakes and streams” in northwest Montana ration, including forest thinning and prescribed fires, the (SWCC, 2015a). The landscape is home to several small, aim of which is to reestablish natural wildfire dynamics in rural communities—Condon, Seeley Lake, Greenough, the area’s ecosystems and reduce the risk of catastrophic Ovando, Helmville, Potomac, and Lincoln (Exhibit 1)—and wildfire. Reductions in wildfire frequency and intensity provides prime habitat for various species, including griz - will help protect: (1) local timber resources, (2) overall zly bears, gray wolves, wolverines, lynx, and bull trout. watershed health, and (3) terrestrial and aquatic habitats Although the ecological integrity of the Southwestern (SWCC, 2010b). From 2010 to 2014, 13,113 acres of forest Crown is high compared to many other landscapes, land have been treated using forest thinning and prescribed management practices and climate change are widely fires in the wildland-urban interface (WUI), and 8,534 believed to have affected the region’s forest and stream acres of forest have been treated in the non-WUI. By ecosystems (SWCC, 2010a). In particular, fire suppression 2019, the community aims to reduce fire risk on 27,000 and other past management practices have increased acres of high-risk WUI lands and 46,000 acres on non- the landscapes’ susceptibility to large-scale, intense WUI lands (SWCC, 2015b). wildfires. The Southwestern Crown is experiencing Exhibit 1. Location of the Southwestern Crown. Source: Mehl et al., 2012.

215 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 213 The Broader Context of Vulnerability - Consider social constraints and seek public sup • Reduction in the Southwestern port for reintroducing fire on the landscape Crown, MT Engage community and interested parties in the • Starting in the 1980s, controversy and litigation led to restoration process significant reductions in timber harvests and slowed Improve terrestrial and aquatic habitats and • the implementation of forest restoration projects in the connectivity Southwestern Crown region (Austin, 2015; Parker, 2015). • Emphasize ecosystem goods and services and - Environmental groups were concerned about environ sustainable land management practices mental degradation and the responsiveness of the U.S. • Integrate restoration with socioeconomic Forest Service (USFS) to public input on public forest wellbeing management, while local communities and loggers were - concerned about forest-related employment oppor • Enhance education and recreation activities to tunities. By the 1990s, the decline in timber harvests build support for restoration was reducing employment in the region and leading • Protect and improve overall watershed health, to increased hostilities among environmentalists, the including stream health, soil quality and function, USFS, and loggers (Red Lodge Clearinghouse, 2010). and riparian function To promote civil discourse, Rod Ash, a conservationist • Establish and maintain a safe road and trail and member of the Condon community, began a collab - system that is ecologically sustainable. orative process, the Southwestern Crown Collaborative (SWCC), in the early 1990s to bring together the com - a. These 13 principles now include an appendix munity members to find positive solutions (Red Lodge on restoring forests for the future, which Clearinghouse, 2010). As part of this effort, community includes climate change considerations and adaptation strategies for forest restoration members established local committees in the Swan, http:// projects. For more information, see Blackfoot, and Clearwater valleys to help encourage www.montanarestoration.org/climate . discourse and collaboration during forest restoration Source: MFRC, 2007. planning and project implementation (Parker, 2015). a EXHIBIT 2. MFRC’S 13 PRINCIPLES MFRC believes that these principles should be In parallel with these efforts, the Montana Forest applied to planning and implementation of forest Restoration Committee (MFRC) was formed in 2007. restoration work on national forest lands in The MFRC is a volunteer, consensus-based collaborative Montana: entity that helps guide restoration activities in Montana’s • Restore functioning ecosystems by enhancing National Forests. A central component of the MFRC is ecological processes a suite of 13 principles that help ensure that key stake - holder concerns are addressed and all interested parties • Apply an adaptive management approach are appropriately engaged throughout the design and • Use the appropriate scale of integrated analysis implementation of forest restoration activities (Exhibit to prioritize and design restoration activities 2; MFRC, 2007). • Monitor restoration outcomes Reestablish fire as a natural process on the • These community dynamics and collaborative efforts landscape provided a solid foundation for establishing a com - munity collaborative to provide ecosystem, economic,

216 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 214 and social benefits to its rural community. The SWCC— More Intense and Frequent Wildfires described in more detail below—is working to creating Motivate Citizens to Take Action a landscape approach to implement forest restoration - The Southwestern Crown is experiencing more fre and fuel management activities, restore fish and wildlife quent and intense wildfire than in the past (SWCC, habitat, remove unnecessary roads, improve recreational 2010a; Maradeo et al., 2013; Austin, 2015). Over the past activities, and support the local economy by creating century, fire suppression allowed the growth of dense a sustainable forest products industry. This case study - understories that provide large amounts of fuel for wild focuses on its forest restoration efforts to reduce vulner - fires (SWCC, 2010b). In addition, Southwestern Crown ability to catastrophic wildfires. is experiencing higher air temperatures, earlier spring snowmelts, and declining stream flows, all of which can The Southwest Crown’s ecological resilience is largely lead to drier forests that are more likely to burn (Fagre, threatened by the absence of natural fire regimes and 2007; Pederson et al., 2010). Years of drought and the the effects of climate change may exacerbate wildfire spread of mountain pine beetle are also contributing risk. Reestablishing natural wildfire dynamics in the to tree mortality, further exacerbating the problem of area’s ecosystems and reducing the risk of catastrophic higher-fuel loads (Pederson et al., 2010). According to wildfire can reduce wildfire frequency and intensity and the SWCC, hotter summer temperatures and reduced provide economic, ecological, and social benefits. moisture “have led to larger, more frequent, and more severe wildfires since the mid-1980s,” and fire seasons now last “11 weeks longer each year compared with the 1970s” (Westerling et al., 2006). These dynamics are Why and How the Southwestern likely to be further exacerbated under future climate Crown Reduced Catastrophic change (SWCC, 2010b). Wildfire Risk The fire seasons of 2000, 2001, 2003, and 2007 had As we describe below, several factors led to the particularly significant impacts on the communities of Southwestern Crown’s implementation of wildfire res - Seeley Lake, Condon, and Lincoln. Wildfire response toration projects to reduce the landscape’s vulnerability costs were substantial, and tourism- and recreation - to wildfire risk. Exhibit 3 shows the timeline of factors al-supported businesses suffered (Maradeo et al., 2013). leading to community action. Southwestern Crown Collaborative implements several forest restoration projects to re-establish Formation of the natural wildfire dynamics Southwestern and reduce the risk of Crown catastrophic wildfire Collaborative Emergence of Controversy Forest Landscape Significant wildfire seasons Congress collaboration and litigation Restoration Act established the Southwestern Crown in region to introduced to slows Collaborative Collaborative promotes reduce implementation Congress Forest Landscape adaptive management controversy of forest Restoration framework to guide restoration Program forest restoration projects 2010– 2008 2009 2003 1980s 2007 1990s 2000 2001 present Exhibit 3. Southwestern Crown timeline of factors leading to community action.

217 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 215 In addition, travel was restricted along the main highway, According to Debbie Austin, former Lolo National Forest air quality declined, and local citizens became concerned supervisor, the Southwestern Crown recognized the about their safety (SWCC, 2010a; Maradeo et al., 2013). CFLRP as a resource that could help reduce the risk of During the 2007 Jocko Lakes Fire, community residents wildfire in its community (Austin, 2015). Southwestern - and businesses were evacuated for up to two weeks Crown’s previous efforts at collaborative forest man agement were harnessed to take advantage of this new (Maradeo et al., 2013). The increasing frequency and - funding opportunity. Local and regional nonprofit orga severity of wildfires, along with their potential economic nizations organized a “sharing meeting,” which aimed to and safety impacts, created a desire in the community bring all the Southwestern Crown small, rural commu to act to reduce its wildfire-related risks (Austin, 2015). - nities and national forests (i.e., the Lolo National Forest, the Flathead National Forest, and Lincoln National The Southwestern Crown Community Forms Forest) together. The meeting successfully established a Collaborative to Access Federal Funding the SWCC, which then submitted a proposal for fund - The Forest Landscape Restoration Act was introduced to ing from the CFLRP. The SWCC bid was successful and Congress as a way to support integrated, collaborative secured funding in the first round of the program in 2010. forest restoration at large scales. The Act, which estab - In its bid, the SWCC identified 10 years of restoration lished the Collaborative Forest Landscape Restoration projects to complete on 199,140 acres of USFS land with Program (CFLRP), received bipartisan support. In 2009, goals “to restore forest and aquatic ecosystem function, Congress passed Title IV of the Omnibus Public Land to improve landscape-level biodiversity, resiliency, and Management Act, which provided funding for the CFLRP adaptability, to enhance recreational experiences, and to to “encourage the collaborative, science-based ecosystem reduce risks for those living in the WUI” (SWCC, 2010a, restoration of priority forest landscapes” (Section 4001). p. 2). The SWCC’s forest work explicitly aims to reduce The CFLRP was shaped by the increasing emphasis across risks of wildfire under climate change (SWCC, 2010a). the nation on community engagement in forest policy and The CFLRP will provide the Southwestern Crown region - management, and a key focus of the program is address up to $4 million annually for forest restoration activities ing escalating costs of fighting more frequent and intense for 10 years (2010 through 2019). The CFLRP provides wildfires (Schultz et al., 2012).The program addresses this - percent of the cost of implement authority to fund 50 issue by supporting projects that help reduce fuel loads ing and monitoring ecological restoration treatments; and reestablishing natural fire regimes (SWCC, 2010a). however, the community must leverage these resources with local and private resources to match the funding (Title IV, 2009). “As wildfire activity and There was little opposition to forming the SWCC and suppression costs have grown applying to the CFLRP for restoration funding; however, dramatically, and as the the SWCC faces several challenges in implementing effects of global warming are fuel-reduction projects under the CFLRP, as described in Exhibit 4. posing an ever-greater threat to forest and watershed The SWCC Prioritizes Monitoring and Adaptive health, and as the economy Management to Reduce Catastrophic Wildfire Risks struggles, the time is right for this approach [the CFLRP].” The CFLRP promotes an adaptive management frame - work, which uses monitoring results to inform future SENATOR BINGAMAN (D-NM); management practices. The SWCC decided early on that US Senate Committee on Energy and Natural Resources 2008, p. 1 (as quoted in Schultz et al., 2012) monitoring the effects of forest treatments was a high priority (SWCC, 2012). The SWCC spends 10 percent of

218 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 216 EXHIBIT 4. PROJECT RESISTANCE NEPA processes; these groups filed an amicus brief The SWCC adopted MFRC’s 13 principles to plan and implement forest restoration projects on behalf of the USFS to support this project over ( Exhibit 2), and it thus expected its collaborative the course of the litigation (The Wilderness Society approach would reduce controversy and litigation. et al., 2012). The Colt Summit restoration project—a project - focused on fuels reduction, vegetation and water Although the SWCC is awaiting a final decision by the courts on the Colt Summit project, the SWCC shed restoration, and management for wildlife habitat—was a test case for SWCC’s ability to move has been able to move the project forward by forward without legal challenges. Early on, sev - selecting a contractor for the work (Chaney, 2014). a eral nonprofit organizations For some, however, the slow implementation of raised concerns that the USFS failed to perform a full environmental restoration projects, such as the halting of Colt Summit for four years, calls into question whether impact statement to evaluate the effects of the the SWCC is effectively reducing wildfire risk on the project on wildlife and, therefore, did not meet ground (Koehler, 2015). the requirements of the National Environmental Policy Act (NEPA). WildWest Institute, a nonprofit a. organization who filed an amicus brief on behalf These nonprofit organizations include Friends of the Wild Swan, Alliance for the Wild Rockies, Montana of the Plaintiffs, expressed concerns that that Colt Ecosystem Defense Council, and Native Ecosystems Summit, which was planned before the SWCC was Council. formed, was not adequately vetted by the SWCC b. These environmental groups include The Wilderness or properly reviewed by the public as required Society, Montana Wilderness Association, Montana - by NEPA (WildWest Institute, 2012). These con Wood Products Association, Dale Bosworth, Abagail cerns resulted in the litigation of the project and, Kimbell, National Wildlife Federation, Seeley Lake Rural ultimately, delayed implementation. Several other Fire District, Swan Ecosystem Center, American Forests, b regional environmental groups felt that the project Pyramid Mountain Lumber, Clearwater Resource Council, Orville Daniels, and 15 other individuals and was adequately vetted with both the SWCC and organizations. the general public and appropriately underwent the surveillance monitoring, the SWCC determines if there its budget on monitoring (SWCC, 2012); more than any have been changes in conditions of the resources (Hutto other CFLRP program (Parker, 2015). In addition, the SWCC holds annual adaptation management workshops, and Belote, 2013). The three other monitoring types are linked with management activities and answer specific described below, to revise project goals and objectives - to ensure that restoration is reducing the risk of cata questions about the effects of the treatment. The box in Exhibit 5 lists the SWCC annual adaptive management strophic wildfires. - meeting topics, and the questions answered at the meet ing, as well as the actions taken based on the meeting The adaptive management framework adopted by the (see arrows; Hutto and Belote, 2013). SWCC includes four types of monitoring: surveillance, implementation, effectiveness, and ecological effects monitoring (SWCC, 2012; Hutto and Belote, 2013). Melanie Parker, former Executive Director of Northwest - As shown in Exhibit 5, the model starts by indicating Connections, indicated that the annual adaptive man the current condition of the resources and, through agement workshops are critical to the success of the

219 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 217 Surveillance Monitoring Annual Adaptive Management Meeting Topics Existing condition OK Restoration is complete or unknown Surveillance—do surveillance monitoring data reveal some kind of change in conditions that we need to address? Existing condition New issue to address Implementation—were treatments implemented problematic or in as prescribed? need of change Eectiveness—were treatments eective in meeting stated objectives? Ecological eects—were there any unintended Continue with treatments ecological consequences? Management activity Implementation Monitoring Eectiveness Monitoring Ecological Eects Monitoring Exhibit 5. Types of monitoring within an adaptive management framework. Source: Hutto and Belote, 2013. SWCC (Parker, 2015). These workshops bring together Accomplishments of Implementing the community and decision-makers for two days to ask Forest Restoration Projects in the the “so what” questions: Are the monitoring data reveal - Southwestern Crown ing a change in conditions that needs to be addressed?; Were treatments effective in meeting objectives?; Were - From 2010 to 2013, the SWCC supported forest-resto there any unintended consequences from the treat - ration efforts focused on reducing wildfire risk on 9,782 ments? (Hutto and Belote, 2013; Parker, 2015). The acres, with a goal of reducing wildfire risk on 27,000 workshops also provide an opportunity to discuss res - acres of high-risk lands by 2019 (SWCC, 2013a). One toration trends—to look backward as well as forward—in of SWCC’s fuel-reduction projects, the Meadow Smith order to “revise goals and objectives, adjust conceptual - restoration project, was highlighted as particularly suc models and predictions about the systems in which man - cessful in the CFLRP’s annual report, (SWCC, 2013b). agement actions occur, or even to reassess the way in This restoration project, which included timber harvests which a problem is framed” (SWCC, 2012, p. 13). in 2010 and 2011 and fuel treatments in 2012, allowed fire

220 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 218 managers to successfully contain and treat the July 2012 completed 58 miles of road decommissioning work (or lightning-induced Condon Mountain fire (SWCC, 2013b). percent of its 10-year goal; SWCC, 2015b). Currently, 15 the SWCC expects that it will meet its goals by 2019 Fire Manager Brent Olson said, “The treatment was very effective as we had burning embers land into the [treat (SWCC, 2015b). - ment area]. We didn’t have any real spotting in that area - Anne Carlson emphasized the importance of the collab because of the fuel treatment” (SWCC, 2013b, p. 7). The orative, holistic, integrated nature of the CFLRP and the 2013 report concludes that without the Meadow Smith SWCC’s restoration projects as opposed to a singular restoration project, the area “would have had a very dif - 10 focus on altering wildfire dynamics. The purpose of the ferent fate—high [tree] mortality” (SWCC, 2013b, p. 7). CFLRP “is to encourage the collaborative, science-based ecosystem restoration of priority forest landscapes...” During interviews, Debbie Austin, Chelsea McIver, (Title IV, 2009). According to Dr. Carlson, this structure and Gary Burnett, the Executive Director of Blackfoot Challenge and Cochair of the SWCC, indicated that is “a critically important component to effective climate adaptation efforts” (Carlson, 2015). implementing the CFLRP in the Southwestern Crown is a “step in the right direction” because the community is better at collaboration and has met restoration and job targets; however, these interviewees also stress that Moving Forward “there is still more to do” (Austin, 2015; Burnett, 2015; - The Southwestern Crown CFLRP is a 10-year program McIver, 2015[a, b]). For example, Debbie Austin sug (2010–2019) with 5 years of post-CFLRP monitoring gested that a streamlined approach for moving projects (Title IV, 2009). Over the next two years (2015–2016), the from conception to implementation should be developed for projects where the USFS and the public are work - SWCC is focused on conducting a Restoration Initiative ing together. Chelsea McIver, focusing on the SWCC’s - for the Blackfoot and Swan (RIBS). The RIBS will iden goal of supporting rural, local economies indicated that tify specific acres across the Southwestern Crown where SWCC restoration funding is creating benefits for local they can implement future restoration efforts that will “reduce the risks of uncharacteristic wildfire and con contractors and subcontractors, but further work is - needed to make sure the opportunities are reaching the serve terrestrial and aquatic biodiversity across the SWCC landscape, taking into account potential influence communities located closest to the resource and those that are most vulnerable—economically and socially (see of climate change” (USFS, 2014, p. 1). The RIBS project Exhibit 6). Gary Burnett indicated that he will consider will then be used to determine future restoration efforts the Southwestern Crown CFLRP a success if the SWCC for the Southwestern Crown CFLRP (2017–2019). At the - end of the CFLRP funding, the SWCC expects to con continues to exist and implement restoration projects tinue its restoration work in the Southwestern Crown, after the CFLRP funding ends (Burnett, 2015). - although specific-funding sources have not been iden Matthew Koehler indicated that although the SWCC is tified. According to Debbie Austin, SWCC partners are making progress towards its 10-year forest restoration committed to continuing: “There’s already a lot of talk goals, the SWCC is behind on its road decommissioning about continuing. The group is committed to the place” and some other watershed restoration goals (Koehler, and several projects are through the planning phase and 2015). For example, between 2010 and 2014, the SWCC are now ready to implement (Austin, 2015). — and 10. http://www.swcrown.org/projects/ For additional information on the SWCC fuels reduction projects, see the SWCC projects webpage — http://www.swcrown.org/interactivemap/index.html . interactive map —

221 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 219 EXHIBIT 6. SUPPORTING THE LOCAL ECONOMY THROUGH RESTORATION WORK a successful stream restoration contractor for the The federal government is a major land owner in the western part of Montana and the Southwestern federal government (Parker, 2015). Crown. Restoration and maintenance projects designed to reestablish natural fire dynamics and Lower income and isolated communities have been identified as particularly vulnerable to the impacts reduce vulnerability to catastrophic wildfires can provide economic benefits to local and regional of climate change. Therefore, efforts to create more communities; the SWCC works to support rural, local ecologically resilient forests as well as economically - and socially resilient communities are an import economies and engage community members in its ant strategy for many local forest communities. restoration work. To date, however, results are mixed. Federal policies require that small, disadvantaged businesses receive a fair share of federal procure A 2013 local contractor participation assessment - found that restoration funding provides some ben ment opportunities. However, the majority of the - contracts set aside for minority-owned or other efits to local communities through the utilization of local contractors and subcontractors; however, small, socially- or economically-disadvantaged businesses have gone to out-of-state or out-of-re - the extent of the benefits depends on a number of gion businesses, which represents a significant lost factors: the capacity of contractors in an area, the opportunity for building wealth in lower income setting aside of contracts for economically- and rural and tribal communities (McIver, 2015b). That socially-disadvantaged businesses, the value of the contract, and the type of work being conducted. said, two tribally-owned enterprises associated with Businesses located in the rural communities in the the Confederated Salish and Kootenai Tribes are Southwestern Crown generally receive less than actively involved in conducting restoration work in - percent of USFS restoration investments in the 3 the Southwestern Crown (McIver, 2015b). In addi tion, two workshops have been held to inform local region (McIver, 2013; 2015a). However, businesses contractors about the opportunities being created located in the surrounding five counties, which contain the Southwestern Crown boundary, receive through the CFLRP and resources available to help percent of total restoration investments roughly 60 them navigate the process of bidding on federal projects (McIver, 2015b). (McIver, 2013; 2015a). There are success stories of local contractors benefiting from SWCC restoration funding. For example, the long-term nature of the - In the Southwestern Crown, maintaining or increas ing local businesses capacity and skills is vital to restoration funding (10-years) convinced some local contractors to make investments in training and the success of the SWCC forest restoration projects. equipment that can ensure long-term government This investment in human, social and natural capital contracts, creating a more sustainable business will help create more resilient forests and commu - nities better able to deal with the effects of climate model. One former logger, whose business had change (McIver, 2015b). suffered with the fall in timber prices, decided to receive training for stream restoration; he is now

222 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 220 11 Bibliography Acknowledgements - Austin, D. 2015. Interview with Debbie Austin, previ - We would like to thank the following people for partici ous District Ranger, Lolo National Forest, Seeley Lake pating in interviews as part of this case study: Ranger District, United States Forest Service (now USFS (now retired) Ms. Debbie Austin, • retired). January 28. • Mr. Gary Burnett, Blackfoot Challenge and co-chair Burnett, G. 2015. Interview with Gary Burnett, of the SWCC Executive Director, Blackfoot Challenge. January 12. Dr. Anne Carlson, The Wilderness Society • Carlson, A. 2015. Interview with Anne Carlson, Climate WildWest Institute • Mr. Matthew Koehler, Associate, The Wilderness Society. January 23, 2015. • Ms. Chelsea McIver, Bureau of Business and Chaney, R. 2014. Court ruling let 1 Seeley-Swan Economic Research, University of Montana logging project go forward, halt 1 other. Missoulian. September 27. Available: http://missoulian.com/ Ms. Melanie Parker, • Northwest Connections. - news/state-and-regional/court-rulings-let-see In addition, we would like to thank the SWCC for allow - ley-swan-logging-project-go-forward-halt/ ing us to participate in the quarterly meeting held on article_ed4f551e-45e7-11e4-ac61-73024e14dbe1.html . January 13, 2015, at the Seeley Lake Community Center. Accessed March 27, 2015. The partner organizations in the SWCC include: Fagre, D. 2007. Ecosystem responses to global climate USFS (Northern Region); Helena, Lolo, and Flathead • change. In Sustaining Rocky Mountain Landscapes: National Forests Science, Policy, and Management for the Crown of the Continent Ecosystem, T. Prato and D. Fagre (eds.). Montana Department of Natural Resource Conservation • Resources for the Future Press, Washington, DC. Blackfoot Challenge • Gorte, R. 2013. The Rising Cost of Wildfire Protection. • Clearwater Resource Council A Research Paper by Headwaters Economics. June. http://headwaterseconomics.org/wphw/ Available: Pyramid Mountain Lumber • wp-content/uploads/fire-costs-background-report.pdf . • University of Montana Accessed February 6, 2015. • Missoula Country Rural Initiatives Hutto, R.L. and R.T. Belote. 2013. Distinguishing four types of monitoring based on the questions they Northwest Connections • address. Forest Ecology and Management 289:183–189. The Nature Conservancy • Koehler, M. 2015. Interview with Matthew Koehler, National Wildlife Federation • Executive Director, WildWest Institute. January 12. • Swan Ecosystem Center Larson, A.J., R.T Belote, M.A. Williamson, and G.H. • Trust for Public Lands Aplet. 2013. Making monitoring count: Project design for active adaptive management. Journal of Forestry • Forest Business Network 111(5):1–9. • The Wilderness Society. Please note that the primary case study researcher is related to an interviewee; the project team does not feel that there is a conflict of interest. 11.

223 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 221 Maradeo, F., T. Quadros, R. Marshall, M. Arno, N. Red Lodge Clearinghouse. 2010. Swan Citizens Ad Fortunate, A. Branine, C. Calnan, C. Super, D. Poukish, Hoc Committee and Swan Ecosystem Center. Posted D. Roberson, T. Love. P. Shelmerdine, R. White, R. http://www.rlch.org/stories/ January 24. Available: - Kehr, B. Gillespie, J. Ingebretson, A. Huntsberger, J. swan-citizens-ad-hoc-committee-and-swan-ecosys tem-center . Accessed January 31, 2015. Haufler, C. Mehl, S. Yeats, C. Moon, and J. Normark. 2013. Seeley-Swan Fire Plan: 2013 Revision. A Component of the Missoula County Wildfire Protection Schultz, C.A., T. Jedd, and R.D. Beam. 2012. The https://www.crcmt.org/uploads/ Collaborative Forest Landscape Restoration Program: Plan. Available: A history and overview of the first projects. Journal of Fire_2013SSFP.pdf . Accessed February 3, 2015. Forestry 110(7):381–391. McIver, C. 2013. An Assessment of Local Contractor SWCC. 2010a. Southwestern Crown of the Continent Participation in the Southwestern Crown of the Collaborative CFLRP Proposal. Southwestern Crown Continent CFLRP Project. Bureau of Business and Collaborative. Available: http://www.fs.fed.us/res - Economic Research, University of Montana. June. toration/documents/cflrp/2010Proposals/Region1/ SWCrown/Southern_Crown_2010_CFLRP_Proposal_ McIver, C. 2015a. Capturing the Benefits of Restoration: . Accessed January 23, 2015. FINAL.pdf Local Business Utilization and Opportunities for Growth in Northwestern Montana. Forestry Thesis. SWCC. 2010b. Southwestern Crown of the Continent Landscape Restoration Strategy. Southwestern Crown McIver, C. 2015b. Interview with Chelsea McIver, http://www.fs.fed.us/ Research Associate, Bureau of Business and Economic Collaborative. May 12. Available: restoration/documents/cflrp/2010Proposals/Region1/ Research, University of Montana. January 29. SWCrown/May_SW_Crown_Landscape_Strategy_ Mehl, C., J. Haufler, S. Yeats, and B. Rieman. 2012. . Accessed January 23, 2015. FINAL.pdf Southwestern Crown of the Continent Landscape SWCC. 2012. Long-Term Monitoring Plan: US National Assessment. Ecosystem Management Research Institute. Available: Forest Collaborative Forest Landscape Restoration http://www.emri.org/PDF%20Docs/ Adobe%20files/SW%20Crown%20Landscape%20 Program. Southwestern Crown Collaborative. . Accessed February 3, 2015. Assessment.pdf Available: http://www.swcrown.org/wp-content/ uploads/2011/08/SWCC-Long-term-Monitoring- Plan-121720141.pdf . Accessed January 23, 2015. MFRC. 2007. Restoration Principles. Montana Forest Restoration Committee. Available: http://www. montanarestoration.org/principles-menu SWCC. 2013a. 2013 Annual Update. Southwestern . Accessed Crown Collaborative. December. Available: January 31, 2015. http://www.swcrown.org/wp-content/ Parker, M. 2015. Interview with Melanie Parker, . uploads/2012/02/2013-SWCC-Annual-Update.pdf Accessed February 7, 2015. Executive Director, Northwest Connections. January 12. Pederson, G.T., L.J. Graumlich, D.B. Fagre, T. Kipfer, and SWCC. 2013b. CFLRP Annual Report: 2013. http:// - Southwestern Crown Collaborative. Available: C.M. Muhlfeld. 2010. A century of climate and ecosys tem change in Western Montana: What do temperature www.swcrown.org/wp-content/uploads/2012/02/ . Accessed trends portend? Climatic Change 98:133–154. FY2013_CFLRP_AnnualReport_SWCC.pdf February 7, 2015. Politico. 2012. 2012 Presidential Election. Available: http://www.politico.com/2012-election/results/map/#/ SWCC. 2015a. Southwestern Crown Collaborative. http://www.swcrown.org/the-southwest President/2012/ Available: . Accessed February 4, 2013. - . Accessed January 31, 2015. ern-crown/

224 SOUTHWESTERN CROWN, MONTANA CASE STUDY: 222 SWCC. 2015b. 2014 SWCC CFLRP Annual Report. Title IV. 2009. Omnibus Public Land Management http://www.swcrown.org/wp-content/ Available: Act of 2009. Title IV—Forest Landscape Restoration. http://www.fs.fed.us/restoration/documents/ uploads/2012/02/CORRECTED-SWCC-CFLR_Annual_ Available: cflrp/titleIV.pdf . Accessed August 26, 2015. Report_V.2015-3-12.pdf . Accessed January 31, 2015. U.S. Census Bureau. 2013a. B19013: Median Household Tabor, G. 2014. Interview with Gary Tabor, Executive Director, The Center For Large Landscape Restoration. - Income in the Past 12 Months (in 2013 inflation-ad February 21. justed dollars). 2009–2013 American Community Survey. U.S. Census Bureau’s American Community Tabor, G, A. Carlson, and T. Belote. 2014. Challenges Survey Office, American FactFinder. and Opportunities for Large Landscape-Scale U.S. Census Bureau. 2013b. DP05: Demographic and Management in a Shifting Climate: The Importance Housing Estimates. 2009–2013 American Community of Nested Adaptation Responses Across Geospatial Survey. U.S. Census Bureau’s American Community and Temporal Scales. In Forest Conservation and Management in the Anthropocene: Adaptation of Survey Office, American FactFinder. Science, Policy, and Practices. USDA Forest Service RMRS: 205–227. July. USFS. 2014. Restoration Initiative for the Blackfoot and Swan—Project Initiation Letter. October 7. The Wilderness Society, Montana Wilderness Available: http://www.swcrown.org/wp-content/ uploads/2015/02/Signed-PIL-for-RIBS.pdf Association, Montana Wood Products Association, . Accessed Dale Bosworth, Abagail Kimbell, National Wildlife April 2, 2015. Federation, Seeley Lake Rural Fire District, Swan Westerling, A.L., H.G. Hidalgo, D.R. Cayan, and Ecosystem Center, American Forests, Pyramid Mountain Lumber, Clearwater Resource Council, Orville T.W. Swetnam. 2006. Warming and earlier spring Daniels, and 15 other individuals and organizations. increase Western U.S. Forest wildfire activity. Science 313:940–943. 2012. Amicus Brief In Support of Defendants. In the United States District Court for the District of Montana Missoula Division. Matthew O. Clifford, Oakland, CA. WildWest Institute. 2012. Amicus Brief In Support of Plaintiffs. In the United States District Court for the February 27. District of Montana Missoula Division. Karr Law Firm, PLLC, Missoula, MT. February 27.

225 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 223 Spartanburg, South Carolina Mainstreaming Climate Change into Programs, Management Actions, and Culture SPARTANBURG, SOUTH CAROLINA AUTHORS: Heather Hosterman, Karen Carney, and Jason Vogel In this case study, you will learn about: • How Spartanburg Water is mainstreaming climate change into utility existing programs and activities Leveraging extreme events to motivate action • The important role of staff in catalyzing action on climate change and • integrating climate change into programs and activities CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

226 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 224 such as gauging sites to monitor and manage water Case Study Summary releases from reservoirs and ongoing watershed testing Spartanburg Water is a public water and wastewater and monitoring. In addition, the utility has adapted to utility that is composed of two entities—Spartanburg a shift in the community’s economy from a focus on Water System and Spartanburg Sanitary Sewer textiles to manufacturing. Spartanburg Water works District Commission—under one name (Spartanburg with manufacturing businesses to develop innovative Water, 2015a). The public water and wastewater util - water and waste water solutions for companies, such ity is located in northeastern South Carolina and serves as water recycling, which can save the company money approximately 180,000 residents in communities across by reducing water use and encourage them to relocate Spartanburg County, as well as parts of Greenville, Union, to or remain in Spartanburg. and Cherokee counties (Spartanburg Water, 2015b). A history of droughts and extreme rainfall conditions Over the last five years, Spartanburg Water began to affected Spartanburg Water’s operations, including recognize the need to adapt its water and waste water - water supply and water quality. These impacts, com management systems to take climate variability and bined with increased recognition about climate change, impacts from climate change into consideration. The led Spartanburg Water to begin to integrate climate utility recognizes that in order to maintain its mission— change into the utility’s operations and culture. to provide quality water and wastewater services to our region in a reliable manner (Spartanburg Water, Spartanburg Water is undertaking a broad suite of 2015b)—it is critical to increase its resiliency to various actions to incorporate climate change planning into changing circumstances, including changing climate its programs, management actions, and culture. In this and economic conditions (West, 2015). To ensure case study, we describe the key factors that shaped Spartanburg Water can meet its mission, the utility is Spartanburg Water’s thinking on climate change and integrating climate change planning into their business provide examples of actions they are taking to reduce practices. Recently, Spartanburg Water incorporated vulnerability to droughts and flooding. Interviewees feel climate considerations into its 2014 Strategic Plan. that Spartanburg Water’s work will reduce vulnerability Under its goal of pursuing excellence in its products by integrating climate change into programs and actions, and services, Spartanburg Water laid out a strategy and by increasing the capacity of staff to understand to reduce its carbon and water footprint by reducing and respond to climate variability and impacts from paper consumption, and finalizing a discharge proj - climate change. However, Spartanburg Water is in the ect and evaluating pumping strategies that can reduce early stages of climate change integration, and it will energy consumption (Spartanburg Water, 2014). The take more time to know the full impact of Spartanburg utility is working to reduce greenhouse gas emissions Water’s actions. from its fleet and is emphasizing carbon reductions in facility upgrades, including a recent upgrade to a water treatment plant. The Broader Context of Incorporating Today, Spartanburg Water is undertaking a series of ini - Climate Change into Programs, tiatives to ensure that climate change is factored into its Management Actions, and Culture programs, management actions, and culture. This case study profiles some of this work at Spartanburg Water, Spartanburg Water has been engaged in water and highlighting techniques used by the utility to ensure that sewer management for decades. Over the years, the climate change is integrated into its operations and deci - utility developed several systems for dealing with a sion-making processes. wide range of climate variability and natural hazards,

227 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 225 2000 – 2011 Spartanburg experiences at least “abnormally dry” weather conditions each year 2002 – present Spartanburg Water aggressively pursues water leak detection and resolution 2008 – present Spartanburg Water launches a wastewater collection system rehabilitation program and, in some locations, decides to leave the old piping in place to increase flow capacity during high flow events and minimize SSOs 2010 – present 2007: Spartanburg Water experiences Spartanburg Water implements a screening process for flooding in portions of its wastewater all new Spartanburg Water capital improvement projects treatment facilities that includes factors for climate change 2007–2009: Spartanburg experiences Spartanburg Water begins “exceptional drought” conditions integrating climate change 2008–2009: Rebecca West serves as considerations into its programs President of the Water Environment and activities Spartanburg Water Spartanburg Federation Spartanburg Water incorporates Water is a pilot experiences a high 2009: Spartanburg Water partners with climate considerations into its community for level of geosmin in its the EPA on the EPA WaterSense Program Strategic Plan source water supply EPA’s CREAT tool 2007– 2003– 2000 2015 2010 2009 2005 Exhibit 1. Spartanburg Water timeline of factors leading to utility action. Droughts Why and How Spartanburg Water Drought is identified as the highest natural hazard Incorporates Climate Change into its risk in Spartanburg County’s Hazard Mitigation Plan Programs and Activities (City of Spartanburg, 2011). From 2000 through 2011, Spartanburg County experienced at least “abnormally As we describe below, several factors led Spartanburg dry” conditions each year. From October 2007 through Water to advance its thinking on climate change and December 2009, the county experienced “exceptional incorporate climate change into its existing programs drought,” its most severe drought condition ranking and activities. Exhibit 1 shows the timeline of factors and 12 (City of Spartanburg, 2011). In 2008 alone, Spartanburg actions undertaken by the utility. County had 39 weeks of “exceptional drought” con - ditions (City of Spartanburg, 2011), and reservoirs Drought and Inland Flooding Motivates dropped to historic low levels during this time (Tuck, Spartanburg Water to Reduce Its 2015). Spartanburg believes it is probable they will be Vulnerability to These Key Natural Hazards exposed to long-lasting future drought events (City of Spartanburg Water is vulnerable to a wide range of nat - Spartanburg, 2011), and Spartanburg Water expects ural and human-caused hazards (City of Spartanburg, future regional droughts to increase in frequency and 2011); however, the utility is primarily affected by severity, with greater variability in precipitation (U.S. droughts and inland flooding. This section describes the EPA, 2011). utility’s experience with droughts and floods and the actions taken to date to reduce vulnerability to these Future droughts that increase in frequency and sever - natural hazards. ity can affect wastewater system operations, including 12. Dry; D1 is Moderate Drought; D2 is Severe Drought; D3 is Extreme Drought; and D4 is Exceptional Drought.

228 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 226 18.5% 15.8% 15.3% 14.2% Naona l 13.2% average 11.3% % 13 11.0% 10.8% 10.0% 20 02 20 01 20 09 20 08 20 07 20 06 20 05 20 04 20 03 Exhibit 2. Spartanburg Water’s conservation efforts reduced its unaccounted-for water to below the national average. Source: Spartanburg Water, Undated. - changes in water quality in outflow streams. Spartanburg future extreme drought conditions because it under stands how controlled releases from its reservoir will Water discharges wastewater effluent from treatment support the wastewater discharges from its treatment plants into relatively small streams, and the wastewater discharges can be the majority of the streamflow during plants to help dilute pollutants and ameliorate water - drought conditions (U.S. EPA, 2011; West, 2015). In gen quality issues (U.S. EPA, 2011; West, 2015). eral, water quality in these small streams can decline under drought conditions because pollutants become Spartanburg Water is also focused on saving water in its day-to-day operations, because drought can limit more concentrated as less water is available to assimilate the pollutants. These conditions can restrict the amount water quantity available to the utility. For example, the of wastewater the utility can discharge, as its permit - utility is aggressively pursuing the detection and res requires that in-stream water quality be maintained at olution of water leaks in its system. The utility surveys specified levels to ensure the protection of human health its system for every five years using an electronic leak and local fish populations (U.S. EPA, 2011). As future pre - detection system. It also uses automated paging systems and other technologies to alert the utility about needed dictions of longer-lasting and intense droughts are a repairs. This helps ensure that small leaks do not escalate part of Spartanburg’s climate reality, Spartanburg Water into expensive and wasteful breaks. Spartanburg Water has analyzed scenarios where lower stream flows and poorer water quality may impact the discharge permits also helps customers identify leaks in their homes and businesses through the installation of automatic meter of its most strategic wastewater facility (West, 2015). - Spartanburg Water is fortunate that its largest waste reading (AMR) technology on meters in areas with old water facility discharges to the Pacolet River, which is infrastructure. As a result of these actions, Spartanburg Water reduced unaccounted-for water from 18 percent influenced by required water releases from Spartanburg in 2001 to approximately 11 Water’s reservoirs upstream of this wastewater discharge percent in 2009 (Exhibit 2; Spartanburg Water, Undated). (West, 2015). As a result, Spartanburg Water can plan for

229 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 227 Inland Flooding blue-green algae, which affects water taste and odor (Journey and Arrington, 2009). Spartanburg Water According to Spartanburg County’s Hazard Mitigation experienced a high level of geosmin from 2003 to 2005, Plan, flooding events represent a moderate risk to the when the region experienced tropical storms followed by county (City of Spartanburg, 2011). Between 1950 and - drought (U.S. EPA, 2011). Because droughts and flood 2011, Spartanburg County experienced 65 flooding ing are expected to increase in frequency and severity, events, with property damage exceeding $24 million - the utility also expects that climate change will exacer (2011 dollars; City of Spartanburg, 2011). During high rain bate geosmin water quality problems. Geosmin events events, Spartanburg can experience four times normal have important financial implications: Rebecca West flows in some parts of its wastewater collection system estimated that it can cost around $10,000–$20,000 (West, 2015), which can lead to higher flood risks to the per week to treat water and maintain customer service community and damage key components of Spartanburg levels during a geosmin event (West, 2015). Spartanburg Water’s facilities. Specifically, during intense rain and Water has established a monitoring system to predict flooding events, wastewater pump stations can become when geosmin events might occur; however, additional flooded and portions of wastewater treatment facilities, management interventions may be required as climate because they are often located close to streams and in lower elevations, can also become flooded. In May 2007, change affects geosmin events. Spartanburg Water experienced flooding in portions of - its wastewater treatment facilities (West, 2015). In addi Climate Change Awareness Raised among tion, during flooding events, erosion can expose water Spartanburg Water’s Staff and wastewater lines that then fail or break because Spartanburg Water encourages staff to participate in they are no longer structurally supported or because learning events, such as conferences, committees, and fast floating debris collides with them. Spartanburg pilot programs. These learning events helped raise staff’s Water regularly experiences breaks in its water and awareness of climate change, as well as other related wastewater lines (West, 2015). To better manage impacts subjects. In particular, the utility’s engineering and tech - from infiltration and inflow during future flood events, nical group—led by Rebecca West, Spartanburg Water’s Spartanburg Water is upgrading pipes in its wastewater Chief Operating Officer—engaged in these learning collection system and, in some areas, leaving the old - events. This experience became the catalyst for the util piping in place rather than closing it off (West, 2015). ity to recognize climate change as an issue and begin to During high periods of infiltration and inflow, overflow incorporate climate change considerations into its pro - can travel from the newer pipes to the old pipes, provid - grams and activities (West, 2015). ing additional flow capacity. This gives the utility greater flexibility in managing wastewater during storms, and Participation in Conferences and Committees reduces the risks of sanitary sewer overflows (SSOs) and flooding for the utility and its customers. This increased Spartanburg Water encourages staff engagement in flexibility is also highly relevant under future climate water conferences and committees, utility councils, and change, where intense precipitation events may become professional delegations. Through these experiences, more frequent and intense (U.S. EPA, 2011; West, 2015). utility staff members learn about the current research - on climate change projections and how these projec Droughts and Flooding Combined tions might affect water utilities. These experiences also provide staff with an opportunity to network with While droughts and floods can pose independent prob - other utilities “impacted by extreme events and learn lems for Spartanburg Water, their combination can about how they deal with the impacts” (West, 2015). also exacerbate water taste and odor problems (West, For example, after Hurricane Katrina, Ms. West talked 2015). High water temperatures, turbidity, and nutrient enrichment can increase levels of geosmin, a naturally with affected water utilities to learn about the challenges occurring compound produced by soil bacteria and they faced during and after the hurricane and how they

230 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 228 overcame these challenges or what lessons they learned flooding on Nashville; and the effect of the extended from these challenges. Through this process, she learned droughts of 2002 and 2007–2009 on the Southeastern that several utilities were struggling to repay loans on - U.S. As Spartanburg Water better understood its poten facilities that were completely destroyed by the hur tial “climate future,” as identified by the scenarios in - ricane. Based on this knowledge, she implemented a CREAT, it began to plan for the potential impacts from screening process for all new Spartanburg Water capital future climate change (West, 2015). This planning was holistic in nature and was incorporated in Spartanburg improvement projects that forced the utility to consider if “Spartanburg Water can pay for the project in 15 to Water’s Strategic Plan, Capital Plan, Financial Plan, and 20 years, instead of the typical 30 year timeframe for design aspects for its facilities and collection and distri - 13 bution system (West, 2015). As climate change became utility investment projects” (West, 2015). According to incorporated in the key planning programs for the util - West (2015), this small action begins to prepare the util - ity, it influenced how staff began to engage in planning ity financially for future extreme events and supports its and now it is another lens through which future projects resiliency to future climate change impacts. are evaluated and developed (West, 2015). For exam - ple, in 2013, Spartanburg Water developed a Watershed Model of two of its most strategic watershed basins. The Participation in committees Watershed Model allows the utility to collect and analyze water flow and water quality information to determine and conferences is “one of what future potential impacts may be realized for its the things that helps the wastewater facility discharge permits (West, 2015). This light bulb go off.” - model was developed as a planning tool for future waste REBECCA WEST water facility upgrades and to help predict what impacts to water quality are being realized in these watersheds due to climate change and development (West, 2015). Spartanburg Water staff members who attend water conferences or networking events are asked to report Spartanburg Water Ensures Public - back on information and lessons learned to share find Support through Outreach and Tailored ings with other staff; this disseminates the information, Communication including climate change information, to a broader range Spartanburg Water invests time and effort into public of staff (West, 2015). education and outreach events. General information about watershed management and the urban water CREAT Vulnerability Pilot Tool cycle is shared through Spartanburg Water recreational Spartanburg Water began working with the EPA on its and community events. These include Paddlefest, an Climate Resilience Evaluation & Awareness Tool (CREAT) annual July event that incorporates water resource edu - in 2010 and was a pilot community in 2015 (West, 2015). cation with water games, and school educational classes, The CREAT tool allows utilities to evaluate the potential such as pontoon classrooms where students help with impacts of climate change on its water and wastewater reservoir water sampling on pontoon boats (West, 2015). services and to evaluate adaptation options to address these impacts using both traditional risk assessment - During droughts, public outreach is an essential com and scenario-based decision making. Spartanburg ponent of the utility’s water conservation program. Water decided that it was important to engage with Spartanburg Water partnered with EPA WaterSense, CREAT because it witnessed how other utilities across a program that provides information on products and the United States and “close to home” were severely services to consumers to make smart water choices that impacted by climate vulnerability such as the effect of - save money and reduce water use without compromis Hurricane Katrina on New Orleans, the effect of severe ing performance, to customize WaterSense publications 13. This screening process that ensures all new capital improvement projects under consideration meet the utility’s mission and integrate climate change also considers: if the project currently meets defined service levels and if the project will help Spartanburg Water be more resilient to climate impacts (West, 2015).

231 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 229 for utility customers. Publications include basic infor - Spartanburg Water now understands the capabilities of mation on household water usage, the best time of its water and wastewater treatment facilities and has a day to undertake water-intensive activities, and how process for assessing the performance of these facilities and adapting to changing circumstances as necessary to improve water efficiency by replacing bathroom sink (West, 2015). She added that “the Spartanburg region - faucets and toilets and by implementing advanced irri gation technologies. In addition, Spartanburg Water’s experienced several storms in recent years and during these events, Spartanburg Water was never out of ser education and outreach program also targets different - economic sectors in the community, particularly the vice.” Ken Tuck indicated that “Spartanburg Water is a model for other utilities.” emerging manufacturing industry. “When I’m speaking to the ... public, I talk about storm events and droughts. If I call it ‘climate change,’ ears turn off. It’s still very visceral, so we’ve learned to talk around it.” REBECCA WEST Spartanburg Water uses key performance indicators (KPIs) to quantify the performance of its work (Tuck, According to Rebecca West, Spartanburg Water makes 2015; West, 2015). These include indicators that address - a conscious effort to tailor its communication to its audi components of vulnerability, including indicators for ence. When communicating with the public, Spartanburg asset management (e.g., the performance of facilities Water does not use climate change language. Rebecca and interruption of service), indicators for financials West found that talking about immediate and future (e.g., debt ratio), and indictors for significant events (e.g., impacts from droughts and flooding is a more effective the number of contamination and rainfall events; West, way of discussing climate change with the public rather 2015). The utility has considered bundling several KPIs to than using the term “climate change” which can alienate develop and track a “vulnerability” indicator, but has not some individuals. yet developed such an indicator (West, 2015). Accomplishments of Incorporating Moving Forward Climate Change into Programs Spartanburg Water will continue to integrate climate and Activities variability and change into its programs and activities as Spartanburg Water’s efforts to integrate climate variabil - well as its culture. For example, the utility will continue ity and change into its existing programs and activities to upgrade pipes in its wastewater collection system, are nascent. As these efforts are expanded, Spartanburg increasing resiliency and redundancy by interconnecting Water hopes to further reduce vulnerability to drought the old piping with new pipes for extreme rain events. and inland flooding events. When asked if the work to Spartanburg Water will also begin this process for its date has helped Spartanburg Water reduce its vulner - water and wastewater treatment system. In addition to ability to climate change, Rebecca West indicated that engaging in innovative approaches and continuing its

232 SPARTANBURG, SOUTH CAROLINA CASE STUDY: 230 use of advanced technology, Spartanburg Water is also Bibliography committed to building a culture of resilience through developing policies that prepare for the future and City of Spartanburg. 2011. Spartanburg County Hazard making wise investments that increase resilience. Mitigation Plan Update. Prepared by Atkins North America, Inc. Journey, C.A. and J.M. Arrington. 2009. Taste and Acknowledgements Odor Occurrence in Lake William C. Bowen and Municipal Reservoir #1, Spartanburg County, South We would like to thank the following people for partici - Carolina. United States Geological Survey, United pating in interviews as part of this case study: States Department of the Interior. Prepared in Ms. Rebecca West, • Spartanburg Water Cooperation with Spartanburg Water. Fact Sheet 2009-3043. June 2009. Mr. Ken Tuck, • Spartanburg Water. Spartanburg Water. 2014. Strategic Plan 2014. Spartanburg Water. 2015a. History of Spartanburg Water, Spartanburg Water. Accessed May 27, 2015. http://www.spartanburgwater.org/ Available at . history-of-spartanburg-water Spartanburg Water. 2015b. About Spartanburg Water, Spartanburg Water. Accessed May 27, 2015. http://www.spartanburgwater.org/ Available at . about-spartanburg-water Spartanburg Water. Undated. Spartanburg Water Works to Save Water! Brochure. Tuck, K. 2015. Interview with Ken Tuck, Director of Water Treatment, Spartanburg Water. April 8, 2015. U.S. EPA. 2011. Climate change vulnerability assessments: four case studies of water utility prac - tices. Global Change Research Program, National Center for Environmental Assessment, U.S. Environmental Protection Agency, Washington, DC; EPA/600/R-10/077F. West, R. 2015. Interview with Rebecca West, Chief Operating Officer, Spartanburg Water. April 8, 2015.

233 TULSA, OKLAHOMA CASE STUDY: 231 Tulsa, Oklahoma Acquisition and Relocation TULSA, OKLAHOMA AUTHORS: Heather Hosterman and Jason Vogel In this case study, you will learn about: • Reducing vulnerability through an acquisition and relocation program Leveraging of extreme events to build motivation for action • Importance of building partnerships and identifying champions to generate buy-in • Value of pre-planning efforts to develop public information and strategies • CLIMATE ADAPTATION: THE STATE OF PRACTICE IN U.S. COMMUNITIES

234 TULSA, OKLAHOMA CASE STUDY: 232 stream for the maintenance and management of the Case Study Summary flood control regulations. This case study focuses on The City of Tulsa is located along the Arkansas River the City of Tulsa’s acquisition and relocation program in northeastern Oklahoma. After years of experiencing for repeatedly flooded properties. However, the success losses from flooding, the City of Tulsa began to advance of the acquisition and relocation program is contingent comprehensive floodplain management along tributary on the full suite of flood control regulations. As such, this 14 One of the city’s floodplain management streams. - case study touches on several aspects of Tulsa’s com programs is its acquisition and relocation program. prehensive floodplain management system. In addition, This program consists of acquiring repeatedly flooded we provide additional information about the history of properties, removing or relocating buildings on those flooding in Tulsa and the critical role of the community properties, and converting properties for public use, like in implementing the suite of flood control regulations. parks. Since the 1970s, the City of Tulsa has acquired over 1,000 repeatedly flooded properties (Patton, 2009). Since the program’s inception, the city has experienced Why and How the City of Tulsa several flooding events without any major flooding in 15 program areas. Although the City of Tulsa historically Acquired and Removed Repeatedly did not consider climate change, the community is now Flooded Properties considering more frequent and severe future hazard - Several factors led to the City of Tulsa’s acquisition pro events as it moves forward. gram, including a history of flooding that built motivation for action, the community mobilizing to take action, the creation of regulatory flood maps to target acquisition, The Broader Context of Vulnerability and marketing the acquisition program. These factors are described below individually, however the timing of Reduction from Inland Flooding these factors often overlapped. This case study focuses in Tulsa, OK on key events from the 1970s through the 1980s. Exhibit Historically, the City of Tulsa experienced frequent 1 shows the timeline of these factors and the acquisition and often devastating flooding events. Major flooding and removal of repeatedly flooded properties. disasters produced some management changes. For example, after the 1923 flood, Tulsa preserved 2,800 History of Flooding Builds Motivation for acres of open-space in the Bird Creek floodplain; after Action in Tulsa the 1943 flood, the U.S. Army Corps of Engineers (Corps) Situated along the Arkansas River, the City of Tulsa developed the Arkansas River levee system to protect was regularly flooded by catastrophic rainfall events Tulsa’s oil refineries; and after the 1957 and 1959 floods, (Exhibit 1). As the city urbanized in the 1950s and 1960s, the Corps built the Keystone Dam upstream of Tulsa on buildings were constructed on flood-prone land. In par - the Arkansas River (Patton, 2009). Flooding events in ticular, the Mingo Creek watershed underwent rapid the 1970s and 1980s motivated community members development during this time (City of Tulsa, Undated). to begin to think holistically about flood management - Flooding events of the 1970s and 1980s caused signif instead of implementing intermittent actions. A commu - icant damage in the City of Tulsa, and motivated the nity group, described in greater detail below, advocated community to begin to think holistically about flood for a comprehensive flood management system that control measures (Patton, 1993). Much of the flood included extensive flood maps, acquisition and removal damage during this time occurred in the Mingo Creek - of repetitively flooded property, ending new develop watershed, which “drains about one-third of the city ment in flood-prone areas, installing remedial works but has accounted for about two-thirds of the city’s that hold and convey stormwater, and establishing a flood damages” (Patton, 1993, p. 2). stormwater utility fee on water bills to create a funding This case study focuses on the City of Tulsa’s comprehensive flood management program along tributary streams. This program has not yet focused 14. on improving the local management program for the Arkansas River. percent flooding rainfall event since 1984. The Tulsa metro area has experienced 1 15. The City of Tulsa has not had a 100-year or 1 percent rainfall percent flooding event. intensities several times; however, due to the short duration of these rainfall events, they have not been classified as a 1

235 TULSA, OKLAHOMA CASE STUDY: 233 1984 Memorial Day Flood Reorganization of Tulsans for a Better Community Implementation of comprehensive flood 1976 management program Memorial Day 1984–1985 Flood Acquisition of 300 homes Year of floods 1976–1979 and 228 mobile home Creation and Formation of pads with FEMA funding adoption of the Tulsans for new Regulatory a Better Flood Maps Community Acquisition Arkansas River Mother’s Early major continues... 1979–1982 1974–1976 Flood Day Flood flooding City of Tulsa events acquires a few Acquisition of Acquisition Acquisition properties a 13 homes of 33 homes of 30 homes year 1985 Implementation of a stormwater utility fee 1976– 1984– 1990s– 1908– 1970 1974 1986 present 1982 1985 1968 Exhibit 1. Tulsa timeline of flooding and actions taken. the acquisition program, would have been very difficult if The 1974 Year of Floods and the 1976 Memorial Day Flood not impossible (Flanagan, 2014). were instrumental in mobilizing the community to action and beginning to motivate the City of Tulsa to move beyond redevelopment of affected areas to enact flood Community Mobilizes to Take Action regulations (Patton, 2014). Through the course of these After the June 1974 flood, Carol Williams, a Mingo Creek flooding events, 3 people were killed, 120 people were flood victim, convened a neighborhood meeting in her injured, and significant damage to homes and buildings flooded living room with other Mingo Creek citizens occurred (City of Tulsa, Undated; Patton, 1993, 2009). who suffered from repeated flooding (Patton, 2009). This neighborhood group, called Tulsans for a Better - The 1984 Memorial Day Flood was the city’s worst flood Community, quickly became an effective advocacy ing event: 14 people were killed, 288 people were injured, group for flood control (Patton, 2009). The group pro - and 6,800 homes were damaged (Flanagan & Associates, moted four key messages (Patton, 2009): 2009; Patton, 2009). This flood became a catalytic event in advancing a comprehensive flood management program • Stop building in the floodplain along the tributary streams that included the acquisition Clear out flood-prone buildings • of repeatedly flooded properties (Patton, 2014). Without Tulsa’s history of flooding, implementing comprehensive • Install channels and detention ponds flood regulations along the tributary streams, including • Involve citizens at every point.

236 TULSA, OKLAHOMA CASE STUDY: 234 - in using the 1984 Memorial Day Flood to advance a com prehensive flood management program along tributary “I don’t think you can streams because of: (1) the established partnerships overemphasize...the impact among grassroots citizens, technical experts, and public of [the 1984 Memorial Day] sector officials; and (2) the community’s previous work in flood. ...everyone remembers developing and advocating for sophisticated solutions to flood mitigation (Patton, 2014). Once the flood occurred, that flood.” the community was able to “seize [the] moment and GRAHAM BRANNIN, CITY OF TULSA execute bold plans” (Patton, 2009, p. 89). City of Tulsa Creates Regulatory Flood Maps Tulsans for a Better Community drew support from to Target Acquisition across the city, including from Ann Patton, who was After the 1974 and 1976 flooding events, the City of Tulsa Tulsa World newspaper; at the time a reporter for the recognized that the National Flood Insurance Program’s Ron Flanagan, a planning consultant; and J.D. Metcalfe, (NFIP’s) minimum floodplain standard was insufficient - a respected businessman in Tulsa and later a city com (City of Tulsa, Undated), and instead developed more 16 These community members, in addition to missioner. - extensive maps that: (1) consider forecasts of fully urban several other key players, became the champions of ized watershed development conditions; (2) extend the the comprehensive flood management program along - regulations watershed-wide, which widens and length tributary streams. Following the 1974 and 1976 flooding ens the regulatory flood maps along tributary streams; - events, Tulsans for a Better Community advanced sev and (3) use stormwater detention ponds to detain storm - eral flood control measures: the City of Tulsa acquired water and slowly release it downstream (Patton et al., - 63 repeatedly flooded properties, including 33 proper 2010). The City of Tulsa Regulatory Floodplain Maps ties following the 1974 Year of Floods and 30 properties exceed U.S. Federal Emergency Management Agency following the 1976 Memorial Day Flood (City of Tulsa, (FEMA) minimum regulations. These maps provide Undated; Patton, 1993, 2009). public information about flood hazard areas, help the city to regulate development permits and freeboard According to Ron Flanagan and Ann Patton, Tulsans requirements, and have been used by the city to iden - faced significant opposi - for a Better Community tify and target properties for acquisition and clearance. tion from pro-development interests, particularly the The city targeted acquisition of areas that were most Home Builders Association, who viewed flood-control exposed to flood damages and incurred repetitive losses measures as anti-development (Patton, 2009, 2014; and flood insurance claims. Flanagan, 2014). In 1978, pro-development interests were successful in electing a pro-development commission, including Senator Inhofe as mayor of the City of Tulsa City of Tulsa Markets the Acquisition Program (Flanagan, 2014). This commission relaxed regulations in To move the acquisition program from conception to the late 1970s and early 1980s (Patton, 2009). However, implementation, the City of Tulsa needed to ensure a change in political power in 1984 which brought in homeowner participation and persuade FEMA to fund newly elected officials sympathetic to flood victims, and the program. the occurrence of the 1984 Memorial Day Flood, which was Tulsa’s worst flooding event to date, suppressed the City of Tulsa Structures the Program to Incentivize opposition (Patton, 2014). Participation and Ensure Sustainability According to Tim Lovell, Ron Flanagan, and Bill Robison, After the 1984 Memorial Day Flood, Tulsans for a Better the acquisition program is voluntary. The City of Tulsa Community quickly re-organized and began to take made the program attractive by paying homeowners the action (Patton, 2009). The community was successful 16. Many people were pivotal in championing this program. We call out only three project champions in this case study because several interviewees mentioned them by name.

237 TULSA, OKLAHOMA CASE STUDY: 235 pre-flood market value of homes, allowing residents to percent of the project costs. between 33 percent and 50 (Patton, 1993). The City and FEMA worked together to live 30 days rent-free in their homes, paying relocation - ensure that project benefits exceed the cost of acquisi costs, and providing a $1,000 stipend if the homeowner moved outside of a floodplain. According to interview tion, demolition, and restoration of a structure. - ees, most homeowners supported the program because of the city’s sincerity in the purchase of repeatedly flooded properties. Accomplishments of the Acquisition Program The city recognized the need to make acquired proper - ties multi-use so that public and private interests would Since the 1970s, the City of Tulsa has acquired over remain committed to maintaining acquired properties 1,000 repeatedly flooded properties (Patton, 2009). and to not developing these properties in the future - This program, in combination with other flood manage (Flanagan, 2014). Acquired properties throughout the ment regulations, has effectively reduced flood damage - City of Tulsa include walking and bicycling trails, picnick during high precipitation events. Since the program’s ing facilities, and parks and greenways. It is worth noting inception, the city has experienced several 10- to 20-year that some of this acquired land now faces considerable flooding events without any major flooding in program development pressure and the land can technically be areas; the city has not experienced a 100-year (i.e., a developed by the city or by others if sold by the city. flood with a 1 percent probability of occurrence in any given year, also known as a “1 percent flooding event”) A stable, long-term funding source was essential to in the Tulsa metro area since the 1984 Memorial Day ensure the sustainability of the City of Tulsa’s compre - Flood (see footnote 15), which would fully test the hensive flood management program along tributary hazard mitigation program. Although the City of Tulsa streams, including the acquisition program (Patton, 2014; has not experienced a 1 percent flooding event in the Robison, 2014). Within two years of the 1984 Memorial last 30 years, the city expects that its comprehensive Day Flood, the City of Tulsa instituted a stormwater flood management program, along tributary streams, utility fee on water bills. This fund currently charges res - would reduce the extent of damages caused by a 1 per - idents $5.92 per month and commercial, multi-family, cent flooding event and likely reduce damages caused or industrial facilities $5.92 per month per Equivalency by a 500-year (i.e., a 0.2 percent flooding event; Robison, 17 Service Unit (Robison, 2014). These funds provide 2014). During the May 2015 flooding events, surrounding approximately $24 million annually to the City of Tulsa; communities who have not adopted Tulsa’s stringent this funding is used for planning processes, acquisition of flooding standards experienced significant flooding repeatedly flooded properties, maintenance of existing damages, whereas Tulsa experienced minor flooding facilities, small drainage projects, and as a match for (Flanagan, 2014). Interviewees generally feel that the federal grants (Flanagan, 2014; Robison, 2014). city has successfully mitigated flooding. City of Tulsa and FEMA Develop a Unique and The individuals we interviewed discussed several other Innovative Method to Fund the Program indicators of the program’s success: The City of Tulsa worked closely with The Federal FEMA’s NFIP Community Rating System (CRS) rates the • Emergency Management Agency (FEMA) to develop a City of Tulsa as a Class 2 Community, which provides unique funding approach to an acquisition program. To Tulsans with some of the lowest flood insurance rates help convince FEMA of the value of this program, the in the United States (Flanagan & Associates, 2009). - community used a benefit-cost analysis—on some occa sions, FEMA paid out over $100,000 to repair a repetitive • In 1998, FEMA selected the City of Tulsa for a three- loss property valued at approximately $30,000 (Robison, year Project Impact grant, which aimed to create public-private community partnerships for multi-haz - - 2014). The City and FEMA shared the cost of the acqui ard mitigation. The grant program included flooding, sitions such that the City ended up paying somewhere An Equivalency Service Unit is the projected annual cost of maintaining 2,650 square feet of impervious property area (City of Tulsa, Undated). 17.

238 TULSA, OKLAHOMA CASE STUDY: 236 as well as other extreme hazard events, such as control regulations. Interviewees indicated that the lack extreme temperatures, tornadoes, and terrorism. The of major flooding in the City of Tulsa confirmed some Project Impact grant resulted in the creation of Tulsa elected officials’ feelings that Tulsa solved their flooding Partners, Inc., a nonprofit that fosters public/private problems; as such, elected officials are now focused on partnerships to continue to advance multi-hazard other priorities, including streets, water, sewer, police mitigation and build a disaster-resistant, sustainable and fire protection. community (Lovell, 2014). Interviewees believe that public information and edu - • The City of Tulsa is one of the 10 charter cities in the cation is now the key to ensuring that the public and Natural Hazard Mitigation Association’s Resilient private sectors are prepared for future extreme weather Neighborhood Network (RNN). The RNN “link[s] events, especially as the frequency and severity of future together and build[s] cooperative grassroots com - hazard events increases with climate change. As Ann munities learning and working to become safer, Patton indicates, “the work is never done, the battle disaster-resilient, and sustainable” (Natural Hazard for wise floodplain management is never over, we must Mitigation Association, 2012, p. 1). continue...” (Patton, 2014). Tulsa Partners is involved in The City of Tulsa was recently selected to join the • several public information and education efforts; three of Rockefeller Foundation’s 100 Resilient Cities initia - these efforts are described in more detail below. tive, which is an outgrowth of the work described in this case study and will involve building off of existing City of Tulsa Program for Public Information and new partnerships to make the City of Tulsa more To increase public education on multi-hazard pre - resilient (100 Resilient Cities, 2014). paredness, Tulsa Partners, Inc. is working with the City of Tulsa’s stormwater experts to create an outreach According to interviewees, the City of Tulsa is a model strategy that ensures that members of the public have for other communities trying to reduce vulnerability to the information and tools they need to reduce vulner - inland flooding. Since the 1970s, many communities have ability to future extreme events. The outreach strategy - used acquisition and removal or relocation of repeat is documented in the City of Tulsa Program for Public edly flooded properties and the stormwater utility fee Information (PPI), which was adopted by the City Council - program as tools to reduce vulnerability to inland flood and Mayor in December 2014, and is updated annually. ing. For example, following the Great Flood of 1993, the The PPI stresses the importance of making sure Tulsans towns of Valmeyer (Illinois), Pattonsburg (Missouri), and are not “lulled into a false sense of security that could Rhineland (Missouri) relocated their towns out of the make them vulnerable to unexpected tragedy” (City of floodplain (Stafford, 1998). Tulsa, 2014, p. 3). Having a PPI also allows the City of Tulsa to receive bonus points for outreach projects and public information activities eligible for credit under the Moving Forward FEMA NFIP/CRS (NFIP/CRS, 2014). As indicated above, the City of Tulsa has not experi - According to the PPI, the City of Tulsa is vulnerable to enced a large flooding event since the 1984 Memorial flooding and dam or levee failure events (City of Tulsa, Day Flood. Interviewees indicated that because of this, 2014). The PPI requires that the City of Tulsa identify and many people are beginning to disregard flooding as a track outreach projects on key messages such as, “Know potential hazard. In addition, there is renewed interest your risk of flooding,” and “What are your options if you in redeveloping open spaces and parks that have been live in a repetitive loss property?” (City of Tulsa, 2014, p. dedicated to flood mitigation (Flanagan, 2014). In May 13). Under this program, the city must track the number 2015, flooding in Oklahoma resulted in only minor street of times these key messages are disseminated, as well flooding in Tulsa and significant flooding for neighboring communities who have not implemented stringent flood as which target areas or audiences are using various

239 TULSA, OKLAHOMA CASE STUDY: 237 outreach projects. It also requires outcome-based mea - According to Tim Lovell, the eventual goal is to expand surements that are to be tracked over time to show the the PPI to include other hazards identified in the City of effectiveness of the messaging. Target areas and audi - Tulsa Multi-Hazard Mitigation Plan, such as such a wind and hail, because they may increase with climate change ences tracked include: areas subject to flooding by levee failure, areas subject to repetitive loss properties, areas (Lovell, 2014). This is consistent with FEMA requirements within City Regulatory and Special Flood Hazard Areas, to “...include a summary of the probabilities of future hazard events as well as changing future conditions” in and vulnerable populations. For the PPI, the definition for future Multihazard Mitigation Plans (FEMA, 2015). vulnerable populations is consistent with the 2014 City of Tulsa Multihazard Mitigation Plan, and includes the elderly; people in poverty; people who speak a language Tulsa Partners’ Language & Culture Bank other than English; people with mobility, hearing, visual The Language & Culture Bank is a communications and or other physical disabilities; people with developmen - outreach effort that provides a vehicle for people with tal or other cognitive disabilities; people with no access cross-cultural communication skills to assist community to private transportation; people with medical needs agencies in providing information to vulnerable popu - or medical/life support devices; and people with pets lations that may not be able to obtain the information (City of Tulsa, 2014, p. 5). Exhibit 2 describes one proj - 18 because of language or cultural barriers. ect associated with the PPI that focuses on vulnerable populations. The PPI is overseen by a committee under Tulsa Partners’ A Day Without Business the auspices of the City of Tulsa Stormwater Drainage and Hazard Mitigation Advisory Board. Tulsa Partners works with businesses to develop busi - ness continuity plans that ensure continued operations of a business when affected by adverse events, such as flooding. As part of this effort, Tulsa Partners holds the EXHIBIT 2. REDUCING VULNERABILITY recurring “A Day Without Business” symposium after UNDER THE CITY OF TULSA PROGRAM FOR high-profile events, such as following Hurricane Katrina, PUBLIC INFORMATION to increase business preparedness for extreme events. These symposia and other workshops are overseen by - Tulsa Partners is working on a project in conjunc Tulsa Partners’ Disaster Resistant Business Council. tion with the Oklahoma Silver Jackets, the City of Tulsa, and Tulsa County to better understand how perceptions of flood risk affect personal preparedness efforts, as well as general under - Acknowledgements standing of flood risk, in two separate vulnerable - We would like to thank the following people for partici areas located behind local levees. The residents pating in interviews as part of this case study: of these areas are vulnerable both because of their high-risk of flood events as well as the high Mr. Tim Lovell, • Tulsa Partners, Inc. rates of poverty and residential turnover. With Professional writer and consultant Ms. Ann Patton, • more extreme weather patterns occurring more frequently, these areas could be particularly • Mr. Ron Flanagan, Flanagan & Associates, LLC hard-hit. This project, which is a part of a larger Mr. Bill Robison, City of Tulsa • citywide PPI, is the first in a series of public infor - mation and education efforts that will serve to Mr. Graham Brannin, City of Tulsa. • mitigate the larger danger of a flood event. Source: Tulsa Partners. 18. For more information about Tulsa Partners Language & Culture Bank, see http://tulsapartners.org/tpi/tulsa-language-culture-bank/ .

240 TULSA, OKLAHOMA CASE STUDY: 238 Lovell, T. 2014. Interview with Tim Lovell, Executive Bibliography Director at Tulsa Partners, Inc. October 15. 100 Resilient Cities. 2014. Tulsa’s Resilience Challenge. Natural Hazard Mitigation Association. 2012. Resilient Rockefeller Foundation. Available: http://www.100re - Neighbors Network, Framework Plan. Plan prepared by silientcities.org/cities/entry/tulsa . Accessed December Resilient Neighbors Network Steering Committee and 29, 2014. Natural Hazard Mitigation Association. Plan supported by Emergency Management Agency, the Federal ACS. 2012. American Community Survey. American Insurance and Mitigation Administration, and Natural FactFinder. Available: http://factfinder.census.gov/faces/ Hazard Mitigation Association’s Blue Ribbon Advisory nav/jsf/pages/index.xhtml . Accessed August 19, 2013. Team. December 31. Brannin, G. 2014. Interview with Graham Brannin, NFIP/CRS. 2014. Developing a Program for Public Planning and Intergovernmental Administrator, City of Information for Credit under the Community Rating Tulsa. October 15. System of the National Flood Insurance Program. National Flood Insurance Program/Community Rating City of Tulsa. 2014. City of Tulsa Program for Public System. Available at http://crsresources.org/files/300/ Information. R.D. Flanagan & Associates and Tulsa developing_a_ppi_for_credit_under_the_crs_2014. Partners. December 2014. . Accessed September 10, 2015. pdf City of Tulsa. Undated. Flood Control and Drainage. NOAA. 2015. Tulsa, Oklahoma Total Monthly and https://www.cityoftulsa.org/city-ser Available: - Yearly Rainfall. National Weather Service Weather . Accessed vices/flood-control/flooding-history.aspx Forecast Office, National Oceanic and Atmospheric November 5, 2014. Administration. Updated: July 15, 2015. Available at . http://www.srh.noaa.gov/tsa/?n=climo_tulyearrain FEMA. 2015. Hazard Mitigation Planning Frequently Accessed July 21, 2015. Asked Questions. Federal Emergency Management - https://www.fema.gov/haz Agency. Available at Patton, A. 1993. From Harm’s Way. Flood Hazard . ard-mitigation-planning-frequently-asked-questions Mitigation in Tulsa, Oklahoma. December. Accessed August 21, 2015. Patton, A. 2009. A Tulsa story: Learning to live in Flanagan & Associates. 2009. Multi-Hazard Mitigation harmony with nature. In Global Warming, Natural Plan—2009 Update. City of Tulsa. Hazards, and Emergency Management, J.A. Bullock, G.D. Haddow, and K.S. Haddow (eds.). CRC Press, Boca Flanagan, R. 2014. Interview with Ron Flanagan, Raton, FL. Principal at Flanagan & Associates, LLC. October 15. Patton, A. 2014. Interview with Ann Patton, Flesher, J. 2014. City Planners avoid politics of ‘climate Professional Writer and Consultant. November 14. change’ label, saying they just want to ‘get ready.’ Associated Press. September 10. Patton, A., J.K. Meshek, R. Flanagan, S. Hillman, M.L. Buchert, J. Page, D. Reynolds, and C. Williams. Liu L., Y. Hong, J. Hocker, M. Shafer, L. Carter, J. 2010. From Rooftop to River: Tulsa’s Approach to Gourley, C. Bednarczyk, B. Yong, and P. Adhikari. 2012. Floodplain and Stormwater Management. City of Analyzing projected changes and trends of tempera - Tulsa Stormwater Drainage Advisory Board and Public ture and precipitation in the southern USA from 16 Works Department. Financial assistance provided downscaled global climate models. Theoretical and by the Federal Emergency Management Agency, Applied Climatology 109(3–4):345–360. Oklahoma Department of Emergency Preparedness.

241 TULSA, OKLAHOMA CASE STUDY: 239 Qiao, L., Y. Hong, R. McPherson, M. Shafer, D. Gade, D. Williams, S. Chen, and D. Lilly. 2014. Climate Change and Hydrological Response in the Trans-State Oologah Lake Watershed—Evaluating Dynamically Downscaled NARCCAP and Statistically Downscaled CMIP3 Simulations with VIC Model. Water Resources Management 28(10):3291–3305. Robison, B. 2014. Interview with Bill Robison, Lead Engineer, Stormwater Project Coordination, City of Tulsa. October 15. Stafford, M. 1998. Uprooted town moves to higher ground after Midwest deluge of ‘93. Disaster: Government offered Pattonsburg, Mo., and other communities millions to move out of harm’s way rather than remain in flood plain. Los Angeles Times. Associated Press. July 12. Available: http://articles. latimes.com/1998/jul/12/news/mn-2946 . Accessed December 11, 2014.

242 CLIMATE ADAPTATION APPENDIX A: 240 Appendix A. Key Definitions a group of people living together in a Definitions for key terms we use in this report include: Community — - common geographic area, typically under a munici a policy, project, or program Adaptation action — pal jurisdiction such as a city or county, but sometimes defined by a watershed or other geographic characteristic. designed to reduce sensitivity or exposure to a climate vulnerability or to enhance adaptive capacity. the enterprise of reducing Community-based adaptation — vulnerability to climate impacts at the community level. Adaptation professionals — the community of profes - sionals from a variety of disciplines that focus on the Community-based champion — A person who catalyzes issue of adapting to climate change action to address current and future climate vulnerabili - ties. Typically a grass-roots organizer or a sustainability “[t]he ability of a system to adjust Adaptive capacity — to climate change (including climate variability and officer, city planner, emergency manager, elected official, or other public official involved in the day-to-day man - extremes), to moderate potential damages, to take advan - agement of municipal affairs. tage of opportunities, or to cope with the consequences” (IPCC, 2007, p. 869). While this definition of adaptive capacity is widely accepted, the literature is replete with Exposure — people or assets in places that could be additional perspectives about adaptive capacity that add adversely affected by climate impacts. value to any discussion of the concept. For example, the “assets”-based approach to adaptive capacity describes - Resilience — For this project, we avoid the term “resil adaptive capacity as the availability of economic, tech - ience” even though it is broadly used in the climate - nological, informational, natural, built, and social capital adaptation field. This is because we view resilience nar rowly as an element of adaptive capacity, or the ability to adjust to or take advantage of climate impacts; this is to adjust to climate change. In other words, we subsume highly relevant to many adaptation actions profiled in this resilience under vulnerability for purposes of this project. report. However, it is also helpful to distinguish the need for developing “generic adaptive capacity” to address basic community development needs versus “specific “the degree to which a system is affected, Sensitivity — adaptive capacity” to address clearly identified and delim either adversely or beneficially, by climate variability or - ited climate vulnerabilities (Eakin et al., 2014). change” (IPCC, 2007, p. 881). Sensitivity concerns what happens to a system once it is exposed to a climate Climate adaptation — responses to climate variability, impact. extreme events, and climate change. - Vulnerability — “the degree to which a system is sus Climate change — - ceptible to, and unable to cope with, adverse effects changes in climate variables and pat of climate change, including climate variability and terns of weather over time because of a warming of the extremes. Vulnerability is a function of the character, Earth’s atmosphere. magnitude, and rate of climate change and variation to which a system is exposed, its sensitivity, and its adap - the effect experienced by a human or Climate impact — tive capacity” (IPCC, 2007, p. 883). natural system as a result of climate variability, extreme events, or climate change, such as droughts, flooding, or sea level rise.

243 CLIMATE ADAPTATION APPENDIX A: 241 References , and . 2014. Eakin , H.C., D.R. Nelson M.C. Lemos Differentiating capacities as a means to sustainable climate change adaptation. Global Environmental Change 27:1–8. IPCC. 2007. Climate Change 2007: Impacts, Adaptation and Vulnerability. Contribution of Working Group II to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change , M.L. Parry, O.F. Canziani, J.P. Palutikof, P.J. van der Linden, and C.E. Hanson (eds.). Cambridge University Press, Cambridge, UK.

244 CLIMATE ADAPTATION APPENDIX B: 242 Appendix B. Methods - his project was a two-year research effort con Activity Stream 1: 19 T and funded by The ducted by Abt Associates Understand Community-Based Kresge Foundation. The goal was to conduct an Adaptation State-of-the-Practice empirical assessment of community-based adaptation through a project with methodological breadth and To ensure that our work built on the ongoing progress depth. To achieve this goal, we surveyed the field of in the field of community-based adaptation, we began - climate adaptation through a review of selected tech by compiling a baseline of important community-based nical and professional literature that aimed to evaluate adaptation activities and issues. This was based primarily the state of the practice. We supplemented this effort on a targeted literature review and a series of thought- with interviews of 50 thought leaders from a variety leader interviews. of fields relevant to climate adaptation. This allowed us to understand where adaptation professionals felt Our literature review focused on several notable efforts the state of the practice was at. We then engaged in undertaken recently to assess the state-of-the-practice of primary research: we conducted case studies of specific climate adaptation, including National Research Council, adaptation actions implemented in 17 United States 2010; Bierbaum et al., 2012; Carmin et al., 2012; Hansen et communities. Our case study research incorporated site al., 2013; Thayer et al., 2013; and Melillo et al., 2014. visits, archival reviews, and interviews in all 17 commu - nities. A nine-person project team at Abt Associates - We also conducted 50 hour-long thought-leader inter conducted the research; three technical advisors and a views in early 2014 (see Appendix C for a list). The 16-member project advisory committee provided crit - interviews were semi-structured and relied heavily on ical input for this report. open-ended questions (see Appendix D), which typically elicited lengthy responses and in many cases resulted in Below, we discuss the six basic streams of research highly productive conversations. After completing the and analytical activity that we conducted to develop interviews, we synthesized the responses related to: (1) - this report. Some of these activities took place in par community-based adaptation motivation, planning, and allel, and all research activities were part of a reflexive, action; (2) barriers to adaptation; and (3) community process-based approach to allow insights from any one engagement. See Appendix E for a summary of insights analytical activity to inform and refine other analytical from thought leader interviews. - activities. For more detail on the assumptions and nor mative perspectives that framed this project, please see Chapter 1: Introduction. The activity streams discussed Activity Stream 2: below sometimes occurred concurrently or iteratively. Develop an Analytical Framework Their order is not meant to imply linearity or chronology in our research process. Under this stream of activity, we constructed an overar - ching analytical framework to guide observations and to - integrate insights and other findings from our compila tion of research inputs. This aspect of our research and analytical approach was designed to be reflexive; that is, we recognized and intended that it would evolve over the course of the project. 19. The Kresge Foundation provided a grant for this project to Stratus Consulting Inc., which merged with Abt Associates during the project.

245 CLIMATE ADAPTATION APPENDIX B: 243 We developed an initial project framework to help the - planning, environmental justice, natural resource man research team share a common conceptual orientation agement, insurance, and community engagement and and to provide structure to initial research steps. This communications. The PAC was asked to contribute to framework consisted of a set of key categories, includ and critique the project research approach, to provide - guidance and feedback on case study selection, to review ing motivations for pursuing adaptation interventions, planning processes that support those interventions, and critique project inputs and findings, and to assist in - engaging audiences and communicating project out and implementation activities. We used the framework comes. We met in person with the PAC three times over to develop a semi-structured interview protocol for the the course of the project to elicit and gather feedback, thought-leader interviews in Activity Stream 1 and to and held several webinar briefings to gather additional develop the research protocol for case study develop - feedback. Our technical advisors provided review and ment in Activity Stream 4. technical advice on all project components and activity The analytical framework evolved over the course of the streams, including the project framework, the case study community selection process, our research methodol project, in keeping with our reflexive research approach. - ogy, early-stage case study outlines, draft case studies, Each manifestation of a framework for the project was project findings, our communications strategy, and the informed by the evidence gathered up to that point; we analysis and final report. Although the PAC and technical made modifications to facilitate progress on the research - project. For example, based on insights from the thought advisors provided ongoing advice throughout the proj ect, including project design, conduct, and completion, leader interviews, we revised the framework for case - the final responsibility for this project report, its conclu study selection; based on insights from case study selec - sions, and its recommendations rest solely with the Abt tion, we revised the framework for case study research; Associates project team. and based on insights from the first pilot case studies, we revised the framework for later case studies. Activity Stream 4: Activity Stream 3: Conduct Case Studies Obtain External Expert Guidance To further ensure that project observations and find - To ensure that project outputs would be useful for ings were relevant and applicable to community-based community-based champions, salient for adaptation - champions, we developed case studies of vulnerabili professionals, and grounded in the latest knowledge in ty-reducing actions across a range of communities in the field, we sought a team of external experts in climate the United States. We considered more than 110 poten - adaptation and related fields to provide input through - tial community-based adaptation actions for full case out the project and to critique each activity stream. We study development, virtually all of which were identified through the thought-leader interviews. We used a range did this by engaging a project advisory committee (PAC) and using specialized technical advisors. of criteria to winnow this list down to the 17 case stud - ies included in this report (beginning on page 48). We sought to include a diversity of actions and approaches The PAC included nationally recognized experts from for reducing vulnerability to different types of climate various fields related to community-based adaptation, impacts in communities that varied in geography, size, including climate adaptation, natural hazards mitigation,

246 CLIMATE ADAPTATION APPENDIX B: 244 Appendix B. (continued) Methods socioeconomics, and political orientation. We aimed to and enable community-based champions, engage in an empirical assessment, and provide conclusions and explore the greatest number of cases studies possible in the greatest possible depth we could achieve, given tactical recommendations to assist adaptation profes - sionals and community-based champions of climate available time and resources. adaptation. These activities included developing and To ensure consistency in the collection of our case-based testing qualitative cross-case narratives, surveying case study researchers for cross-case insights, and extensive information, we developed a research protocol to help analysis and review by the project team, our technical researchers systematically examine common enabling advisors, and the PAC. Ultimately, we developed Chapter and limiting factors that can shape adaptation action. 2: Case Studies and Cross-Case Findings based on this For each case study, a member of the research team cross-case analysis. Our conclusions and recommenda conducted background research, project site visits, - tions emerge from this cross-case analysis as well as our in-person interviews, and follow-up interviews via email selected literature review and thought leader interviews. or telephone. In this activity stream, we minimized researcher judgment as much as possible and attempted to reduce researcher bias through multiple rounds of internal research team, TA, and PAC reviews. The case Activity Stream 6: studies were developed to capture the interviewees’ Share Project Findings perception of essential factors that shaped the devel - opment, implementation, and evaluation of the action. We aimed to develop and communicate useful project - outputs to community-based champions who could ben efit from learning about good practices; we also wished to help advance the state-of-the-practice of climate Activity Stream 5: adaptation. To support widespread dissemination of Compare Case Studies findings from this project, we are undertaking comple - mentary communication efforts to reach our intended We used information and observations gleaned from the first four activity streams to assess what was achieved audiences. The key project outputs are this final report, at the community level, both in specific communities, as the 17 case studies, and a companion project website. well as in aggregate across our portfolio of case studies. Additionally, we are focused on developing numerous We also assessed how communities accomplished those webinars, professional conference presentations, and publications. - achievements. We then engaged in multiple indepen dent analytical activities to build on this record to assist

247 CLIMATE ADAPTATION APPENDIX B: 245 References Bierbaum, R., J.B. Smith, A. Lee, M. Blair, L. Carter. F.S. Chapin III, P. Flemming, S. Ruffo, M. Stults, S. McNeely, E. Wasley, and L. Verduzco. 2012. A Comprehensive Review of Climate Adaptation in the United States: More than Before, but Less than Mitigation and Adaptation Strategies for is Needed. Available: Global Change. http://link.springer.com/ article/10.1007%2Fs11027-012-9423-1#page-2 . Carmin, J., N. Nadkarni, and C. Rhie. 2012. Progress and Challenges in Urban Climate Adaptation Planning: Results of a Global Survey. Massachusetts Institute of Technology, Cambridge. Hansen, L., R.M. Gregg, V. Arroyo, S. Ellsworth, L. Jackson, and A. Snover. 2013. The State of Adaptation in the United States: An Overview. A Report for the John D. and Catherine T. MacArthur Foundation. EcoAdapt. Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). Climate Change Impacts in the United States: The 2014. U.S. Global Change Third National Climate Assessment. Research Program. doi:10.7930/J0Z31WJ2. National Research Council. 2010. Adapting to the Impacts of Climate Change. The National Academies Press, Washington, DC. Thayer, J., M. Rider, and D. Lerch. 2013. Resilient Against What?: How Leading U.S. Municipalities are Understanding and Acting on Resilience. Post Carbon http://www.postcar Institute. October 16. Available: - . bon.org/publications/resilient-against-what/ Accessed August 27, 2015.

248 CLIMATE ADAPTATION APPENDIX C: 246 Appendix C. List of Thought-Leader Interviews Exhibit C.1. List of interviewees, in alphabetical order Name If applicable, includes Expert area Organization names of other participants Institute for Sustainable Communities Adams, Steve Adaptation Aggarwala, Rohit Sustainability Bloomberg and Columbia University; formerly Head of the New York City Office of Long Term Planning and Sustainability Arroyo, Vicki and Law, adaptation Georgetown Climate Center Jessica Grannis Natural hazards mitigation Soldier’s Grove, DOE; formally worked with FEMA Becker, Bill during Clinton Admin on Project Impact Berginnis, Chad Association of State Floodplain Managers Natural hazard mitigation, particularly flooding Brunner, Ron Department of Political Science, University of Political science, adaptation Colorado Boulder Native villages University of Alaska Chapin, Terry American Littoral Society Dillingham, Tim Coastal restoration Fitzgerald, Garret Urban Sustainability Directors Network Community networking Fleming, Paul Seattle Public Utilities Water, community government, adaptation Natural systems Hector, Galbraith National Wildlife Federation Model Forest Policy Program Adaptation planning in rural/small Gillian, Nancy and Gwen Griffith localities Community-based adaptation GEOS Institute Graham, Tonya and Marni Koopman Communication Grimm, Kristin Spitfire Strategies Natural hazard mitigation Bullock & Haddow, LLC; formerly White House Liaison Haddow, George and Deputy Chief of Staff to FEMA under Clinton Hansen, Lara EcoAdapt Adaptation Horton, Radley Northeast Climate Science Center, Columbia University Climate modeling Johnson, Zoe Adaptation, state and local State of Maryland Hazards mitigation Carnegie Mellon University Klima, Kelly Kovacs, Paul Property and Casualty Insurance Compensation Adaptation, Canada Corporation Laska, Shirley University of New Orleans Environmental justice

249 CLIMATE ADAPTATION APPENDIX C: 247 Exhibit C.1. List of interviewees, in alphabetical order Name If applicable, includes names of other participants Organization Expert area Natural hazard mitigation Tulsa Partners Lovell, Tim McKensie-Mohr & Associates, Inc. Community-based social marketing McKenzie-Mohr, Doug Meis, Kate Mitigation and adaptation Local Government Commission Environmental justice, public health University of California, Berkeley, Department of Morello-Frosh, Rachel Environmental Science, Policy & Management Susanne Moser Research & Consulting Adaptation Moser, Susanne South Florida Regional Planning Council Adaptation Murley, Jim Sustainability Orr, David Oberlin College, The Oberlin Project University of Southern California Pastor, Manual Environmental justice Environmental justice NAACP Patterson, Jacqui ASAP; Adaptation International Peterson, Sascha Adaptation Pike, Cara Climate Access Communication Reeve, Kara National Wildlife Federation Community adaptation, natural systems Insurance, natural hazard mitigation Rochman, Julie Institute of Business and Home Safety Planning; natural hazard planning Manager of Hazards Planning Research Center at Schwab, Jim American Planning Association WeAct Environmental Justice Shepard, Peggy City of Seattle Sustainability Simmons, Jill University of Saskatchewan Community-based planning Steelman, Toddi Community adaptation, natural Stein, Bruce National Wildlife Federation systems Stults, Missy University of Michigan Adaptation Tabor, Gary Center for Large Landscape Conservation Natural systems Thomas, Edward Natural hazards mitigation President of the Natural Hazards Mitigation Association Adaptation Senior Advisor for Climate Change Innovation, Venkataraman, Bina Executive Office of the President Center for Clean Air Policy Adaptation Winkelman, Steve ASAP: American Society of Adaptation Professionals; DOE: U.S. Department of Energy; FEMA: Federal Emergency Management Agency; NAACP: National Association for the Advancement of Colored People.

250 CLIMATE ADAPTATION APPENDIX D: 248 Appendix D. Thought-Leader Questionnaire Introduction One of our first steps is to reach out to leaders in the Thank you for taking some time to talk with me today. I adaptation field and in other project-related fields to want this be more of a conversation, so please feel free ensure that we develop a solid empirical foundation for to interrupt me at any time with questions or thoughts. the project. You are one of these leaders and we appre - ciate you taking the time to contribute to this project. I am part of a team at Stratus Consulting (Abt Associates); in partnership with The Kresge Foundation, we are con - Finally, I will be taking notes during the interview, so ducting an assessment of community-based adaptation please bear with me if I have to pause after you finish in the United States. The primary goal of this project is speaking to get everything written down. to understand how communities are adapting to climate variability and change. In particular, we hope to under - reduce their to action take communities stand how . vulnerabilities describe your experience with adaptation at a community level? 1. To begin, can you please briefly - Try to limit answer to 5 minutes. [ If prompting is needed, experience can include observing or assess ing communities taking action, and could include community-based action not specifically considered ] “adaptation.” Effectiveness Many communities in the United States are beginning to adapt to climate impacts. The next few questions are about the effectiveness of such community efforts. 2. In your experience, what gets communities motivated to adapt to climate impacts or reduce vulnerability? [ ] Internal list only—Do not read list. If necessary, use as a prompt. n Initiated mitigation/sustainability plan Agency lead n Champion n n Experienced extreme event(s) Following lead of other communities n n Other: Other: n Do you think there is a difference between communities that get started by responding to an extreme 3. weather event (or events) compared to those that proactively plan for climate adaptation?

251 CLIMATE ADAPTATION APPENDIX D: 249 4. What has been useful in moving communities towards implementing adaptation actions? Prompts, if needed: How did you get started? Think of it in the context of a specific community. [ ] Transition to [ ]: ACTION Now I’d like to move on from understanding what motivated communities and focus our attention on how . communities take action How have communities identified and selected adaptation actions that will reduce their 5. vulnerability to climate? How have communities engaged constituencies to gain support for actions to reduce vulnerability? 6. Who are the primary community audiences being engaged? a. b. What are the primary communication or engagement methods or tools that are used? Barriers Many communities in the United States have run into challenges or barriers to reducing their vulnerabilities. The next few questions focus on these barriers. What do you see as the main barriers for communities in adapting to climate impacts? 7. ] Internal list only—Do not read list. If necessary, use as a prompt. [ Lack of funding n Politics and/or political environment n Lack of support from higher levels of government n Lack of community support n Lack of a champion n Lack of knowledge/information n [ ] can either be climate data or how to adapt Sense that planning is enough n Negative reactions to the concept of climate change n Other: n n Other: Other: n [ Potential follow-up question ]: I’d like to get your feedback on community challenges that have been identified by others. How important do you ] as a barrier to community adaptation? insert barrier—ask about politics in particular if not mentioned earlier see [ Opportunity to pull from above list if you judge it appropriate for this specific interviewee. ] [

252 CLIMATE ADAPTATION APPENDIX D: 250 Appendix D. (continued) Thought-Leader Questionnaire 8. Do you think communities can begin the adaptation process without explicitly talking about climate change? Do you know of communities that have overcome these barriers in the path to adaptation? If so, how? 9. Lack of funding n Politics and/or political environment n Lack of support from higher levels of government n Lack of community support n Lack of a champion n ] Lack of knowledge/information n can either be climate data or how to adapt [ Sense that planning is enough n Negative reactions to the concept of climate change n Other: n n Other: Other: n Conclusion I have a few concluding questions. A key goal of our study is to share our findings with community adaptation leaders and organizations. 10. Can you recommend effective approaches for disseminating this information to the right people? a. b. Are there any ways that you could help us with the information dissemination process [ if prompting ] is needed, networks that they belong to, courses they teach, conferences or workshops they present at ? 11. Do you know of others who have experience that would benefit this project and who we should contact? Are there specific communities that we should investigate more closely? 12. 13. Finally, is there anything that you would like to add? Anything that I should have asked you but didn’t? I appreciate your time today — thank you!

253 CLIMATE ADAPTATION APPENDIX E: 251 Appendix E. Summary of Insights from Thought-Leader Interviews 20 conducted 50 he Abt Associates Project Team Motivation - T interviews with thought leaders from diverse disci The interviews revealed more than 30 factors that plines —adaptation, community-based decision making, prompted communities to begin an adaptation process natural hazards mitigation, environmental justice, law, or reduce their vulnerabilities. The following motivating - insurance, and sustainability (see Appendix A for a com categories emerged from four or more interviews, and plete list of interviewees, their affiliations, and expertise are in order of frequency of mention: areas). Interviews took place from February 13, 2014, to April 28, 2014. Each interview lasted approximately one Extreme events. • Recent large events or recurring hour. The semi-structured interviews posed open-ended events were the most frequently cited motivating questions, which typically elicited lengthy responses and factor for communities to begin adaptation. productive conversations between the interviewer and • Strong leadership. Leadership from a champion, such the interviewee. Each interviewer worked from a stan - as an elected official, an agency staff member, or other dard series of questions in a semi-structured interview - actively engaged community member, can be criti template (see Appendix B for our list of questions). cal to raising awareness and motivating a community towards adaptation planning and action. This appendix provides a brief summary of interviewees’ insights about community-based adaptation, which we Peer action. • Seeing what other communities are organized into three major categories: doing can help start the adaptation process. It can also build healthy competition among communities 1. Community-based adaptation processes, specifi - to be a leader in climate adaptation. cally issues of motivation, planning, and action Communities may undertake adaptation Insurance. • Barriers to adaptation 2. - activities to regain insurance for homes and busi 3. Thoughts regarding community engagement. nesses after an extreme event or to benefit from a more favorable insurance rate. At least one thought leader mentioned each point below, Regulatory drivers. • Government requirements, and many of these insights emerged from several of the mandates, or enforcement actions can help raise interviews. We report insights into adaptation at the - awareness about climate change and motivate com - community level, as well as thought leaders’ recom munities to adapt. mendations for future action. Although some thought leaders’ perspectives align on several adaptation issues, Communities may begin the adaptation pro • Funding. - - some of the views expressed below may not be consen cess because funding is available from local, state, sus views among the thought leaders. or federal governments; foundations; or nonprofit organizations. A number of • Mitigation or sustainability efforts. Community-Based Adaptation thought leaders indicated that there is a shift in focus Processes from greenhouse gas mitigation to adaptation. In - This section summarizes key interview themes on com addition, some said that sustainability and mitigation munity-based adaptation within three major areas: plans are increasingly incorporating adaptation and motivation, planning, and action. climate risks. Members of the project team who conducted interviews included Jason Vogel, Megan O’Grady, Alexis St. Juliana, Heather Hosterman, and Joel Smith. 20.

254 CLIMATE ADAPTATION APPENDIX E: 252 Appendix E. (continued) Summary of Insights from Thought-Leader Interviews • Allowing for a necessary time lag between planning Planning Communities do not go straight and implementation. Although we did not explicitly ask about adaptation from planning to implementation; there is a time lag. planning, several thought leaders indicated that their They may need to wait for an update to another plan, - adaptation activity is concentrated on analysis and plan for example. ning. Some interviewees suggested that an adaptation plan, alone, can help decrease community vulnerabil - • Several thought leaders indicated Lack of action. ity. Others suggested that the pathway from planning that few examples of adaptation action exist in the to taking action is a significant obstacle for many United States. communities. Action Barriers We asked thought leaders how communities identify, We asked thought leaders about the barriers that com - select, and implement adaptation actions to reduce munities face in reducing their vulnerabilities and how climate vulnerability. A few themes emerged from this communities have overcome these barriers on the path discussion, including: to adaptation. Thought leaders mentioned the following • - Using existing processes, regulations, and mecha barriers, in order of frequency of mention: Communities nisms to implement adaptation actions. - Many interviewees said that commu Lack of funding. • - can integrate adaptation actions into existing pro nities lack the funding to develop adaptation plans cesses, regulations, and mechanisms. For instance, or implement adaptation actions. In particular, high - hazard plans can include elements of climate adapta price tags for adaptation or adaptation planning can tion by planning for future events and hazards. scare people away, especially when the community Focusing on actions that have multiple benefits. • has limited funds for meeting many important com - Communities are more willing to undertake actions munity purposes. that have multiple benefits. For example, emergency Uncertainty, Lack of knowledge and information. • or hazard mitigation planning can include planning for including lack of general and localized climate data a wide range of hazards over a specific time horizon. and uncertainty about climate projections or climate Small actions. Engage community members “where • - impacts, can inhibit communities or community lead they are” on the issues that matter to them and in a ers from taking action. way that resonates with their priorities. For example, • These can be Politics or the political environment. communities could be engaged on a small action that a barrier to adaptation. For example, a short election reduces impacts they are currently experiencing, such cycle can limit the political will to tackle long-term as a small action to develop an erosion control project. adaptation issues. The idea of climate change can • Tools can help communities move beyond Tools. itself be a hot-button issue that detracts from the goal planning. of reducing vulnerability. - Engaging dedicated technical staff. Dedicated tech • Lack of resources, staff, and capacity. In some cases, • nical staff can help to usher adaptation through to its communities may not have staff with the necessary completion. knowledge to conduct vulnerability assessments,

255 CLIMATE ADAPTATION APPENDIX E: 253 develop adaptation plans, or implement adaptation If not communicated properly, adaptation can Fear. • plans. Lack of other resources can also pose problems. lead to perceptions that things are being “taken away” from individuals or the community. • Governments must have sufficient Lack of authority. Climate change might feel like a Lack of urgency. • authority to implement adaptations. Coordinating - problem that is far in the future. This can make adap multiple communities without such authority can be a challenge. tation planning and implementation a low priority in some communities. Legal barriers. - • Adaptation policies must be in com pliance with federal and state law and regulations. Communities have More pressing day-to-day needs. • Community Engagement short-term priorities that often take precedence over adaptation. Several of the interview questions focused on issues surrounding community engagement, including whom Lost property tax revenue. • Limiting development, to engage, how to engage them, and what messages such as along valuable coastal areas, can result in lost to use. Below, we outline some of the key community property tax revenue. engagement themes that emerged. • Unrealistic optimism, amnesia about past events, or denial. In some cases, communities feel a sense Whom to Engage of optimism that they will face few challenges from Interviewees focused on two dominant messages about climate change. In other cases, communities may feel whom to engage: that the messenger matters, and that that they will not experience extreme events again. - the engagement process should target the communi • Communities may resist change Sentimentality. ty’s needs. Information about climate change adaptation because they feel they might lose their history or needs to come from a trusted source. Several thought unique characteristics. leaders said that community engagement should be - broad and inclusive, engaging all interested commu Many Lack of understanding of adaptation options. • nity members and stakeholder groups early on and communities do not know what the adaptation options throughout the adaptation process. Others felt it was are; they need help understanding the options and more important to focus on engaging key constituencies, selecting the right one. such as government agencies or key community groups. One Organizational, cultural, or institutional inertia. • of the challenges for adaptation, in particular, is for How to Engage government entities to work across agencies. Some Several thought leaders shared thoughts and experience communities lack a history of collaboration among on how to engage a community, including: departments or agencies. • Misunderstanding of data. Leading with a “climate change” message is not • Many communities feel You can often address the issue of climate necessary. they need site-specific data to make decisions or move change adaptation from a starting point that the com - - forward. However, climate models are not yet sophisti munity feels is more relevant. cated enough to provide the information communities they need. think

256 CLIMATE ADAPTATION APPENDIX E: 254 Appendix E. (continued) Summary of Insights from Thought-Leader Interviews Work incrementally. A message about climate Use positive messages. • • In some communities, it makes sense to start small and gain support along the way. change vulnerabilities may not effectively motivate adaptation. Community Community engagement is complex. • engagement can be more complex and time consuming • Emphasize economic resilience. Framing adaptation than communities realize. Communities should be sure in terms of avoided financial costs in the future, or to have an effective communications strategy in place. conducting a cost-benefit analysis can be an effective communication tool. Promoting an adap - • Take advantage of opportunities. tation action immediately after a severe event is an Understand what information is currently being • example of taking advantage of a community engage - Information and data can be tailored to meet used. ment opportunity. - the needs of local engineers or managers. Local plan ners and engineers are already using climate data to Adaptation Take a whole-community approach. • make decisions. should be not be considered in a vacuum. Develop a comprehensive approach that addresses current Sometimes adaptation pro • - Use existing information. issues in addition to climate change. fessionals complain that communities do not have sufficient climate data. In reality, sufficient data exist, Seeing what other communities are Peer action. • - but we need to do a better job targeting climate infor doing, with good results, can be an important moti - mation to community information needs. vator to start or continue the adaptation process. Some Improve knowledge of available resources. • Communities need to Prepare advanced messaging. • interviewees said that existing tools and resources have their messaging prepared in advance of extreme are sufficient, but communities need to know where events. There is a narrow window to act following to look. an event. Focus on strategies that have multiple benefits. • Understand “where the community is” and meet • Communities are more likely to support strategies that them there. This may mean focusing on an issue produce multiple community benefits. seemingly distant from climate adaptation—such as building a robust economy or preserving local environmental resources—and then shifting toward adaptation and vulnerability reduction. Miscellaneous What Message to Use Other key thoughts and feedback we heard from the interviewees included: Finally, thought leaders emphasized that the message is important: make climate change adaptation relevant at - Communities may not actually use the tools devel • the community level. Appeal to what matters to people oped by governments and academics and what affects them every day. If the community believes that climate change impacts will occur 50 or • Citizens tend not to read reports and may be more responsive to other media for communication - 100 years from now, it will be difficult to move the adap tation process forward.

257 CLIMATE ADAPTATION APPENDIX F: 255 Appendix F. References Ekstrom, J. A., & Moser, S. C. (2014). Identifying and Executive Summary overcoming barriers in urban climate adaptation: Case study findings from the San Francisco Bay Area, Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). 10.1016/j. , 54–74. doi: California, USA. , Urban Climate 9 2014. Climate Change Impacts in the United States: The .2014.06.002 uclim Third National Climate Assessment. U.S. Global Change Research Program. doi:10.7930/J0Z31WJ2. Finzi Hart, J.A., P.M. Grifman, S.C. Moser, A. Abeles, M.R. Meyers, S.C. Schlosser, and J.A. Ekstrom. Rising to the Challenge: Results of the 2011 2012. California Coastal Adaptation Needs Assessment. Chapter 1: Introduction USCSG-TR-01-2012. USC Sea Grant, Los Angeles, CA. https://woods.stanford.edu/sites/default/ Available: Adger, W.N., N.W. Arnell, and E.L. Tompkins. 2005. files/files/CACoastalAssessmentResults.pdf . Accessed Successful adaptation to climate change across scales. August 27, 2015. Global Environmental Change-Human and Policy 15:77–86. Dimensions Hansen, L., R.M. Gregg, V. Arroyo, S. Ellsworth, L. Jackson, and A. Snover. 2013. The State of Adaptation in Bierbaum, R., J.B. Smith, A. Lee, M. Blair, L. Carter. the United States: An Overview. A Report for the John F.S. Chapin III, P. Flemming, S. Ruffo, M. Stults, D. and Catherine T. MacArthur Foundation. EcoAdapt. S. McNeely, E. Wasley, and L. Verduzco. 2013. A Comprehensive Review of Climate Adaptation in Higbee, M. 2014. Integrating Hazard Mitigation and the United States: More than Before, but Less than Climate Adaptation Planning: Case Studies and is Needed. Mitigation and Adaptation Strategies for Lessons Learned. For the 2015 San Diego County Global Change . Available: http://link.springer.com/ Multi-Jurisdictional Hazard Mitigation Plan Updated. article/10.1007%2Fs11027-012-9423-1#page-2 . ICLEI-Local Governments for Sustainability USA. http://icleiusa.org/wp-content/ February. Available: Brunner R.D. and A.H. Lynch. 2010. Adaptive uploads/2015/08/Integrating-Hazard-Mitigation- Governance and Climate Change. American and-Climate-Adaptation-Planning.pdf Accessed . Meteorological Society, Boston. August 27, 2015. Carmin, J., N. Nadkarni, and C. Rhie. 2012. Progress Hughes, S. (2015). A meta-analysis of urban climate and Challenges in Urban Climate Adaptation Planning: Urban Climate , change adaptation planning in the US. Results of a Global Survey. Massachusetts Institute of .2015.06.003 14 , 17–29. doi: 10.1016/j.uclim Technology, Cambridge. Intergovernmental Panel on Climate Change, Dow, K., Haywood, B. K., Kettle, N. P., & Lackstrom, 2013: Climate Change 2013: The Physical Science - K. (2013). The role of ad hoc networks in sup Basis. Contribution of Working Group I to the Fifth porting climate change adaptation: A case study Assessment Report of the Intergovernmental Panel Regional from the Southeastern United States. on Climate Change [Stocker, T.F., D. Qin, G.-K. Environmental Change 13 , (6), 1235–1244. doi:10.1007/ Plattner, M. Tignor, S.K. Allen, J. Boschung, A. Nauels, s10113-013-0440-8 Y. Xia, V. Bex and P.M. Midgley (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 1535 pp.

258 CLIMATE ADAPTATION APPENDIX F: 256 Appendix F. (continued) References Intergovernmental Panel on Climate Change, 2014: Adapting to the National Research Council. 2010. Climate Change 2014: Impacts, Adaptation, and . America’s Climate Impacts of Climate Change Vulnerability. Part A:Global and Sectoral Aspects. Choices: Panel on Adapting to the Impacts of Contribution of Working Group II to the Fifth Climate Change. National Research Council. The National Academies Press, Washington, DC. Assessment Report of the Intergovernmental Panel on [Field, C.B., V.R. Barros, D.J. Dokken, http://www.nap.edu/catalog/12783/ Available: Climate Change K.J. Mach, M.D. Mastrandrea, T.E. Bilir, M. Chatterjee, . adapting-to-the-impacts-of-climate-change K.L. Ebi, Y.O. Estrada, R.C. Genova, B. Girma, E.S. Kissel, Rapson, R. 2013. The ‘Fierce Urgency of Now’: A.N. Levy, S. MacCracken, P.R. Mastrandrea, and L.L. Getting the Climate Question Right. April 9 White (eds.)]. Cambridge University Press, Cambridge, address at the University of Michigan Law School’s United Kingdom and New York, NY, USA, 1132 pp. Environmental Law and Policy Program Lecture Kauneckis, D. and O. Cuffe. 2011. State and Local Series. April 9. Available: http://kresge.org/about-us/ Government Perspectives on Climate Change Priorities: presidents-corner/fierce-urgency-now-getting-climate- Accessed August 27, 2015. Results from a Survey in the State of Nevada. Department question-right . of Political Science, University of Nevada, Reno. Ray, A. and J. Grannis. 2015. From Planning to Action: Implementation of State Climate Change Adaptation MDB. 2012. Joint MDB Report on Adaptation Finance Volume Michigan Journal of Sustainability Plans. 2011. A Report by a Group of Multilateral Development http://dx.doi.org/10.3998/ 3, Spring. Available: Banks comprising the African Development Bank, mjs.12333712.0003.001 Accessed August 27, 2015. the Asian Development Bank, the European Bank . for Reconstruction and Development, the European Investment Bank, the Inter-American Development Rosenzweig, C., Solecki, W., Hammer, S. a, & Mehrotra, S. (2010). Cities lead the way in climate-change action. Bank, the World Bank, and the International Finance Corporation. December. (7318), 909–911. doi:10.1038/467909a 467 , Nature Shi, L., E. Chu, and J. Debats. 2015. Explaining progress Meerow, S., Newell, J. P., & Stults, M. (2016). Defining urban resilience: A review. in climate adaptation planning across 156 U.S. munici - Landscape , 147 . Journal of the American Planning Association palities. 10.1016/j. and Urban Planning , 38–49. doi: landurbplan .2015.11.011 doi:10.1080/01944363.2015.1074526 Smit, B., I. Burton, R.J.T. Klein, and J. Wandel. 2000. An Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). - Climate Change Impacts in the United States: The anatomy of adaptation to climate change and variabil 2014. Climatic Change ity. U.S. Global Change 45:223–251. Third National Climate Assessment. Research Program. doi:10.7930/J0Z31WJ2. Srivastava, R., & Laurian, L. (2006). Natural hazard Successful Moser, S.C. and M.T. Boykoff (eds.). 2013. mitigation in local comprehensive plans: The case of flood, wildfire and drought planning in Arizona. Adaptation to Climate Change: Linking Science and Policy Disaster Prevention and Management Routledge, New York. 15 (3), 461–483. in a Rapidly Changing World. , doi:10.1108/09653560610669936

259 CLIMATE ADAPTATION APPENDIX F: 257 Thayer, J., M. Rider, and D. Lerch. 2013. Resilient Global Barnett, J., & O’Neill, S. 2010. Maladaptation. 10.1016/j. Environmental Change Against What?: How Leading U.S. Municipalities are (2), 211–213. doi: 20 , .2009.11.004 gloenvcha Understanding and Acting on Resilience. Post Carbon Institute. October 16. Available: http://www.postcarbon. Berrang-Ford, L., Ford, J. D., & Paterson, J. 2011. . Accessed org/publications/resilient-against-what/ Global August 27, 2015. Are we adapting to climate change? 10.1016/j. (1), 25–33. doi: 21 , Environmental Change .2010.09.012 UNFCCC. 2014. Adaptation. United Nations Framework gloenvcha Convention on Climate Change. Available: http://unfccc.int/adaptation/items/4159.php . Bierbaum, R., J.B. Smith, A. Lee, M. Blair, L. Carter. Accessed August 27, 2015. F.S. Chapin III, P. Flemming, S. Ruffo, M. Stults, S. McNeely, E. Wasley, and L. Verduzco. 2013. A Comprehensive Review of Climate Adaptation in the United States: More than Before, but Less than Chapter 2: Case Studies and is Needed. Mitigation and Adaptation Strategies for Global Change. Available: http://link.springer.com/ Cross-Case Findings . article/10.1007%2Fs11027-012-9423-1#page-2 , H.C., , and D.R. Nelson Eakin M.C. Lemos . 2014. Bours, D., Mcginn, C., & Pringle, P. 2014. Monitoring Differentiating capacities as a means to sustainable & evaluation for climate change adaptation and Global Environmental climate change adaptation. resilience : A synthesis of tools , frameworks and 27:1–8. Change approaches, (May). Patton, A. 2009. A Tulsa story: Learning to live in harmony Brody, S, Himanshu, G, Lindquist E, and Vedlitz, A. Global Warming, Natural Hazards, and with nature. In 2010. Examining climate change mitigation and adap - Emergency Management, J.A. Bullock, G.D. Haddow, tation behaviors among public sector organizations in and K.S. Haddow (eds.). CRC Press, Boca Raton, FL. the United States. Local Environment 15(6): 591-603. Carlson, K., & McCormick, S. 2015. American adap - tation: Social factors affecting new developments to Chapter 3: Conclusions and address climate change. Global Environmental Change , Recommendations 35 , 360–367. doi: 10.1016/j.gloenvcha .2015.09.015 Adger, W. N., Brown, K., Nelson, D. R., Berkes, F., Eakin, Carmin, J., Anguelovski, I., & Roberts, D. 2012. H., Folke, C., Galvin, K., Gunderson, L., Goulden, M., O’Brien, Urban Climate Adaptation in the Global South: K., Ruitenbeek, J., Thompkins, E.L. 2011. Resilience Journal Planning in an Emerging Policy Domain. implications of policy responses to climate change. of Planning Education and Research 32 (1), 18–32. , , 757–766. doi: 10.1002/wcc , 2 .133 Climatic Change doi:10.1177/0739456X11430951 Adger, W.N., Dessai, S., Marisa, G., Hulme, M., Ekstrom, J. A., & Moser, S. C. 2014. Identifying and Lorenzoni, I., Nelson, D.R., et al., 2009. Are there overcoming barriers in urban climate adaptation: social limits to adaptation to climate change? Climatic Case study findings from the San Francisco Bay Area, Change 93, 335–354. Urban Climate , 9 , 54–74. doi: 10.1016/j. California, USA. uclim .2014.06.002

260 CLIMATE ADAPTATION APPENDIX F: 258 Appendix F. (continued) References Eisenack, K., Moser, S. C., Hoffmann, E., Klein, R. J. T., Kates, R. W., Travis, W. R., & Wilbanks, T. J. (2012). - Transformational adaptation when incremental adapta Oberlack, C., Pechan, A., Rotter, M., Termeer, C. J. A. M. tions to climate change are insufficient. 2014. Explaining and overcoming barriers to climate Proceedings 4 change adaptation. of the National Academy of Sciences of the United , (10), Nature Climate Change 109 States of America 2350 10.1073/ (19), 7156–61. doi: 10.1038/nclimate , 867–872. doi: .1115521109 pnas Few, R, Brown K, and Tompkins E. 2006. Public Agendas, Alternatives, and Public Kingdon, J.W. 1995. Participation and Climate Change Adaptation. Working . New York: Addison-Wesley Educational Policies Paper 95. Norwich, UK: Tyndall Center for Climate Publishers Inc. Change Research. Melillo, J.M., T.C. Richmond, and G.W. Yohe (eds.). Government Accountability Office. 2009. Climate Climate Change Impacts in the United States: The 2014. Change Adaptation: Strategic Federal Planning Could Help Government Officials Make More Informed U.S. Global Change Third National Climate Assessment. Research Program. doi:10.7930/J0Z31WJ2. Decisions. GAO-10-113. Government Printing Office: Washington, D.C. October 7. Available: http://www.gao. gov/products/GAO-10-113 Morello-Frosch, Rachel, Manuel Pastor, James Sadd, . and Seth B. Shonkoff. 2009. The Climate Gap: Hallegatte, S. 2009. Strategies to adapt to an uncertain Inequalities in How Climate Change Hurts Americans & How to Close the Gap. Los Angeles: Program for 19 (2), , Global Environmental Change climate change. Environmental and Regional Equity, University of .2008.12.003 240–247. doi: 10.1016/j.gloenvcha Southern California. Haywood, B. K., Brennan, A., Dow, K., Kettle, N. P., Moser, S.C. and M.T. Boykoff (eds.). 2013. Successful & Lackstrom, K. 2014. Negotiating a Mainstreaming Adaptation to Climate Change: Linking Science and Spectrum: Climate Change Response and Routledge, New Policy in a Rapidly Changing World. Communication in the Carolinas. Journal of York. (1), 75–94. doi:10.10 16 , Environmental Policy & Planning 80/1523908X.2013.817948 Moser, S. C. and J. A. Ekstrom. 2010. A framework to PNAS diagnose barriers to climate change adaptation, Hughes, S. 2015. A meta-analysis of urban climate , 10.1073/pnas .1007887107 107 (51): 22026-22031, DOI: change adaptation planning in the US. Urban Climate , , 17–29. doi: 10.1016/j.uclim 14 .2015.06.003 National Research Council. 2010. Adapting to the . America’s Climate Intergovernmental Panel on Climate Change. 2012. Impacts of Climate Change Choices: Panel on Adapting to the Impacts of Managing the Risks of Extreme Events and Disasters to Advance Climate Change Adaptation: Special Report Climate Change. National Research Council. The of the Intergovernmental Panel on Climate Change National Academies Press, Washington, DC. . (C. B. Field, V. Barros, T. F. Stocker, Q. Dahe, D. J. Dokken, Available: http://www.nap.edu/catalog/12783/ K. L. Ebi, ... P. . Midgley, Eds.). Cambridge, UK and New adapting-to-the-impacts-of-climate-change . 10.1017/ York, NY, USA: Cambridge University Press. doi: CBO 9781139177245

261 CLIMATE ADAPTATION APPENDIX F: 259 Park, Angela. 2009. Everybody’s Movement: Tompkins, E. L., Adger, W. N., Boyd, E., Nicholson-cole, - S., Weatherhead, K., & Arnell, N. 2010. Observed adap Environmental Justice and Climate Change. tation to climate change: UK evidence of transition to http:// Washington, DC: Environmental Support Center. -publications/ copy_of_ESC%20 envsc.onenw.org/esc , Global Environmental Change a well-adapting society. (4), 627–635. doi: .2010.05.001 20movement.pdf 10.1016/j.gloenvcha 20 everybody%20s% Journal of the Quay, R. 2010. Anticipatory Governance. Viguié, V. and S. Hallegatte. 2012. Trade-offs and syner - (4), 496–511. doi:10.1 76 , American Planning Association gies in urban climate policies. Nat. Clim. Change 2 (5), 1434 080/01944363.2010.508428 334–337. doi: 10.1038/nclimate Schrock, G., Bassett, E. M., & Green, J. 2015. Pursuing Equity and Justice in a Changing Climate: Assessing Equity in Local Climate and Sustainability Plans in U.S. Cities. Journal of Planning Education and Research , (October 2014). doi:10.1177/0739456X15580022 Smit, B. and Wandel, J. 2006. Adaptation, adaptive capacity and vulnerability. Global 10.1016/j. Environmental Change. 16(3), 282-292. Doi: gloenvcha .2006.03.008 Smith, J.B., Schneider, S.H., Oppenheimer, M., Yohe, G.W., Hare, W., Mastrandrea, M.D., Patwardhan, A., Burton, I., Corfee-Morlot, J., Magadza, C.H.D., Füssel, H., Pittock, A.B., Rahman, A., Suarez, A., van Ypersele, J. 2009. Assessing dangerous climate change through an update of the Intergovernmental Panel on Climate Change (IPCC) ‘‘reasons for concern’’. Proc. Natl. Acad. Sci. U.S.A. 106, 4133–4137 Solecki, W., Leichenko, R., & O’Brien, K. 2011. Climate - change adaptation strategies and disaster risk reduc tion in cities: connections, contentions, and synergies. Current Opinion in Environmental Sustainability (3), 3 , 10.1016/j.cosust 135–141. doi: .2011.03.001

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264 kresge.org abtassociates.com This report is available electronically at kresge.org/climate -adaptation

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