guidance note for issuers and verifiers criteria phase 1... · guidance note for issuers and...

GUIDANCE NOTE TO ISSUERS AND VERIFIERS: SUPPLEMENTARY NOTE TO THE WATER CRITERIA

GuidanceNoteforIssuersandVerifiersPhase1:EngineeredWaterInfrastructureABSTRACTGuidancewhenconductingmitigationandadaptation&resilienceassessmentsfortheWaterCriteriaoftheClimateBondsStandardAsupplementarynotetotheWaterCriteriaoftheClimateBondsStandardDate14October2016

PreparedbyJohnH.MatthewsandIngridTimboe(AGWA)withassistancefromAnnaCreed(CBI)


1. DefinitionsClimateBondsInitiative(CBI):Aninvestor-focusednot-for-profitorganisation,promotinglarge-scaleinvestmentsthatwilldeliveragloballowcarbonandclimateresilienteconomy.TheInitiativeseekstodevelopmechanismstobetteraligntheinterestsofinvestors,industryandgovernmentsoastocatalyseinvestmentsataspeedandscalesufficienttoavoiddangerousclimatechange.ClimateBond:Aclimatebondisabondusedtofinance–orre-finance-projectsneededtoaddressclimate.Theyrangefromwindfarmsandsolarandhydropowerplants,torailtransportandbuildingseawallsincitiesthreatenedbyrisingsealevels.Onlyasmallportionofthesebondshaveactuallybeenlabelledasgreenorclimatebondsbytheirissuers.CertifiedClimateBond:AClimateBondthatiscertifiedbytheClimateBondsStandardBoardasmeetingtherequirementsoftheClimateBondsStandard,asattestedthroughindependentverification.ClimateBondsStandard(CBS):Ascreeningtoolforinvestorsandgovernmentsthatallowsthemtoidentifygreenbondswheretheycanbeconfidentthatthefundsarebeingusedtodeliverclimatechangesolutions.Thismaybethroughclimatemitigationimpactand/orclimateadaptationorresilience.TheCBSismadeupoftwoparts:theparentstandard(ClimateBondsStandardv2.0)andasuiteofsectorspecificeligibilityrequirements.Theparentstandardcoversthecertificationprocessandpre-andpost-issuancerequirementsforallcertifiedbonds,regardlessofthenatureofthecapitalprojects.TheSectorCriteriadetailspecificrequirementsforassetsidentifiedasfallingunderthatspecificsector.ThelatestversionoftheCBSispublishedontheClimateBondsInitiativewebsiteClimateBondsStandardBoard(CBSB):Aboardofindependentmembersthatcollectivelyrepresents$34trillionofassetsundermanagement.TheCBSBisresponsibleforapprovingi)RevisionstotheClimateBondStandard,includingtheadoptionofadditionalsectorCriteria,ii)Approvedverifiers,andiii)ApplicationsforCertificationofabondundertheClimateBondsStandard.TheCBSBisconstituted,appointedandsupportedinlinewiththegovernancearrangementsandprocessesaspublishedontheClimateBondsInitiativewebsite.ClimateBondCertification:allowstheissuertousetheClimateBondCertificationMarkinrelationtothatbond.ClimateBondCertificationisprovidedoncetheindependentClimateBondsStandardBoardissatisfiedthebondconformswiththeClimateBondsStandard.GreenBond:AGreenBondisoneinwhichproceedsareallocatedtoenvironmentalprojects.Thetermgenerallyreferstobondsthathavebeenmarketedas“Green”.Intheory,GreenBondsproceedscouldbeusedforawidevarietyofenvironmentalprojects,butinpracticetheyhavemostlybeenthesameasClimateBonds,withproceedsgoingtoclimatechangeprojects.TechnicalWorkingGroup(TWG):Agroupofkeyexpertsfromacademia,internationalagencies,industryandNGOsconvenedbytheClimateBondsInitiative.TheTWGdevelopsSector-SpecificCriteria-detailedtechnicalcriteriafortheeligibilityofprojectsandassetsaswellasguidanceonthetrackingofeligibilitystatusduringthetermofthebond.TheirdraftrecommendationsarerefinedthroughengagementwithfinanceindustryexpertsinconvenedIndustryWorkingGroupsandthroughpublicconsultation.FinalapprovalofSectorCriteriaisgivenbytheCBSB.WaterAssets:Engineered,nature-basedandhybridwaterinfrastructureforthepurposesofwatercollection,storage,treatmentordistribution,orforfloodprotectionordroughtresilience.

TheClimateBondsInitiativegratefullyacknowledgestheConsortiumofCeres,theAllianceforGlobalWaterAdaptation(AGWA),CDP,andtheWorldResourcesInstitute(WRI),whosupportedthedevelopmentoftheseCriteria.SpecialthanksaregiventoDrJohnMatthews,oftheAllianceforGlobalWaterAdaptation(AGWA),hostedbytheStockholmInternationalWaterInstitute(SIWI).DrMatthewshasbeentheLeadSpecialistwhoco-ordinatedthedevelopmentoftheCriteriathroughtheTechnicalWorkingGroup.CBIalsoverygratefullyacknowledgesthemembersoftheTechnicalWorkingGroupandtheIndustryWorkingGroupwhogenerouslycontributedtheirtimeandconsiderableexpertisetothedevelopmentoftheseCriteria


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2. Introduction

2.1. Purpose&useofthedocumentTheWaterCriteriaoftheClimateBondsStandardareintendedtoprovidetransparent,verifiable,science-basedCriteriaforscreeningwaterinfrastructureprojectsproposedforinclusionunderaCertifiedClimateBond.Theyenableissuerstoparticipateinthecertifiedgreenbondmarket,andinvestorstobeconfidentthattheirinvestmentisbeingusedforclimate-compatiblewaterinfrastructureprojects.TheWaterCriteriathemselvesaredetailedintheWaterCriteriadocument.Thatdocumentdetailsthescopeofwaterinfrastructureassetsandprojectseligibleforinclusioninause-of-proceedsCertifiedClimateBond,andtheconditionsofthateligibility.ThoseconditionsmayincludetheconductofaMitigationAssessmentand/orandAdaptationandResilienceAssessment.Readersaredirectedtothatdocument,availableatavailableathttp://www.climatebonds.net/standard/water,forfullinformationonwhensuchAssessmentsareneededinrespectofwaterinfrastructureprojects,andhoweligibilityistherebyassessedanddetermined.ThisdocumentisasupplementarynotetotheWaterCriteria,tobereadandusedinconjunctionwiththem.ItprovidessupplementaryguidanceforconductingMitigationandAdaptation&ResilienceassessmentsundertheCriteria.

2.2. ContentsofthisdocumentApplyingtheWaterCriteriaoftheClimateBondsStandardrequiresevaluatingproposedprojects’climatemitigationimpacts,andtheirabilitytoaddressandcontributetoaspectsofclimateadaptationandresilience.TheformerisevaluatedviaaMitigationAssessment.Section4includesspecificguidanceonthis.ThelatterisevaluatedviaanassessmentoftheVulnerabilityAssessmentandAdaptationPlanpreparedbytheissuer.Thisassessmentisbasedonascorecardmethodology,comprisingaseriesofbinaryquestions.Insection5,eachofthesequestionsaregonethroughinturn,tohelpyoubetterinterpretwhateachonemeansandwhatmaterialsareneededtoevaluatecompliance.Abriefdescriptionofthedocumentationneededisgiven,aswellasarelevantexampleforillustrativepurposes.ManyoftheexamplesusedinthisguidecomefromarecentbondscoringthepublicutilitytheSanFranciscoPublicUtilitiesCommission,andaretailoredmoretopublicutilitybonds,buttheGuideisintendedtobeapplicableinavarietyofcontexts.Inaddition,Section5providesgeneralguidanceapplicabletoconductingbothMitigationandAdaptationandResilienceAssessments.


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3. GeneralGuidanceReadersofthisGuidanceNoteareremindedthatallbondscertifiedundertheClimateBondStandardmustalsocomplywiththecommonrequirementssetforallcertifiedbonds,aswellassector-specificCriteria.ThesecommonrequirementsarecontainedintheParentStandardv2.0.See[addlinktowebsite]forthis.Morespecificallytowaterinfrastructurerelatedbonds,itisalsohighlightedthattheCBIexpectsthatanybond-issuingentityseekingcertificationundertheWaterCriteriaisawareofandincompliancewithacceptableguidelinesorexistingstandardsrelatedtosocialandhumanrightsandbroaderenvironmentalconsiderationsinthecontextofwaterdevelopment.Appendix2oftheWaterCriteriadocumentlistskeybestpracticeguidelinesinthisregard.Inaddition,thefollowingclarificationpointsapplymorespecificallytoboththeconductoftheMitigationAssessmentandtheAdaptation&ResilienceAssessment.

3.1.1. BuildingonexistingreferencesandinformationsourcesClimatemitigation—greenhousegasaccounting—hasbeenwellunderstoodbythefinancesectorforsometime,andMitigationAssessmentrepresentsawidespreadandwell-understoodprocessforthefinanceandverifiercommunities,andthemethodologydescribedhereshouldbefamiliar.TermssuchasVulnerabilityAssessmentandAdaptationPlanaremuchlesswellunderstoodorappreciatedbyfinanceaudiences,buttheyhavebeenstandardpracticeinwatermanagement,infrastructuredesignandplanning,andreoperationandevaluationssystemsgloballyforsomeyears.Thebestpracticeformostlong-livedinfrastructureinvestmentshasincreasinglyincludedevaluatingclimaterisks(VulnerabilityAssessment)andpreparingcontingenciestoaddressthoserisks(AdaptationPlan),particularlyforwater-relatedinvestments.Manyinstitutionshavealreadyswitchedtomandatoryclimateriskreportsor“climateproofing”procedures,andclimateadaptationandriskassessmentstaffarewidespreadandcommon.Theyarenotunusualorexoticprocessesortypesofdocumentstorequest.Forinstance,theCityofSanFrancisco,California,requiresclimateriskassessmentsforallinfrastructureinvestmentsandallocatessupportstafftothisprocess.SupportingdocumentationfortheSanFranciscoexamplegivenincludesdocumentsproducedbytheCaliforniaDepartmentofWaterResources,StateWaterResourcesControlBoard,theU.S.EnvironmentalProtectionAgency,andtheU.S.GeologicalSurvey.Nearlyalloftheexamplesusedinthisguidewereaccessedelectronically,andlinksareprovidedwhereavailable.Andreachingouttopersonneltothesetypesofagencies(andthestaffinyourownorganizationthatinteractswiththem)canaidimmenselyinthecompletionofthisassessment.BecausetheAdaptationandResilienceAssessmentinparticularwilllikelyrequireinputfrommultiplemunicipaldepartments,thisGuidanceisalsoaimedatconnectinginvestors,underwriters,andauditorstotheircounterpartsinlegal,engineering,andenvironmentalcompliance–thiswillbeessentialingatheringthenecessaryinformationtocompletetheAssessment.Inmany,ifnotallcases,thedocumentationandevidencerequiredwillalreadyexistwithintheissuingorganizationorbepublicallyavailable.

3.1.2. Projectboundaries

Whendescribingprojectsthatarefullynew,theprojectboundariesshouldbeclear.Butforexpansionsormodificationstoexistingfacilities,thelinesmaybehardertodefine.Forthis,thefollowingguidelinesaregiven:

• Ifautilityisupgradingormodifyinganexistingfacility,ingeneral,theevaluationshouldbelimitedtotheuseofproceeds,ratherthanthewholefacilitybeingconsideredandscored.

• Ifsomecomponentsforthemodificationtoanexistingfacilityhavealongeroperationallifetimethantheoverallfacility,thelatter’soperationallifetimeshouldbethestandardofjudgment.


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• Forprojectsthatdependonothersystems(e.g.,electricitysuppliedbyotherinstitutions),the“project”shouldonlyincludetheinvestmentathand.


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4. ConductingaMitigationAssessmentTheMitigationComponentoftheWaterCriteriaisintendedtoprovidetransparencyovertheimpactthattheuseofproceedswillhaveonGHGemissions,andthedegreeofmitigationdeliveredovertheoperationallifetimeoftheprojectorasset.Wherenoemissionsimpactisexpected,theissuermustdisclosethejustificationforthisfindingandprovidesupportingdocumentation.Thismightincludecircumstanceswheretheinvestmentwouldnotbeexpectedtoimpactonenergyusage,forexample.Whereemissionsimpactisexpected,theissuerisrequiredtoestimatetheGHGmitigationimpactthatwillbedeliveredovertheoperationallifetimeoftheprojectorasset.Thisimpactshouldbedefinedintermsofthedecreasedemissionsorincreasedsequestrationrelativetoabusinessasusualbaseline.

4.1. InformationtobeprovidedbytheissuerTheissuermustdescribe:

• Thecalculationsandassumptionsusedtoarriveatanemissionsbaseline;• ProjectedemissionsoverthelifeoftheprojectandassociatedestimatedGHGmitigationimpactcomparedtothat

baseline;• Acredible,independentlyverifiable,methodoftrackingactualemissionsandmitigationimpactoverthelifeofthe

bond.

4.2. AssessmentIntegrityBothbaselineandprojectedprojectemissionsaretheoreticalconstructsthatcontainasignificantdegreeofuncertainty.Assuch,theassumptions,valuesandproceduresusedinthemitigationassessmentmustbeconservativetoensurethattheGHGemissionreductionsorremovalsarenotover-estimated.

4.3. Acceptablemethodologiesfordeterminingbaselinesandestimatedperformanceagainstthosebaselines

Thebaselineproposedbytheissuermaybe‘business-as-usual’emissions.Or,inthecaseofanewasset,itmaybeaperformancestandardbaseline.Forexample,CDMModalities&Proceduresallowfortheuseofperformancestandardstodeterminebaselines,e.g.abaselinemaybederivedas“Theaverageemissionsofsimilarprojectactivitiesundertakeninthepreviousfiveyears,insimilarsocial,economic,environmentalandtechnologicalcircumstances,andwhoseperformanceisamongthetop20percentoftheircategory”(para.48oftheCDMModalities&Proceduresathttp://www.cdmrulebook.org/337.html).Baselineswillvarydependingoninfrastructuretypeandallofthemethodologiesdiscussedinthissectionhaveinfrastructure-specificguidelinesforbaselineemissionscalculation.Baselinescanbedeterminedusingcrediblemethodologiessuchas(butnotlimitedto):

• TheUNFCCC’sCleanDevelopmentMechanism(CDM),• ClimateActionReserve,• AmericanCarbonRegistry• Nationalandstate/provincialapproachesoranyothercredible,robustmethodology.


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BelowarebriefdescriptionsandlinkstofourdifferentGHGmitigationmethodologiesthattheissuermaywishtouseforthemitigationassessment.

• IntheUnitedStates,theAmericanCarbonRegistry(ACR),developedbyWinrockInternational,publishesstandards,methodologies,protocolsandtoolsforgreenhousegas(GHG)accounting,whichareallbasedonInternationalStandardsOrganization(ISO)14064andareroutinelyreviewedtoensuretheyreflectsoundscientificpractice.Proposedwaterclimatebondprojectswithawetlandrestorationcomponent,forexample,couldusetheirWetlandRestorationMethodologyFrameworkmodule:http://americancarbonregistry.org/carbon-accounting/standards-methodologies/restoration-of-degraded-deltaic-wetlands-of-the-mississippi-delta/wr-mf-wl_v2-0.pdf.Projectsrelatedtolow-GHGemittingwaterpurificationsystemscouldusethefollowingmethodology:http://americancarbonregistry.org/carbon-accounting/standards-methodologies/low-greenhouse-gas-emitting-safe-drinking-water-production-systems.GeneralinformationabouttheACRcanbefoundhere:http://americancarbonregistry.org/carbon-accounting

• InAustralia,theEmissionsReductionFundissuesAustralianCarbonCreditUnits(ACCUs)foremissionsreductionsandpublishesitsownmethodologycriteria,developedbythegovernment’sDepartmentofEnvironmentandEnergy.Forinformationontheapprovedmethodologiesforcalculatingbaselineemissions,seetheAustralianDepartmentofEnvironmentandEnergy’ssector-specificguidelineshere:http://www.environment.gov.au/climate-change/emissions-reduction-fund/methods.

• IntheUnitedKingdom,theUKWaterIndustryResearch(UKWIR)teamusesitsCarbonAccountingWorkbook(CAW)toprovideUKwatercompanieswithauniformandtransparentapproachforGHGemissionsaccountingthatisinlinewithboththeUKDepartmentofEnvironmentFoodandRuralAffairs(Defra)GuidelinesandCarbonReportingCommitment(CRC)requirements.Thetoolitselfisnotpublicallyavailable,butmoreinformationforUKcompaniesisavailablehere:https://www.ukwir.org/reports/15-CL-01-22/129644/Workbook-for-Estimating-Operational-GHG-Emissions-Version-9.

• Forcountrieswithoutnationalmitigationstandards,theUNFCCC’sCleanDevelopmentMechanism(CDM)providesanaccreditedsystemforvalidating,registering,andmonitoringGHGmitigationprojects.AllpotentialprojectsmustbevalidatedbyathirdpartyagencyandapprovedbytheCDMExecutiveBoard.AllbaselinemethodologiescurrentlyapprovedbytheCDMExecutiveBoardarelistedontheirwebsite:https://cdm.unfccc.int/methodologies/standard_base/index.html.ApprovedCDMmethodologiesofparticularinteresttothewatersectorinclude(butarenotlimitedto):

o Energyefficiencyandfuelswitchingmeasuresforindustrialfacilities:https://cdm.unfccc.int/methodologies/DB/M4LINVAO7Y1OZBCUWFBVZBXT3546LM

o Methanerecoveryinwastewatertreatment:https://cdm.unfccc.int/methodologies/DB/5JGU2EUK716KG3UAE2HBVCK16K199K

o Switchfromnon-renewablebiomassforthermalapplicationsbytheuser:https://cdm.unfccc.int/methodologies/DB/9LFOR81TCT5FLI1AJYP46CQY8O2J79

o Methaneavoidancethroughseparationofsolidsfromwastewaterormanuretreatmentsystems:https://cdm.unfccc.int/methodologies/DB/694L0HKMRM81GWPI2HU0MZBHNHSXYB

o Methaneemissionreductionbyadjustedwatermanagementpracticeinricecultivation:https://cdm.unfccc.int/methodologies/DB/D14KAKRJEW4OTHEA4YJICOHM26M6BM

NotallGHGreportingmethodologiesareequallyrobust;however,mostcredibleGHGreportingprogramsstemfromtheWorldResourcesInstituteandWorldBusinessCouncilonSustainableDevelopment’sGreenhouseGasProtocol,whichsettheglobalstandardformeasuring,managing,andreportingGHGemissions.Therefore,usingamethodologywhichisincompliancewiththeWRI/WBCSDGHGProtocolisstronglyrecommended.InformationonthisProtocolisavailableathttp://www.ghgprotocol.org/about-ghgp/about-wri-and-wbcsd


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5. ConductinganAdaptation&ResilienceAssessmentAsnotedabove,theAdaptationandResilienceComponentoftheWaterCriteriaconsistsofanevaluationoftheefficacyandthoroughnessoftheissuer’sVulnerabilityAssessmentandAdaptationPlan.Whatarethesedocuments?

• TheVulnerabilityAssessmentisthedocument,orseriesofdocuments,whichbothdescribesthemethodsandprocessusedtoanalyzevulnerabilityanddiagnosesanditemizesanyrelevantclimaterisksandimpactsthathavebeenseentodateandthatmayemergeovertheproject’soperationallifetime;and

• TheAdaptationPlanisthedocument,orseriesofdocuments,thatcollectivelyconstituteariskmanagementplanthatrefersdirectlytotheVulnerabilityAssessment,describingresponsestoaddresstheclimateimpactsdescribedintheVulnerabilityAssessment.Howwilltheserisksbereducedoravoided?Hastheprojectbeenmademorerobust,orwillthemanagementplanneedtobereevaluatedinseveralyears?

• Theyarethereforepaired‘documents’.Thesetwodocumentsneednotbelong.ForthepurposesofevaluationundertheWaterCriteriaoftheClimateBondsStandard,theissuer’sVulnerabilityAssessmentandAdaptationPlandocumentsmaybeusefullysummarizedintoashortdocument,particularlyiftherelevantmaterialcomesfromanumberofsubsidiarydocuments.However,asummarydocumentisnotmandatedbythestandard.Wherewillyoufindthem?Inmostcases,theissuerinstitutionwillhaveformalprocessesforevaluatingandaddressingclimateimpactsbutacommunicationorawarenessgapmayexistwithininstitutionsbetweenfinanceanddesignorplanningteams.Withinlargerorganisations,thesedocumentsareoftenpreparedbytechnical,environmental,orengineeringdepartments—whousethemasthebasisfordevelopingdesigns,long-termplanning,anddefiningoperatingrules.Forsomeorganizations(especiallyforcities),anenvironmentdepartmentoragencymaybetaskedwithcreatingurbanorregionalVulnerabilityAssessmentsandAdaptationPlans.Insomecases,averyspecificassessmentandplanmaybepreparedthatappliesdirectlytotheuseofproceeds.Theevidenceusedtoexplainorjustifyparticularscoresdescribedbelowmaybemorecomplexortechnicalthanthenarrativevulnerabilityassessmentandadaptationplan,henceitmightcomefromamixofsourcesfromamixofdepartmentsandinstitutions.Whoshouldcarryouttheassessment?Itisrecommendedthattheissuershouldfirstself-scoretheirVulnerabilityAssessmentandAdaptationPlan,includinggatheringthesupportingdocumentationforthescoresproposed,andpassthistotheverifier.Theverifierwillthenhavetherelevantinformationtocarryouttheirownreviewoftheissuer’sVulnerabilityAssessmentandAdaptationPlanandtheprovisionalscorecardcompletedbytheissuer.Howtocarryouttheassessment?TheWaterCriteriarequirestheevaluationofthescopeandcoverageoftheissuer’sVulnerabilityAssessmentandAdaptationPlanusingascorecardmethodology.Thescorecardlistsaseriesofbinaryquestions.TheoverallscoreforeachsectionofthescorecarddetermineswhethertheprojectiseligibleforcertificationperthetermsoftheAdaptationandResilienceComponentsoftheWaterCriteria.FurtherinformationonthescoringthresholdsusedtodeterminewhetheroverallthecompletedscorecardmeetstheeligibilityrequirementsoftheAdaptation&ResiliencecomponentoftheWaterCriteriaisgivenintheWaterCriteriadocumentavailableathttp://www.climatebonds.net/standard/water.Whatsupportingevidenceisrequired?Foreachquestion,“evidence”ofanalysis/research,or“disclosure”oftherelevantregulatory,governance,orlegaldocumentsisrequired.


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Forexample,allocationquestion#3asks,“Isthereadistinctionbetweentheallocationregimesusedin“normal”timesandintimesof“extreme/severe”watershortage?”Evidencetodocumentthiscouldbeanurbanwaterplanthatlaysoutadjustedwaterallocationschedulesplannedunderavarietyofclimatescenarios.Disclosuremightbealinktorelevantregulationsorstatutesinthestateornationalwatercodethatmandatesallocationadjustmentsduringtimesofextendedorextremewatershortage.Furtherexamplesareincorporatedinthisdocumentforyourreference.

5.1. WorkingthroughtheScorecardThefirstthreepartsofthescorecardevaluatetheissuers’VulnerabilityAssessment.Thesethreepartsare:Allocation,Governance,andDiagnosticAssessment.Eachpartconsistsofanumberofassociatedquestions.

• Part1:Allocationaddresseshowwaterissharedbyuserswithinagivenbasinoraquifer.Withregardtotheproposedbondproject,thiselementofthescorecardconcentratesonthepotentialimpact(s)ofbondproceedsonwaterallocation.Thisisimportantinthecontextofclimateadaptationasfutureuncertaintyregardingwatersupplymayimpactallocationamountsovertimeanditisimportantforanybondprojectstotakewaterallocationmechanismsintoaccount.

• Part2:Governanceaddresseshow/whethertheuseofproceedstakesintoaccountthewaysinwhichwaterwillbeformallyshared,negotiated,andgoverned.Strongwatergovernanceisimportantinensuringcompliancewithallocationmechanismsandhelpsprotectwaterresourcesfromconflict,overuse,waste,anddegradation.

• Part3:DiagnosticAssessmentaddresseshow/whethertheuseofproceedstakesintoaccountchangestothehydrologicsystemovertime.Istheprojectinfrastructureand/orecosystemresilienttocurrentandprojectedclimatechangeimpactsonwaterresourceswithinthebasin?Forthiselement,theuseofacrediblehydrologicmodelisessentialtounderstandingcurrentandfutureconditionswithinthewatershedoraquiferinquestion.

Sections5.1.1to5.1.3gothrougheachquestioninturnacrossthesethreepartsrespectively,providingguidanceonhoweachquestionshouldbeinterpreted,andthespecificnatureofevidencerequiredandpotentialsourcesforthatinformation.ThefourthpartoftheScorecardincludes5questionstoassesstheAdaptationPlan(wereoneneeded).Section5.1.4goesthrougheachofthesequestionsinturn,providingguidanceonhoweachquestionshouldbeinterpreted,andthespecificnatureofevidencerequiredandpotentialsourcesforthatinformation.

5.1.1. SectionIoftheScorecard:ALLOCATIONScoringGuideThefirstsectionoftheScorecarddealswithhowtheVulnerabilityAssessmentaddresseswaterallocationandregulationwithintherelevantbasinoraquifer.Waterallocationmechanismsareusuallysetbythestateorlocalwaterregulatoryagency.IntheUnitedStates,muchofthisinformationisnowavailableonline,butreachingtoagencystaffmayalsobehelpfulincollectingevidence/disclosureinformation.

Question1.1:Arethereaccountabilitymechanismsinplaceforthemanagementofwaterallocationthatareeffectiveatasub-basinand/orbasinscale?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Disclosure

Whatthismeans:Inordertoscore1onthisquestion,theremustbewaterallocationverificationorcompliancemechanismsinplacenotonlyattheprojectormunicipallevel,butattherelevanthydrologicscale(forsurfacewater:theriverbasinorsub-basin,forgroundwater:theaquifer).


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Sustainablewaterresourcemanagementrequiresaconnectionbetweenmanagementattheprojectandthehydrologicscaleastheyinfluenceandimpactoneanother.Disclosureinthiscasecouldincludecopiesoftherelevantwatercodestatutes,compliancemechanisms,orwatermanagementplans.Anyverificationorcompliancemechanismmustalsohavetheauthorityandabilitytoapplypenalties,sanctions,oranothertypeofdisciplinaryactionfornon-compliance.ExamplefromSanFrancisco,CA:Amixtureofstate,federal,specialcommissionsandagencies,andlower-levelorganizationsmanagewateracrosstheSanFranciscoBay/SacramentoRiverDeltaregion.Thepublicutility’sprojectsmustbeincompliancewiththeseregulatoryinstitutionsortheywillfacesanctionundertheStateWaterCode.Relevantcommittees/regulatoryagenciesforthisregioninclude:

• DeltaProtectionAct/DeltaProtectionCommittee:TheDeltaProtectionActof1992createdTheDeltaProtectionCommission,codifiedinthePublicResourcesCode(PRC)beginningwithsection29700.TheActdeclaresthat,“theDeltaisanaturalresourceofstatewide,national,andinternationalsignificance,containingirreplaceableresources,andthatitisthepolicyoftheStatetorecognize,preserve,andprotectthoseresourcesoftheDeltafortheuseandenjoymentofcurrentandfuturegenerations,inamannerthatprotectsandenhancestheuniquevaluesoftheDeltaasanevolvingplace.”PRCSection29760-29767furtherinstructsthat,“NotlaterthanOctober1,1994,thecommissionshallprepareandadopt,byamajorityvoteofthemembershipofthecommission,andthereafterreviewandmaintain,acomprehensivelong-termresourcemanagementplanforlanduseswithintheprimaryzoneofthedelta.”http://www.delta.ca.gov/Delta_Protection_Act.htm

• TheStateWaterResourcesControlBoard(StateWaterBoard)isresponsiblefordevelopingandmodifyingtheBay-DeltaWaterQualityControlPlan,whichestablisheswaterqualitycontrolmeasuresneededtoprovidereasonableprotectionofbeneficialusesofwaterintheBay-DeltaWatershed.

o Bay-DeltaWaterQualityControlPlan:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/deltaflow/docs/final_rpt080310.pdf

o SanFranciscoRegionalWaterQualityControlBoard:http://www.waterboards.ca.gov/sanfranciscobay/board_decisions/enforcement.shtml

• DeltaStewardshipCouncilo DeltaManagementPlan(effectiveSeptember1,2013):TheDeltaReformActof2009,whichcreatedthe

DeltaStewardshipCouncil(Council),requiresthattheCounciladoptalegallyenforceableDeltaPlantofurthertheachievementofthecoequalgoalsofprovidingareliablewatersupplyforCaliforniaandprotecting,restoring,andenhancingtheDeltaecosystem.http://deltacouncil.ca.gov/delta-plan-regulations

• U.S.Fish&WildlifeServiceo BayDeltaFish&WildlifeOffice:TheBay-DeltaofficehandlesEndangeredSpeciesActlistingsforthedelta,

andcoordinatesenvironmentalmonitoringandplanningattheecosystemlevel:https://www.fws.gov/sfbaydelta/es/endangered_species.cfm.TheFish&WildlifeServicealsomanagestheNationalWildlifeRefugeSystem,operatesfishhatcheriesandfisheryresourceoffices,enforcesFederalwildlifelaws,managesmigratorybirdpopulations,conservesandrestoreshabitatssuchaswetlands,andoverseesaFederalAidprogramthatdistributeshundredsofmillionsofdollarstoStatefishandwildlifeagencies.https://www.fws.gov/sfbaydelta/index.cfm

• U.S.BureauofReclamationo CentralValleyProject:TheprojectwasinitiallyimplementedprimarilytoprotecttheCentralValleyfrom

chronicwatershortagesandfloods,buttheCVPalsoimprovesSacramentoRivernavigation,suppliesdomesticandindustrialwater,generateselectricpower,conservesfishandwildlife,createsopportunitiesforrecreation,andenhanceswaterquality.TheBureauofReclamationisinchargeofwatersupplyallocationforallCVPcontractors.Relevantfederalstatutesarefoundhere:http://www.usbr.gov/mp/cvpia/index.html,anddisclosureofannualCVPwaterallocationishere:http://www.usbr.gov/mp/cvp-water/.


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Question1.2:Arethefollowingfactorstakenintoaccountinthedefinitionoftheavailableresourcepool?1. Non-consumptiveuses(e.g.,navigation,hydroelectricity)2. Environmentalflowrequirements3. Dryseasonminimumflowrequirements4. Returnflows5. Inter-annualandinter-seasonalvariability6. Connectivitywithotherwaterbodies7. Climatechangeimpacts

Scoring:1pointeachforyes,maximumof7points,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Evidenceofthesecriteria,expandeduponbelow,shouldbeincludedintherelevantwatermanagementplan.Whateachofthesefactorsmean:

1. Non-consumptiveusereferstowaterusesthatdonotdiminishtheamountofwatermovingthroughthehydrologicsystemorsignificantlyalteritsqualityforotheruses.Duringnon-consumptiveuse,wateriseitherleftinstreamor,ifitisdiverted,isreturnedimmediatelytothesourcefollowingitsuseinthesamequantityandqualityaswhenitwasdiverted.

2. Forsurfacewater,arethererequirementsinplaceforinstreamflowlevelsnecessarytomaintaintheecologicalfunctionofthewaterresourceanditsecosystem?

3. Mostfree-flowingwatersexperienceseasonalfluctuationsinwaterlevels.Forthewaterwayinquestion,arethereminimumflowrequirementsinplaceduringdry/low-flowperiods?

4. Whilereturnflowsarenotoriouslyhardtoquantify,aremeasurementsbeingtakenormodelsemployedtoestimatetheamountofwaterthatisreturnedtotheresourcepoolonceithasbeenused?

5. Aspreviouslymentioned,mostsurfaceandsomegroundwaterresourcesexperienceflowvariabilityoverdifferenttimescales,dueinparttoseasonalchangesinprecipitation,temperature,theconsumptiveuserate,landcover/landusechange,andinterannualclimatepatternssuchastheElNiñoSouthernOscillation(ENSO).Dotheresourceavailabilityreportstakethesefluctuationsintoaccount?

6. Availabilityreportsshouldalsonotewhetherornotthewaterresourceinquestionishydrologicallyconnectedtootherwaterresourcessuchasanaquifer,lake,oralargerstreamnetworkorbasin,asuseoftheresourceinoneareacouldhaveawiderimpactontheseinterconnectedsystems.

7. Doestheavailabilityreportmentionclimatechangeandanypredictedimpactsclimatecouldhaveontheresource’savailabilityovertime?

ExamplefromSanFrancisco,CA:ThesefactorsaregovernedatthestatelevelbytheCAStateWaterBoard,aswellasavarietyofspecialtygroups,suchastheSanFranciscoPublicUtilitiesCommission(PUC),federalandstatenavigationstandards,SWBandUSEPAenvironmentalflowrequirements,andCAenergygovernancecommittee.Evidence/disclosureinformationrequirementssourcedfromCAStateWaterResourcesControlBoardDevelopmentofFlowCriteriafortheSacramento-SanJoaquinDeltaEcosystemdocument:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/deltaflow/docs/final_rpt080310.pdf.

Question1.3:Isthereadistinctionbetweentheallocationregimesusedin“normal”timesandintimesof“extreme/severe”watershortage?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Withintherelevantwaterresourcemanagementplan(s),isthereanarrangementinplaceformodifyingwaterdeliveries(measuredaseithervolumeorpercentage,orboth)duringtimesofextendedorextremedrought?Evidenceofthiswouldbeasectionofthewatermanagementplanaddressingcurrent/potentialwatershortagesandhowallocationis/willbemodifiedduringthosetimes.


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ExamplesfromSanFrancisco,CA:TheSFPUC’sUrbanWaterManagementPlandifferentiatesbetweenallocationundernormalconditionsandbothshort-term(1year)andlonger-term(2-4)yeardroughtconditions.Thereducedallocationsduringwatershortageyearsarebasedonapercentageofthetotalvolumedeliveredundernormalconditions.Forexample,duringa1criticaldryyear,allocationiscutby10%system-wide;foryears2-4,system-wideallocationiscutby22%.Theseshortageallocationsarefurtherdividedbetweenretailpublicutilitycustomersandwholesaleusers.The2015UrbanWaterManagementPlancouldbeusedasEvidenceforthisquestion:http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8838.TheU.S.BureauofReclamationalsoadjustsitsannualCVPwaterallocationplansbasedondroughtconditions.Themostrecentexamplefrom2016isavailablehere:http://www.waterboards.ca.gov/waterrights/water_issues/programs/drought/tucp/docs/febnov_2016plan.pdf,andcouldbesuppliedasEvidence.

Question1.4:Whatarrangementsareinplace,ifany,toaccommodatethepotentiallyadverseimpactsofclimatechangeontheresourcepool?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Arethereplansinplacetomonitorthestatusofthewaterresourceinquestionovertimeand,ifnecessary,reviseexistinglawsandregulationsshouldthewaterbenegativelyaffectedbyfutureclimatechange?Inordertoscorea1inthiscategory,therelevantwatermanagementplan(s)shouldemploythebestavailablesciencetomonitortheresourceandformulateaplanforaddressingnegativeclimateimpacts.ExamplefromSanFrancisco,CA:TheSFPUC’s2010and2015UrbanWaterManagementPlansbothoutlineimpactstodateandalternativeplansforhandlingcrisisperiods:http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8838.Additionally,theCADepartmentofWaterResourcespublishedadetailedClimateChangeHandbookforRegionalWaterPlanningin2011thataddressesanticipatedclimateimpactstoregionalwatersupplies,aswellasresponseprotocols.Availablehere:http://www.water.ca.gov/climatechange/CCHandbook.cfm.In2015,theStateWaterBoardadoptednewdroughtemergencyregulationstodealwithextendedwatershortages:http://www.waterboards.ca.gov/waterrights/water_issues/programs/drought/emergency_regulations.shtml.AnyoftheseexamplescouldbeusedasEvidenceinthisscoringexercise.

Question1.5:Arethereplanstodefine“exceptional”circumstances,suchasanextendeddrought,thatinfluencetheallocationregime?(E.g.,triggerswateruserestrictions,reductioninallocationsaccordingtopre-definedpriorityuses,suspensionoftheregimeplan,etc.)Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Increasingvariabilityinflowcannecessitateflexibilityinwaterallocationbytherelevantgovernmentagencyorpublicutility.Doextendedorextremedroughtconditionscurrentlytriggerchangesbythegovernmentagencyorpublicutilitytotheallocationregime?ExamplesthatcouldbeusedasEvidenceincludewateruserestrictionsorreductioninallocationauthorized/mandatedbythestatewatercode.ExamplefromSanFrancisco,CA:TheCaliforniaWaterCode’sUrbanWaterManagementPlanningstatutemandatesanurbanwatershortagecontingencyanalysisforwaterprovidersthatincludes,“Stagesofactiontobeundertakenbytheurbanwatersupplierinresponsetowatersupplyshortages,includinguptoa50percentreductioninwatersupply,andanoutlineofspecificwatersupplyconditionsthatareapplicabletoeachstage.”Asmentionedinquestion#3,theSFPUC’s2015UrbanWaterManagementPlanhasoutlinedawatershortagecontingencyplanwithsingleandmultipledryyearallocationreductions,whichcouldbesuppliedofEvidence:http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8838.


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Question1.6:Forinternational/transboundarybasins,istherealegalmechanisminplacetodefineandenforcewaterbasinallocationagreements?Scoring:1ifyes,0ifno,orN/AifthebasinisnotsharedbytwoormorecountriesEvidenceorDisclosure:DisclosureWhatthismeans:Iftwoormorecountriessharetheriverbasinoraquiferinquestion,isthereatreatyorotherbi/multilateralagreementinplacetoA)Allocatewaterbetweenthebasincountriesand,B)Enforcethoseallocations?Forthepurposesofthisscoringexercise,theexistenceofasharedusetreatyoragreementbetweentheripariancountriesconstitutesDisclosure.ExamplefromtheUnitedStatesandCanada:TheInternationalJointCommission(IJC),authorizedbythe1909BoundaryWatersTreatyresolvesalltransboundarywater-relateddisputesbetweentheUnitedStatesandCanadaandconstitutesDisclosureforthisquestion.Theserulingsarelegallybindingforallparties.FromtheIJC’swebsite:

“TheInternationalJointCommissionpreventsandresolvesdisputesbetweentheUnitedStatesofAmericaandCanadaunderthe1909BoundaryWatersTreatyandpursuesthecommongoodofbothcountriesasanindependentandobjectiveadvisortothetwogovernments.

Inparticular,theCommissionrulesuponapplicationsforapprovalofprojectsaffectingboundaryortransboundarywatersandmayregulatetheoperationoftheseprojects;itassiststhetwocountriesintheprotectionofthetransboundaryenvironment,includingtheimplementationoftheGreatLakesWaterQualityAgreementandtheimprovementoftransboundaryairquality;anditalertsthegovernmentstoemergingissuesalongtheboundarythatmaygiverisetobilateraldisputes.”http://www.ijc.org/en_/IJC_Mandates

Question1.7:Arewaterdeliveryagreementsdefinedonthebasisofactualinsituseasonal/annualavailabilityinsteadofvolumetricorotherwiseinflexiblemechanisms?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Waterdeliveryamountscanbebasedonadiscretevolume,suchas200mgd(milliongallonsperday)orasapercentageofthetotalresourceblockavailableatanygiventime.Inthelattercase,theactualvolumedeliveredmayfluctuatedependingontheseasonorannual/decadalprecipitationpatternsthatimpactthetotalresourcepool.Percentage-basedwaterdeliveryagreementsthattakethesefluctuationsintoaccountarepreferablebecausetheyarebetterabletorespondandadjustintimesofshortage.Evidenceforthetypeofwaterdeliverymechanismsbeingusedinthebasinwillmostlikelybefoundintherelevantwaterdeliveryagreementorregulatorystatute.ExamplefromSanFrancisco,CA:WaterdeliverytoCentralValleyProjectcustomersarebasedoninsituconditions.AccordingtotheU.S.BureauofReclamation,CVPwaterdeliveryamountsaremadeannuallyandbasedon“factorsthatincludehydrology,changingriverandDeltaconditions,storageinCVPreservoirs,regulatoryrequirements,courtdecisions,biologicalopinions,environmentalconsiderations,operationallimitationsandinputfromotheragenciesandorganizations.”Moreinformationhere:http://www.usbr.gov/newsroom/newsrelease/detail.cfm?RecordID=52228

Question1.8:Hasaformalenvironmentalflows(e-flows)/sustainablediversionlimitsorotherenvironmentalallocationbeendefinedfortherelevantsub-basinorbasin?Ifpreexisting,hastheenvironmentalflowsprogrambeenupdatedtoaccountforthenewproject?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Environmental(alsocalled‘instream’)flowrefertothequantity,quality,andtimingofwatermovingthroughthehydrologicsystemrequiredtomaintainbasicecologicalfunctionoftheecosystem,aswellasmeettheneedsoftheaquaticandterrestrialcommunities’dependentuponit.


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Environmentalflowsareleftinstreamandcannotbeusedforanon-ecosystempurpose.Thesecanbeavolumetricamount,i.e.,30cfs(cubicfeetpersecond),orapercentageoftotalflow.Evidenceofenvironmentalflowallocationwillbemostlikelyfoundittherelevantwatermanagementplan.ExamplefromSanFrancisco,CA:AninteragencygrouphasdevelopedaBay-Deltawatershedmanagementplan,whichincludescity,country,state,andfederalentities.Theplanallocatesenvironmentalflowtargetsandisregularlyupdated.ReferencingthisProgramwouldcountasevidenceforthisquestion:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/deltaflow/final_rpt.shtml.Similarly,fortheTuolumneRiver,adetailedSFPUCinstreamflowplanhasbeenpreparedandcouldalsobeusedforEvidencepurposes:,http://utrep.blogspot.com/2014/04/draft-oshaughnessy-dam-instream-flow.html.ExamplefromthePotomacRiverbasin,USA:Evidenceofenvironmentalflowcriteriacanbefoundinthe2013MiddlePotomacRiverWatershedAssessment:PotomacRiverSustainableFlowandWaterResourcesAnalysis,producedbytheUnitedStatesArmyCorpsofEngineers,BaltimoreDistrict,TheNatureConservancy,andtheInterstateCommissiononthePotomacRiverBasin.Availablehere:https://www.potomacriver.org/wp-content/uploads/2015/09/MPRWA_FinalReport_April20141.pdf

Question1.9:Havedesignatedenvironmentalflows/allocationprogramsbeenassured/implemented?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Either

Whatthismeans:Ifthereareregulatoryenvironmentalorinstreamflowrequirementsinplace,aretheremonitoringorotherverificationmechanismstoensurethattheserequirementsarebeingmet?DisclosureoftherelevantstatuteorEvidenceofaninstreamflowsmonitoringprogramcouldbeusedtosatisfyverificationrequirementsforthisquestion.ExamplefromSanFrancisco,CA:Instreamflowcriteria,asmandatedundertheBay-DeltaPlan,aremonitoredbytheStateWaterResourcesControlBoardaswellastheDeltaIndependentScienceBoard,andisnowbeingimplemented:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/deltaflow/

Question1.10:Hasamechanismbeendefinedtoupdatetheenvironmentalflowsplanperiodically(e.g.,every5to10years)inordertoaccountforchangesinallocation,watertiming,andwateravailability?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Toensurethatenvironmentalflowrequirementsreflectconditionsinthestreamoraquifer,aswellasthebestavailablescience,allocationplansshouldhavemechanismsforperiodicreviewbuilt-intoallowchangestoflowsbasedon(potentially)changingenvironmentalrequirements.Evidencewouldbedocumentationinthewatermanagementplanthatoutlinesperiodicreviewprocesses.ExamplefromtheTrinityRiverbasin,California,USA:Environmentalflowrequirementsaremanagedbythemulti-agencyTrinityRiverRestorationProgram,monitored,andupdatedperiodicallyaspartoftheirAdaptiveEnvironmentalAssessmentandManagement(AEAM)program.MoreinformationabouttheTrinityRiverenvironmentalflowprogramisavailablehere:http://www.trrp.net/restore/flows/.ExamplefromSanFrancisco,CA:TheSFPUC’sUrbanWaterManagementPlansalsorequireanupdateevery5yearstoensuretheyreflectcurrentconditionsandthebestavailablescience.FromtheStateWaterCode’sUrbanWaterManagementPlanningsection:“10621.(a)EachurbanwatersuppliershallupdateitsplanatleastonceeveryfiveyearsonorbeforeDecember31,inyearsendinginfiveandzero.”http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8838


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Question1.11:Istheamountofwateravailableforconsumptiveuseintheresourcepoollinkedtoapublicplanningdocument?(E.g.,ariverbasinmanagementplan)

A. Yes,thelimitislinkedtoariverbasinmanagementplanB. Yes,thelimitislinkedtoanotherplanningdocument,pleaseindicate:C. No,thelimitisnotlinkedtoanyplanningdocument

Scoring:IfAorB,1;ifC,0EvidenceorDisclosure:EvidenceWhatthismeans:Consumptiveusereferstoanywaterusethatremovesavailablewaterfromthesystemwithoutreturningit(e.g.,domesticconsumption,cropirrigation,orindustrialmanufacturing).Isthetotalvolumeorpercentagededicatedforconsumptiveusestiedtoabroaderriverbasinmanagementplanthattakesbothconsumptiveandnon-consumptiveusesintoconsideration?TherelevantplanningdocumentconstitutesEvidenceforthisquestion.ExamplefromSanFrancisco,CA:TheStateWaterBoardimplementstheBasinPlan.Alldesignatedbeneficialuses,includingallconsumptiveuses,aretiedtotheBasinPlan:“Bylaw,theWaterBoardisrequiredtodevelop,adopt(afterpublichearing),andimplementaBasinPlanfortheRegion.TheBasinPlanisthemasterpolicydocumentthatcontainsdescriptionsofthelegal,technical,andprogrammaticbasesofwaterqualityregulationintheRegion.Theplanmustinclude:

• AstatementofbeneficialwaterusesthattheWaterBoardwillprotect;• Thewaterqualityobjectivesneededtoprotectthedesignatedbeneficialwateruses;and• Thestrategiesandtimeschedulesforachievingthewaterqualityobjectives.”

http://www.waterboards.ca.gov/sanfranciscobay/water_issues/programs/planningtmdls/basinplan/web/bp_ch1.shtml#1.4.

Question1.12:Ifpresent,istheriverbasinplanastatutoryinstrumentthatmustbefollowedratherthanaguidingdocument?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EitherWhatthismeans:Doestheplanningdocumentreferencedinquestion11havelegallybindingcompliancemechanismsinplace?MostlikelythiswillrequireDisclosureoftherelevantstatute,butEvidenceofcompliancemechanismswithinthebasinplanisalsoacceptable.ExamplefromSanFrancisco,CA:TheBay-DeltaPlanisrequiredandauthorizedunderCaliforniaWaterCodeSection85000(TheDeltaReformActof2009):http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=200920107SB1&search_keywords.Assuch,itisastatutorydocument,requiringcompliancewiththecriteriadevelopedbytheplan.Moreinformationisavailablehere:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/.

5.1.2. SectionIIoftheScorecard:GOVERNANCEScoringGuideThesectionoftheScorecardincludesthefollowingquestionsrelatingtohowtheVulnerabilityAssessmentaddressesthepolicyandgovernancemechanismsinplacetomanageandensureusercompliancewithrelevantwaterregulations.

Question2.1:Howarewaterentitlementsdefined?A. PurposethatwatermaybeusedforB. MaximumareathatmaybeirrigatedC. MaximumvolumethatmaybetakeninanominatedperiodD. ProportionofanywaterallocatedtoadefinedresourcepoolE. NoformaldefinitionexistsF.


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Scoring:A-D=1;E=0;n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Watercanbeallocatedinavarietyofways–byusagetype,maximumvolume,etc.Inmanyplaces,multiplecriteriaareused.Themostcommonallocationmethodsareincluded(A-D)inthisquestion.WhileanswersA-Dallachieveascoreof1,fromanadaptivewatergovernanceperspective,answerDispreferable.Waterallocationshouldbeproportionaltotheamountavailablewithintheresourcepooltogiveflexibilityduringtimesofshortageandensureenoughwaterremainsinstreamtoensureproperecosystemfunction.ThisquestionrequiresDisclosureintheformofthelegalstatuteordocumentthatdefineshowwaterentitlementsaremeasured.IntheUnitedStates,thisisoftenfoundinthestatewatercode.ExamplefromSanFrancisco,CA:BothAandD.California,likemanyU.S.states,hasalistofapproved“beneficialuses”towhichwatercanbeallocated.Beneficialusesincludethingslikenavigation,humanconsumption,irrigation,industrialuse,andecosystemservices(i.e.,“environmentalflows”).Accordingtothestatewatercode,watercannotbeallocatedforuseinanywaythatisnotcoveredbythelist.Disclosurefromthestatewatercode:

Article4.BeneficialUse[1240.-1244.](Article4enactedbyStats.1943,Ch.368.)§1240.Theappropriationmustbeforsomeusefulorbeneficialpurpose,andwhentheappropriatororhissuccessorininterestceasestouseitforsuchapurposetherightceases.(EnactedbyStats.1943,Ch.368.)http://www.waterboards.ca.gov/laws_regulations/docs/wrlaws.pdf.

Californiaalsoallocateswaterproportionallybasedonmaximumvolumeavailable.Thiscomesintoplayprimarilyduringtimesofdrought,whentheStateWaterResourcesDepartmentcanadjustthepercentageofwaterdeliveriesmadetoStateWaterProject(SWP)permittees,andWaterCodesection1058.5mandatesthattheStateWaterResourcesControlBoardmustcurtailwaterdiversionswhensufficientflowsinawatershedarenotavailablebecausethewaterisneededtosatisfyseniorrightsorprovideacorrelativeshareofequallyseniorrights(i.e.,riparianrights),orisneededtomeetpublictrustandwaterqualityrequirements.Disclosure:http://www.leginfo.ca.gov/cgi-bin/displaycode?section=wat&group=01001-02000&file=1050-1060.Question2.2:Isthesurfacewatersystemcurrentlyconsideredtobe:

A. Over-allocatedB. Over-usedC. Neitherover-allocatednorover-used

Scoring:A=0.5,B=0,C=1,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:A.Over-allocationmeansthatthecurrentusagerateiswithinsustainablelimitsbuttherewouldbeaproblemifalllegallyapprovedentitlementstoabstractwaterwereusedattheirfullallotment.Over-usedreferstoasituationwhereexistingabstractionsexceedtheestimatedproportionoftheresourcethatcanbetakenonasustainablebasis.Evidenceofeitheroftheseconditionscouldbeintheformofabasinreportorwaterresourcesmanagementplanthatshowsallocationandwithdrawalpercentagesforthegivenwaterwayoraquifer.ExamplefromSanFrancisco,CA:TheSacramento-SanJoaquinbasiniscurrentlyover-allocated,meaningthatthereisnotenoughwaterinthesystemtosustainablysupplyexistingallocationagreementsandwaterrights,whileleavingenoughwaterinstreamtoprovideecosystemservices.Thishasledtochronicshortagesandconsiderablewaterstress,particularlyduringthecurrentdrought,whichbeganin2012.Thiswaterrightsallocationreport,completedbyscientistsattheUniversityofCalifornia–Davis,showshighlevelsofoverallocationfortheSacramento,Tuolumne,andSanJoaquinrivers:https://watershed.ucdavis.edu/files/biblio/WaterRights_UCDavis_study.pdf.


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Question2.3:Ifmonitoredandtheinvestmentusesgroundwater,isthegroundwaterwatersystemcurrentlyconsideredtobe:

A. Over-allocatedB. Over-usedC. Neitherover-allocatednorover-used

Scoring:A=0.5,B=0,C=1,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Similartothepreviousquestion,exceptreferringtogroundwaterwithdrawals.Onlyrelevantifgroundwaterisbeingusedbytheproposedbondproject.Evidenceofthiswouldbeanaquiferstudyormonitoringreportthatshowscurrentallocationandaquiferwithdrawals.ExamplefromAustralia:GroundwaterintheAustralianstatesofSouthAustraliaandVictoriaarecooperativelymanagedandmonitoredunderthe1985Victoria-SouthAustraliaGroundwaterAgreement.AccordingtotheBorderGroundwatersAgreementReviewCommittee(BGARC),severalofthesharedaquifersareover-usedmeaningtheyarebeingwithdrawnfasterthantheycanbesustainablyreplenished.Thus,ifthepotentialbondprojectplannedtowithdrawwaterfromoneoftheseover-usedaquifers,theywouldreceiveascoreof0onthisquestion.ThemostrecentannualreportfromtheBGARCisavailablehere:http://www.parliament.sa.gov.au/HOUSEOFASSEMBLY/BUSINESSOFTHEASSEMBLY/RECORDSANDPAPERS/TABLEDPAPERSANDPETITIONS/Pages/TabledPapersandPetitions.aspx?TPLoadDoc=true&TPDocType=0&TPP=53&TPS=2&TPItemID=536&TPDocName=SA%2BVic%2BGroundwaterARC%2BThirtieth%2BAnnual%2Breport_final.pdf.Moreinformationonthe1985Victoria-SouthAustraliaGroundwaterAgreementhere:http://archive.nwc.gov.au/home/water-governancearrangements-in-australia/cross-boundary-arrangements/victoria-south-australia-border-groundwater-area

Question2.4:Howarelimitsontheamount/rateofabstractiondefined?

A. ThereisalimitinthevolumeofwaterthatcanbeabstractedB. Thereisalimittotheproportion(e.g.percentage)ofwaterthatcanbeabstractedC. Therearerestrictionsonwhocanabstractthewater(butnolimitonhowmuchwatercanbeabstracted)D. Thereisnoexplicitlimitonwaterabstraction

Scoring:A=0.5,B=1,C=0.5,D=0,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Withintherelevantwatermanagementplan,havetheupperlimitsofwaterwithdrawalbeendefined?Ifso,howaretheydefined?Theideallimitationsareproportionaltotheinsituamountofwateravailableinthepool,sincewaterlevelscananddofluctuate.Ifthewithdrawallimitsarebasedonatotalvolume,duringtimesoflowflow,itmaymeanthatthewaterwithdrawneitherreducestheresourcepooltothepointofecosystemimpairment,orfullydepletestheresource.Degradedhabitatcanleadtodegradedwaterqualityandquantity,furtherreducingtheamountofwateravailable.Ontheotherhand,ifwithdrawallimitsareproportional,whenwaterlevelsdrop,sotoodoestheamountwithdrawn,ensuringthatmoreisleftinstreamforecosystemuse.ExamplefromtheUnitedKingdom:TheUKEnvironmentAgencysetsabstractionlimitsusingthepercentageofthetotalresourcepool.Moreinformationonwaterabstractionlimitscanbefoundinthisdocument,whichalsoservesasEvidenceforthisquestion:https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/297309/LIT_4892_20f775.pdfQuestion2.5:Aregovernancearrangementsinplacefordealingwithexceptionalcircumstances(suchasdrought,floods,orseverepollutionevents),especiallyaroundcoordinatedinfrastructureoperations?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Disclosure


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Whatthismeans:Aretherelaws,policies,statutes,ormanagementregulationsinplacetomanagewaterinfrastructureduringemergencysituations?Thisisrelevantforallwaterinfrastructure,butparticularlyimportantforcombinedsystemssuchasstormwater,wastewater,anddrinkingwatertreatmentfacilities.Disclosuremightincludetherelevantstatutesorlawsgoverningemergencycircumstances.ExamplefromSanFrancisco,CA:Yes,thereareexplicitplansforextremeeventsincludingdrought,flooding,andseverepollution,crossinganumberofinstitutionallevels.ThemostrelevantforthisissuancearedescribedintheUrbanWaterManagementPlan:Also,emergencywaterrightscurtailmentsareallowedunderWaterCodesection1058.5,whichmandatesthattheStateWaterResourcesControlBoardmustcurtailwaterdiversionswhensufficientflowsinawatershedarenotavailablebecausethewaterisneededtosatisfyseniorrightsorprovideacorrelativeshareofequallyseniorrights(i.e.,riparianrights),orisneededtomeetpublictrustandwaterqualityrequirements.Disclosure:http://www.leginfo.ca.gov/cgi-bin/displaycode?section=wat&group=01001-02000&file=1050-1060.ExamplefromPotomacRiver:Yes,theICPRBholdsannualdroughtexercisesandmanagesreservoiroperationsduringtimesofdrought;theyalsocoordinateemergencyspilloperations.Moreinformationisavailableontheirwebsitehere:https://www.potomacriver.org/focus-areas/water-resources-and-drinking-water/TheyarealsotaskedwithcompletingtheComprehensiveManagementPlanforthePotomacRiver,whichiscurrentlybeingfinalized.Moreinformationaboutthecomprehensiveplanisavailablehere:https://www.potomacriver.org/focus-areas/water-resources-and-drinking-water/water-resources/planning/basin-wide-comprehensive-plan/

Question2.6:Isthereaprocessforre-evaluatingrecentdecadaltrendsinseasonalprecipitationandflowORrechargeregime,inordertoevaluate“normal”baselineconditions?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Baselineconditionsrefertotherecorded“status-quo”surfacewaterlevelsoraquifer(groundwater)rechargerateatanygiventimeduringtheyear.Climatechangeandotherfactorssuchaslanduseandwithdrawalratescanalterthesebaselinesovertime,reducingtheiraccuracyandusefulnessinplanningandallocatingwaterfromtheresourcepool.Assuch,itisimportantthatperiodicreviewisundertakenbytherelevantwaterresourcesmanagementdivisiontodetermineifthebaselineconditionsareinfactchangingandifachangeinwithdrawalrates/volumeisthuswarranted.Inordertoscorea1onthisquestion,theremustbeasanctionedreviewprocessinplacewithinthewatermanagementplantomonitorbaselineconditionsovertimeandupdatetheplanifandwhennecessary.Disclosurewouldbethemanagementplanitself.ExamplefromSanFrancisco,CA:Yes.TheUrbanWaterManagementPlanisaperiodicreviewdocument,basedonrecenttrendsinwaterusageandflows.InaccordancewiththeUrbanWaterManagementPlanningAct(CaliforniaWaterCodeDivision6,Part2.6,Sections10610through10656),theplanisupdatedevery5years.Disclosure:http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8839

Question2.7:Isthereaformalprocessfordealingwithnewentrants?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Whenthereareprospectivewaterusersdesiringtousetheresourcepool,arethereformalpermittingprocessesinplacetodetermineifthereisenoughwatertoallocatetothenewuser(s),whatusesareallowed,howmuchtheycanwithdraw,fromwhichpoint,atwhatrate,etc.?Thiswillmostlikelybefoundinthestateornationalwatercode;Disclosureconsistsoftherelevantstatueorlawregardingthewaterpermittingprocess.ExamplefromSanFrancisco,CA:InthewesternUnitedStates,eachstatehasitsownwaterpermittingprocessbasedonthedoctrineofpriorappropriation,alsoknownasfirst-in-time,first-in-right.InCalifornia,theStateWaterBoarddefinesandregulatesthewaterrightspermittingapplicationprocess.Detailedinformationonthisprocesscanbefoundhere:


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http://www.waterboards.ca.gov/waterrights/board_info/water_rights_process.shtml;theWaterRightsCommissionActof1914,whichestablishedthewaterpermittingsystem,isavailablehere:http://repository.uchastings.edu/cgi/viewcontent.cgi?article=1061&context=ca_ballot_propsExamplefromPotomacRiver:Newentrantsaremanagedatthestatelevel.InMaryland,forexample,thereisanextensivepermittingprocess,outlinedhere:http://www.dsd.state.md.us/comar/SubtitleSearch.aspx?search=26.17.06.*

Question2.8:Forexistingentitlements,isthereaformalprocessforincreasing,varying,oradjustinguse(s)?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Waterrightspermitstypicallydefinethetotalvolumeorpercentageoftheresourcepoolthatcanbewithdrawn,therateofwithdrawal,seasonofuse,pointofdiversion,andtypeofuse.Ifthepermitholderwantstochangeanyofthesecriteria,isthereaformalprocessforthemtodoso?Likethepreviousquestion,Disclosureislikelyfoundintherelevantwaterrightspermittingstatuteorlaw.ExamplefromSanFrancisco,CA:ThisprocessisalsodefinedbytheStateWaterBoard.FromtheBoard’swebsite:“Anychangeinpurpose,placeofuse,orpointofdiversionrequiresBoardapproval.Theproposedchangecannotinitiateanewrightorinjureanyotherlegaluserofwater.”Moreinformationisavailablehere:http://www.waterboards.ca.gov/waterrights/board_info/water_rights_process.shtml#process

Question2.9:Istherepolicycoherenceacrosssectors(agriculture,energy,environment,urban)thataffectwaterresourcesallocation,suchasaregional,national,orbasin-wideIntegratedWaterResourcesManagement(IWRM)plan?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Arewater-relatedpoliciesacrosssectorsandgovernancescales(local,state,regional,national)consistentwithoneanother?Thisquestionreturnstotheconceptofbasin-scaleplanning.Ifthereisabasinorsub-basinmanagementplaninplace,doesitincludeinter-agencypolicyplanningguidelinesormechanismstoensurecoherentpoliciesacrosssectorsandscales?Withoutsuchprovisionsinplace,lawsandregulationscan(anddo!)contradictorimpaironeanother.Evidenceofpolicycoherencewouldbetheexistenceofinteragencytaskforcesorworkinggroups,oranintegratedwatermanagementpolicyorplan.ExamplefromSanFrancisco,CA:Inter-agencycoherenceismanagedthroughseveralmechanisms.Thereareinteragencyprocessesatthestatelevel,suchastheinteragencydroughttaskforce:https://www.gov.ca.gov/docs/12.17.13_Drought_Task_Force.pdf,http://drought.ca.gov/;aswellastheaforementionedenvironmentalflowswork,bothofwhichcouldbeusedasevidenceofpolicycoherenceacrosssectors.MoreinformationaboutintegratedwatermanagementinCaliforniacanbefoundhere:http://www.water.ca.gov/irwm/resources/ncro.cfm

Question2.10:Areobligationsforreturnflowsanddischargesspecifiedandenforced?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Arethereexpectedtobereturnflows(i.e.,waterreturningtotheresourcepoolfollowingitsremoval,primarilythroughsub-surfaceinfiltrationorsurfacerunoff)associatedwiththeproposedbondproject?Arethoseflowsquantifiedand,ifso,istheremonitoringinplacetoensurethatthewaterbeingreturnedtothesourcemeetsapplicablewaterqualityrequirements?ExamplefromSanFrancisco,CA:InCalifornia,thereisanetworkofstate,localandfederalagenciesinvolvedinthemonitoringofreturnflowsaspartoftheiroverallwatermonitoringprogramsintheSacramento–SanJoaquindelta.


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• TheUSGS-CAmonitoringprogramisdetailedinthisbrochure:http://pubs.usgs.gov/fs/2015/3061/fs20153061.pdf• MoreinformationisalsoavailablethroughtheCaliforniaDepartmentofWaterResourcesDataExchangeCenter:

http://www.cdec.water.ca.gov/Question2.11:Isthereamechanismtoaddressimpactsfromuserswhoarenotrequiredtoholdawaterentitlementbutcanstilltakewaterfromtheresourcepool?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Manywateruseswitharelativelysmallwithdrawalvolumeorpercentage,suchashouseholduse,lawncare,stockwatering,etc.areroutinelyexemptfromofficialentitlementprocesses,suchaspermittingrequirements.Takentogether,however,thesewithdrawalscanmakeasignificantdentintheresourcepool.Inordertoscorea1onthisquestion,theseunregulatedwithdrawalsmustbeaddressedbythewatermanagementplanorregulatoryframework.InthecaseofCalifornia,theseusesarehandledveryexplicitly,withrobustregulatorymechanismsinplace.Mostofthedetailsaredescribedinrelationtothestate’sWaterBoards:http://www.waterboards.ca.gov/waterrights/board_info/water_rights_process.shtml.Relevanttextthereincludes:

• Ariparianrightentitlesthelandownertouseacorrelativeshareofthewaterflowingpasthisorherproperty.Riparianrightsdonotrequirepermits,licenses,orgovernmentapproval,buttheyapplyonlytothewaterwhichwouldnaturallyflowinthestream.Riparianrightsdonotentitleawaterusetodivertwatertostorageinareservoirforuseinthedryseasonortousewateronlandoutsideofthewatershed.Riparianrightsremainwiththepropertywhenitchangeshands,althoughparcelsseveredfromtheadjacentwatersourcegenerallylosetheirrighttothewater….

• TheWaterCommissionActof1914establishedtoday’spermitprocess.TheActcreatedtheagencythatlater

evolvedintotheStateBoardandgrantedittheauthoritytoadministerpermitsandlicensesforCalifornia’ssurfacewater.Theactwasthepredecessortotoday’swaterCodeprovisionsgoverningappropriation….

• Permitteesrunthegamutfromwaterdistrictsandelectricutilitiestofarmersandranchers.Besidesriparianright

holdersandgroundwaterusers,permitsarenotrequiredofusersofpurchasedwaterorthosewhousewaterfromspringsorstandingpoolslackingnaturaloutletsonthelandwheretheyarelocated.However,unauthorizedappropriationofwaterisagainstthelawandcanresultincourtactionandfines.

Otheroptionsarepossibletoo.Forinstance,inanOECDreportonwaterallocation,wateruserswithoutanexplicit(i.e.,permitted)entitlementmayusequitedifferentsystems:

• InAlberta,Canada,inthecaseofcollectiveentitlements,allocationofwateramongindividualuserswithinagroup

ofusersisbasedonabargainingprocessandinformaltrading.IntheYellowRiverBasin,China,collectiveentitlementsareassignedtoaninstitutionrepresentingwaterusers.Irrigationdistrictsandpublicwatercompaniesaccesswatertoconsumebypayingafee.Insomeirrigationdistricts,authoritiesassignwaterabstractionrightstoclientsunderapermitsystem.ForCostaRica,inthecaseofcollectiveentitlements,theMinistryofEnergyandEnvironmentgrantsaconcessiontoeachSocietyofWaterUsersaccordingtotheWaterLaw.Thesesocietieshavetheauthoritytodecideinternallytheformofwaterdistributionamongsttheirmembersthroughagreementsofthegeneralassemblyofmembers,orthroughtheirownregulations.InSpain,therearebothindividualandcollectiveentitlements.CollectiveentitlementsmaybegrantedtoWaterUsersAssociationsorIrrigatorsCommunities,forinstance.Finally,inthecaseofFrance,therecentlycreatedSingleCollectiveManagementBodies(OUGC)provideastructureandincentivesforirrigatorstodevisetheirownrulestoallocateasetvolumeofwateramongthemselvesatthecatchmentlevel.TheserulesaresubjecttoapprovalbytheMinistryofEcology,SustainableDevelopmentandEnergy.(p.73,OECD2015)


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Question2.12:Isthereapre-definedsetofpriorityuseswithintheresourcepool?(E.g.,accordingtoorinadditiontoanallocationregime)Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Disclosure

Whatthismeans:Manystatesmaintainalistofapprovedorpriorityusesfortheirwaterresources.These“beneficial”usesoftenincludeactivitieslikeirrigation,navigation,domesticconsumption,energyproduction,industrialuse,recreation,andenvironmentalflows.Inordertoreceiveawaterpermitorright,theapplicantmustdemonstratethattheywillusethewaterforoneormoreofthesesanctionedpurposes.Oftentimes,oncethepermitisgranted,thewatermustgotothatdesignateduseandcannotbeusedforotherpurposeswithoutaformalchangetothepermit(thiswasaddressedinquestion#8).Designatedpriorityusesmayalsocomeintoplayduringtimesofshortagewhendecisionsmustbemadeaboutwhichusescontinuetoreceivetheirfullallotment.ExamplefromSanFrancisco,CA:Priorityusageisclearlydefinedatthestatelevel.FromthestateWaterCodehttp://www.waterboards.ca.gov/sanfranciscobay/water_issues/programs/planningtmdls/basinplan/web/bp_ch2.shtml:

• “Thespecificbeneficialusesforinlandstreamsincludemunicipalanddomesticsupply(MUN),agriculturalsupply(AGR),commercialandsportfishing(COMM),freshwaterreplenishment(FRESH),industrialprocesssupply(PRO),groundwaterrecharge(GWR),preservationofrareandendangeredspecies(RARE),watercontactrecreation(REC1),noncontactwaterrecreation(REC2),wildlifehabitat(WILD),coldfreshwaterhabitat(COLD),warmfreshwaterhabitat(WARM),fishmigration(MIGR),andfishspawning(SPWN).TheSanFranciscoBayEstuarysupportsestuarinehabitat(EST),industrialservicesupply(IND),andnavigation(NAV)inadditiontoCOMM,RARE,REC1,REC2,WILD,MIGR,andSPWN.

• Coastalwaters'beneficialusesincludewatercontactrecreation(REC1);noncontactwaterrecreation(REC2);industrialservicesupply(IND);navigation(NAV);marinehabitat(MAR);shellfishharvesting(SHELL);commercialandsportfishing(COMM);wildlifehabitat(WILD),fishmigration(MIGR),fishspawning(SPWN),andpreservationofrareandendangeredspecies(RARE).

• ExistingandpotentialbeneficialusesapplicabletogroundwaterintheRegionincludemunicipalanddomesticwatersupply(MUN),industrialwatersupply(IND),industrialprocesssupply(PRO),agriculturalwatersupply(AGR),groundwaterrecharge(GWR),andfreshwaterreplenishmenttosurfacewaters(FRESH).“

BeneficialusesareprotectedundertheWaterQualityControlPlanfortheSanFranciscoBay/Sacramento-SanJoaquinDeltaEstuary(ChapterII):http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/wq_control_plans/2006wqcp/docs/2006_plan_final.pdf.

Question2.13:Iftherearenewentrantsand/ifentitlementholderswanttoincreasethevolumeofwatertheyuseintheresourcepool,cannewentitlementsbeissuedorexistingentitlementsbeaugmented?

A. Yes,norestrictionsB. No,catchmentisclosedC. Yes,ifconditionalon:

• Assessmentofthirdpartyimpacts• Environmentalimpactassessment(EIA)• Existinguser(s)forgoinguse

Scoring:A=0,B=1,C=1(ifconditionsincludeoneormoreof1-3,n/aifnotapplicableEvidenceorDisclosure:DisclosureWhatthismeans:Hastheresourcepoolbeenfullyallocated,meaningthatnonewpermitscanbeissued?Ifso,thecatchment(basin)isclosed.Ifnot,cannewpermitsbeissuedorexistingwaterpermitsbeenlarged?Ifso,arethereconditionssetonthenew/revisedpermitsbasedonpotentialinjurytootherusers,potentialenvironmentalimpacts,ortheforfeitofusagebycurrentpermitholders?


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Forexample,intheU.S.stateofCalifornia,existingwaterrightscanbealteredonlyiftheydonotcauseinjurytootherpermittedusersinthebasin,includingtheenvironment.Disclosureconsistsoftherelevantrulesandregulationsrelatedtowaterpermittingalterations.ExamplefromSanFrancisco,CA:PermitsaremanagedbytheStateWaterResourcesControlBoard.Changestopermitsandtheissuanceofnewpermitsisallowed,butwithrestrictions.Permittingregulationsareavailablehere:http://www.swrcb.ca.gov/waterrights/water_issues/programs/applications/#permitting.

Question2.14:Arewithdrawalsmonitored,withclearandlegallyrobustsanctions?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Toscore1onthisquestions,theremustbeaverificationmechanisminplacetomonitorwithdrawalamountsandensurecompliancewithallapplicablestateandfederalwaterregulations.Thepublicutility,irrigationdistrict,orothermonitoringentitymustbelegallyabletoapplypenaltiesorsanctionsfornon-compliance.ExamplefromSanFrancisco,CA:Sanctionsforillegalwaterwithdrawalsareclear,legallybinding,andsubjecttocivilandcriminalactions.EvidencefromthestateWaterCode:“TheStateBoardalsoisresponsibleforinvestigatingpossibleillegal,wastefulorunreasonableusesofwater,eitherinresponsetoacomplaintorontheStateBoard’sowninitiative.IftheStateBoard’sstaffinvestigationdeterminesthatamisuseofwaterisoccurring,theBoardgenerallynotifiestheaffectedpersonsandallowsareasonableperiodoftimetoterminatethemisuse.TheStateBoardmayalsoholdahearingtodetermineifamisuseofwaterhasoccurredorisoccurring.Wateruserswhodonotterminateamisuseofwateraresubjecttovariousadministrativeenforcementmeasuresincludingpossiblefinesandrevocationofapermitorlicense.Inappropriatecases,theStateBoardmayalsoseekjudicialreliefinthecourts.”Asof2015,theStatehasalsoadoptedevenmorestringentmonitoringandreportingguidelinesforwaterwithdrawalinfractions,excerptedhere:

(D)Uponreceiptofinformationthatindicatesactualorthreatenedwaste,unreasonableuse,unreasonablemethodofdiversion,orunlawfuldiversionsofwaterbyanywaterrightholder,diverteroruser.(2)TheDeputyDirectormayissueanorderunderthisarticlerequiringawaterrightholder,diverterorusertoprovideadditionalinformationrelatedtoadiversionorusedescribedin(c)(1),includingtheclaimofright;propertypatentdate;thedateofinitialappropriation;diversionsmadeoranticipatedduringthecurrentdroughtyear;basisorrightandamountofwatertransfernotsubjecttoapprovaloftheBoardorDepartmentofWaterResources;oranyotherinformationrelevanttoauthenticatingtherightorforecastinguseandsuppliesinthecurrentdroughtyear.(3)Anypartyreceivinganorderunderthissubdivisionshallprovidetherequestedinformationwithinthirty(30)days.TheDeputyDirectormaygrantadditionaltimeforsubmissionofinformationsupportingtheclaimofrightuponsubstantialcompliancewiththe30-daydeadlineandashowingofgoodcause.(4)Thefailuretoprovidetheinformationrequestedwithin30daysoranyadditionaltimeextensiongrantedisaviolationsubjecttocivilliabilityofupto$500perdayforeachdaytheviolationcontinuespursuanttoWaterCodesection1846.

http://www.waterboards.ca.gov/waterrights/water_issues/programs/drought/docs/infomational_order/frm400.pdf.

Question2.15:Arethereconflictresolutionmechanismsinplace?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EitherWhatthismeans:Whendealingwithwaterrights,conflictsbetweenusers,governmentofficials,andnon-governmentalorganizationsarequitecommon.Inordertoscore1onthisquestion,theremustbealegallybindingdisputeresolutionmechanismorprocessinplacetodealwiththeseissueswhentheyarise.Disclosurewouldbetheexistenceofadisputeresolutionmechanism,Evidencecouldbealessformal,i.e.,non-statutory,processforaddressingandresolvingdisputeswithinthewatermanagementplan.


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ExamplefromtheDanubeRiverProtectionConvention:ThislegallybindingrivermanagementconventionincludesanArticleaddressingdisputeresolution,whichcountsasDisclosureforthepurposesofthisscoringexercise.ThetwomechanismstheysanctionaresettlementthroughtheInternationalCourtofJusticeorthroughtheuseoftheirownarbitrationmechanism,outlinedinthetext.

Article24

Settlementofdisputes

(1)IfadisputearisesbetweentwoormoreContractingPartiesabouttheinterpretationorapplicationofthisConvention,theyshallseekasolutionbynegotiationorbyanyothermeansofdisputesettlementacceptabletothepartiestothedispute,ifappropriatewithassistancebytheInternationalCommission.(2)(a)Ifthepartiestothedisputearenotabletosettlethedisputeinaccordancewithparagraph1ofthisArticlewithinareasonabletime,butnotmorethantwelvemonthsaftertheInternationalCommissionhasbeennotifiedaboutthedisputebyapartytothedispute,thedisputeshallbesubmittedforcompulsorydecisiontooneofthefollowingmeansofpeacefulsettlement:

– theInternationalCourtofJustice;– arbitrationinaccordancewithAnnexVtothisConvention.

(b)Whenratifying,accepting,approvingoraccedingtothisConventionoratanytimethereafteraContractingPartymaydeclareinwritingtotheDepositarythat,foradisputenotresolvedinaccordancewithparagraph1ofthisArticle,itacceptsoneorbothmeansofdisputesettlementreferredtoinsubpara(a)ofthisparagraph.(c)Ifthepartiestothedisputehaveacceptedbothmeansofdisputesettlementreferredtoinsubpara(a)ofthisparagraphthedisputeshallbesubmittedtotheInternationalCourtofJustice,unlessthepartiesagreeotherwise.(d)Ifthepartiestothedisputehavenotacceptedthesamemeansofdisputesettlementreferredtoinsubpara(a)ofthisparagraph,thedisputeshallbesubmittedtothearbitration.(e)AContractingPartywhichhasnotmadeadeclarationinaccordancewithsubpara(b)ofthisparagraphorwhosedeclarationisnolongerinforceisconsideredtohaveacceptedthearbitration.http://www.icpdr.org/main/icpdr/danube-river-protection-convention.

5.1.3. SectionIIIoftheScorecard:DIAGNOSTICASSESSMENTScoringGuideThisisthefinalsectionoftheScorecardthatassessestheVulnerabilityAssessment.Itdealswiththetechnicalcomponentsofwatermanagementandplanning,includinghydrologicmodels,historicalclimatedata,andfutureuncertainty.Inordertoscorewellinthissection,robusthydrologicmodelsofthewaterresourceinquestionshouldbeemployedbytheissuertoensurethatthebondproceedsgotowardsinvestmentsthatarerobusttofutureclimatescenarios.Agoodplacetostarttrackingdownthisinformationiswithyourenvironmentalplanningorwaterresourcesdepartment.Civilengineeringmayalsobeausefulresource.Forexample,intheUnitedStates,theU.S.ArmyCorpsofEngineersmanageshydrologicalanalysisandclimatechangepreparednessasitrelatestoU.S.waterinfrastructure.Reachingouttotechnicalleadswithinthesedepartmentsisrecommended,assomeofthedatamaynotbepublicallyavailableordifficulttotrackdown/verifyindependently.

Question3.1:Doesawaterresourcesmodeloftheproposedinvestmentandecosystem(orproposedmodificationstoexistinginvestmentandecosystem)exist?Specifymodeltypes,suchasWEAP,SWAT,RIBASIM,USACEapplications).Scaleshouldbeatleastsub-basin.Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Evidence


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Whatthismeans:HydrologicalmodelssuchastheWaterEvaluationandPlanning(WEAP)systemarecomputerprogramsthatusemathematicalequationstorepresentrelevantprocessesinthehydrologiccycle.Thesedecisionsupporttools(DSTs)areusedbyplannerstosimulatewaterdemand,supply,cycling,instreamflowrequirements,groundandsurfacewaterstoragecapacity,climatechange,andmorewithinagivenbasinorsub-basin.Thesecanbeopen-source,likeWEAP,orproprietarysystems.Hydrologicalmodelscanbeusedtosimulatetheimpactofanewprojectorthemodificationofexistinginfrastructureormanagementregimesontherelevanthydrologicsystemovertime,underavarietyofconditions.Inordertoscore1onthisquestion,ahydrologicalmodelmustbeusedtodeterminethepotentialhydrologicalimpactsoftheproposedbondproject.Evidenceisthehydrologicmodelitself.ExamplefromthePotomacbasin:Forbasinplanningande-flowmodeling,theInterstateCommissiononthePotomacRiverBasin(ICPRB)usestheUSGSHydrologicalSimulationProgram—Fortran(HSPF)model:http://water.usgs.gov/software/HSPF/.Everyfiveyears,theICPRBalsousesalong-termwater-planningtoolcalledthePotomacRiverandReservoirSimulationModel(PRRISM)toevaluatewhetherfuturewaterdemandscanbemetbythecurrentWMAwatersupplysystemunderavarietyoffutureclimatechangescenarios.MoreinformationaboutthistoolandtheCommission’sclimateforecastingforthePotomacRiveriscoveredinthisreport:https://www.potomacriver.org/wp-content/uploads/2014/12/ICPRB13-071.pdfExamplefromSanFrancisco,CA:CaliforniausestheHFAMIImodel,whichisacontinuoussimulationmodeldesignedforbothhistoricalandforecastanalysis.Moreinformationaboutthismodelisavailablehere:http://www.hydrocomp.com/HfamSoftware/Hfam%20II%20Description.htm.

Question3.2:Canthesystemmodeltheresponseofthemanagedwatersystemtovariedhydrologicinputsandvariedclimateconditions?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Usingamodelthatcanbeadjustedtosimulateavarietyofhydrologicandclimaticconditionsoverdifferenttimescalesispotentiallyimportantindeterminingtheproposedbondproject’simpactonthewaterresourceovertime.Becausethereisaconsiderablelevelofuncertaintyaroundclimatechangeimpactsatthelocalorbasinscale,itisimportanttomodelmultiplescenariostobetterprepareforarangeoffutureconditions.Independentofclimatechange,themanagedwatersystemcanbealteredbyavarietyofinputssuchaspopulationgrowthorlandusemanagement,andthoseshouldbeaccountedforaswell.Evidenceforthisistheabilityofthemodeltobeadjustedtomultipleclimateandhydrologicconditions.ExamplefromSanFrancisco,CA:TheHFAMIImodelreferencedinQuestion1ofthissectionisacomprehensivemodelingsystemthatsimulateshydrologicprocesses(runofffromrainfallandsnowmelt,channelflow)andtheoperationofexistingorplannedwaterresourcefacilities(reservoirs,hydroplants,irrigationsystems).Itcanbeadjustedtosimulateawidevarietyofhistorical,current,andfuturescenarios.Ithasbeenusedfordesignoroperationsanalysisformanylargeirrigation,watersupplyandhydroelectricprojects.http://www.hydrocomp.com/HfamSoftware/Hfam%20II%20Description.htm

Question3.3:Areenvironmentalperformancelimits(ecosystem,species,ecologicalcommunity)and/orecosystemservicesspecified?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Questions3-7inthissectiondealwithenvironmentalperformancelimitsandtheirapplicationtothehydrologicmodel.“Environmentalperformancelimits”isatermofartthatreferstotheecologicalandhydrologicalvariablesthatcanbemonitoredandevaluatedtodefinethelimitsofenvironmentaltolerance.Theseperformancelimitscanbevariouslydefined,suchasinrelationtoenvironmentalwaterquality,flowrates,ecosystemservicessuchaswaterpurification,habitatqualitiesorpopulationlevelsforendangeredorsignificantspecies,orthepresence/absenceofgroupsofspeciescomposingparticularecologicalcommunities.Performancelimitsaretheindicatorsofprogress,success,orfailureofenvironmentalvariables.Inmanycases,theseenvironmentalperformancelimitswillhavesomeregulatoryorlegalcomponent.Environmentalperformancelimitsshouldbespecific,clear,andoperational.


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Theyareprobablymonitoredbyenvironmentalornaturalresourcestaff.Insomecases,theymayalsoincludeterrestrialsystems,suchasforeststhatsupportwaterqualityservices.Forcredithere,theseshouldbeincorporatedintothemonitoringandevaluationprocess—ideallyrepresentedthroughthemodelingsoftwarebuttheymayalsobedefinedinmorequalitativeornon-modelbasedregulatoryguidelinesorstricturesand/orexplicitboundariesdefinedinternallyorbyexternalgroups.ExamplefromSanFrancisco,CA:EcosystemperformancelimitsaretakenintoaccountintheHFAMIImodelandaredefinedandmonitored/evaluatedbytheCaliforniaClimateChangeTechnicalAdvisoryGroup,whichincludeflowregimeandsnowpacktimingandlevels.

Question3.4:Cantheseperformancelimitsbedefinedandquantifiedusingthewaterresourcesmodel?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Canthehydrologicmodelincorporatetherelevantenvironmentalperformancelimits?Evidenceofthisincludestheabilitytocalibratethemodeltosimulateenvironmentalperformanceunderavarietyofcurrentandfutureclimateconditions.ExamplefromSanFrancisco,CA:ThismemoontheUpperTuolumneRiverprovidesagoodexampleandcanbeusedasEvidencetoshowwhattheHFAMIImodelcansimulateintermsofquantifiedenvironmentalperformancelimitsforprecipitationandrunoffinavarietyoffutureclimaticscenarios:https://infrastructure.sfwater.org/fds/fds.aspx?lib=SFPUC&doc=751346&data=289268210.Thefullreportisavailablehere:http://utrep.blogspot.com/2012/12/tuolumne-climate-change-sensitivity.html.

Question3.5:Havetheselimitsbeendefinedbasedonexpertknowledgeand/orscientificanalysis?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Environmentalperformancelimitsshouldnotbearbitrarilyset;theyshouldbebasedonscientificanalysis.Evidencecouldbeadescriptionofhowtheenvironmentalperformancelimitswerecalculated–eitherbyahydrologic/climatemodelorthroughanotherformofrigorousscientificanalysis.ExamplefromSanFrancisco,CA:InthecaseoftheUpperTuolumneRiverbasin,yes,theenvironmentalperformancelimitsofthehydrologicsystemaredefinedbasedontheHFAMIImodeloutputs(i.e.,scientificanalysis).

Question3.6:Aretheseperformancelimitslinkedtoinfrastructureoperatingparameters?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Evidence

ExamplefromSanFrancisco,CA:HFAMIIcanspecifyinfrastructureoperatingrules,inthiscasefortheSanPedrodamontheTuolumneRiver.ThisallowsthemodelertosimulatechangestodamoperationsandclimatescenariosonstreamflowandHetchHetchyReservoirlevels.http://utrep.blogspot.com/2012/12/tuolumne-climate-change-sensitivity.html.

Question3.7:Aretheselimitslinkedtoanenvironmentalflowsregime?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Anenvironmentalflowsregimereferstotheflowregimerequiredinarivertoachievedesiredecologicalobjectives.Understandingtheenvironmentalperformancelimitsoftheseecologicalobjectivescanhelpdeterminetheflowlevelrequiredtomaintainoverallecoandhydrologicalfunction.ExamplefromSanFrancisco,CA:TheUpperTuolumneRiverEcosystemProgrammanagestheenvironmentalflowregimefortheTuolumneRiver.


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Their2012report,usingmodeleddatafromHFAMII,documentspotentialchangestoenvironmentalperformanceofthehydrologicsystem,includingenvironmentalflowlevels,underarangeoffutureclimateandwaterresourcemanagementscenarios.Thereportcanbefoundhere:http://utrep.blogspot.com/2012/12/tuolumne-climate-change-sensitivity.html.

Question3.8:Fornewprojects,isthereanecologicalbaselineevaluationdescribingthepre-impactstate?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Evaluatingcurrent(pre-project)ecologicalconditions(“baselines”)provideareferencethathelpsmanagersunderstand,track,andquantifyprojectimpacts(ifany)overtime.Inordertoscore1onthisquestion,anecologicalevaluationmustbedonepriortoprojectapprovalandcommencement.Inthiscase,Evidencewouldbethebaselineevaluation.ExamplefromSanFrancisco,CA:OneoftheprimarygoalsoftheUpperTuolumneRiverEcosystemProgramisto“describehistoricalandpresentdayupperTuolumneRiverecosystemconditionsandassesstherelationshipofhistoricalandpresentdayconditionstoHetchHetchyProjectoperations.”BaselineconditionsfortherivercanbefoundintheUpperTuolumneRiver:DescriptionofRiverEcosystemandRecommendedMonitoringActionsreport,accessedhere:http://utrep.blogspot.com/p/reports-and-publications.html.ThisreportcouldbeusedasEvidenceofabaselineassessment.

Question3.9:Forrehabilitation/reoperationprojects,isthereanecologicalbaselineevaluationavailablebeforetheprojectswasdeveloped?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Inordertoscore1onthisquestionanecologicalevaluationoftheresourcepoolwouldneedtohavebeencompletedpriortotheoriginalproject’scommencement.Theevaluationdoesnothavetohavebeencompletedbytheissuer,buttheissuerneedstohaveaccesstoit.ExamplefromSanFrancisco,CA:EnvironmentalconditionshavebeenmonitoredintheSacramento–SanJoaquindeltaundertheEnvironmentalMonitoringProgram(EMP)since1971.TheprogramiscarriedoutjointlybytheUnitedStatesBureauofReclamation(USBR)andtheCaliforniaDepartmentofWaterResources(DWR),withassistancefromtheCaliforniaDepartmentofFishandGame(CDFG)andtheUnitedStatesGeologicalSurvey(USGS).TheprimarypurposeoftheEMPistoprovidenecessaryinformationforcompliancewithflow-relatedwaterqualitystandardsspecifiedinthewaterrightpermits.Inaddition,theEMPalsoprovidesinformationonawiderangeofchemical,physicalandbiologicalbaselinevariables.AllofthisdatacanbesubmittedasEvidence.Moreinformationisavailablehere:http://www.water.ca.gov/iep/activities/emp.cfm

Question3.10:Hastherebeenananalysisthatdetailsimpactsrelatedtoinfrastructureconstructionandoperationthathasbeenprovided?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Theconstructionprocesscanhaveasignificantenvironmentalimpact,ascantheongoingoperationsandmanagementoftheproject/investmentitself.Havebothaspectsbeenformallyevaluated?Evidencecouldbeanenvironmentalimpactassessmentorstatementdocumentingprojectedimpactsfromconstructionandoperationoftheproject.ExamplefromDuluth,Minnesota,USA:In2015,St.LouisCountysubmittedanEnvironmentalAssessmentWorksheet(EAW)tothestatepollutioncontrolagencyforanaquatichabitatrestorationprojectthatwouldusedredgematerialfromtheSt.LouisRivernavigationchanneltorecreatetheoptimalwaterdepthandflowconditionsneededtosupportbenthichabitatintheriver’sestuary.Eventhoughthisisarestorationproject,therecanstillbeimpactstothewaterway,particularlyduringtheconstructionphase.


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Aspartoftheassessment,theprojectproposerisrequiredtoaddressimpactsfromplacingdredgedmaterialintheprojectarea,andidentifybestmanagementpractices(BMPs)tomitigateanyadverseimpacts.AccordingtotheEAW,theseimpactsinclude:

…short-termturbidityimpactsinthewatercolumnwherethedredgedmaterialisplacedandalsodownstreamofthisarea…Tohelpoffsetimpactstothefishery,theworkwillnotoccurduringspawningperiodsasrequiredinallstateandfederalagencypermitrequirements…theProposerdoesnotanticipatetheProjectwillcreatelong-termcontaminantreleases.Furthermore,theecologicalriskassessmentdoesnotexpectsignificantadverselong-termschangesfrombackgroundlevelsforeithercontaminantsorpathogenicorganisms.

Moreinformationaboutthisprojectisavailablehere:https://www.pca.state.mn.us/sites/default/files/p-ear2-92.pdf.ExamplefromSanFrancisco,CA:TheHetchHetchyRestorationProjecthasanentireAnnexdedicatedtoimpactsoftheproject,includingconstructionandoperation.SeeAppendixD,here:http://www.water.ca.gov/pubs/environment/hetch_hetchy_restoration_study/hetch_hetchy_restoration_study_appendices.pdf.

Question3.11:Arelostspeciesand/orlostormodifiedecosystemfunctionsspecifiedforrestorationintheenvironmentalevaluation?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Inregionsthathaveexperiencedthelossofnativespeciesand/ornormal(“baseline”)ecosystemfunction,doesthebondprojectincludeaplantoaddresstheselossesthroughhabitatrestoration,reintroduction,improvedenvironmentalflows,etc.?Ifso,theplancanbeusedasEvidenceforthisquestion.ExamplefromSanFrancisco,CA:Restorationactivitiesareexplicitlylaidoutinthe2010flowcriteriadevelopmentdocument,beginningonpage43,availablehere:http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/deltaflow/docs/final_rpt080310.pdf

Question3.12:Haveregionalprotectedareas/naturereservesbeenincludedintheanalysisforimpactsfromtheinvestmentassetandfutureclimateimpacts?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Protectedareasorreservesrefertolegally-designatedareasthatareoff-limitstoresourceextractionsuchaslogging,fishing,or,mining,andmayhavelimitsonnon-extractivehumanactivitieswithinthereservesuchasboatingorhiking.Whileyourproposedbondprojectislikelylocatedoutsideoftheseareas,itmaystillimpactthesereserves.Toscore1onthisquestion,protectedareasandthepotentialimpactstothemmustbetakenintoaccountintheenvironmentalassessment.ExamplefromSanFrancisco,CA:Foragoodexample,refertotheUpperTuolumneRiverEcosystemProgram,whichisledbytheSFPUCandincludesoperationoftheSanPedrodam,HetchHetchyReservoir.TheUpperTuolumnealsoflowsthroughYosemiteNationalPark.Theparkistakenintowaterresourcemanagementdecisionsandconditionswithintheparkaremonitoredtoensurethatriveroperationsarenothavingadetrimentalimpactontheprotectedarea.MonitoringreportsfromtheparkcouldbeusedasEvidenceforthisquestion.http://utrep.blogspot.com/p/reports-and-publications.html

Question3.13:Doesthemodelincludeanalysisofregressionrelationshipsbetweenclimateparametersandflowconditionsusingtimeseriesofhistoricalclimateandstreamflowdata?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:Evidence


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Whatthismeans:Historicalclimateandstreamflowdataisoftenusedtomodelfuturehydrologicconditionsunderarangeofclimatescenarios.Evidenceforthisquestionwilllikelycomefromthemodelitself.Ifyou’reunsure,checkwiththehydrologicmodeldevelopers.ExamplefromSanFrancisco,CA:TheHFAMIIusesregressionanalysistoestimatetherelationshipbetweenstreamflowandclimatechangeovertime.EvidencefromtheUpperTuolumneRiverbasinstudy:ThecurrentTuolumneHFAMmodelsystemincludes:HFAMprogram,version2.3watershedinputfilesthatdescribethephysicalcharacteristicsofthewatershed(topography,soils,vegetation,channelreaches)andtheoperationsofreservoirspillwaysandoutlets,diversions,tunnelsandpowerhousesahistoricalmeteorologicaldatabaseofprecipitation,temperature,evaporation,windmovementandsolarradiationdatamanagementsoftwareandspreadsheetshttp://utrep.blogspot.com/2012/12/tuolumne-climate-change-sensitivity.html.

Question3.14:Doesthemodelincludeclimateinformationfromamulti-modalensembleofclimateprojections(e.g.,fromtheClimateWizardortheWorldBank’sClimatePortal)toassessthelikelihoodofclimaterisksforthespecifiedinvestmenthorizon(s)?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Climaterisksmayvaryovertimesoitisimportanttounderstandandplanforthesepotentialrisksovertheexpectedlifetimeoftheproject.Thisisparticularlyimportantforprojectsinvolvingwaterinfrastructurethatmaybeinplacefor50+years.Mosthydrologicmodels,suchasWEAP,useclimateprojectionsfromtheIntergovernmentalPanelonClimateChange(IPCC)tomodelfutureclimateriskssuchasdroughtsorfloodingoveravarietyoftimescales(usually10-100years).Ifyou’reunsurewheretheclimatedatausedbyyourhydrologicmodelcomesfrom,checkwiththemodeldeveloper.ExamplefromSanFrancisco,CA:TheHFAMIIusesIPCCclimateprojectionstomodelclimaterisksatthebasinscaleovermultipletimescales.Moreinformationcanbefoundhere:http://www.hydrocomp.com/applications/Climate%20Change.htm

Question3.15:Arechangesinthefrequencyandseverityofrareweathereventssuchasdroughtsandfloodsincluded?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Changestothefrequency,timing,andseverityofextremehydrologiceventsarepredictedundermostoftheIPCC’sfutureclimatescenarios.Arobusthydrologicmodelshouldbeabletomodelthesechanges.ExamplefromSanFrancisco,CA:AccordingtotheSanFranciscoPublicUtilitiesCommission’s2012reportonthesensitivityoftheupperTuolumneRivertoclimatechange,theHFAMIImodelpredictsthatincriticallydryyears,reductionsinannualrunoffintotheHetchHetchyReservoirwouldbesignificantlygreater,withrunoffdecreasingupto46.5%frompresentdayconditionsby2100.ThesepredictionscanbeusedasEvidenceforthisquestion.Reportisavailablehere:http://utrep.blogspot.com/p/reports-and-publications.html.

Question3.16:Aresub-annualchangesinprecipitationseasonalityincluded?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Similartothepreviousquestion,climatechangemayinducechangestoseasonalprecipitationpatterns.InthePacificNorthwestoftheUnitedStates,forexample,itispredictedthatsummerrainfallmaydecreasebyupto30%overthenextcentury,withrainaccumulatingprimarilyinheavy,infrequentdownpours.Thehydrologicmodelusedfortheadaptationplanshouldbeabletosimulatethesechanges.


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ExamplefromAlaska,USA:ScientistsatTexasA&MUniversityemployedthewidely-usedSoilandWaterAssessmentTool(SWAT)tomodelmonthlystreamflowunderdifferentclimatescenariosintheCookInletwatershedofsouth-centralAlaska.LiketheC2VSimmodel,SWATisaphysicallybased,continuoustimewatershedmodelthatisusedtopredicttheimpactsoflandmanagementpracticesonwaterandsedimentincomplexwatershedsoverarangesofscalesoveranextendedperiodoftime.Itstime-stepscanbeadjustedforannual,seasonal,andmonthlychanges.Thedataprovidedbythemodelcanhelpinformfutureadaptationplanningandresponseeffortsinsouth-centralAlaska,andbeyond.MoreinformationabouttheCookInletprojectcanbefoundina2015paperpublishedbyDeb,Butcher,andSrinivasanhere:http://link.springer.com/article/10.1007/s11269-014-0887-5,moreinformationabouttheSWATmodelthatcouldbeusedasEvidenceforthisquestioncanbefoundhere:www.swat.tamu.edu.

Question3.17:IsGCMclimatedatacomplementedwithananalysisofglacialmeltwaterandsealevelriserisks,whereappropriate(e.g.,highorcoastalelevationsites)?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Inadditiontoclimatechange,rapidglacialmeltingandrisingsealevelsmaysignificantlyimpactmanyregionsaroundtheworld.Increasingfloodeventsinalpineareasnearexistingglaciersandalonglow-lyingcoastsarewidelypredictedoverthenext10-100years.Iftheproposedbondprojectislocatedinorneararegionthatmaybeaffectedbyglacialmeltorsealevelrise,doesthehydrologicmodeltakethesefactorsintoaccount?ExamplefromSanFrancisco,CA:BecauseSanFranciscoislocatedinalow-lyingcoastaldelta,evenasmallamountofsealevelriseispredictedtoimpactitsfreshwatersupplies.Sealevelriseisaddressedinmanyplaces,includingthefollowingcoastalplanningdocument:http://onesanfrancisco.org/wp-content/uploads/Guidance-for-Incorporating-Sea-Level-Rise-into-Capital-Planning1.pdf,whichcouldbesubmittedasEvidence.

Question3.18:Ispaleo-climaticdata(e.g.,between10,000and>1000yearsbeforepresent)included?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Paleo-climaticdatareferstohistoricalclimatedatafrompastgeologicalages,suchasthePleistocene.Thisdatacomesfromawidevarietyofsourcesincludingtree-rings,icecores,andlakesedimentandhelpsscientistsunderstandpastinstancesofrapidclimatechangeaswellastheconsequencesforbioticcommunitieslivingatthattime.Reportsdetailingpaleo-climaticdataanditsuseinthehydrologicmodelconstituteEvidenceforthisquestion.ExamplefromSanFrancisco,CA:Notcurrentlyincludedinthemodel,butisplannedusingthisdocument:http://www.water.ca.gov/waterconditions/docs/tree_ring_report_for_web.pdf.

Question3.19:Isthenumberofmodelrunsanddurationofmodelrunsdisclosed?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Variousdatasetsshouldbeexploredthroughthehydrologic-climatemodelthroughmultiplesimulationsandruns,essentiallytestinghypotheses,systemsensitivity,andalternateconditions.ForEvidencepurposes,youcanconfirmthesimulationmodeltypewiththedeveloper.ExamplefromSanFrancisco,CA:TheHFAMIIsoftwareisacontinuoussimulationmodel,whichrunseveryhour,trackinginteractionsbetweenmeteorologicaldataandstreamflowovertime.Describedhere:http://www.hydrocomp.com/HfamSoftware/Hfam%20II%20Description.htmandhere:www.wucaonline.org/assets/pdf/puma_presentation_sanfran.pdf.TheCaliforniaCentralValleyGroundwater-SurfaceWaterSimulationModel(C2VSim)isanotherdynamichydrologicmodelusedtosimulatewatermovementthroughlandsurface,groundwater,andsurfacewaterflowsystemsinSacramentoRiverbasin.


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Itisusedtosimulatethehistoricalresponseofthebasin’sgroundwaterandsurfacewaterflowsystemtohistoricalstresses,whichcanbeusedtosimulatetheresponsetoprojectedfuturestress.MoreinformationabouttheC2VSimmodelisavailablehere:www.baydeltaoffice.water.ca.gov/modeling/hydrology/C2VSim/index_C2VSIM.cfm.

Question3.20:Hasasensitivityanalysisbeenperformedtounderstandhowtheassetperformanceandenvironmentalimpactsmayevolveundershiftingfutureflowconditions?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Asensitivityanalysisinthiscontextreferstothedegreetowhichagivensystemorcomponentofasystemisaffectedbychangestofuturewaterconditions.Thechangecanbedirect:forexample,thesensitivityofagivenfishspeciestoa2Criseinwatertemperature.Itcanalsobeindirect:forexample,damagescausedbycoastalfloodingduetosealevelrise.ThesensitivityanalysisitselfistheEvidenceforthisquestion.ExamplefromSanFrancisco,CA:TheSanFranciscoPublicUtilitiesCommission’sSewerSystemImprovementProgram(SSIP)isaddressingthesensitivityofitswastewater/stormwaterinfrastructuretochangingclimateandsealevelrise.Moreinformationaboutthisprogramcanbefoundhere:http://www.sfwater.org/index.aspx?page=116

Question3.21:Isdirectlymeasuredclimatedataavailableformorethan30yearsandincorporatedintotheVA?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Historicalclimatedata(30yearsormore)forthebasinorsub-basininquestionshouldalwaysbeincorporatedintoavulnerabilityassessmentwhenitisavailablebecausethelongerperiodofrecordgivesaclearerpictureofthetypicalclimaticcycles(seasonal,annual,decadal)thatmayimpactthebasin’shydrologiccycle.Datafromashortertimeperiodmaymisstheselonger-termcyclesandwillbelessusefulforaccuratevulnerabilityanalysisandfutureplanning.ThehistoricalclimatedatacanbeprovidedasEvidenceforthisquestion.ExamplefromSanFrancisco,CA:Directlymeasuredclimatedatadatingto1976wasincludedinthePublicUtilitiesCommission’svulnerabilityassessmentand2015UrbanWaterManagementPlan,referencedthroughoutthisdocument.Thisdatawasusedtodevelopadesigndroughtsequencemoreseverethantheworstdroughtonrecord,andrationedallocationamountsformultipledryyears.IntheUpperTuolumneRiverbasin,directlymeasuredclimatedatadatingto1922hasbeenusedbyUniversityofCalifornia–DavisandEnvironmentalDefensetomodelfuturestreamflow.Datafromthesemodelswerealsoincorporatedintothe2006HetchHetchyRestorationStudy,availablehere:http://www.water.ca.gov/pubs/environment/hetch_hetchy_restoration_study/hetch_hetchy_restoration_study_report.pdf.

Question3.22:DoestheVAshowthatclimatechangehasalreadyhadanimpactonoperationsandenvironmentaltargets?Aretheseimpactsspecifiedand,totheextentpossible,quantified?Scoring:1ifyes,0ifno.Ifyes,anadaptationplanisneeded.EvidenceorDisclosure:EvidenceWhatthismeans:Climatechangeandsealevelrisearealreadyimpactinginfrastructureandtheenvironmentinmanyplacesaroundtheworld.Quantifyingtheseimpactsisnotoriouslydifficult,buteffortstodosoarebecomingmorecommon.Ifthevulnerabilityassessmentdemonstratesthatclimatechangeand/orsealevelriseisalreadyoccurring,anadaptationplanthataddressesthesechangesandhowtheutilityplanstoadjustisneeded.AdaptationplansarediscussedfurtherinSection4.1.6.ExamplefromSanFrancisco,CA:TheSanFranciscoSeaLevelRisestrategydocumentaddressesboththevulnerabilityofthesystemandthecity’sadaptationplan.Moreinformationcanbefoundhere:http://onesanfrancisco.org/wp-content/uploads/Guidance-for-Incorporating-Sea-Level-Rise-into-Capital-Planning1.pdf


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Question3.23:DoestheVAshowthatclimatechangewillhaveanimpactonoperationsandenvironmentaltargetsovertheoperationallifespan?Aretheseimpactsspecifiedand,totheextentpossible,quantified?Scoring:1ifyes,0ifno.Ifyes,anadaptationplanisneeded.Whatthismeans:Similartothepreviousquestion,ifthevulnerabilityreportindicatesafutureimpactfromclimatechangeorsealevelrise,anadaptationplanisalsoneeded.ExamplefromSanFrancisco,CA:Inthesameplanningdocument,thetextstates:“Asaconsequenceofrisingsealevel,SanFranciscowillexperiencemorefrequentandseverecoastalfloodingthaninthepast.Areasthatcurrentlyexperienceinfrequentfloodingwillbeinundatedmoreoftenandmoreareasalongourshorelineswillbeexposedtoperiodicfloodingthaninthepastortoday.Sealevelrise,therefore,posesapervasiveandincreasingthreatalongSanFrancisco’sshorelines.”UsingdatafromtheNationalResearchCouncil(2012),itgoesontoquantifythepotentialamountofsealevelriseoverthenext100years(SeeTableX.)ExamplefromPotomacRiver:Yes,asmentionedinquestion1ofthissection,thereisaclimatechangeplanningdocumentdetailingpotentialclimateimpactsfortheregion,whichindicatesthatthereareseveralhttps://www.potomacriver.org/wp-content/uploads/2014/12/ICPRB13-071.pdf

Question3.24:Isthereadiscussionoftheuncertaintiesassociatedwithprojectedclimateimpactsonbothoperationsandenvironmentalimpacts?Scoring:1ifyes,0ifno,n/aifnotapplicableEvidenceorDisclosure:EvidenceWhatthismeans:Thereisagreatdealofuncertaintyaboutthespecificimpactsofclimatechange,particularlyatthebasinscale.Thebestavailablesciencenowinformsusthattherearelikelytobeavarietyofimpactsrelatedtoprecipitationpatternsandthetimingandfrequencyofextremeweatherevents,wildfire,anddrought.Thus,multipleprojectionsareusedtosimulatearangeoffuturescenarios.Vulnerabilityassessmentandresourceplanningshouldacknowledgethisuncertaintyandaddresshowuncertaintyandriskwillbedealtwith.ExamplefromSanFrancisco,CA:UncertaintyisthoroughlyaddressedintheCAWaterResourcesDepartment’sClimateChangeHandbookforRegionalWaterPlanning.Planningisbasedontheprojected“worstcasescenarios”forbothdroughtandsealevelrise.ThisdocumentcouldbesubmittedasEvidenceforthisscoringquestion:http://www.water.ca.gov/climatechange/docs/Section%207%20Planning%20Under%20Uncertainty-Final.pdf.ExamplefromPotomacRiverbasin:UncertaintyisbuiltintotheICPRB’splanningdocuments,includingthe2010WashingtonMetropolitanAreaWaterSupplyReliabilityStudyPart2:PotentialImpactsofClimateChangereport,excerptedhere:

LimitationsandUncertaintiesProjectionsoffutureclimatearesubjecttoconsiderableuncertainty,sinceglobalclimatemodelscannotcapturethefullcomplexityoftheearth’sinter-relatedland,water,andatmosphericsystems.Thoughtitispredictedthatprecipitationwillincreaseonaglobalscale,inmanyareas,includingthePotomacRiverbasin,modelsdifferonwhetherprecipitationwillincreaseordecrease.Watershedmodelsareusedtosimulatetheeffectofachangingclimateonstreamflows,addingadditionaluncertainty.Finally,thoughit’sbelievedthatastheearthwarms,thevariabilityofclimateislikelytoincrease,withextremeweathereventsbecomingmorefrequentandmoreintense,thischangeisnotwellrepresentedbymostcurrentlyavailableglobalmodeloutput.Thisstudyusesthehistoricalvariabilityintemperatureandprecipitationfromarelativelyshortperiodtorepresentpotentialfuturevariability.Thishistoricalperiodincludesamoderatedrought,butdoesnotcapturethefullrangeofconditionsthatcouldbeexperiencedin2040underanalteredclimate,suchastheoccurrenceofseverelong-termdroughtsimilartothedroughtof1930.


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ThefullreportisavailableontheICPRBwebsiteandcouldalsobeusedasEvidence:https://www.potomacriver.org/focus-areas/water-resources-and-drinking-water/cooperative-water-supply-operations-on-the-potomac/long-term-planning/.

5.1.4. SectionIVoftheScorecard:AdaptationPlanscoringguide(ifapplicable)Iftheissuers’VulnerabilityAssessmentstatesthattherearerealizedand/orpotentialclimateimpacts,theissuerwillneedtoprepareandprovideforassessmenttheirassociatedadaptationplan.Inthatcircumstance,thefourthsectionoftheScorecardisusedtoevaluatethatAdaptationPlan.Thereare5questionsinthisfourthsection,whichareexplainedbelow.

QuestionAP.1:Isthereaplantorestoreorsecurelost/modifiedecosystemfunctions/species?ConferVulnerabilityAssessmentScoring:1ifyes,0ifnoEvidenceorDisclosure:Evidence

Whatthismeans:Aprimaryfunctionoftheadaptationplanshouldbetoaddressexistingandpotentialchangestotheecosystemfunctionofthewaterresource,meaningchangestothequantity,quality,location,andtimingofwaterinthesystem.Suchchangescanhaveanegativeeffectonthebiogeochemicalprocessesrequiredfornativeplantandanimalsurvival,aswellasontheecosystemservicesthatnourishandfulfillhumanlife.Specificstepstobotharrestcurrentand/orfuturedegradationandimproveecosystemfunctionunderachangingclimateshouldbeincludedintheplan.Examplescouldincluderipariancorridorrestorationtoimprovestreambankstabilizationandoffchannelhabitatforaquaticandriparian-dependentspecies,oranaquiferrechargeprojectintendedtoreplenishdepletedgroundwaterreservesandreducelandsubsidence.ExamplefromSanFrancisco,CA:TheTuolumneRiverenvironmentalflowsmanagementplanaddressesecosystemservicesaswellasspeciesloss.TheUpperTuolumneRiverEcosystemProgram(UTREP)hasbeenimplementedtoconductlong-term,collaborative,science-basedinvestigationsdesignedto(1)describehistoricalandpresentdayupperTuolumneRiverecosystemconditions,(2)assesstheirrelationshiptoHetchHetchyProjectreservoiroperations,and(3)developprojectsandplansforimprovingecosystemconditionsonalong-term,adaptivelymanagedbasis.UndertheumbrellaofUTREP,manyprojectstomonitorandaddressecosystemfunctionandbiodiversityhavebeenundertaken.Herearelinkstoafewoftheseprojects:

• TheLookingDownstreamProject:ThisprojectisdesignedtobetterunderstandthephysicalandecologicalprocessesoftheTuolumneRiver.Aprimarygoaloftheprojectisto“provideinformationthatwatermanagerscanusetomanageenvironmentalwaterreleasesfromO’ShaughnessyDaminwaysthatwillmorecloselyreplicatenaturalphysicalprocessesandbenefitwater-dependentecosystemsdownstreamofthedam.”Moreinformationisavailablehere:https://drive.google.com/file/d/0ByXbtqrXtQ1LX3U5Q0ZsckRJU28/view

• O’ShaughnessyDamInstreamFlowManagementPlan:Thepurposeofthisprojectisto“describethedevelopmentandimplementationofanewinstreamflowregimeforO’ShaughnessyDamthatisdesignedtomimicnaturalhydrologyandprovidebroadsupportforphysicalprocesses,habitats,andnativespecieswithintheHetchHetchyReachoftheupperTuolumneRiver.”ThisplaniscurrentlyinPhaseIIandmoreinformationisavailablehere:https://sfpuc.sharefile.com/share?cmd=d&id=s0892606d1b949d1a#/view/s0892606d1b949d1a

QuestionAP.2:Istheadaptationplanforenvironmentaltargets/infrastructurerobustacrossspecifiedobserved/recentclimateconditions?ConferVulnerabilityAssessment.Scoring:1ifyes,0ifnoEvidenceorDisclosure:EvidenceWhatthismeans:Thegoalsoftheadaptationplanshouldbetiedtospecific,verifiable,currentclimateconditions.


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InthecaseofSanFrancisco,changesinthetimingofspringrunoffhavealreadyledtolowersummersoilmoistureasreducedwintersnowpackandearlierspringrunoffhavedecreasedsummerstreamandbaseflows.Thesealterationstothehydrologiccyclehavewidespreadimplicationsforecosystemfunctionandbiodiversityintheregion,watersupplyforSanFranciscoandSanJoaquinValleyfarmers,andpowergenerationattheO’ShaughnessyandLaGrangedams.Thus,thePublicUtilitiesCommission’senvironmentaltargetsshouldspecificallyaddresstheissuesofwatertimingandstorageintheadaptationplan.ExamplefromSanFrancisco,CA:Asmentioned,theobservedimpactsofbothclimatechangeandsealevelrisehavealreadybeensignificantintheSacramento–SanJoaquinwatershed.TheSewerSystemImprovementProject(SSIP)isdesignedtoberobusttocurrentimpacts,includingexcessstormwater/wastewaterdischarge,flooding,andsaltwaterintrusion.Moreinformationisavailablehere:http://sfwater.org/index.aspx?page=607.

QuestionAP.3:Istheadaptationplanforenvironmentaltargets/infrastructurerobustacrossspecifiedprojectedclimateconditions?ConferVulnerabilityAssessment.Scoring:1ifyes,0ifnoEvidenceorDisclosure:EvidenceWhatthismeans:Similartothepreviousquestion,butaddressingfutureconditions.Predictingthefuturetrajectoryofclimatechangeanditsassociatedimpactsatthewatershedlevelisachallengingtaskandthereisagreatdealofuncertaintyinvolved.However,basedoncurrentimpactsanddownscaledclimatemodels,climatescientistshavebeenabletoidentifyarangeofprojectedscenariosthatcanbeanticipatedandplannedforwithconfidence.Forexample,inmanylow-lyingcoastalareassealevelispredictedtoriseanywherefrom1–4feet(0.3-1.4meters)overthenext75years.Adaptationplansfortheseregionsshouldaddresshowprojectmanagerswillensuretheresilienceofprojectinfrastructureand/orecosystemfunctionundermultipleelevatedwaterconditions.ExamplefromSanFrancisco,CA:TheSSIPhasextensiveplansforchangesinarangeofoutcomesforsealevelriseandclimatevariability.Forexample,in2010,adesignstandardwasdraftedtoincorporatetheinfrastructureimpactsofprojectedsealevelriseintheplanning,design,construction,operation,andmaintenanceoffacilitiesdirectlyorindirectlyrelatedtothewastewatersystem,coastalerosion,overflowstructureprotection,andflooding,usingtidalprojectionsbasedona1.4m(55in.)sealevelriseby2100.IPCCfuturewarmingscenariosprojectsealevelriseof0.5-1.4mabove1990levelsandthedesignstandardusesthemostseverescenarioforitsplanningguidelines.Combininghistoricaldataandfutureprojectionsbasedonthe1.4mbenchmark,FigureXdemonstratesthevulnerabilityofSanFrancisco’sexistingcombinedsewerinfrastructuretooverflowduringhightides.ThisinformationcanthenbeusedintheSSIPdecision-makingprocess.Morerecently,aSeaLevelRiseCoordinatingCommitteewasformedbytheSanFranciscoPlanningDepartmentandisoverseeingthedevelopmentofacity-wideSeaLevelAdaptationPlan,duetobecompletedin2018.Moreinformationcanbefoundonthecommittee’swebsite,here:http://sf-planning.org/sea-level-rise-action-plan.TheSanFranciscoPublicUtilitiesCommissionisalsoaco-founderoftheWaterUtilityClimateAlliance(WUCA),apartnershipbetween10ofthelargestwaterprovidersintheUnitedStates.TheAllianceworkstoassessandadapttothepotentialeffectsofclimatechangethroughcollaborativeaction,andtoimprovewatermanagementdecisionmakinginthefaceofclimateuncertainty.RecentpublicationsincludeEmbracingUncertainty:ACaseStudyExaminationofHowClimateChangeisShiftingWaterUtilityPlanningandChangesinWaterUseUnderRegionalClimateChangeScenarios.BothareavailableontheWUCAwebsite:www.wucaonline.org.

QuestionAP.4:Isthereamonitoringplandesignedtotrackongoingprogressandimpactstoinformfuturedecisions?Scoring:1ifyes,0ifnoEvidenceorDisclosure:EvidenceWhatthismeans:Becausethereisaninherentlevelofuncertaintyaboutfutureclimateconditions,theadaptationplanshouldincludemonitoringmechanismsandreviewprocessesinordertoensureprojecteffectivenessand,ifnecessary,tomakeadjustments.


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Forexample,ifriparianhabitatrestorationisundertakenalongastreamcorridortoimproveecosystemfunction,thereshouldbemonitoringbefore,during,andaftertherestorationactivitytakesplaceinordertogaugeitseffectivenessinachievingtheoutcomesitwasdesignedfor,bothnowandinthefuture.Monitoringdatacanalsobefedintolargerstreammonitoringnetworksthattrackclimatechangeovertime.ExamplefromSanFrancisco,CA:TheUrbanWaterManagementPlanforSanFranciscoisupdatedevery5yearsanddocumentsongoingeffortstoreduceurbanwaterdemandandcomplywiththeCaliforniaUrbanWaterConservationCouncil.Onesucheffortisthecity-wideupgradetoSanFrancisco’swatermeteringsystem.Thenewmetersarehelpingtoimprovereliablewaterusemonitoringandtrackcompliancewithwaterefficiencytargetsovertime.DetaileddiscussionisavailableinSection9ofthereport,foundhere:http://www.sfwater.org/Modules/ShowDocument.aspx?documentID=8839

QuestionAP.5:IsthereaplantoreconsideronaperiodicbasistheVAforoperationalparameters,governanceandallocationshifts,andenvironmentalperformancetargets?Scoring:1ifyes,0ifnoEvidenceorDisclosure:EvidenceWhatthismeans:Adaptationplanningisaboutpreciselythat:adapting.Anadaptationplanmustbeabletoadjusttonovelconditionsovertimebecauseclimatechangeisadynamicseriesofprocessesinteractingwithchangingconditionsonthegroundanditisimpossibletopredictpreciselyhowfutureinteractionswillplayout.Assuch,itisimportanttoperiodicallyreviewthevulnerabilityassessmenttoensurethattheinformationisstillaccurateandrelevanttotheadaptationplan,toconditionsontheground,andthebestavailablescience.Evidenceofthiscouldbeamanagementplanthatincludesaprogramreviewtimelineandprocess.ExamplefromSanFrancisco,CA:Asmentionedinthepreviousexample,theUrbanWaterManagementPlanisupdatedevery5years.Themostrecentreportwasproducedin2015.TheSeaLevelRiseActionPlanalsoemploysacyclicalreviewprocessforitssealevelriseadaptationplanning,outlinedhere:http://default.sfplanning.org/plans-and-programs/planning-for-the-city/sea-level-rise/160309_SLRAP_Final_ED.pdf.Vulnerabilityassessmentfeedsintoadaptationplanningandimplementation,monitoringofimplementationfeedsbackintovulnerabilityassessmentandfutureadaptationplanning.Moreinformationaboutthisprocesscanbefoundintheproject’sexecutivesummary,availablehere:http://default.sfplanning.org/plans-and-programs/planning-for-the-city/sea-level-rise/160309_SLRAP_Executive_Summary_EDreduced.pdfExamplefromtheDanubeRiver:TheDanubeRiverBasinManagementPlanoperatesona6-yearcycletoensurethatitsmanagementobjectivesandactivitiesreflectbestpracticesandanychangestocurrentorfutureclimateprojections.Thecurrentplan,coveringtheperiodof2016-2021isavailablefromtheInternationalCommissionfortheProtectionoftheDanubeRiver:www.icpdr.org/main/management-plans-danube-river-basin-published.

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