Desire to Bargain and Negotiation Success: Lessons About the Need to Negotiate from Six Hydropower Disputes

/ We investigated the notion that successful negotiations require that all parties to the dispute must have a desire to bargain. This desire is most likely to be present when the dispute exhibits ripeness and each party believes a bargained solution is the most cost-effective way to resolve differences. Structured interviews of participants in six Federal Energy Regulatory Commission hydropower licensing consultations were conducted to determine the level of need to negotiate for each party. The findings indicate that a need to negotiate is a necessary, but not sufficient, condition for success. Several factors were associated with a need to negotiate: a weak BATNA (best alternative to a negotiated agreement); a salient issue; participants' sense of efficacy; a sense of inevitability; professional roles encouraging negotiation; and disputes about facts as opposed to disputes about values. Participants' need to negotiate fluctuated throughout the process and intensified when questions were ripe: i.e., critical issues were debated or the regulatory process required action.KEY WORDS: Alternative dispute resolution; Federal licenses; Federal Energy Regulatory Commission; Instream flow; Environmental planning     

Impacts of 21st‐Century Climate Change on Hydrologic Extremes in the Pacific Northwest Region of North America

Climate change projections for the Pacific Northwest (PNW) region of North America include warmer temperatures (T), reduced precipitation (P) in summer months, and increased P during all other seasons. Using a physically based hydrologic model and an ensemble of statistically downscaled global climate model scenarios produced by the Columbia Basin Climate Change Scenarios Project, we examine the nature of changing hydrologic extremes (floods and low flows) under natural conditions for about 300 river locations in the PNW. The combination of warming, and shifts in seasonal P regimes, results in increased flooding and more intense low flows for most of the basins in the PNW. Flood responses depend on average midwinter T and basin type. Mixed rain and snow basins, with average winter temperatures near freezing, typically show the largest increases in flood risk because of the combined effects of warming (increasing contributing basin area) and more winter P. Decreases in low flows are driven by loss of snowpack, drier summers, and increasing evapotranspiration in the simulations. Energy‐limited basins on the west side of the Cascades show the strongest declines in low flows, whereas more arid, water‐limited basins on the east side of the Cascades show smaller reductions in low flows. A fine‐scale analysis of hydrologic extremes over the Olympic Peninsula echoes the results for the larger rivers discussed above, but provides additional detail about topographic gradients.     

Characterizing Runoff and Water Yield for Headwater Catchments in the Southern Sierra Nevada

In a Mediterranean climate where much of the precipitation falls during winter, snowpacks serve as the primary source of dry season runoff. Increased warming has led to significant changes in hydrology of the western United States. An important question in this context is how to best manage forested catchments for water and other ecosystem services? Answering this basic question requires detailed understanding of hydrologic functioning of these catchments. Here, we depict the differences in hydrologic response of 10 catchments. Size of the study catchments ranges from 50 to 475 ha, and they span between 1,782 and 2,373 m elevation in the rain‐snow transitional zone. Mean annual streamflow ranged from 281 to 408 mm in the low elevation Providence and 436 to 656 mm in the high elevation Bull catchments, resulting in a 49 mm streamflow increase per 100 m (R² = 0.79) elevation gain, despite similar precipitation across the 10 catchments. Although high elevation Bull catchments received significantly more precipitation as snow and thus experienced a delayed melt, this increase in streamflow with elevation was mainly due to a reduction in evapotranspiration (ET) with elevation (45 mm/100 m, R² = 0.65). The reduction in ET was attributed to decline in vegetation density, growing season, and atmospheric demand with increasing elevation. These findings suggest changes in streamflow in response to climate warming may likely depend on how vegetation responds to those changes in climate.     

A Spatial equilibrium perspective for planning the production of electrical energy

A spatial and temporal equilibrium model of production, consumption, prices, and transmission is constructed to determine the efficient pricing and allocation of electrical energy in the United States. Regional coordination is technically feasible and economically attractive. It also maximizes environmental efficiencies. The duplication of electrical generation and transmission facilities yields a misallocation of resources.The utilities put forth specific arguments against coordinated operations. Yet in a fully integrated power system, each region would be expected to maximize the benefits of time diversity by purchasing from outside the region in lieu of the expansion of regional capacity. The Federal Energy Regulatory Commission has not yet made a serious move to encourage regional coordination and planning, but the Commission has the authority to promote such operations if it chooses to do so.The author is an economist with the Department of Energy. The views expressed are those of the author and do not necessarily represent the policies of the Department of Energy or the views of other staff members.     

POTENTIAL EFFECTS OF CLIMATE CHANGE ON SURFACE‐WATER QUALITY IN NORTH AMERICA1

ABSTRACT: Data from long‐term ecosystem monitoring and research stations in North America and results of simulations made with interpretive models indicate that changes in climate (precipitation and temperature) can have a significant effect on the quality of surface waters. Changes in water quality during storms, snowmelt, and periods of elevated air temperature or drought can cause conditions that exceed thresholds of ecosystem tolerance and, thus, lead to water‐quality degradation. If warming and changes in available moisture occur, water‐quality changes will likely first occur during episodes of climate‐induced stress, and in ecosystems where the factors controlling water quality are sensitive to climate variability. Continued climate stress would increase the frequency with which ecosystem thresholds are exceeded and thus lead to chronic water‐quality changes. Management strategies in a warmer climate will therefore be needed that are based on local ecological thresholds rather than annual median condition. Changes in land use alter biological, physical, and chemical processes in watersheds and thus significantly alter the quality of adjacent surface waters; these direct human‐caused changes complicate the interpretation of water‐quality changes resulting from changes in climate, and can be both mitigated and exacerbated by climate change. A rigorous strategy for integrated, long‐term monitoring of the ecological and human factors that control water quality is necessary to differentiate between actual and perceived climate effects, and to track the effectiveness of our environmental policies.     

A Perspective on Nonstationarity and Water Management1

Hirsch, Robert M., 2011. A Perspective on Nonstationarity and Water Management. Journal of the American Water Resources Association (JAWRA) 47(3):436‐446. DOI: 10.1111/j.1752‐1688.2011.00539.x Abstract: This essay offers some perspectives on climate‐related nonstationarity and water resources. Hydrologists must not lose sight of the many sources of nonstationarity, recognizing that many of them may be of much greater magnitude than those that may arise from climate change. It is paradoxical that statistical and deterministic approaches give us better insights about changes in mean conditions than about the tails of probability distributions, and yet the tails are very important to water management. Another paradox is that it is difficult to distinguish between long‐term hydrologic persistence and trend. Using very long hydrologic records is helpful in mitigating this problem, but does not guarantee success. Empirical approaches, using long‐term hydrologic records, should be an important part of the portfolio of research being applied to understand the hydrologic response to climate change. An example presented here shows very mixed results for trends in the size of the annual floods, with some strong clusters of positive trends and a strong cluster of negative trends. The potential for nonstationarity highlights the importance of the continuity of hydrologic records, the need for repeated analysis of the data as the time series grow, and the need for a well‐trained cadre of scientists and engineers, ready to interpret the data and use those analyses to help adjust the management of our water resources.     

TECHNICAL CLARITY IN INTER-AGENCY NEGOTIATIONS: LESSONS FROM FOUR HYDROPOWER PROJECTS1

ABSTRACT: We investigated the effect of technical clarity on success in multi-party negotiations in the Federal Energy Regulatory Commission (FERC) licensing process. Technical clarity is the shared understanding of dimensions such as the geographic extent of the project, range of flows to be considered, important species and life stages, and variety of water uses considered. The results of four hydropower licensing consultations are reported. Key participants were interviewed to ascertain the level of technical clarity present during the consultations and the degree to which the consultations were successful. Technical clarity appears to be a prerequisite for successful outcomes. Factors that enhance technical clarity include simple project design, new rather than existing projects, precise definition of issues, a sense of urgency to reach agreement, a sense of fairness among participants, and consistency in participation. Negotiators should not neglect the critical pre-negotiation steps of defining technical issues and determining appropriate studies, deciding how to interpret studies, and agreeing on responses to study results.     

LAKE ONTARIO REGULATION UNDER TRANSPOSED CLIMATES1

ABSTRACT: The implications of Lake Ontario regulation under transposed climates with changed means and variability are presented for seasonal and annual time scales. The current regulation plan is evaluated with climates other than the climate for which it was developed and tested. This provides insight into potential conflicts and management issues, development of regulation criteria for extreme conditions, and potential modification of the regulation plan. Transposed climates from the southeastern and south central continental United States are applied to thermodynamic models of the Great Lakes and hydrologic models of their watersheds; these climates provide four alternative scenarios of water supplies to Lake Ontario. The scenarios are analyzed with reference to the present Great Lakes climate. The responses of the Lake Ontario regulation plan to the transposed climate scenarios illustrate several key issues: (1) historical water supplies should no longer be the sole basis for testing and developing lake regulation plans; (2) during extreme supply conditions, none of the regulation criteria can be met simultaneously, priority of interests may change, and new interests may need to be considered, potentially requiring substantial revision to the Boundary Waters Treaty of 1909; (3) revised regulation criteria should be based on ecosystem health and socio-economic benefits for a wider spectrum of interests and not on frequencies and ranges of levels and flows of the historical climate; and (4) operational management of the lake should be improved under the present climate, and under any future climate with more variability, through the use of improved water supply forecasts and monitoring of current hydrologic conditions.     

Pragmatic Approaches for Water Management Under Climate Change Uncertainty1

Stakhiv, Eugene Z., 2011. Pragmatic Approaches for Water Management Under Climate Change Uncertainty. Journal of the American Water Resources Association (JAWRA) 47(6):1183–1196. DOI: 10.1111/j.1752‐1688.2011.00589.x Abstract: Water resources management is in a difficult transition phase, trying to accommodate large uncertainties associated with climate change while struggling to implement a difficult set of principles and institutional changes associated with integrated water resources management. Water management is the principal medium through which projected impacts of global warming will be felt and ameliorated. Many standard hydrological practices, based on assumptions of a stationary climate, can be extended to accommodate numerous aspects of climate uncertainty. Classical engineering risk and reliability strategies developed by the water management profession to cope with contemporary climate uncertainties can also be effectively employed during this transition period, while a new family of hydrological tools and better climate change models are developed. An expansion of the concept of “robust decision making,” coupled with existing analytical tools and techniques, is the basis for a new approach advocated for planning and designing water resources infrastructure under climate uncertainty. Ultimately, it is not the tools and methods that need to be revamped as much as the suite of decision rules and evaluation principles used for project justification. They need to be aligned to be more compatible with the implications of a highly uncertain future climate trajectory, so that the hydrologic effects of that uncertainty are correctly reflected in the design of water infrastructure.     

Oregon Hydrologic Landscapes: A Classification Framework1

Wigington, Parker J., Jr., Scott G. Leibowitz, Randy L. Comeleo, and Joseph L. Ebersole, 2012. Oregon Hydrologic Landscapes: A Classification Framework. Journal of the American Water Resources Association (JAWRA) 1‐20. DOI: 10.1111/jawr.12009 Abstract: There is a growing need for hydrologic classification systems that can provide a basis for broad‐scale assessments of the hydrologic functions of landscapes and watersheds and their responses to stressors such as climate change. We developed a hydrologic landscape (HL) classification approach that describes factors of climate‐watershed systems that control the hydrologic characteristics of watersheds. Our assessment units are incremental watersheds (i.e., headwater watersheds or areas draining directly into stream reaches). Major components of the classification include indices of annual climate, climate seasonality, aquifer permeability, terrain, and soil permeability. To evaluate the usefulness of our approach, we identified 30 rivers with long‐term streamflow‐gauging records and without major diversions and impoundments. We used statistical clustering to group the streams based on the shapes of their annual hydrographs. Comparison of the streamflow clusters and HL distributions within river basin clusters shows that the Oregon HL approach has the ability to provide insights about the expected hydrologic behavior of HLs and larger river basins. The Oregon HL approach has potential to be a useful framework for comparing hydrologic attributes of streams and rivers in the Pacific Northwest.     

Nonstationary Water Planning: An Overview of Several Promising Planning Methods1

Waage, Marc D. and Laurna Kaatz, 2011. Nonstationary Water Planning: An Overview of Several Promising Planning Methods. Journal of the American Water Resources Association (JAWRA) 47(3):535‐540. DOI: 10.1111/j.1752‐1688.2011.00547.x Abstract: Climate change is challenging the way water utilities plan for the future. Observed warming and climate model projections now call into question the stability of future water quantity and quality. As water utilities cope with preparing for the large range of possible changes in climate and the resulting impacts on their water systems, many are searching for planning techniques to help them consider multiple possible conditions to better prepare for a different, more uncertain, future. Many utilities need these techniques because they cannot afford to delay significant decisions while waiting for scientific improvements to narrow the range of potential climate change impacts. Several promising methods are being tested in water utility planning and presented here for other water utilities to consider. The methods include traditional scenario planning, classic decision making, robust decision making, real options, and portfolio planning. Unfortunately, for utilities vulnerable to climate change impacts, there is no one‐size‐fits‐all planning solution. Every planning process must be tailored to the needs and capabilities of the individual utility.     

Lake Water Levels and Associated Hydrologic Characteristics in the Conterminous U.S.

Establishing baseline hydrologic characteristics for lakes in the United States (U.S.) is critical to evaluate changes to lake hydrology. We used the U.S. Environmental Protection Agency National Lakes Assessment 2007 and 2012 surveys to assess hydrologic characteristics of a population of ~45,000 lakes in the conterminous U.S. based on probability samples of ~1,000 lakes/yr distributed across nine ecoregions. Lake hydrologic study variables include water‐level drawdown (i.e., vertical decline and horizontal littoral exposure) and two water stable isotope‐derived parameters: evaporation‐to‐inflow (E:I) and water residence time. We present (1) national and regional distributions of the study variables for both natural and man‐made lakes and (2) differences in these characteristics between 2007 and 2012. In 2007, 59% of the population of U.S. lakes had Greater than normal or Excessive drawdown relative to water levels in ecoregional reference lakes with minimal human disturbances; whereas in 2012, only 20% of lakes were significantly drawn down beyond normal ranges. Water isotope‐derived variables did not differ significantly between survey years in contrast to drawdown. Median E:I was 20% indicating that flow‐through processes dominated lake water regimes. For 75% of U.S. lakes, water residence time was less than one year and was longer in natural vs. man‐made lakes. Our study provides baseline ranges to assess local and regional lake hydrologic status and inform management decisions in changing environmental conditions.     

RECENT RESEARCH ON EFFECTS OF CLIMATE CHANGE ON WATER RESOURCES1

ABSTRACT: Concentrations of atmospheric CO2 and other radiatively active trace gases have risen since the Industrial Revolution. Such atmospheric modifications can alter the global climate and hydrologic cycle, in turn affecting water resources. The clear physical and biological sensitivities of water resources to climate, the indication that climate change may be occurring, and the substantial social and economic dependencies on water resources have instigated considerable research activity in the area of potential water resource impacts. We discuss how the literature on climate change and water resources responds to three basic research needs: (1) a need for water managers to clearly describe the climatic and hydrologic statistics and characteristics needed to estimate climatic impacts on water resources, (2) a need to estimate the impacts of climate change on water resources, and (3) a need to evaluate standard water management and planning methods to determine if uncertainty regarding fundamental assumptions (e.g., hydrologic stationarity) implies that these methods should be revised. The climatic and hydrologic information needs for water resource managers can be found in a number of sources. A proliferation of impact assessments use a variety of methods for generating climate scenarios, and apply both modeling approaches and historical analyses of past responses to climate fluctuations for revealing resource or system sensitivities to climate changes. Traditional techniques of water resources planning and management have been examined, yielding, for example, suggestions for new methods for incorporating climate information in real-time water management.     

Land Use and Climate Variability Amplify Carbon,Nutrient, and Contaminant Pulses: A Review with Management Implications

Nonpoint source pollution from agriculture and urbanization is increasing globally at the same time climate extremes have increased in frequency and intensity. We review >200 studies of hydrologic and gaseous fluxes and show how the interaction between land use and climate variability alters magnitude and frequency of carbon, nutrient, and greenhouse gas pulses in watersheds. Agricultural and urban watersheds respond similarly to climate variability due to headwater alteration and loss of ecosystem services to buffer runoff and temperature changes. Organic carbon concentrations/exports increase and organic carbon quality changes with runoff. Nitrogen and phosphorus exports increase during floods (sometimes by an order of magnitude) and decrease during droughts. Relationships between annual runoff and nitrogen and phosphorus exports differ across land use. CH₄ and N₂O pulses in riparian zones/floodplains predominantly increase with: flooding, warming, low oxygen, nutrient enrichment, and organic carbon. CH₄, N₂O, and CO₂ pulses in streams/rivers increase due to similar factors but effects of floods are less known compared to base flow/droughts. Emerging questions include: (1) What factors influence lag times of contaminant pulses in response to extreme events? (2) What drives resistance/resilience to hydrologic and gaseous pulses? We conclude with eight recommendations for managing watershed pulses in response to interactive effects of land use and climate change.     

A Hydrologic Drying Bias in Water‐Resource Impact Analyses of Anthropogenic Climate Change

For water‐resource planning, sensitivity of freshwater availability to anthropogenic climate change (ACC) often is analyzed with “offline” hydrologic models that use precipitation and potential evapotranspiration (E_p) as inputs. Because E_p is not a climate‐model output, an intermediary model of E_p must be introduced to connect the climate model to the hydrologic model. Several E_p methods are used. The suitability of each can be assessed by noting a credible E_p method for offline analyses should be able to reproduce climate models’ ACC‐driven changes in actual evapotranspiration in regions and seasons of negligible water stress (E_w). We quantified this ability for seven commonly used E_p methods and for a simple proportionality with available energy (“energy‐only” method). With the exception of the energy‐only method, all methods tend to overestimate substantially the increase in E_p associated with ACC. In an offline hydrologic model, the E_p‐change biases produce excessive increases in actual evapotranspiration (E), whether the system experiences water stress or not, and thence strong negative biases in runoff change, as compared to hydrologic fluxes in the driving climate models. The runoff biases are comparable in magnitude to the ACC‐induced runoff changes themselves. These results suggest future hydrologic drying (wetting) trends likely are being systematically and substantially overestimated (underestimated) in many water‐resource impact analyses.     

THE CONCEPT OF HYDROLOGIC LANDSCAPES1

ABSTRACT: Hydrologic landscapes are multiples or variations of fundamental hydrologic landscape units. A fundamental hydrologic landscape unit is defined on the basis of land‐surface form, geology, and climate. The basic land‐surface form of a fundamental hydrologic landscape unit is an upland separated from a lowland by an intervening steeper slope. Fundamental hydrologic landscape units have a complete hydrologic system consisting of surface runoff, ground‐water flow, and interaction with atmospheric water. By describing actual landscapes in terms of land‐surface slope, hydraulic properties of soils and geologic framework, and the difference between precipitation and evapotranspiration, the hydrologic system of actual landscapes can be conceptualized in a uniform way. This conceptual framework can then be the foundation for design of studies and data networks, syntheses of information on local to national scales, and comparison of process research across small study units in a variety of settings. The Crow Wing River watershed in central Minnesota is used as an example of evaluating stream discharge in the context of hydrologic landscapes. Lake‐research watersheds in Wisconsin, Minnesota, North Dakota, and Nebraska are used as an example of using the hydrologic‐land‐scapes concept to evaluate the effect of ground water on the degree of mineralization and major‐ion chemistry of lakes that lie within ground‐water flow systems.     

Growth of the Decision Tree: Advances in Bottom‐Up Climate Change Risk Management

There has recently been a return in climate change risk management practice to bottom‐up, robustness‐based planning paradigms introduced 40 years ago. The World Bank's decision tree framework (DTF) for “confronting climate uncertainty” is one incarnation of those paradigms. In order to better represent the state of the art in climate change risk assessment and evaluation techniques, this paper proposes: (1) an update to the DTF, replacing its “climate change stress test” with a multidimensional stress test; and (2) the addition of a Bayesian network framework that represents joint probabilistic behavior of uncertain parameters as sensitivity factors to aid in the weighting of scenarios of concern (the combination of conditions under which a water system fails to meet its performance targets). Using the updated DTF, water system planners and project managers would be better able to understand the relative magnitudes of the varied risks they face, and target investments in adaptation measures to best reduce their vulnerabilities to change. Next steps for the DTF include enhancements in: modeling of extreme event risks; coupling of human‐hydrologic systems; integration of surface water and groundwater systems; the generation of tradeoffs between economic, social, and ecological factors; incorporation of water quality considerations; and interactive data visualization.     

Estimating Forest Ecosystem Evapotranspiration at Multiple Temporal Scales With a Dimension Analysis Approach1

Abstract:  It is critical that evapotranspiration (ET) be quantified accurately so that scientists can evaluate the effects of land management and global change on water availability, streamflow, nutrient and sediment loading, and ecosystem productivity in watersheds. The objective of this study was to derive a new semi‐empirical ET modeled using a dimension analysis method that could be used to estimate forest ET effectively at multiple temporal scales. The model developed describes ET as a function of water availability for evaporation and transpiration, potential ET demand, air humidity, and land surface characteristics. The model was tested with long‐term hydrometeorological data from five research sites with distinct forest hydrology in the United States and China. Averaged simulation error for daily ET was within 0.5 mm/day. The annual ET at each of the five study sites were within 7% of measured values. Results suggest that the model can accurately capture the temporal dynamics of ET in forest ecosystems at daily, monthly, and annual scales. The model is climate‐driven and is sensitive to topography and vegetation characteristics and thus has potential to be used to examine the compounding hydrologic responses to land cover and climate changes at multiple temporal scales.     

ESTIMATED IMPACTS OF CLIMATE WARMING ON CALIFORNIA WATER AVAILABILITY UNDER TWELVE FUTURE CLIMATE SCENARIOS1

Spatially disaggregated estimates of over 131 stream‐flow, ground water, and reservoir evaporation monthly time series in California have been created for 12 different climate warming scenarios for a 72‐year period. Such disaggregated hydrologic estimates of multiple hydrologic cycle components are important for impact and adaptation studies of California's water system. A statewide trend of increased winter and spring runoff and decreased summer runoff is identified. Without operations modeling, approximate changes in water availability are estimated for each scenario. Even most scenarios with increased precipitation result in less available water because of the current storage systems' inability to catch increased winter streamflow in compensation for reduced summer runoff. The water availability changes are then compared with estimated changes in urban and agricultural water uses in California between now and 2100. The methods used in this study are relatively simple, but the results are qualitatively consistent with other studies focusing on the hydrologies of single basins or surface water alone.     

TECIIMQUES FOR DETECTING HYDROLOGIC CHANGE IN HIGH RESOURCE STREAMS1

ABSTRACT: A “synthetic paired basin” technique that combines hydrologic monitoring and watershed modeling proves to be a useful tool in detecting hydrologic change in creeks draining basins undergoing urbanization. In this approach, measured stream flow following subbasin treatment (a period of urbanization) is compared with flow from a control subbasin over the same time period. The control subbasin is the pretreatment subbasin itself as represented by a well‐calibrated hydrologic model that is input with post‐treatment meteorological data. The technique is illustrated for stream monitoring sites at the outlets of two high‐resource sub‐basins in the Bear Creek basin of King County, Washington. Application of this technique holds promise to provide earlier warning of cumulative, human impacts on aquatic resources and to better inform adaptive watershed management for resource protection.