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The Integrated

Environmental Strategies
Handbook

A Resource Guide for Air Quality Planning


CONTENTS

About This Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1


The Benefits of IES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2
The Purpose of This Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3
For More Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Chapter 1—Introduction to the IES Program . . . . . . . . . . . . . . . . . . . . . .6


Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6
Overview of the IES Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10
Sample IES Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Chapter 2—Planning and Team Building . . . . . . . . . . . . . . . . . . . . . . . . .16


Who Is Involved in an IES Project? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16
Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17
Scoping Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20
Scoping Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .22
Key Project Design Decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26
Developing the Work Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .27

Chapter 3—Energy/Emissions Analyses and Modeling . . . . . . . . . . . . .30


Determining the Focus of the Energy Sector for Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31
Developing the Base-Year Emissions Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31
Developing Energy and Emissions Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .36
Energy/Emissions Model Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38
Forecasting Future Emissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40

Chapter 4—Air Quality Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .42


Identifying Targeted Emissions for Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .43

Selecting an Air Quality Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .45


Obtaining Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49

Chapter 5—Health Effects Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51


Defining the Scope of the Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .52
Estimating Avoided Health Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53
C-R Functions and Health Effects Modeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53
Epidemiological Studies and Health Damage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54
Importing and Pooling Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .57
Developing Local Epidemiological Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .58
Uncertainty Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59

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IES Handbook

Chapter 6—Economic Valuation and Analysis . . . . . . . . . . . . . . . . . . . .60


Using Valuation Analysis to Assist Policymakers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61
Methods to Estimate Economic Values for Specific Health Effects . . . . . . . . . . . . . . . . . . . . . . . .62
Applying Unit Value Estimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .66
Obtaining Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .68
Benefits Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .69
Aggregating Unit Values for Total Benefit Estimates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .72
Presentation of Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .72

Chapter 7—Policy Analysis and Results Dissemination . . . . . . . . . . . . .74


Evaluating Policy Measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .74
Dissemination of Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .80
Next Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .83

Chapter 8—Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .84


Implementation Hurdles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .84
Moving From Analysis to Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .85
Clean Energy Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .90

Chapter 9—Conclusions and Lessons Learned . . . . . . . . . . . . . . . . . . . .94


Distinguishing Features of the IES Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .94
Policy and Program Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .99
IES Program Lessons Learned . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105
Areas for Future Consideration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .108

Appendix A—Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Appendix B—Glossary/Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . .121

Appendix C—IES Process Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Appendix D—Analytical Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . .156

Appendix E—Funding Tools and Resources . . . . . . . . . . . . . . . . . . . . .168

Appendix F—Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .180

Contents ii IES Handbook


About This Handbook

As urbanization and industrialization expand globally at a rapid pace, a


growing number of developing countries are experiencing a corresponding
increase in air pollution and greenhouse gas (GHG) emissions. In recent
years, numerous studies have linked certain types of conventional air
pollutants with adverse health effects ranging from increased respiratory
ailments to premature deaths. Air pollution can also damage crops and
forests, disrupt ecosystems, contaminate water bodies, corrode building
materials, and reduce visibility. All of these problems can have significant
and long-lasting impacts on a country, its people, and its economy.
Depending upon their source, emissions of conventional air pollution
might be accompanied by GHG emissions. When both types of emissions
are generated together (e.g. through fossil fuel combustion), opportunities
exist to reduce them simultaneously through “integrated measures.”
Readers should note that there is a clear distinction between GHGs and
conventional air pollutants. Conventional air pollutants pose local and
regional environmental and health risks, while GHGs are more often seen
as a global concern, contributing to climate change.
As an element of the United States government’s commitment to address
climate change, the United States Environmental Protection Agency (U.S.
EPA) developed this handbook. The handbook is designed to help readers
in developing countries learn about and potentially adopt “co-benefits”
measures to improve local air quality and reduce associated GHGs.
This handbook describes the U.S. EPA’s Integrated Environmental
Strategies (IES) Program approach. The IES approach enables local
researchers to quantify the co-benefits that could be derived from
implementing policy, technology, and infrastructure measures to reduce
air pollutants and GHG emissions. Quantifying the effects of air emissions
brings research into the public decisionmaking process and provides a
solid foundation upon which to build environmental and public health
improvements.

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IES Handbook

The Benefits of IES Quantifying the costs and benefits of particular


mitigation measures can illustrate their cost-
Eight countries (Argentina, Brazil, Chile, China, effectiveness:
India, Mexico, the Philippines, and South Korea)
are using the IES approach with impressive • Researchers in Santiago, Chile, for example,
results. IES has influenced institutional thinking, estimate that, cumulatively, more than 1,700
policy analysis, and technical capacity building premature deaths, 150,000 emergency room
in important ways in all of the participating visits, and 2 million asthma attacks and
countries. bronchitis cases could be avoided by
implementing an IES policy scenario over
Policies Are Changing 20 years. The corresponding annual value
of these avoided health effects is over $700
In several participating countries, the ultimate
million U.S. dollars by 2020.
goal of IES is being achieved–the process and
its results are influencing the direction of a • By 2010, potential carbon reductions from
region’s planning and urban development: IES measures in Shanghai, China, could
equal the amount of carbon dioxide emitted
• In Beijing, China, the IES approach and
from the combustion of more than 100 million
results are informing efforts to improve local
barrels of oil annually.
air quality. The air quality improvements are
part of an overarching plan to make the 2008 • Improvements in local air quality in Buenos
Olympics in Beijing the world’s first “green” Aires, Argentina, could save as many as
games. 4,000 lives annually between 2000 and 2010.
• IES methods and results have been • A national benefits study of South Korea
successfully incorporated into air quality shows that approximately 70 percent of the
planning processes for Shanghai, China’s, cost of measures to mitigate carbon by 10
10th and 11th five-year plans. Unlike previous percent in 2010 would be offset by their
plans, policymakers are now placing the human health co-benefits. The measures
highest priority on the cost-effective control of would also result in substantial reductions in
particulate pollution. This change is due, in local and global emissions.
part, to consideration of the city’s IES results.
Technical Capacity Is Growing
• IES methods and analyses are helping to
shape the planning process undertaken by the There are also less tangible, but equally
regional office of the National Environment important benefits to adopting the IES approach.
Commission (CONAMA) in Santiago, Chile, For example, the process offers researchers in a
as it considers revisions to the city’s pollution country the opportunity to “learn by doing,”
control plan. which enhances technical capacity and helps
institutionalize the process at the same time. In
Policymakers Are Considering this way, analysis and implementation of
Benefits and Costs integrated environmental strategies will more
likely continue beyond the completion of any
In developing and developed countries alike,
particular IES project. The IES program is
emissions control and mitigation efforts can be
moving towards this goal in several countries:
expensive. By sharing decisionmaking tools and
technical expertise, IES is helping countries • An initial IES study in Seoul, South Korea,
calculate the benefits of avoided human health led to a national study and continued efforts to
effects from mitigation strategies (other benefits calculate the costs and benefits of individual
categories of interest could also be monetized). measures for “real-world” policymaking.

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IES Handbook

• In Santiago, Chile, and Shanghai, China, All readers will benefit from reading the
initial IES analyses have stimulated follow-on background and introductory material on IES
projects focusing on key policy and in Chapter 1, the planning and “scoping” steps
implementation decisions. described in Chapter 2, and the lessons learned
in Chapter 9.
Communication Is Improving
In addition, policymakers and ministry officials
In many countries, IES projects have fostered will be particularly interested in learning how
communication and interaction–not only IES results can be quantified, compared, and
between researchers, but also among policy disseminated (Chapter 7) and how these results
staffs in diverse fields. In some instances, such can be translated into specific policy
close working relationships are unprecedented. recommendations and incorporated into a
IES can also help remove institutional barriers country’s planning processes (Chapter 8).
and promote cooperation among different
stakeholders within a country. In addition, IES Technical experts will be interested in the
facilitates information exchange and training remaining chapters, which each focus on a
opportunities–both within and among countries: particular type of technical analysis:

• In Shanghai, China, policymakers lauded IES • Energy/Emissions Analysis and Modeling


for bringing together a number of ministries to (Chapter 3): Describes the process for
discuss integrated policy and the impact of developing a base-year emissions inventory
one ministry’s decisions on another. of selected pollutants and GHGs, as well as
energy/emissions scenarios illustrating how
• In an example of South/South exchange and different implementation measures could
networking, the leader of the IES team in affect emissions levels.
Santiago, Chile, shared his expertise with
researchers in India and the Philippines. He • Air Quality Modeling (Chapter 4): Discusses
also provided health benefits training for the selection of emissions to be included in
researchers in China, India, and the the analysis, collection of relevant data, and
Philippines. modeling approaches for forecasting future
atmospheric concentrations of targeted
• The lead IES coordinator in Buenos Aires, emissions.
Argentina, was named to the Climate Change
Unit of the country’s Sustainable Development • Health Effects Analysis (Chapter 5):
Office because of his recognized expertise. Describes how to estimate the avoided health
effects (morbidity and premature mortality)
• The IES program has also facilitated associated with each developed scenario.
interaction and cooperation among
multidisciplinary agencies in several • Economic Valuation and Analysis (Chapter
countries, including Chile, China, and Korea, 6): Describes how to estimate the monetary
where it had not occurred previously. values of avoided mortality and morbidity
incidences resulting from each scenario using
an appropriate valuation approach.
The Purpose of This
Handbook Together, these four sections form the IES
analytical framework. Although each chapter is
This handbook is designed to help inform both oriented towards the technical experts in that
technical and nontechnical audiences about particular field, the background information and
IES–how the process works and the types of explanatory detail included can help all readers
results that can be achieved. understand the objectives of the analysis and the

About This Handbook 3


IES Handbook

kinds of data that must be collected. Because Acknowledgments


each step in an IES analysis is linked, and the
output from one analysis informs the others, The U.S. EPA’s Office of Atmospheric Programs
all IES analysts benefit from having a general prepared this handbook with support from a
understanding of the process and how their number of staff within the U.S. EPA, other
particular analytical component fits into the federal agencies, and international organizations.
larger picture. This handbook would not have been possible
without the dedicated assistance of those
The appendices to this document provide individuals.
background information for all readers and
include the following: Original authors of the handbook include
numerous individuals on the IES team at the
• Bibliography (Appendix A): Lists all works U.S. EPA and the National Renewable Energy
cited in the handbook. Laboratory (NREL); Jason West (American
• Glossary/Acronyms (Appendix B): Defines Association for the Advancement of Science
key terms used in the handbook and provides (AAAS) Fellow) from the U.S. EPA Office of
the meanings of all acronyms and Air and Radiation; and experts from other
abbreviations referenced. organizations. Among IES country partners,
authors include:
• IES Process Tools (Appendix C): Provides
sample templates, forms, and other tools to Changhong Chen (China)
help organize and plan an IES project and to Luis Cifuentes (Chile)
disseminate results. He Kebin (China)
• Analytical Resources (Appendix D): Luiz Tadeo Prado (Brazil)
Provides model descriptions, studies, Pablo Tarela (Argentina)
equations, and other resources that can be Mary Anne Velas (Philippines)
used in the technical analyses.
A number of individuals also served as
• Funding Tools and Resources (Appendix E): reviewers of the handbook; their reviews greatly
Briefly describes funding sources that are enhanced the document. Reviewers from IES
applicable to environmental projects in country partners include:
developing countries. Also describes several
models that can be used to analyze important Changhong Chen (China)
financial, economic, and environmental Mariana Conte Grand (Argentina)
features of potential investment projects. Wang Fable (Philippines)
• Case Studies (Appendix F): Describes four Seunghun Joh (South Korea)
different IES projects, including the history of Flavio Pinheiro (Brazil)
each project, the team that was formed, the
Zhang Qiang (China)
methodologies used, and the results achieved.
N.S. Vatcha (India)
For More Information Other reviewers include:
For more information about IES, visit Antonio DelMonaco, Global
<http://www.epa.gov/ies. Readers can also Environment Facility
contact U.S. EPA staff at <ies@epa.gov> or call Majid Ezzati, Resources for the Future
+1 202 343-9731. Johanna Gregory, Winrock International

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IES Handbook

Omar Hopkins, U.S. Agency for Office of Air Quality Planning and Standards
International Development
Tyler Fox
Simone Lawaetz, U.S. Agency for
International Development Carey Jang
Eric Martinot, Global Environment Sara Terry
Facility Office of the National Center for Environmental
Helen Walsh, U.S. Department of Economics
Treasury
Chris Dockins
Reviewers from the U.S. EPA include: Nathalie Simon
Office of Air and Radiation Office of Research and Development
Jackie Krieger Darrell Winner
Judi Maguire
The U.S. EPA also wishes to thank organiza-
Trent Wells tions and individuals who contributed
Jason West (AAAS Fellow) photographs, including the NREL; Adam
Chambers, NREL; Marla Hendriksson,
Office of Atmospheric Programs
U.S. EPA Office of Environmental Justice;
Jane Leggett
Luis Cifuentes from the IES Chile team; and
Steve Seidel
Deborrah Lindsay (freelance photographer).
Michael Shelby

About This Handbook 5