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Carbon Lock-In: Types, Causes, and Policy Implications

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Carbon Lock-In: Types, Causes, and Policy Implications

Annual Review of Environment and Resources

Vol. 41:425-452 (Volume publication date November 2016)
First published online as a Review in Advance on September 2, 2016
https://doi.org/10.1146/annurev-environ-110615-085934

Karen C. Seto,1 Steven J. Davis,2 Ronald B. Mitchell,3 Eleanor C. Stokes,1 Gregory Unruh,4 and Diana Ürge-Vorsatz5

1Yale School of Forestry and Environmental Studies, Yale University, New Haven, Connecticut 06511; email: [email protected]

2Department of Earth System Science, University of California, Irvine, California 92697

3Department of Political Science and Program in Environmental Studies, University of Oregon, Eugene, Oregon 97403

4New Century College, George Mason University, Fairfax, Virginia 22030

5Center for Climate Change and Sustainable Energy Policy, Central European University, 1051 Budapest, Hungary

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Sections
  • Abstract
  • Keywords
  • INTRODUCTION TO CARBON LOCK-IN
  • INFRASTRUCTURAL AND TECHNOLOGICAL LOCK-IN
  • INSTITUTIONAL LOCK-IN
  • BEHAVIORAL LOCK-IN
  • INTERDEPENDENT LOCK-IN EFFECTS AND TRANSFORMATIVE CHANGE
  • CONCLUSIONS
  • SUMMARY POINTS
  • FUTURE ISSUES
  • disclosure statement
  • acknowledgments
  • literature cited

Abstract

Existing technologies, institutions, and behavioral norms together act to constrain the rate and magnitude of carbon emissions reductions in the coming decades. The inertia of carbon emissions due to such mutually reinforcing physical, economic, and social constraints is referred to as carbon lock-in. Carbon lock-in is a special case of path dependency, which is common in the evolution of complex systems. However, carbon lock-in is particularly prone to entrenchment given the large capital costs, long infrastructure lifetimes, and interrelationships between the socioeconomic and technical systems involved. Further, the urgency of efforts to avoid dangerous climate change exacerbates the liability of even small lock-in risks. Although carbon lock-in has been recognized for years, efforts to characterize the types and causes of carbon lock-in, or to quantitatively assess and evaluate its policy implications, have been limited and scattered across a number of different disciplines. This systematic review of the literature synthesizes what is known about the types and causes of carbon lock-in, including the scale, magnitude, and longevity of the effects, and policy implications. We identify three main types of carbon lock-in and describe how they coevolve: (a) infrastructural and technological, (b) institutional, and (c) behavioral. Although each type of lock-in has its own set of processes, all three are tightly intertwined and contribute to the inertia of carbon emissions. We outline the conditions, opportunities, and strategies for fostering transitions toward less-carbon-intensive emissions trajectories. We conclude by proposing a carbon lock-in research agenda that can help bridge the gaps between science, knowledge, and policy-making.

Keywords

climate change, positive feedback loops, path dependency, fossil fuels, energy

1. INTRODUCTION TO CARBON LOCK-IN

Ambitious goals for climate change mitigation such as those adopted in the Paris Agreement will require rapid reduction of regional and global CO2 emissions, on the order of 5–10% per year (1, 2), which in turn requires transformations of vast and entrenched networked systems of infrastructure, institutions, and human behaviors. The current global energy system is the largest network of infrastructure ever built, reflecting tens of trillions of dollars of assets and two centuries of technological evolution, and is supported by an equally extensive complex of coevolved institutions, policies, and consumer preferences (3–5). Roughly 80% of the energy delivered by this system worldwide now comes from burning fossil fuels (6), with attendant CO2 emissions that are the primary cause of climate change (7).

However, the inertia of technologies, institutions, and behaviors individually and interactively limit the rate of such systemic transformations by a path-dependent process known as carbon lock-in, whereby initial conditions, increasing economic returns to scale, and social and individual dynamics act to inhibit innovation and competitiveness of low-carbon alternatives (4, 8, 9). In particular, inexpensive and reliable energy is central to the techno-institutional complex that underpins all historical industrialization and continues to support high levels of consumption in the most developed countries of the world, and for more than a century the dominant source of this energy has been fossil fuels. Society's desire for economic affluence and the related demand for energy will increase. For example, many of the Sustainable Development Goals (SDGs) recently passed by the United Nations (10) include improving the accessibility and quality of modern energy services (SDG-7), promoting economic development and industrialization (SDG-9), and supporting consumption (SDG-12). However, given all historical precedents, these goals are at odds with efforts to reduce the use of fossil fuels to combat climate change (SDG-13). Reconciling these goals thus requires rethinking and remaking a monolithic and change-resistant complex of technologies, institutions, and behaviors that have up until now been vital to the economic activities and growth that we are determined to sustain.

Path-dependent processes are those that develop inertial resistance to large-scale systematic shifts, with resistance to change driven by favorable initial social and economic conditions and the momentum of increasing returns to scale. There are many examples of path dependence that entrench technical, institutional, and behavioral systems with known technical and environmental disadvantages. Where these disadvantages include carbon emissions to the atmosphere, the path dependence is termed carbon lock-in. Carbon lock-in generally constrains technological, economic, political, and social efforts to reduce carbon emissions. Given the predicted magnitude and timeline of its worst impacts, an effective response to climate change will require large-scale and relatively rapid disruption to existing systems. Carbon lock-in poses significant challenges to making such changes on the necessary timetable, especially when the changes needed require undoing quite entrenched and reinforced patterns and institutions in multiple technological, economic, political, and social systems. Undoing or escaping carbon lock-in will require undertaking significant initiatives and investments in the near term while retaining flexibility to adapt, refine, and replace those initiatives and investments in the long term. Here, we review recent progress conceptualizing, evaluating, and quantifying carbon lock-in and its drivers; examining important examples, types, and causes; exploring the scale, magnitude, and longevity of the effects; and outlining possible policy implications.

We conceptualize three major types of carbon lock-in: (a) lock-in associated with the technologies and infrastructure that indirectly or directly emit CO2 and shape the energy supply; (b) lock-in associated with governance, institutions, and decision-making that affect energy-related production and consumption, thereby shaping energy supply and demand; and (c) lock-in related to behaviors, habits, and norms associated with the demand for energy-related goods and services. Henceforth we refer to these as infrastructural and technological lock-in, institutional lock-in, and behavioral lock-in, respectively. We refer to the path dependence of these interacting technological, institutional, and behavioral systems as lock-in, with carbon lock-in referring to a specific negative type of lock-in related to systems that emit carbon. In contrast, lock-in favors the status quo but is normatively neutral: It can foster either positive or negative outcomes. Carbon lock-in is negative because it inhibits changes deemed desirable, such as a transition to a low-carbon society. An alternative lock-in taxonomy might differentiate lock-in related to energy supply (e.g., the infrastructure to generate and transmit electricity) from lock-in of energy demand (e.g., end-use technologies, habits, and behavior). The concept of carbon lock-in suggests that the three types of lock-in are mutually reinforcing and create collective inertia. Consequently, efforts to break from one type of lock-in result in hardening or compensating resistance to change in other types of lock-in.

2. INFRASTRUCTURAL AND TECHNOLOGICAL LOCK-IN

The long life of physical infrastructure may lock societies into carbon-intensive emissions pathways that are difficult or costly to change, emphasizing the importance of initial conditions and early decisions. They also involve long lead times, that is, investments in which costs occur now and payoffs occur later, and create substantial sunk costs (Figure 1).

figure
Figure 1 

There are two main strategies for reducing energy-related CO2 emissions: decreasing the carbon intensity of energy used (i.e., the CO2 emitted per unit of energy) and decreasing the energy intensity of the economy (i.e., the energy used per unit of economic production). The two strategies are sometimes related, for example, where a specific fossil fuel–burning device is involved.

Energy demand patterns are locked in through large incremental investments in long-lasting built infrastructure, such as street layouts, land use patterns, and buildings, with the ultimate effect of inhibiting efforts to reduce the energy intensity of an economy. Elements of the built environment determine energy demand for decades after their construction. In areas with high construction rates, these lock-in risks underscore the urgency of adopting state-of-the-art performance standards. Together, buildings and urban form lock-in transport mode choices, average distances traveled, housing choices, and behaviors (11).

Meanwhile, reductions in the carbon intensity of energy produced are constrained by long-lived fossil fuel–burning infrastructure, which are in turn dictated by operating conditions, fuel type/quality, and physical specifications, which typically change little over the lifetime of the infrastructure (barring a major upgrade or retrofit). Despite known environmental disadvantages, the fossil fuel energy generation and distribution system thus represents a barrier to the adoption of new and cleaner renewable energy technologies.

Less directly, fossil fuel–supporting infrastructures such as pipelines, refineries, and gasoline stations also contribute to locking in carbon intensity insofar as their value is dependent on the extraction and transport of fossil fuels. The lock-in contributed by these supporting infrastructures may be understood according to the concept of asset specificity (12), which describes inputs that cannot be readily used by other systems because the investments are unique to a particular task. Thus, owners of assets that do not directly burn fossil fuels may nonetheless have strong incentives to favor policies that maintain lock-in insofar as their assets are specific to the technologies favored by the existing form of lock-in. Such supporting infrastructure also suggests the self-reinforcing incentives to resist change. Indeed, lock-in is not suboptimal from the point of view of those entities that benefit from it. In this regard, lock-in is a commons dilemma: What benefits individuals may not benefit the whole of society.

2.1. Carbon-Emitting Infrastructure

Lock-in due to technologies that directly emit CO2 has increasingly been the subject of quantitative research. Early modelers of socioeconomic inertia with respect to climate change explored the most cost-effective pathways to CO2 abatement when different infrastructure lifetimes were assumed and found that abatement delays make climate mitigation much more costly (13). This conclusion conflicted with assertions from other scholars who argue that mitigation efforts should target more reversible—cheaper—capital stock (14). There is growing consensus, however, that delayed mitigation will be more costly (15, 16). In 2009, the World Bank made the point more explicitly, identifying the specific types of long-lived infrastructure that most contribute to socioeconomic inertia (17).

In 2010, this literature was extended by estimating global committed emissions, that is, future CO2 emissions expected if all existing infrastructure were operated during its expected lifetime (18). By assessing the age distribution of power plants, on-road vehicles, and industrial and commercial infrastructure in different countries worldwide, it was found that these systems could be anticipated to emit cumulative future emissions of 496 Gt of CO2, nearly half of which will come from power plants (18). If the historical buildup of power infrastructure is considered, then total committed emissions in the power sector are estimated to have increased globally at the rate of ∼4% per year (19). Further, the results showed that 1 Gt of future CO2 emissions is committed by roughly every 6 GW of new coal-fired generating capacity and every 12 GW of gas-fired generating capacity. However, these numbers are sensitive to the expected lifetime of power plants as well as their capacity factor (i.e., the fraction of time the plants are operating). For instance, it has been estimated that existing power plants worldwide would emit 307 Gt CO2 in the future if a 40-year lifetime were assumed for each plant (19). However, assuming a 20-year lifetime decreased the total emissions to 98 Gt CO2, whereas assuming a lifetime of 60 years increased the estimate to 578 Gt CO2.

The sensitivity of committed emissions to infrastructure lifetime highlights a key uncertainty related to quantifications of technological lock-in: The decision to retire a device is usually based on an evaluation of economic competitiveness that incorporates mounting maintenance or looming retrofit costs, the costs of alternatives, and the current and anticipated social and policy context (e.g., Figure 1). Additionally, economic incentives can increase or reduce the extent of lock-in. For example, mobile phones and computers are replaced well before their technology becomes obsolete or economically noncompetitive because we are incentivized to upgrade the technology. At its simplest, the problem is that adoption of a low-carbon energy technology is not economically favorable until the capital and operating costs of the new technology are less (and probably substantially less) (e.g., 20) than the capital and operating costs of the incumbent fossil fuel–burning technology (21), which is unlikely to happen during the normal lifetime of the already-operating technology. This is especially true for power plants where the end-product is not functionally different after switching to a new, cleaner technology. However, sufficiently aggressive policies could shift the balance toward new low-carbon technologies. In this case, though, the policies will incur costs by “stranding” serviceable energy assets. Thus, another rapidly developing area of research is assessing the potential of different policies to create stranded power-generating assets (22–25). Related to this future-looking research, activists have begun tracking proposals to build new emitting infrastructure and opposing their construction on the grounds of the emissions that the new infrastructure would commit (26, 27).

A particularly ambitious and comprehensive assessment evaluated the costs of carbon lock-in from different technologies based on their expected lifetime, the carbon price required to make a low-carbon alternative competitive, the difference between deployment levels in business-as-usual and 2°C scenarios, and the market share of the technology in its industry sector (28). The results highlight the acute risks of coal-fired power plants, whose operating lifetime can be more than 50 years and can require a carbon tax of up to $100 per ton of CO2 (tCO2) to induce replacement (Figure 2). The authors also noted the very high lock-in risk posed by internal combustion vehicles in the transport sector: Despite their shorter operating lifetimes, such vehicles command the vast majority of the large and growing personal transportation market and, once sold, would require a very high carbon price to displace (>$1,000 per tCO2).

figure
Figure 2 

In connection to lock-in research, some researchers have directly compared estimates of committed emissions to carbon budgets corresponding to different climate targets. For example, a recent study shows that global committed emissions in 2013 were half of the total CO2 emissions associated with a 50% chance of avoiding 2°C of mean surface warming relative to preindustrial levels (1). Another study analyzes several thousand scenarios of infrastructure lifetimes, economic growth, and carbon budgets (reflecting uncertainty of both climate sensitivity and the availability of negative emissions) to estimate the carbon intensity of future economic growth (25). In half of the scenarios, a 2°C target required an intensity of economic growth between 33 and 73 gCO2/$—much lower than the current global average of 360 gCO2/$. Furthermore, each year of lifetime added to existing carbon-emitting infrastructure decreases the carbon intensity of future economic growth required to meet a 2°C carbon budget by 1.0–1.5 gCO2/$, and on the current emissions trajectory, each year of delaying the start of mitigation decreases the required intensity by 20–50 gCO2/$ (25).

Although nearly all analyses of carbon lock-in have focused on how incumbent fossil fuel technologies resist displacement by low-carbon alternatives, low-carbon alternatives may also be locked-out by earlier generations of low-carbon technologies. For example, perovskite is an emerging photovoltaically active material that holds the promise of greatly improving upon the efficiency and cost of current crystalline silicon solar cells. However, there is a large uncertainty on what the pace of production cost decline will be for perovskite, and the funding for research on perovskite technologies from US federal agencies is low compared to the funding levels for silicon solar cells that dominate today's rapidly growing solar market (29).

2.2. Carbon Emissions–Supporting Infrastructure

Most CO2-emitting technologies depend upon networks of supporting, nonemitting infrastructure such as pipelines, refineries, and refueling stations, but the extent to which these latter technologies contribute to carbon lock-in has not been quantitatively estimated. Doing so would entail valuing the contribution of these technologies per unit of fuel burned (and CO2 emitted), for example, by their cost of replacement. In specific cases, researchers have estimated future greenhouse gas emissions related to supporting infrastructure. For example, studies have estimated that the controversial Keystone XL oil pipeline would increase annual emissions by 0 to 110 Mt CO2-equivalent (28). Similarly, others have sought to quantify the additional future emissions linked to U.S. coal exports, including terminals proposed for the Pacific Northwest (27, 30). These types of estimates typically depend upon models of supply and demand and counterfactual scenarios that are difficult to evaluate, especially given the historic unpredictability of energy markets.

Similarly, researchers have also begun to estimate resource assets that might be stranded by policy. One 2014 study, for instance, estimated the types and locations of fossil fuels that are unburnable under a 2°C target (31). Others have looked at the extent to which such stranded fossil fuel reserves might spur deployment of carbon capture and storage (CCS) technologies (32). Reversing the perspective, a recent commentary suggested that substantial investments related to fossil fuel exploration might reflect a commitment to extract and burn proven reserves, noting that between 1980 and 2013 total proven oil reserves grew at more than twice the rate of oil extraction (33). In the time since, analysts have begun working to develop methodologies for estimating and reporting emissions represented by fossil reserves (34), new investments in oil (35), and cumulative emissions (36).

2.3. Energy-Demanding Infrastructure

Some of the longest-lived infrastructures are not CO2-emitting power plants—which last on the order of decades—but buildings, transportation infrastructure, and other spatial arrangements of urban settlements. The fundamental building blocks that make up the physical features of urban settlements, such as the layout of the street network and the size of the city blocks, can affect and lock in energy demand for long time periods (37, 38). Once in place, basic urban structures and patterns are not easily reversed. The long-lasting legacy of urban form is evident in cities around the world, with examples of spatial patterns dating back hundreds to thousands of years. The fact that cities usually develop incrementally limits the opportunities to adopt alternatives that could prompt and contribute to systemic change. There is significant interdependence among infrastructure, land use, transport and travel mode.

Only a handful of studies have examined locked-in energy demand from urban form. One 2011 study provided an estimate of greenhouse gas emissions related to future demand for energy in the transportation sector based on the location and density of existing infrastructure and assuming no change in the volume or modes of transport (39). According to their calculations, even with ambitious decarbonization of the transport sector, travel on existing roads between existing buildings represents a substantial additional commitment of future emissions from the transport sector.

Carbon emissions from activities in buildings result from a plethora of end-uses, some of them being flexible and fast to change, whereas others can be influenced over long time frames only. Heating and cooling energy use is strongly influenced by a combination of the physical characteristics of the building shell (e.g., the level of heat transmissivity of the walls, roofs, floors and windows; reflectivity of the insolated surfaces), the physical environment of the building (e.g., local climate, physical shading from insolation, barrier to winds, siting, and orientation), and the heating and cooling equipment (40).

These factors have different lifetimes. Some elements of the physical environment have long lifetimes, such as siting, building orientation, sources of shading, local heat islands, and heat sources and sinks. Others factors are less permanent, such as the elements of the building shell (e.g., basements, walls) and major heating-related infrastructure (e.g., district heating networks, availability of more efficiently burning heating fuels such as piped gas and electricity). Still, other factors are relatively short-lived, such as building insulation, doors, windows, roofs, building-integrated renewable energy generation sources such as photovoltaic cells. Very short-lived elements include heating and cooling equipment such as boilers and air conditioners.

Although it is difficult to attribute specific amounts of heating and cooling energy use to specific factors, building infrastructure is receiving increasing attention as a driver of emissions. While the literature on building energy use and its optimization has been dominated by a focus on equipment energy efficiency, recent research has also shed light on the importance of the building envelope in reducing building energy use. When the building shell is well designed, the building can have minimal or even no heating systems, even in the coldest climates.

Much of this also holds for cooling, although infrastructure has a more limited influence on cooling than heating for several reasons. First, a significant part of cooling energy use can be devoted towards air dehumidification, which does not apply for heating. Second, elements of the building infrastructure such as shading, thermal mass, and insulation can help limit cooling energy use only to a certain degree. Beyond certain levels of outdoor temperatures, even fully optimized building infrastructure cannot avoid the need for mechanical cooling. The key difference in this sense between heating and cooling is that there are many heat sources inside buildings (e.g., people, equipment) that could be effectively utilized for heating energy, whereas in the case of cooling, there are no sources of energy that could be utilized for this purpose.

Ventilation and lighting energy use are also influenced by the building's infrastructure. For the former, the air tightness of the building and ventilation infrastructure are the longer-living infrastructural elements determining ventilation energy use. For the latter, building surface to volume ratio, envelope and window structure, window surface areas, the internal wall, and furnishing design are all longer-lived infrastructural determinants of natural indoor illumination levels, and thus energy needs for artificial lighting. Daylighting infrastructures, some lighting system elements and fixtures, and wiring schemes, may also form part of the shorter- to mid-lifetime components of building infrastructures. In contrast, lamps and some light fixtures can be very short lived or low cost and are flexible to short-term replacements.

The expected lifetime of buildings varies considerably by geographic location, climate, culture, and affluence levels. Typical lifetimes for buildings and residences range from 20 to 30 years in places like China to more than 100 years in countries such as Australia and New Zealand (41, 42). Lifetimes are influenced by the durability and longevity of the materials used, the settlements, economic conditions, and cultural values (43). Some cultures favor long-lasting construction and place high values on old buildings, whereas others favor functionality and flexibility and turn over building stock more rapidly. Urbanization and other processes that facilitate or encourage migration also tend to shorten the lifetime of structurally usable buildings. The structure-related energy use of a building also strongly depends on the major retrofits performed on the building. Retrofit cycles are strongly determined by affluence as well as culture for similar building stock types. For instance, in the United States, buildings are regularly remodeled—involving changes in many parts of the building shell. In other regions, building shell–related infrastructure is mostly replaced only when needed. This can lead to highly variable cycles for major retrofits, from 20 years in the United States to 40 years in Europe.

3. INSTITUTIONAL LOCK-IN

Carbon lock-in arises when the infrastructural and technological lock-in (prior section) is reinforced by institutional lock-in (this section) and behavioral lock-in (next section). Political scientists, sociologists, and other social scientists have developed theories of institutional lock-in as part of broader theories of institutional stability and change, reflecting the view that institutional choices at one point in time significantly shape later choices (44).

Institutional lock-in differs from technological lock-in in important respects. First, lock-in is an intended feature of institutional design, not an unintended by-product of systemic forces. Because institutions are “distributional instruments laden with power implications,” institutional lock-in rarely arises from “early chance events” but from conscious efforts by powerful economic, social, and political actors (45). These actors seek either to reinforce a status quo trajectory that favors their interests against impending change or to create and then stabilize a new, more favorable, status quo (46–48). These actors engage in intentional and coordinated efforts to structure institutional rules, norms, and constraints to promote their goals and interests in ways that would not arise otherwise. Second, this intentional nature of institutional lock-in means that it is beneficial for the winners in the “battle over the nature of institutions,” even if it is suboptimal from an aggregate social welfare perspective (49). Third, differences between political processes and market forces make institutional lock-in likely to occur more often and with greater intensity than technological lock-in (48). Despite these differences, institutional lock-in parallels technological lock-in in that institutions end up in an inertial equilibrium state on a trajectory that proves quite resistant to change and that creates increasingly costly and challenging barriers to switching to any alternative trajectory.

3.1. Processes Leading to Institutional Lock-In

The extent to which institutions generate carbon lock-in reflects political conflict between actors who benefit from the existing set of economic, social, and cultural arrangements that favor a carbon-intensive trajectory and those who would benefit from an alternative trajectory. Both sides see institutions as a way to establish stable economic, social, and cultural systems that favor their interests. The short time horizons and status quo biases of politicians make it difficult to overturn governmental policies and institutions of any sort, including those that favor the use of fossil fuels (48). Institutions strengthen the interests of—and, hence, increase the resources available to—those powerful actors, such as oil and energy companies, that wield the most influence over their creation and modification (28, 48, 50, 51). Not surprisingly, the networks that arise among policy-makers, institutional bureaucracies, and powerful energy interests further reinforce and stabilize carbon-intensive systems. In an institutional feedback loop, those actors that most benefit from existing energy infrastructures push for institutional rules that further their interests, provide them with greater resources, reinforce their political and economic dominance, and allow them to deploy yet greater resources to shape institutions to their benefit. As in technological and behavioral carbon lock-in, such networks of relationships raise powerful barriers to efforts to get national political institutions to adopt policies that would foster a transition to a lower-carbon trajectory (44, 48).

Although institutional lock-in is a characteristic of institutions, it arises through the coevolution of multiple systems or spheres (8, 9, 52). Technological, economic, scientific, political, social, institutional, and environmental spheres coevolve, with changes in each being both responses to and causes of changes in other spheres (53). Coevolution involves iterative dynamics that strongly favor lock-in, with each sphere's norms, rules, actors, processes, and logic increasingly coming to favor reproductive over disruptive changes. Disruptive changes that do emerge in one sphere tend to be tamped down by status quo pressures from within that sphere and from other spheres. These dynamics generate a mutually reinforcing consistency, with each sphere and the system as a whole becoming increasingly resistant to change.

It is difficult to identify a single starting point for—or single cause of—lock-in. Light-water technology came to dominate nuclear power not because of its inherent technological or economic advantages but because of various governments’ investments in research and development (R&D) and interventions in economic markets as well as intergovernmental cooperation that favored certain technologies and interests (54). Despite the obstacles to change presented by institutional lock-in, scholars have identified various pathways for institutional transitions (45, 55). Institutional change can occur through interactions between permissive conditions and prompting forces. Transitioning from lock-in is more likely if conditions have increased institutional plasticity, opening windows of opportunity during which policy entrepreneurs can promote carbon-reducing policies more successfully (28, 56–58). Many scholars have argued that such windows open up in response to exogenous shocks, as evident in France's shift toward nuclear power after the OPEC oil embargos of the 1970s and the shift away from nuclear power after the Three Mile Island, Chernobyl, and Fukushima accidents (52, 59, 60).

German experiences with renewables illustrate how iterative interactions between political institutions and the economic and technological spheres can undercut carbon lock-in. Efforts to promote renewables that began in the 1970s gained political support in response to the Chernobyl accident and early parliamentary reports on climate change (49). That momentum then was enhanced by a feed-in law that created incentives to invest in renewables, expanded markets, fostered learning networks, and increased the strength with which industry associations lobbied for renewables on economic grounds (49). These dynamics made lock-in of renewables sufficiently likely that traditional power sector actors lobbied to have these renewable policies overturned; in turn, the failure of those efforts reassured renewable energy investors, which promoted even faster growth (49). Similarly, intentional yet incremental policy changes help explain recent growth in renewables in various European countries (61, 62). Of course, these same processes can generate less optimistic outcomes as in decisions in some U.S. states (e.g., Nevada) to remove tax credit and/or subsidy policies for solar energy systems and electric cars in ways that lead companies and individuals to undo the carbon-reducing financial, technological, and infrastructural investments they have already made.

Whether exogenous shocks or intentional policy efforts foster an institutional transition depends on how relevant actors respond, which depends, in turn, on preexisting institutional, social, political, and economic landscapes. France responded to the OPEC embargo by investing aggressively in nuclear power, such that it grew from 25% to 75% of French electricity between 1980 and 2012; Britain responded quite differently and its nuclear share of electricity only grew from 12% to 19% during that period. Institutional lock-in is evident in the trajectory of French nuclear power, which appears to be wholly uninfluenced by domestic antinuclear protests or the Three Mile Island, Chernobyl, and Fukushima accidents. A given policy can produce different outcomes because different technological and political contexts provide firms and individuals different incentives that generate different economic and political responses and, hence, different outcomes. These feed back and create “different regulatory settings [that lead] to different patterns of adoption and implementation” (63). Disruptive policies initiate interactions among institutional, economic, political, and social spheres that can induce both positive and negative feedbacks: Newly favored firms gain economic resources they can deploy to demand further change, but their very success can prompt resistance from traditional firms. These comments highlight that efforts toward transition are more likely to fail than succeed and that success requires self-conscious and sustained promotion of protransition policies in the face of resistance by economically and politically powerful actors (49).

3.2. Transformative Theory: Escaping Institutional Lock-In

Like Hardin's “tragedy of the commons” (64), the compelling logic of institutional lock-in suggests a certain inevitability and pessimism with respect to avoiding institutional lock-in. Just as Ostrom's work showed that people can overcome a tragedy of the commons, scholars have shown that overcoming institutional lock-in is possible but requires propitious circumstances and exogenous shocks that galvanize stakeholder attention and create a window of opportunity (65). Insights into the way out stem both from empirical research showing “technological and institutional changes have occurred repeatedly in history” (9) and from theory that has identified various pathways for breaking out of institutional lock-in (45). The processes and conditions described above document that, over time, institutional lock-in becomes both more likely and more difficult to escape. A transformative theory of institutional change must identify both factors that create permissive conditions for such change to occur and self-conscious processes that promote institutional change given those conditions.

Breaking institutional lock-in to prompt a system-level transition to a decarbonizing trajectory requires efforts to plant, and foster the growth of, seeds of transition (49). At each level of governance and in every sphere, those with interests threatened by a transition will mobilize to maintain existing rules, institutions, and systems. But intentional efforts or propitious circumstances can create conditions of institutional plasticity, shifting the political and economic advantage toward actors who would benefit from such a transition.

Transitions can begin with organic responses to incentives in the status quo economic and political system, for example, encouraging innovations by corporate interests that coincidentally reduce carbon emissions. But governments can adopt more proactive strategies that directly fund R&D or that promote industry R&D. Early government funding of R&D in energy, transportation, and other sectors can demonstrate that certain technologies are possible and identify promising directions for the R&D efforts of private industry. The amount, focus, and type of government R&D can reinforce carbon lock-in or generate seeds that undermine lock-in. Indeed, “public policy has had a very significant influence on the development of new technologies in the area of renewable energy” (66). Government policies on R&D and research infrastructure have been shown to foster renewable energy innovations, especially for technologies that are near a tipping point at which such investments “could enable these attractive but generally marginal providers to become major contributors to regional and global energy supplies” (67, 68). Such investments can prompt even already strong industries to diversify into the sustainable energy sector (69). Over the past decade, there has been strong growth (∼8% per year) in government R&D in renewable energy among both developed and developing countries (70). Unlike corporations, governments may have longer time horizons, greater risk tolerance, greater resources, and greater concern with environmental benefits necessary to make the type of investments that could overcome the transition costs and set the system on a more carbon-neutral trajectory. At present, however, global R&D in renewable energy appears to be below levels needed to prompt such a transition (67, 70).

Even a successful transition is likely to proceed in fits and starts, with resistance both within the institution initiating change and in other institutions and sectors; for example, international and transnational efforts to promote environmental goals with respect to climate, fishing, and pollution have been challenged in the World Trade Organization and the European Union (71). Because the dynamics of lock-in work against transition and transformation, institutional break-out will depend on policies appropriate to the stage of the transition, from helping new knowledge and technologies develop, to helping infant industries grow in niche markets, to facilitating the emergence of larger markets, to promoting competitive pressures that reduce prices, to establishing regulations and tax policies on mature industries (49). Those seeking to promote a decarbonizing transition will be well served by having prodecarbonization legislation and institutional rules ready for adoption during those usually brief and unpredictable moments when “windows of political opportunity” open up (72). Further, governments and businesses will need to “make heavy commitments” if the costs of transition to a decarbonizing trajectory are to become surmountable (73). Ensuring that national and international infrastructure projects for dams, power plants, and the like are designed to minimize their lifetime carbon emissions could have significant impacts; the greening of the World Trade Organization, the World Bank, and international aid demonstrates that such gradual institutional changes are possible, if challenging (74–76).

Institutional rules that strengthen carbon lock-in but are costly may prove politically vulnerable. Proposals to end the subsidies, tax provisions, and other costly policies that favor carbon-intensive industries have a ready-made constituency among the taxpayers who currently bear that financial burden. Removing such policies could enhance institutional plasticity, making a decarbonization transition more likely. The growth of various renewable energy technologies in various European countries illustrates more incremental but intentional interventions. Development and diffusion of wind and solar power and lower-carbon buildings in Britain, Germany, and Spain reflected self-conscious institutional initiatives, including changes in science policy, R&D investments, regulatory structures, and tax and subsidy policies (49, 63, 77–79). Early investments, sometimes against significant political resistance, fostered initial growth that created opportunities for further development of alternative technologies. Investments in technology development appear to be particularly effective if undertaken in those economic niches where resistance is lower and lock-in is less embedded (9).

Given the range of human activities implicated in anthropogenic climate change, the transition to a virtuous cycle of decarbonization depends not only on sequencing but also on promoting the diffusion of successful policies and actions to multiple levels and realms of governance and across multiple economic and social sectors. Break-out from carbon lock-in will require a meta-institutional transition occurring not only in ministries of energy and environment but also in those of commerce, transportation, housing, agriculture, and national security. They need to occur in most, if not all, countries and at municipal and provincial levels. Transitions will need to take place in international institutions, including the United Nations, the World Trade Organization, the World Bank and International Monetary Fund, the International Energy Agency, the European Union, and the Organisation for Economic Co-operation and Development. The nature of lock-in means resistance is likely in all these venues, with the success of any transition depending on a piling up of successes that become mutually reinforcing over time and across venues (53).

3.3. Promoting Positive Institutional Lock-In

Most scholarship on carbon lock-in assumes that such lock-in is suboptimal from an environmental perspective. But the preceding discussion reminds us that institutions are locked into trajectories that produce intended, desired, and often optimal outcomes not only for the powerful political actors that promote them but sometimes more generally, as in the benefits that the general public in developed countries receive from access to cheap and reliable energy. Thus, whether institutional lock-in is positive or negative depends on one's perspective and the range of stakeholder interests being considered, in terms of economic sectors, political groups, and governance levels. Escaping the institutional component of carbon lock-in depends on increasing institutional plasticity, inducing institutional change, and, as appropriate, fostering institutional lock-in of a new, decarbonizing trajectory. Generational turnover and secular trends toward postmaterial (i.e., more proenvironmental) values may induce gradual political, social, and economic shifts that will foster institutional plasticity and a transition to a decarbonizing trajectory (80–82). Yet, such a passive approach is likely to take longer than a more active strategy of escaping carbon lock-in.

The foregoing discussion suggests the value of reinforcing a decarbonizing trajectory once a transition begins. Positive environmental trends can be set in motion by institutions, but later gain a momentum of their own. International negotiations to protect the ozone layer prompted research by chemical firms that identified chemical substitutes for ozone-depleting chlorofluorocarbons (CFCs) that proved cheaper than CFCs, with market forces then leading to CFC reductions that occurred faster than the Montreal Protocol required (83). Likewise, considerable research has shown that many multinationals exhibit a variant of lock-in, requiring that overseas factories, subsidiaries, and contractors meet a single, environmentally stringent standard that serves to “export environmentalism” (84; see also 82).

Policies can be designed to create incentives for decarbonizing trajectories to emerge, for example, by designing them to be of indefinite duration, to ratchet up over time, and/or to require unanimity for their revocation. Policies can be designed to nudge people and firms toward decarbonization. Utilities, for example, could require consumers to opt out of—rather than into—purchasing renewable energy (85). Similarly, initially setting gas and carbon taxes in percentages rather than currency units ensures taxes can maintain their effectiveness without requiring reauthorization. Loosening institutional lock-in is crucial to overcoming the obstacles that are currently hindering the decarbonization transition; but if and when such a transition begins to gather speed, strategies that promote institutional lock-in may provide valuable ways to stabilize and reinforce that new trajectory. At the same time, policy humility is warranted: Our current state of carbon lock-in reflects past policy decisions, many of which were considered welfare-enhancing at the time. To the extent that efforts succeed in promoting a carbon-reducing trajectory, they will surely lead to unwelcome future surprises as well. Policy makers should expect and plan for unforeseen externalities, for example, by incorporating systems that require institutional review and promote some degree of institutional plasticity and flexibility.

4. BEHAVIORAL LOCK-IN

Climate change is largely caused by unsustainable patterns in human behaviors, such as where we live, the size of homes we prefer, what we buy, and how we travel. Household energy use varies considerably across societies largely because of the social context for consumption consisting of lifestyles, habits, routines, and preferences. For example, the rise in the popularity of the refrigerator is correlated with increased household access to energy, but it also parallels changes in cultural norms around hygiene, modernity, efficiency, convenience, and material culture (86, 87). Though behavioral in nature, mitigation research and policies historically have focused primarily on technological solutions—energy efficiency over energy conservation and changes in energy practices, low-emission vehicles over changes in mobility habits, and high-performance buildings over shifts in the lifestyle habits of residents and workers.

This gap in our conceptualization of the climate mitigation solution space has spilled over into the lock-in literature. Carbon lock-in has primarily been considered a technological characteristic of sociotechnical systems addressed without its social counterpart. Whereas government policies and legal structures may change on timescales of decades, these social norms and cultural values are examples of slow-moving institutions that tend to evolve over centuries. There are, however, exceptions to this. Social norms regarding smoking; family size; and the lesbian, gay, bisexual, and transgender communities have changed relatively quickly, for example. A lack of understanding of how behavioral patterns and routines emerge and if and how they can be altered has led to increases in energy consumption, despite improvements in energy efficiency and heightened environmental awareness (88, 89).

Research from the social sciences can help conceptualize the formation, persistence, and alteration potential of behaviors that contribute to climate change and can inform public policy as to the appropriate levers to trigger behavioral change. Most applied research on behavior change has grown out of the health sciences, and there is still a paucity of behavioral lock-in research that is specifically related to climate change. Therefore, the literature reviewed in this section primarily comes from three largely disconnected sources: (a) psychological and economic literature on habits and behavioral momentum; (b) literature on behavioral transitions related to proenvironmental action, resource management, or lifestyle choices; and (c) sociological literature on the formation of lifestyles, social norms, and routines. All literature reviewed focuses on the persistence of carbon-intensive behaviors, rather than the behaviors themselves, which are discussed in previous reviews (90).

In this section, we focus on the lock-in of environmental behaviors through two distinct mechanisms: lock-in of carbon-intensive behaviors through individual decision making and lock-in of carbon-intensive behaviors through social structure. In each subsection, we discuss the current understanding of how lock-in occurs and the obstacles and conditions for change. We argue that gaps in the literature—specifically pertaining to the longevity and path flexibility of different types of behavioral lock-in—need to be addressed.

4.1. Lock-In of Individual Behaviors

Though rational choice theory is still the predominant behavioral model used in policy, models of psychological decision-making have evolved from conceptualizing individuals as fully rational actors (91, 92) to incorporating the powerful role of context and repetition in cognitive processes (93). For decisions such as daily transportation choices, product preferences, and how and when to use household electricity, decision making starts as a conscious deliberation process and progressively becomes more automatic with repetition, until an association between the situation and behavior is created (94). Past performance can become automatically associated with context cues (95), triggering both active (e.g., turning off the lights) and inactive (e.g., not turning off lights) behaviors (96). The purpose of habit formation is to minimize the amount of cognitive effort needed to make a decision (97)—a lock-in mechanism that is not inherently helpful or harmful to climate mitigation efforts (98) but whose character depends on the behavior that it perpetuates.

Habits can exert significant influence over regular behaviors and have been extensively studied in relation to commuting. Estimates show that a shift in travel behaviors could reduce transportation CO2 emissions by 50% by the end of the century (99). However, these reductions assume behavioral sensitivity and flexibility to changes in the utility-cost structure of transportation choices. This is a problematic assumption considering that travel behaviors have been shown to be habitual (100, 101). Travel habits limit the information used to make decisions about how to reach a destination (100, 102) and often are paired with other synchronic habits (e.g., listening to the news or eating breakfast) (103) that reinforce the mode choice. Considering that personal automobile users are more likely to be influenced by habits than public transport users (104), behavioral lock-in in the transportation sector is a distinct obstacle for reducing carbon emissions.

There is little consensus on the potential and ethical use of policy interventions to change habits. In a review of 77 travel behavior change studies, less than 20% were judged to be methodologically strong, and only half of those were successful at reducing car use (105). Because habits exert their influence outside of conscious cognitive processing, strategies like informational campaigns that rely on changing attitudes underpinning transport choices have not been effective (106, 107). More successful interventions comply with the habit-discontinuity hypothesis—which posits that behaviors are more pliable when a context change disrupts the routine (108). These interventions take advantage of naturally occurring life transitions, such as a relocation, retirement, or a new job, to establish new behavioral practices (103, 109). For example, in a study of 14,000 residents in Brussels, those who had recently moved were more likely to apply for energy subsidies than those who had been in the same home for more than three years (110). A similar tactic is to temporarily dislodge habits by incentivizing alternative options. For example, in a study where drivers were given a free one-month bus pass, attitudes toward bus ridership were more positive and the frequency of bus use had increased—a month after the pass had expired (111). These incentive-based interventions have significant short-term impacts, but longer-term effects are questionable, especially if alternative behavioral options are not in line with individuals’ preferences (112).

Worldwide, the strongest predictors of how seriously individuals regard climate change risks are education level and beliefs about the cause of climate change. These beliefs often have less to do with awareness than with ideology. Over 75% of the population in developed countries are aware of climate change, but a much lower percentage perceive it as a serious risk (113). In 2009, the American Psychological Association (APA) Task Force on the Interface Between Psychology and Global Climate Change reviewed decades of psychological research and practice in climate change. They identified numerous psychological barriers that explain why people do not feel a sense of urgency regarding climate change, including habit and other ingrained behaviors that are extremely resistant to change, limited cognition about the problem, worldviews that preclude proenvironmental behaviors, undervaluing risk, discredence toward experts and authorities, and a sense of lack of control over being able to make a difference (111, 112). Moreover, the reaction to climate change risks is mediated by cultural values and beliefs (114). One of the key insights of the task force is that psychological barriers are key in preventing action on climate change. This is a significant departure from the dominant information-deficit model commonly assumed by economists and natural scientists. The results of the APA task force suggest that if we are to break free from lock-in of climate change inaction, we must address the psychological barriers.

Apart from habits, avoidance of risk can also lock in both repetitive and nonrepetitive environmental behaviors. Changing behaviors involves increased functional, physical, financial, social, psychological, and temporal risks above the status quo (115). For example, installing solar panels on a house requires an investment in time and product research, an investment of finances, and a social investment of publicly espousing a product that is functionally untested or that may invite societal judgment. Individuals are also commonly risk adverse when it comes to exploring new travel alternatives (116, 117), creating a learning-based lock-in effect that deters transitions to new modes of transportation.

Another psychological obstacle that locks in behavior is related to the nature of climate change as a type of collective action problem. In collective action problems, individuals act as free riders, feeling that they have little behavioral control and therefore little incentive to take care of global environmental public goods (114, 118). In this context, behavioral lock-in has similarities to technological lock-in, having increasing returns to scale. Behaviors are locked in not by path dependency over time but by declining individual agency compared to the number of actors that are perceived to be part of the problem.

Overcoming these obstacles will likely require what Thaler & Sunstein (85) call nudges: any aspect of the choice architecture that alters people's behavior in a predictable way without forbidding options or significantly changing their economic incentives. To count as a mere nudge, the intervention must be easy or cheap to avoid (85). Their argument draws from the observation that people make suboptimal choices or mistakes not because of a lack of information, but rather because their choices are informed by heuristics and shaped by social interactions (85). Though choice architecture is unavoidable—whether exploited to benefit climate mitigation or not—nudging is controversial because it can be perceived as paternalistic, experimental, and dismissive of the role of personal responsibility (119).

4.2. Lock-In of Social Structural Behaviors

Psychological studies are often criticized for understating the importance of context to behavioral momentum. Indeed, individual behavior is constrained not only by cognitive processes but also by structure—embedded in existing infrastructures, technologies, cultures, norms, and routines. Some scholars describe individual lock-in and structural lock-in as completely distinct and incompatible processes (120). Whereas the former focuses on the individual as having agency over behaviors and habits, in structural lock-in the practices and contexts themselves have agency over individual behavior (120).

Sociologists theorize that lock-in emerges not from practitioners that choose practices but through practices that recruit practitioners (121). Socially shared practices refer to routines and norms that coevolve with the technologies, infrastructures, social networks, markets, policies, and cultural norms in place (122, 123). Practices are dynamic over time (124), responding to changes in the larger sociotechnical environment where they are embedded. For example, the work of Norgaard (125) shows that climate change denial is a socially organized process. Yet social practices are also path dependent (126), persisting because they are rooted in a complex and involved web of individual cognitive processes; technology and infrastructure; and social norms, values, and institutions (127). Therefore, transforming social norms and routines cannot be achieved through policies that disregard the interconnected nature of practices (e.g., policies that target behavior change or technological change in isolation) but instead must respond to the system as a whole (128, 129).

Given that everyday routines like travel, heating and cooling buildings, personal hygiene, and diet have significant energy and emissions implications, how these shared practices emerge, standardize, transform, and persist has great importance for understanding climate lock-in (120, 130). Often technological innovation alters the sociotechnical landscape so that alternative practices cannot compete. For example, though cycling was the dominant form of commuting in the 1940s, its decline as a practice was the direct result of the automobile competing for investment, road space, and time and offering personal comfort (131). Similarly, though human thermal comfort in buildings is quite flexible, performance requirements of electronic and computer equipment have driven an increasingly standardized practice of heating and cooling buildings to a narrow window of 22°C (132)—a practice that imposes energy-intensive loads on mechanical heating, ventilation, and air conditioning systems. It is worth noting that the social landscape can be altered through nontechnological means as well. For example, norms regarding family size have changed drastically over the last century, but it is unclear that this was primarily due to technological innovation. In all examples, a change in the technological and social infrastructure causes a change in routine practices, locking in an unsustainable demand for resources and increased emissions.

A common criticism of social practice theory is that it is not immediately policy applicable (133). Although this is true, the literature also suggests that nudges directly change outcomes and social practice, and advertising can indirectly change social practice by shaping public consciousness. Norms of drinking while driving and of smoking are examples of social practices that are directly addressed by public policies. Policy solutions target people or products more easily than the routines and cultural norms that connect them (127), and it can be difficult to know how to disrupt the systems that lead to structural lock-in (106). Another challenge is that there is limited empirical evidence from existing policies, because few draw on social practice theory to target structural transformation (134). Though specific directives can be hard to pinpoint, there is consensus that successful climate change interventions will strategically embed new practices in the existing sociotechnical landscape, instead of fundamentally challenging existing practices (135, 136).

Theoretically, system transitions happen when practices change and evolve. Routines change when (a) the elements required to accomplish them change, (b) the populations practicing them change, or (c) related and interdependent practices change (137). London's bike-share program and Bogota's bus rapid transit system are two examples of interventions that change the elements of practice. Instead of improving transport technologies or relying on an individual to change values or habits, lock-in in travel behaviors is disrupted by changing the way individuals interact with existing technologies (134). Targeting social connections where routines develop is another method for disrupting behavioral lock-in. Interventions could facilitate connections and social networks that strengthen desirable practices. For example, cyclists sharing information about safe commuting routes could lead to increasingly strong communities of alternative transportation (124).

To fully understand behavioral lock-in, more work is needed to imagine a unified conceptual framework that describes how individual and structural lock-in may interact (135). Terminology for behaviors and practices is used inconsistently in the literature, and it is unclear whether individual lock-in and structural lock-in are two sides of the same coin, completely unrelated processes, or embedded inside each other. Furthermore, additional studies of behavioral lock-in outside of the transportation sector would add depth to the theoretical arguments proposed for both types of lock-in. While this section discusses some of the approaches useful for overcoming barriers to behavioral transitions, there is very little evidence or means for comparability of the persistence and longevity of different manifestations of behavioral lock-in. These types of data are needed to forecast how behavioral lock-in may constrain climate change action in the future.

5. INTERDEPENDENT LOCK-IN EFFECTS AND TRANSFORMATIVE CHANGE

There are numerous interconnections and interactions within and between technological, institutional, and behavioral lock-in (Figure 3). Changes in institutional and behavioral systems can reinforce the increasing returns to scale that drive technological lock-in. For example, the lock-in of gasoline-powered automobiles reflects development, introduction, and marketing by automobile companies that also lobbied for transportation policies and subsidies for relevant highway and energy infrastructures that both created and responded to social and cultural preferences for individual transportation. The dominance of automobile transportation further enabled rural, suburban, and urban development patterns that, once established, reinforced the need to maintain and expand automobile-oriented infrastructures, creating resistance and obstacles to government efforts to install mass transit systems and personal preferences against using them. Thus, lock-in effects can be interdependent and mutually reinforcing. One important implication of the interconnectedness is that there is multidirectional causation between and among the different types of carbon lock-in.

figure
Figure 3 

In developing countries, energy supply and demand pathways appear to be somewhat more plastic because much of the infrastructure to meet the needs of their growing economies has not yet been built. There may be opportunities to place these countries on less carbon-intensive trajectories because they do not need to overcome the significant advantages of an entrenched, incumbent technology. Of course, extant carbon-intensive transportation and energy infrastructures are advantaged in the economic contests over economic market share and the political contests over development paths that are central to determining what type of lock-in occurs in developing countries. Scholars and the Intergovernmental Panel on Climate Change (IPCC) have discussed the value of leapfrogging for avoiding lock-in of the carbon-intensive technologies and development patterns characteristic of developed countries. However, the risks of alternative development paths as well as the significant resource constraints they face often will lead developing country governments to prefer those technological infrastructures that have already been developed, refined, and proven in developed countries, without regard to their carbon intensity.

The paths that developing countries choose reflect interactions among the different systems we identify: Technological and economic forces influence what infrastructural options are available and their relative costs; institutional forces influence the actors, interests, and processes that influence the choices made among those options; behavioral preferences that reflect cultural and economic influences influence demand; and increasing personal wealth in many developing countries is generating new technological options, new demand cultures, and rapid changes in the interactions among these different realms. Developed country patterns of regional planning, transportation policies, and preferences for private mobility and dedensification—coupled with the expansion of transnational corporations and markets—create a context in which developing countries are likely to choose similar development strategies. For example, gas-powered cars benefit from a well-developed technology with corresponding low costs, already-powerful domestic and multinational corporations that build demand through advertising and lobby for government projects for car-friendly roads and other infrastructure, and a global norm that suggests that one of the markers of development is an automobile-based economy. Historical cases of technological leapfrogging, for example, cell phones, have usually involved mature technologies that had already proven scalable in developed countries. When climate-concerned developing states implement lower-carbon-intensity policies, they help relevant technologies mature, reduce their costs, and initiate and build new norms of what development means; developing countries are then far more likely to adopt such practices than they are when developed countries argue for such policies but have not implemented them.

The foregoing discussion of the factors and processes that lead to lock-in suggests conditions that might facilitate breaking out of carbon lock-in and fostering local, national, and global transitions to more climate-friendly trajectories. The first insight is simply that lock-in is hard to undo because it is overdetermined. Once one of several initially comparable technologies or development paths is chosen, processes of lock-in lead those not chosen to become less available, more costly, and less attractive while those that are chosen gain the advantages of incumbency, inertia, and support from the economic, political, and social groups that benefit from them. But in some countries and sectors, major commitments to a particular technology or development path have not yet been made. Where such choices have been made and lock-in has developed, moments of plasticity may arise that create windows of opportunity. In both situations, lock-in can emerge in response to relatively small differences in initial choices.

The overarching carbon lock-in of the global system biases such choices toward further carbon lock-in. But early stage situations provide excellent and important opportunities for those concerned about climate change by lowering the costs of choosing or transitioning to low-carbon-intensive technologies and trajectories. In such settings, relatively small efforts in relatively limited domains may have effects that are disproportionately large and long-lasting. However, lock-in and break-out are not symmetric. Once the technological, economic, institutional, behavioral, and anticipated inertia that characterizes lock-in has emerged, greater efforts have to be made in more domains and systems to unsettle the mutually reinforcing stability of the system. Lock-in is a characteristic of the system as well as of the system's components: Therefore, transitioning a locked-in system requires surmounting large obstacles to transition in most or all of those components. Thus, seizing opportunities before lock-in emerges or during moments of plasticity is far more likely to succeed than pushing for transitions in realms and during moments in which carbon lock-in is strong.

A second insight is that success in surmounting the challenges of lock-in will be fostered by the involvement and cooperation of actors from different sectors. The fact that lock-in poses large challenges in multiple sectors suggests that success will depend on sometimes-coordinated efforts by people in the legislative and executive branches of government; in the research, development, and marketing departments of corporations; in international policy-making institutions; in financial institutions and capital markets; and in the nongovernmental sectors. Each of these realms contains people and entities whose interests and values lead them to prefer carbon lock-in. But each also contains people and entities whose interests either support or are consistent with a transition to less-carbon-intensive trajectories.

Politicians, policy makers, and policy-making institutions at the local, national, and international levels have strong incentives to maintain the status quo and to support pressures from powerful economic interests. At the same time, they are also expected to be responsive to political, social, and cultural pressures and to provide leadership as well as representation. The fact that the U.S. president recently promoted climate action through executive branch actions taken only in his second term of office illustrates the factors (e.g., levels of political support, concerns with individual legacy, divided government) that make adoption of policies that disrupt carbon lock-in difficult but not impossible. International efforts, including much of the work of the United Nations Framework Convention on Climate Change and the IPCC, have fundamentally shifted the terms of debate such that almost every country in the world felt the need to make emissions commitments at the 2015 Paris Climate Agreement and to frame them as reductions, even if doing so required making those commitments in terms of emissions intensity rather than total emissions.

Businesses and financial markets are motivated by profits but also desire the stability that increases predictable financial returns on long-lived capital investments. Thus, they often can be convinced to support transition policies if they see how they will reduce uncertainty, stabilize economic markets, improve economic efficiency, or promote standardization and industrial concentration. Locked-in systems foster the emergence of large networks of resource-rich corporations that have a stake in system perpetuation, with those corporations becoming favored actors in political and institutional contests. However, competitive economic markets also reward innovation and disruption in ways that, at least under certain conditions, foster market place plasticity and transition: Automobiles displaced horses and carriages; electric lighting displaced gas; airplanes have displaced trains; and cell phones have displaced landlines. The reduction in global carbon lock-in requires efforts to increase the odds that we seize future opportunities for transition to choose technologies and pathways that are less, rather than more, carbon intensive.

Individuals also have an important role to play in these transitions. Individuals play multiple roles in the processes that contribute to lock-in and foster break-out. People's choices matter: what they consume and what energy and transportation choices they make, what jobs they choose and how they perform those jobs, who they vote for and what policies they support, and the values they express through their behaviors and their words. If the dynamics we have discussed make lock-in difficult to avoid, the aggregate effect of these individual choices matters in whether we lock in low-carbon or high-carbon technologies and trajectories. If lock-in is a feature of system structure, then the plasticity of the structure, its equilibrium at any point in time, and opportunities to alter it can be influenced by the conscious and coordinated efforts of individuals.

Additionally, transformative change will require reconciling the temporal asymmetries of the human and natural systems involved. Technological, institutional, and behavior lock-in often lead to suboptimal environmental outcomes because the underlying processes operate on multiple and different timescales. Human systems evolve and become locked in on annual and decadal timescales and persist on centennial scales. In contrast, important natural, climatic, oceanic, and geologic systems evolve on centennial and millennial timescales and can persist for eons. This almost guarantees that human systems will become pervasive and locked in before unforeseen environmental externalities become apparent. This is both because natural systems work on generally slower time frames and because the scientific methods we use to discover environmental externalities require that environmental effects first be observable and that the research process then measure and demonstrate cause and effect to the satisfaction of the scientific community.

6. CONCLUSIONS

Our current trajectory of carbon emissions reflects, in important respects, the phenomenon of carbon lock-in. Technological and economic, political and institutional, and social and individual factors and dynamics tend to create stable equilibria that may be suboptimal for planetary health but are difficult to disrupt. The realms of infrastructure and technology, institutions, and individual behaviors contain distinct but parallel dynamics that favor existing carbon-intensive technologies and development paths. Lock-in in each of these realms and the global-scale systemic lock-in that emerges because of their mutual reinforcement pose significant obstacles to adoption of less-carbon-intensive technologies and development paths. This article has reviewed current understandings of the conditions under which and reasons why such lock-in emerges among the distinct system components we have identified as well as at the higher system level. Current understandings of lock-in demonstrate that lock-in is highly likely because of unintentional features of these systems as well as because powerful actors often benefit from creating and maintaining a state of lock-in. Those actors lobby for policies that reinforce initial movements toward lock-in.

Understanding how and when lock-in emerges also helps identify windows of opportunity when transitions to alternative technologies and paths are possible. Such transitions prove easier to accomplish when the costs of transitioning to an alternative are low. Systems can be more plastic, and hence more open to low-carbon-intensive choices, either in emergent realms and sectors where no technology or development path has yet become dominant and locked-in or at moments when locked-in realms and sectors are disrupted by technological, economic, political, or social changes that reduce the costs of transition or make relevant actors more willing to incur those costs.

SUMMARY POINTS

1.

Carbon lock-in can be conceptualized as comprising three major types: (a) lock-in associated with the technologies and infrastructure that shape energy supply and indirectly or directly emit CO2; (b) institutional lock-in associated with governance and decision making that affect energy-related production and consumption; and (c) behavioral lock-in related to habits and norms associated with the demand for energy-related goods and services (Table 1).

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Table 1

Summary of three types of carbon lock-in and their key characteristics

2.

The ability to break out of infrastructural or technological lock-in will depend on the anticipated technological and economic viability and lifetimes of the systems, the costs of moving away from those systems, and options for alternatives.

3.

Escaping institutional carbon lock-in depends on increasing institutional plasticity, inducing institutional change, and fostering institutional lock-in of an alternative decarbonizing trajectory.

4.

Transforming behavior will require overcoming individual habits and preferences and socially constructed practices that are often entrenched in culture and other social norms.

5.

The three types of carbon lock-in are mutually reinforcing, characterized not merely by individual inertia but also by a collective inertia in which any movement out of lock-in in one of the three spheres induces a response in the other spheres that results in further hardening the collective inertia.

FUTURE ISSUES

1.

How do interactions among the economic incentives of private sector actors influence individual and collective choices in ways that reinforce carbon lock-in?

2.

Under what socio-economic and political conditions are transitions to low-carbon pathways likely to occur? At what temporal, spatial, and institutional scales are these likely to occur? When and what proactive steps can proponents of such transitions take to promote them?

3.

To what extent can we transfer lessons from the phase transitions characteristic of thermodynamic systems to better understand such transitions in socio-technological systems?

4.

How do values, incentives, ideas, and constraints promote or inhibit individual and collective decision-making that reinforces the status quo or fosters transitions to low-carbon pathways?

5.

How do economic, social, political, and normative conditions inhibit or foster social-scale transitions out of carbon lock-in?

6.

How do the causes, types, and pathways of carbon lock-in differ between developed and developing countries?

7.

What are the primary factors and conditions that promote plasticity in technological systems, institutions, and individual behaviors?

8.

In what ways and under what conditions are behavioral lock-in, social innovation, and policy design mutually-reinforcing or disruptive?

disclosure statement

The authors are not aware of any affiliations, memberships, funding, or financial holdings that might be perceived as affecting the objectivity of this review.

acknowledgments

Ronald B. Mitchell's work on this article was supported by a 2015 University of Oregon Summer Research Award. Eleanor C. Stokes's work was supported by a NASA Harriet G. Jenkins Graduate Fellowship.

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    • Faster Than You Think: Renewable Energy and Developing Countries

      Channing Arndt,1, Doug Arent,2 Faaiqa Hartley,3 Bruno Merven,3 and Alam Hossain Mondal1,41Environment and Production Technology Division, International Food Policy Research Institute (IFPRI), Washington, DC 20006, USA; email: [email protected], [email protected]2Scientific Computing and Energy Analysis, National Renewable Energy Laboratory (NREL), Golden, CO 80401, USA; email: [email protected]3Energy Systems, Economics and Policy Group, Energy Research Centre, University of Cape Town, Rondebosch, Cape Town 7700, South Africa; email: [email protected], [email protected]4Department of Electrical and Electronic Engineering, Daffodil International University, Dhaka 1207, Bangladesh
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      • ...These more wholistic approaches are also at the core of Shared Socioeconomic Pathways and the 1.5-degree pathways that have recently been evaluated for consideration as countries contemplate actions to achieve local and Paris Agreement–related goals and ambitions (McCollum et al. 2018; Rogelj et al. 2015, 2018)....
    • The Economics of 1.5°C Climate Change

      Simon Dietz,1,2 Alex Bowen,1 Baran Doda,1 Ajay Gambhir,3 and Rachel Warren41ESRC Centre for Climate Change Economics and Policy and Grantham Research Institute on Climate Change and the Environment, London School of Economics and Political Science, London WC2A 2AE, United Kingdom; email: [email protected]2Department of Geography and Environment, London School of Economics and Political Science, London WC2A 2AE, United Kingdom3Grantham Institute for Climate Change and the Environment, Imperial College London, London SW7 2AZ, United Kingdom4Tyndall Centre for Climate Change Research, School of Environmental Sciences, University of East Anglia, Norwich NR4 7TJ, United Kingdom
      Annual Review of Environment and Resources Vol. 43: 455 - 480
      • ...10–20 years before scenarios that limit warming to 2°C (with >66% probability) (99)....
      • ...and more significant deployment of negative emissions technologies (primarily BECCS) (99, 107). Figure 1 compares the 2050 values of 10 key metrics for the energy system under 1.5°C and 2°C scenarios, ...
      • ...Median values for the <1.5°C scenarios were computed from a scenario set obtained by pooling the 37 scenarios in Reference 99...
      • ...Carbon prices for the <1.5°C scenarios were computed from a scenario set obtained by pooling the 37 scenarios in Reference 99...
      • ...1.5°C mitigation costs are estimated to be approximately 150% higher than 2°C costs, with longer-term (2010–2100) costs approximately 50% higher (99)....
      • ...The additional costs of the 1.5°C scenarios are felt through marginally higher electricity prices by 2030 (99), ...
      • ...whereas biomass has a substantial land footprint and higher local environmental impacts than other renewables (99, 107)....

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    • Transformational Adaptation in the Context of Coastal Cities

      Laura Kuhl,1 M. Feisal Rahman,2 Samantha McCraine,3 Dunja Krause,4 Md Fahad Hossain,5 Aditya Vansh Bahadur,6 and Saleemul Huq51School of Public Policy and Urban Affairs, and International Affairs Program, Northeastern University, Boston, Massachusetts 02115, USA; email: [email protected]2Department of Geography, Durham University, Durham DH1 3LE, United Kingdom; email: [email protected]3World Wildlife Fund for Nature, Washington, DC 20037, USA; email: [email protected]4United Nations Research Institute for Social Development, 1211 Geneva, Switzerland; email: [email protected]5International Centre for Climate Change and Development, London TW2 6EJ, United Kingdom; email: [email protected], [email protected]6International Institute for Environment and Development, London WC1X 8NH, United Kingdom; email: [email protected]
      Annual Review of Environment and Resources Vol. 46: 449 - 479
      • ...infrastructure choices and investments made today have the potential to shape transformation options or constrain transformational pathways in the future (116, 117)....
    • The Politics of Sustainability and Development

      Ian ScoonesESRC STEPS Centre, Institute of Development Studies, University of Sussex, Brighton, United Kingdom BN1 9RE; email: [email protected]
      Annual Review of Environment and Resources Vol. 41: 293 - 319
      • ...or technical interests mean that in some settings transformations are especially challenging (142)....
    • The Energy Technology Innovation System

      Kelly Sims Gallagher,1 Arnulf Grübler,2 Laura Kuhl,1 Gregory Nemet,3 and Charlie Wilson41The Fletcher School, Tufts University, Medford, Massachusetts 02155; email: [email protected], [email protected]2International Institute for Applied Systems Analysis, A-2361 Laxenburg, Austria; email: [email protected]3La Follette School of Public Affairs, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected]4Tyndall Centre for Climate Change Research, University of East Anglia, Norwich NR4 7TJ, United Kingdom; email: [email protected]
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      • ...These processes create powerful self-reinforcing mechanisms that can lead to “technology lock in” (e.g., References 19, 20, 21, 22, 23)....
      • ...typically face higher short-term adoption costs compared to established technologies (23, 24)....
      • ...providing barriers to entry for new technologies (sometimes called lock in or path dependence) (23)....
    • Transportation and the Environment

      David Banister, Karen Anderton, David Bonilla, Moshe Givoni, and Tim SchwanenTransport Studies Unit, School of Geography and the Environment, University of Oxford, Oxford, OX1 3QY, United Kingdom; email: [email protected]
      Annual Review of Environment and Resources Vol. 36: 247 - 270
      • ...Given that road-based transport became locked into dependency on the internal combustion engine in the late 1800s owing to a string of contingencies, transport governance became trapped in a carbon lock-in situation (97)....
      • ...On the basis of the information discussed in Sections 2 and 3, we contend that the evolutionary approaches advocated by Unruh (97), ...
      • ...Examples of such discourses include the emerging literature on transport as an evolutionary and complex system (97, 108, 119) and the “new mobilities paradigm” in cultural sociology, ...

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    • Transportation and the Environment

      David Banister, Karen Anderton, David Bonilla, Moshe Givoni, and Tim SchwanenTransport Studies Unit, School of Geography and the Environment, University of Oxford, Oxford, OX1 3QY, United Kingdom; email: david.ban[email protected]
      Annual Review of Environment and Resources Vol. 36: 247 - 270
      • ...Analyzing how actors within a sociotechnical system seek to overcome the dependency on fossil fuels, Unruh (110) distinguishes three ideal approaches: ...
      • ...and climate change can be one strategy to contribute to cultural change (110)....

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    • Bioenergy and Sustainable Development?

      Ambuj D. Sagar1 and Sivan Kartha21Science, Technology, and Public Policy Program, John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02139; email: [email protected]2Stockholm Environment Institute, Somerville, Massachusetts 02144; email: [email protected]
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      • ...This has been further re-emphasized recently through the connections between the household-level solid biomass use and the Millennium Development Goals (2, 5)....
      • ...(b) measures to reduce the adverse health impacts from cooking with biomass, and (c) measures to increase sustainable biomass production” (2)....

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    • The Demand Side of Hiring: Employers in the Labor Market

      David B. Bills,1 Valentina Di Stasio,2 and Klarita Gërxhani31Department of Educational Policy and Leadership Studies, University of Iowa, Iowa City, Iowa 52242; email: [email protected]2Nuffield College, University of Oxford, Oxford OX1 1NF, United Kingdom; email: [email protected]3Department of Political and Social Sciences, European University Institute, San Domenico di Fiesole 50014, Italy; email: [email protected]
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      • ...This shift from hierarchy to market (Williamson 1981) makes the understanding of contingent decision making on the part of employers even more important....
    • A Road Well Traveled: The Past, Present, and Future Journey of Strategic Human Resource Management

      Patrick M. Wright1 and Michael D. Ulrich21Department of Management, Darla Moore School of Business, University of South Carolina, Columbia, South Carolina 29208; email: [email protected]2Department of Management, Jon M. Huntsman School of Business, Utah State University, Logan, Utah 84322; email: [email protected]
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      • ...originating economic theories’ attempts to explain international expansion of multinational firms based on transaction costs (Coase 1937, Williamson 1981), ...
    • The Economics of the Food System Revolution

      Thomas Reardon1,2,3 and C. Peter Timmer41School of Agricultural Economics and Rural Development, Renmin University of China, Beijing, 100872 China2Department of Agricultural, Food, and Resource Economics, Michigan State University, East Lansing, Michigan 48824; email: [email protected]3International Food Policy Research Institute, Beijing 10081, China4Professor Emeritus, Harvard University, Cambridge, Massachusetts 02138
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      • ... and was extended especially in the 1980s in the new institutional economics literature, such as Williamson (1981)...
    • Dynamics of Dyads in Social Networks: Assortative, Relational, and Proximity Mechanisms

      Mark T. Rivera1, Sara B. Soderstrom1, and Brian Uzzi1,21Department of Management and Organizations, Kellogg School of Management, Northwestern University, Evanston, Illinois 60208; email: [email protected], [email protected], [email protected]2Northwestern University Institute on Complex Systems and Network Science (NICO), Evanston, Illinois 60208-4057
      Annual Review of Sociology Vol. 36: 91 - 115
      • ...80/yr), Portes & Sensenbrenner (1993, 79/yr), Snow et al. (1986, 79/yr), Williamson (1981, ...
    • The Legal Environments of Organizations

      Lauren B. EdelmanCenter for the Study of Law and Society, University of California, Berkeley, California 94720; e-mail: [email protected]Mark C. SuchmanDepartment of Sociology and School of Law, University of Wisconsin, Madison, Wisconsin 53706; e-mail: [email protected]
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      • ...most often associated with institutional economists such as Coase (40, 41), Williamson (249, 250, 251), ...

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    • A REVIEW OF TECHNICAL CHANGE IN ASSESSMENT OF CLIMATE POLICY

      Christian AzarInstitute of Physical Resource Theory, Chalmers University of Technology/Göteborg University, Göteborg, Sweden; e-mail: [email protected] Hadi DowlatabadiDepartment of Engineering & Public Policy, Center for Integrated Study of the Human Dimensions of Global Change, Carnegie Mellon University, Pittsburgh, Pennsylvania, and Resources for the Future, Washington DC; e-mail: [email protected]
      Annual Review of Energy and the Environment Vol. 24: 513 - 544
      • ...explicit consideration of the inertia of an economy facing a regime change in its energy sector in combination with uncertainty about the stabilization target was shown to be critical to the advisability of delaying strict CO2 controls (81, 82)....
    • THE ECONOMICS OF “WHEN” FLEXIBILITY IN THE DESIGN OF GREENHOUSE GAS ABATEMENT POLICIES

      Michael A. Toman, Richard D. Morgenstern, and John AndersonResources for the Future, 1616 P St., NW, Washington, DC 20036; e-mail: http://[email protected]
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      • ...See, for example, (32, 33, 34, 35)....
    • MODELING TECHNOLOGICAL CHANGE: Implications for the Global Environment

      Arnulf Grübler and Nebojša NakićenovićInternational Institute for Applied Systems Analysis, Laxenburg, A-2361 Austria; e-mail: [email protected] , [email protected] David G. VictorCouncil on Foreign Relations, New York, New York 10021, International Institute for Applied Systems Analysis, Laxenburg, A-2361 Austria; e-mail: [email protected]
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      • ...That run is also consistent with the observation that radical technological changes in the energy system (and other large-scale systems in which “inertia” is omnipresent) require many decades (26, 65)....

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    • The Economics of 1.5°C Climate Change

      Simon Dietz,1,2 Alex Bowen,1 Baran Doda,1 Ajay Gambhir,3 and Rachel Warren41ESRC Centre for Climate Change Economics and Policy and Grantham Research Institute on Climate Change and the Environment, London School of Economics and Political Science, London WC2A 2AE, United Kingdom; email: [email protected]2Department of Geography and Environment, London School of Economics and Political Science, London WC2A 2AE, United Kingdom3Grantham Institute for Climate Change and the Environment, Imperial College London, London SW7 2AZ, United Kingdom4Tyndall Centre for Climate Change Research, School of Environmental Sciences, University of East Anglia, Norwich NR4 7TJ, United Kingdom
      Annual Review of Environment and Resources Vol. 43: 455 - 480
      • ...but both GHG emissions and investments to reduce them are partly irreversible (26)....
    • Invasive Species and Endogenous Risk

      David Finnoff,1 Chris McIntosh,2 Jason F. Shogren,1 Charles Sims,3 and Travis Warziniack41Department of Economics and Finance, University of Wyoming, Laramie, Wyoming 82071; email: [email protected]2Department of Economics, Labovitz School of Business and Economics, University of Minnesota, Duluth, Minnesota 558123Department of Applied Economics, Utah State University, Logan, Utah 843224Alfred-Weber Institute, University of Heidelberg, D-69115 Heidelberg, Germany
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      • ...The effect of uncertainty on policy adoption is ambiguous when both the benefits and the costs of the policy are at least partially sunk (Kolstad 1996)....

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    • Ocean Circulations, Heat Budgets, and Future Commitment to Climate Change

      David W. Pierce,1 Tim P. Barnett,1 and Peter J. Gleckler21Division of Climate, Atmospheric Sciences, and Physical Oceanography, Scripps Institution of Oceanography, La Jolla, California 92093-0224; email: [email protected]2Program for Climate Model Diagnosis and Intercomparison, Lawrence Livermore National Laboratory, Livermore, California 94550
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      • ...increase atmospheric CO2 concentrations by up to 45 ppm and cause an extra 0.3–0.7°C of warming (9)....

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    • Is Natural Capital Really Substitutable?

      François Cohen,1 Cameron J. Hepburn,1 and Alexander Teytelboym1,21Smith School for Enterprise and the Environment and Institute for New Economic Thinking at the Oxford Martin School, University of Oxford, Oxford OX2 6, United Kingdom; email: [email protected]2Department of Economics and St. Catherine's College, University of Oxford, Oxford OX2 6, United Kingdom
      Annual Review of Environment and Resources Vol. 44: 425 - 448
      • ...Davis & Socolow (98) show that more new coal plants were built in the decade leading up to 2014 than in any previous decade....
      • ...The electricity sector is generally expected to experience the quickest reduction in carbon intensity (8, 98, 99), ...
    • Climate Engineering Economics

      Garth Heutel,1 Juan Moreno-Cruz,2 and Katharine Ricke31Department of Economics, Georgia State University, Atlanta, Georgia 30302; email: [email protected]2School of Economics, Georgia Institute of Technology, Atlanta, Georgia 30332; email: [email protected]3Department of Global Ecology, Carnegie Institution for Science, Stanford, California 94305; email: [email protected]
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    • Three Decades of Climate Mitigation: Why Haven't We Bent the Global Emissions Curve?

      Isak Stoddard,1 Kevin Anderson,1,2 Stuart Capstick,3 Wim Carton,4 Joanna Depledge,5 Keri Facer,1,6 Clair Gough,2 Frederic Hache,7 Claire Hoolohan,2,3 Martin Hultman,8 Niclas Hällström,9 Sivan Kartha,10 Sonja Klinsky,11 Magdalena Kuchler,1 Eva Lövbrand,12 Naghmeh Nasiritousi,13,14 Peter Newell,15 Glen P. Peters,16 Youba Sokona,17 Andy Stirling,18 Matthew Stilwell,19 Clive L. Spash,20 and Mariama Williams171Natural Resources and Sustainable Development, Department of Earth Sciences, Uppsala University, SE-752 36 Uppsala, Sweden; email: [email protected]2Tyndall Centre for Climate Change Research, School of Engineering, University of Manchester, Manchester M13 9PL, United Kingdom3Centre for Climate Change and Social Transformation, School of Psychology, Cardiff University, Cardiff CF10 3AT, United Kingdom4Lund University Centre for Sustainability Studies, Lund University, SE-221 00 Lund, Sweden5Cambridge Centre for Environment, Energy and Natural Resource Governance, Cambridge University, Cambridge CB2 3QZ, United Kingdom6School of Education, University of Bristol, Bristol BS8 1JA, United Kingdom7Green Finance Observatory, 1050 Brussels, Belgium8Department of Technology Development and Management, Chalmers University of Technology, SE-412 96 Gothenburg, Sweden9What Next?, SE-756 45 Uppsala, Sweden10Stockholm Environment Institute, Somerville, Massachusetts 02144, USA11School of Sustainability, Arizona State University, Tempe, Arizona 85287, USA12Department of Thematic Studies–Environmental Change, Linköping University, SE-581 83 Linköping, Sweden13Department of Political Science, Stockholm University, SE-106 91 Stockholm, Sweden14Swedish Institute of International Affairs, SE-114 28 Stockholm, Sweden15Department of International Relations, University of Sussex, Brighton BN1 9SN, United Kingdom16Center for International Climate Research, 0318 Oslo, Norway17The South Centre, 1219 Geneva, Switzerland18Science Policy Research Unit, Business School, University of Sussex, Brighton BN1 9RH, United Kingdom19Institute for Governance & Sustainable Development, Washington, DC 20007, USA20Institute for Multi-Level Governance and Development, WU Vienna University of Economics, 1020 Vienna, Austria
      Annual Review of Environment and Resources Vol. 46: 653 - 689
      • ...This gives the perception that energy systems are slow to change (116)...
      • ...leading to projections of continued high fossil fuel use and a relatively slow deployment of renewable energy (116). IAMs, ...

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    • Three Decades of Climate Mitigation: Why Haven't We Bent the Global Emissions Curve?

      Isak Stoddard,1 Kevin Anderson,1,2 Stuart Capstick,3 Wim Carton,4 Joanna Depledge,5 Keri Facer,1,6 Clair Gough,2 Frederic Hache,7 Claire Hoolohan,2,3 Martin Hultman,8 Niclas Hällström,9 Sivan Kartha,10 Sonja Klinsky,11 Magdalena Kuchler,1 Eva Lövbrand,12 Naghmeh Nasiritousi,13,14 Peter Newell,15 Glen P. Peters,16 Youba Sokona,17 Andy Stirling,18 Matthew Stilwell,19 Clive L. Spash,20 and Mariama Williams171Natural Resources and Sustainable Development, Department of Earth Sciences, Uppsala University, SE-752 36 Uppsala, Sweden; email: [email protected]2Tyndall Centre for Climate Change Research, School of Engineering, University of Manchester, Manchester M13 9PL, United Kingdom3Centre for Climate Change and Social Transformation, School of Psychology, Cardiff University, Cardiff CF10 3AT, United Kingdom4Lund University Centre for Sustainability Studies, Lund University, SE-221 00 Lund, Sweden5Cambridge Centre for Environment, Energy and Natural Resource Governance, Cambridge University, Cambridge CB2 3QZ, United Kingdom6School of Education, University of Bristol, Bristol BS8 1JA, United Kingdom7Green Finance Observatory, 1050 Brussels, Belgium8Department of Technology Development and Management, Chalmers University of Technology, SE-412 96 Gothenburg, Sweden9What Next?, SE-756 45 Uppsala, Sweden10Stockholm Environment Institute, Somerville, Massachusetts 02144, USA11School of Sustainability, Arizona State University, Tempe, Arizona 85287, USA12Department of Thematic Studies–Environmental Change, Linköping University, SE-581 83 Linköping, Sweden13Department of Political Science, Stockholm University, SE-106 91 Stockholm, Sweden14Swedish Institute of International Affairs, SE-114 28 Stockholm, Sweden15Department of International Relations, University of Sussex, Brighton BN1 9SN, United Kingdom16Center for International Climate Research, 0318 Oslo, Norway17The South Centre, 1219 Geneva, Switzerland18Science Policy Research Unit, Business School, University of Sussex, Brighton BN1 9RH, United Kingdom19Institute for Governance & Sustainable Development, Washington, DC 20007, USA20Institute for Multi-Level Governance and Development, WU Vienna University of Economics, 1020 Vienna, Austria
      Annual Review of Environment and Resources Vol. 46: 653 - 689
      • ...early retirement or repurposing of energy infrastructure is necessary to meet Paris commitments, even in the presence of large-scale and debatable CDR (123)....
      • ...many models have favored pathways high in retrofitted and new CCS and CDR technologies, effectively limiting the level of retirements (123, 126)....
    • Stranded Assets in the Transition to a Carbon-Free Economy

      Frederick van der Ploeg1,2 and Armon Rezai31Department of Economics, University of Oxford, Oxford OX1 3UQ, United Kingdom; email: [email protected]2School of Business and Economics, Vrije Universiteit Amsterdam, 1081 HV Amsterdam, The Netherlands3Department of Socio-Economics, Vienna University of Economics and Business, 1020 Vienna, Austria; email: [email protected]
      Annual Review of Resource Economics Vol. 12: 281 - 298
      • ...downstream business and producers of electricity and final goods that rely heavily on fossil fuel are also strongly exposed to forced write-offs of their carbon assets if these investments are irreversible or costly to be used for another purpose (Bertram et al. 2015, Carbon Tracker Init. 2013, Guivarch & Hallegatte 2011, Koch & Bassen 2013, Rozenberg et al. 2020)....

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    • Three Decades of Climate Mitigation: Why Haven't We Bent the Global Emissions Curve?

      Isak Stoddard,1 Kevin Anderson,1,2 Stuart Capstick,3 Wim Carton,4 Joanna Depledge,5 Keri Facer,1,6 Clair Gough,2 Frederic Hache,7 Claire Hoolohan,2,3 Martin Hultman,8 Niclas Hällström,9 Sivan Kartha,10 Sonja Klinsky,11 Magdalena Kuchler,1 Eva Lövbrand,12 Naghmeh Nasiritousi,13,14 Peter Newell,15 Glen P. Peters,16 Youba Sokona,17 Andy Stirling,18 Matthew Stilwell,19 Clive L. Spash,20 and Mariama Williams171Natural Resources and Sustainable Development, Department of Earth Sciences, Uppsala University, SE-752 36 Uppsala, Sweden; email: [email protected]2Tyndall Centre for Climate Change Research, School of Engineering, University of Manchester, Manchester M13 9PL, United Kingdom3Centre for Climate Change and Social Transformation, School of Psychology, Cardiff University, Cardiff CF10 3AT, United Kingdom4Lund University Centre for Sustainability Studies, Lund University, SE-221 00 Lund, Sweden5Cambridge Centre for Environment, Energy and Natural Resource Governance, Cambridge University, Cambridge CB2 3QZ, United Kingdom6School of Education, University of Bristol, Bristol BS8 1JA, United Kingdom7Green Finance Observatory, 1050 Brussels, Belgium8Department of Technology Development and Management, Chalmers University of Technology, SE-412 96 Gothenburg, Sweden9What Next?, SE-756 45 Uppsala, Sweden10Stockholm Environment Institute, Somerville, Massachusetts 02144, USA11School of Sustainability, Arizona State University, Tempe, Arizona 85287, USA12Department of Thematic Studies–Environmental Change, Linköping University, SE-581 83 Linköping, Sweden13Department of Political Science, Stockholm University, SE-106 91 Stockholm, Sweden14Swedish Institute of International Affairs, SE-114 28 Stockholm, Sweden15Department of International Relations, University of Sussex, Brighton BN1 9SN, United Kingdom16Center for International Climate Research, 0318 Oslo, Norway17The South Centre, 1219 Geneva, Switzerland18Science Policy Research Unit, Business School, University of Sussex, Brighton BN1 9RH, United Kingdom19Institute for Governance & Sustainable Development, Washington, DC 20007, USA20Institute for Multi-Level Governance and Development, WU Vienna University of Economics, 1020 Vienna, Austria
      Annual Review of Environment and Resources Vol. 46: 653 - 689
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      Frederick van der Ploeg1,2 and Armon Rezai31Department of Economics, University of Oxford, Oxford OX1 3UQ, United Kingdom; email: [email protected]2School of Business and Economics, Vrije Universiteit Amsterdam, 1081 HV Amsterdam, The Netherlands3Department of Socio-Economics, Vienna University of Economics and Business, 1020 Vienna, Austria; email: [email protected]
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      • ...Low-energy buildings are defined as buildings built according to a special design criteria aimed at minimizing the building operating energy (20, 21), ...
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    • Responsive Science

      Peter DrahosDepartment of Law, European University Institute, 50014 Fiesole, Italy; email: [email protected]
      Annual Review of Law and Social Science Vol. 16: 327 - 342
      • ...It is made up of “rules of the game” (North 1990, ...
    • Emerging Issues in Decentralized Resource Governance: Environmental Federalism, Spillovers, and Linked Socio-Ecological Systems

      William ShobeFrank Batten School of Leadership and Public Policy, University of Virginia, Charlottesville, Virginia 22903, USA; email: [email protected]
      Annual Review of Resource Economics Vol. 12: 259 - 279
      • ...with a generic output that we might call governance, the institutional framework for allocation of resources (North 1990). Jurisdictions have a set of characteristics: ...
    • Dead But Not Gone: Contemporary Legacies of Communism, Imperialism, and Authoritarianism

      Alberto Simpser,1, Dan Slater,2, and Jason Wittenberg3,1Department of Political Science and Center for Economic Research, ITAM, Mexico CDMX 10700, Mexico; email: [email protected]2Department of Political Science, University of Michigan, Ann Arbor, Michigan 48109, USA; email: [email protected]3Department of Political Science, University of California, Berkeley, California 94720, USA; email: [email protected]
      Annual Review of Political Science Vol. 21: 419 - 439
      • ...one might chart an analytic tradition that dates to North's (1990) Institutions, ...
    • State Capacity Redux: Integrating Classical and Experimental Contributions to an Enduring Debate

      Elissa Berwick and Fotini ChristiaDepartment of Political Science, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139, USA; email: [email protected], [email protected]
      Annual Review of Political Science Vol. 21: 71 - 91
      • ...Those concerned with longue durée processes of state formation tend to emphasize the coercive and extractive activities associated with financing wars (e.g., North 1990, Tilly 1990)....
    • Political Economy of Taxation

      Edgar Kiser and Steven M. KarceskiDepartment of Sociology, University of Washington, Seattle, Washington 98195; email: [email protected], [email protected]
      Annual Review of Political Science Vol. 20: 75 - 92
      • ...Building on Greif (2006), Levi (1988), and North (1990), recent work in political economy has transcended this divide (Acemoglu & Robinson 2012, Fukuyama 2011, Steinmo 2010)...
    • Formal Models of Nondemocratic Politics

      Scott Gehlbach,1 Konstantin Sonin,2,3 and Milan W. Svolik41Department of Political Science, University of Wisconsin–Madison, Madison, Wisconsin 53706; email: [email protected]2Harris School of Public Policy Studies, University of Chicago, Chicago, Illinois 60637; email: [email protected]3Higher School of Economics, Moscow 101000, Russia4Department of Political Science, Yale University, New Haven, Connecticut 06511; email: [email protected]
      Annual Review of Political Science Vol. 19: 565 - 584
      • ...or demonstrates that autocracies can function better (from the perspective of key actors) in the presence of various institutions.22 But if one accepts the premise that institutions evolve to minimize transaction costs (North 1990), ...
    • Governance: What Do We Know, and How Do We Know It?

      Francis FukuyamaFreeman Spogli Institute for International Studies, Stanford University, Stanford, California 94305; email: [email protected]
      Annual Review of Political Science Vol. 19: 89 - 105
      • ...who pointed out the importance of institutions such as property rights in promoting growth (North 1990)....
    • A Conversation with Douglass North

      Douglass C. North,1 Gardner Brown,2,3 and Dean Lueck4 1Department of Economics, Washington University, St. Louis, Missouri 63130 2Department of Economics, University of Washington, Seattle, Washington 98195; email: [email protected] 3Resources for the Future, Washington, DC 20036 4Department of Agricultural and Resource Economics, University of Arizona, Tucson, Arizona 85721; email: [email protected]
      Annual Review of Resource Economics Vol. 7: 1 - 10
      • Financialization of the Economy

        Gerald F. Davis and Suntae KimRoss School of Business, The University of Michigan, Ann Arbor, Michigan 48109-1234; email: [email protected], [email protected]
        Annual Review of Sociology Vol. 41: 203 - 221
        • ...Research under the rubric of varieties of capitalism suggests that national economies can be described in terms of a matrix of institutions (North 1990) that shape the appearance of economic organizations (corporations, ...
      • The Causes and Consequences of Development Clusters: State Capacity, Peace, and Income

        Timothy Besley1,2 and Torsten Persson2,31London School of Economics, London WC2A 2AE, United Kingdom; email: [email protected]2Canadian Institute for Advanced Research, Toronto M5G 1Z8, Ontario, Canada3Institute for International Economic Studies, Stockholm University, Stockholm SE-106 91, Sweden; email: [email protected]
        Annual Review of Economics Vol. 6: 927 - 949
        • ...Institutions in the sense of North (1990)—namely rules of the game that (formally and informally) shape social interactions—help shape the incentives to build state capacity....
      • Does Transparency Improve Governance?

        Stephen Kosack1 and Archon Fung21Evans School of Public Affairs, University of Washington, Seattle, Washington, 98195-3055; email: [email protected]2Harvard Kennedy School, Cambridge, Massachusetts 02138-2019; email: [email protected]
        Annual Review of Political Science Vol. 17: 65 - 87
        • ...Informal mechanisms of social incentives or sanction (e.g., North 1990, Olson 1965, Ostrom 1990)...
      • Democratic Authoritarianism: Origins and Effects

        Dawn BrancatiDepartment of Political Science, Washington University in St. Louis, St. Louis, Missouri 63130; email: [email protected]
        Annual Review of Political Science Vol. 17: 313 - 326
        • ...4For a contrary view on “institutional stickiness,” see North (1990) and Pierson (2004)...
      • Microfoundations of the Rule of Law

        Gillian K. Hadfield1 and Barry R. Weingast21Gould School of Law and Department of Economics, University of Southern California, Los Angeles, California 90089-0071; email: [email protected]2Department of Political Science and Hoover Institution on War, Revolution and Peace, Stanford University, Stanford, California 94305; email: [email protected]
        Annual Review of Political Science Vol. 17: 21 - 42
        • ...this literature explores how people can stabilize rules and institutions that authorize some actions and prohibit others (North 1990)....
      • State of the World's Nonfuel Mineral Resources: Supply, Demand, and Socio-Institutional Fundamentals

        Mary M. Poulton,1 Sverker C. Jagers,2,3 Stefan Linde,2 Dirk Van Zyl,4 Luke J. Danielson,5 and Simon Matti21Lowell Institute for Mineral Resources, University of Arizona, Tucson, Arizona 85721-0012; email: [email protected]2Political Science Unit, Luleå University of Technology, SE 97187 Luleå, Sweden; email: [email protected], [email protected], [email protected]3Department of Political Science, University of Gothenburg, SE 40530 Gothenburg, Sweden; email: [email protected]4Norman B. Keevil Institute of Mining Engineering, University of British Columbia, Vancouver, V6T 1Z4 BC, Canada; email: [email protected]5Sustainable Development Strategies Group, Gunnison, Colorado 81230; email: [email protected]
        Annual Review of Environment and Resources Vol. 38: 345 - 371
        • ...institutions are understood as different forms of formal rules that structure human interactions and behavior by regulating the number of socially acceptable actions, thereby facilitating smoother decision making (e.g., 61...
      • Economic Institutions and the State: Insights from Economic History

        Henning HillmannDepartment of Sociology, School of Social Sciences, University of Mannheim, D-68159 Mannheim, Germany; email: [email protected]
        Annual Review of Sociology Vol. 39: 251 - 273
        • ...One useful starting point is North's (1990, p. 3) influential notion of institutions as “the rules of the game in a society” and, ...
        • ...thus enabling all exchange partners to commit to keeping their contractual obligations (Greif 2005; North 1981, 1990)....
        • ...and little taxable income for the state (Barzel 2002; Haber et al. 2003; North 1981, 1990...
      • Religion, Nationalism, and Violence: An Integrated Approach

        Philip S. Gorski and Gülay Türkmen-DervişoğluDepartment of Sociology, Yale University, New Haven, Connecticut 06520; email: [email protected], [email protected]
        Annual Review of Sociology Vol. 39: 193 - 210
        • ... seminal work on “the firm,” Douglass North and others (Alchian & Benjamin 2006, North 1990, Williamson et al. 1991) elaborated a theory of transaction costs, ...
      • The Future of Agricultural Cooperatives

        Murray Fulton1,* and Konstantinos Giannakas21Johnson-Shoyama Graduate School of Public Policy, University of Saskatchewan, Saskatoon, Saskatchewan, Canada S7N 5B8; email: [email protected]2Department of Agricultural Economics, University of Nebraska, Lincoln, Nebraska 68583-0922; email: [email protected]
        Annual Review of Resource Economics Vol. 5: 61 - 91
        • ...Following North (1990), the role of norms and institutions in cooperatives could also be explored; for some work in this area, ...
      • In From the Cold: Institutions and Causal Inference in Postcommunist Studies

        Timothy FryeHarriman Institute, Columbia University, New York, New York 10027; Center for the Study of Institutions and Development, Higher School of Economics, Moscow, Russia; email: [email protected]
        Annual Review of Political Science Vol. 15: 245 - 263
        • ...Favorable conditions for research coincided with renewed interest in the social sciences in the causes and consequences of institutions. North's (1990) Institutions, ...
      • Preindustrial Markets and Marketing: Archaeological Perspectives

        Gary M. Feinman1 and Christopher P. Garraty21Department of Anthropology, The Field Museum, Chicago, Illinois 60605-2496; email: [email protected]2Statistical Research, Inc., Tucson, Arizona 85712; email: [email protected]
        Annual Review of Anthropology Vol. 39: 167 - 191
        • ...including a system of rules, customs, and a physical and legal infrastructure (North 1990, 1991)....
        • ...the advent of new institutional economics (North 1977, 1990, 1991, Williamson 1975, 1985) signals a recognition that institutions, ...
        • ...Together they illustrate the importance of understanding market processes from the perspective of both the microeconomic scale of household decision making and the macroeconomic scale of institutions that define the social conditions and “rules of the game” (North 1990, ...
      • The Politics of Effective Foreign Aid

        Joseph Wright1 and Matthew Winters21Department of Political Science, The Pennsylvania State University, University Park, Pennsylvania 16802; email: jgw[email protected]2Department of Political Science, University of Illinois at Urbana-Champaign, Champaign, Illinois 61820; email: [email protected]
        Annual Review of Political Science Vol. 13: 61 - 80
        • ...and these representative institutions, in turn, helped propel economic development (North 1990)....
      • The Politics of Inequality in America: A Political Economy Framework

        Lawrence R. Jacobs and Joe SossHumphrey Institute and Department of Political Science, University of Minnesota, Minneapolis, Minnesota 55455; email: [email protected]; [email protected];
        Annual Review of Political Science Vol. 13: 341 - 364
        • ...North 1990) and by analyses of how class compromises can emerge as rational for workers and prolabor political parties (e.g., ...
      • Parliamentary Control of Coalition Governments

        Kaare Strøm,1,2 Wolfgang C. Müller,3 and Daniel Markham Smith11Department of Political Science, University of California San Diego, La Jolla, California 92093-052, email: [email protected]2International Peace Research Institute, Oslo (PRIO), Norway [email protected];3University of Vienna, Austria, email: [email protected]
        Annual Review of Political Science Vol. 13: 517 - 535
        • ...As North (1990, p. 57) puts it: “No institutions are necessary in a world of complete information....
        • ...cooperative solutions will break down unless institutions are created that provide sufficient information for individuals [or coalition parties] to police deviations.” Institutions assuring cooperation need to provide (a) “a communications mechanism that provides the information necessary to know when punishment is required” and (b) “incentives for those individuals to carry out punishment when called on to do so” (North 1990, ...
      • Connectivity and the Governance of Multilevel Social-Ecological Systems: The Role of Social Capital

        Eduardo S. Brondizio,1 Elinor Ostrom,2 and Oran R. Young31Department of Anthropology, Anthropological Center for Training and Research on Global Environmental Change (ACT), Center for the Study of Institutions, Population, and Environmental Change (CIPEC), Indiana University, Bloomington, Indiana 47405; email: [email protected]2Workshop in Political Theory and Policy Analysis, CIPEC, Indiana University, Bloomington, Indiana 47405; email: [email protected]3Bren School of Environmental Science and Management, University of California, Santa Barbara, California 93106; email: [email protected]
        Annual Review of Environment and Resources Vol. 34: 253 - 278
        • ...Researchers or project workers interested in social capital cannot assume from the outside that a group has (or has not) established common understandings that enable its members to rely on each other to behave in ways that are predictable and mutually productive (62)....
      • The Importance of History for Economic Development

        Nathan NunnDepartment of Economics, Harvard University and NBER, Cambridge, Massachusetts 02138; email: [email protected]
        Annual Review of Economics Vol. 1: 65 - 92
        • ...The study provides an empirical foundation to support the seminal works on the importance of institutions written by North & Thomas (1973)...
        • ...1The studies build on an even earlier literature arguing for the importance of domestic institutions for long-term growth: See North & Thomas (1973), North (1981, 1990), ...
      • Paradoxes of China's Economic Boom

        Martin King WhyteDepartment of Sociology, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]
        Annual Review of Sociology Vol. 35: 371 - 392
        • Variation in Institutional Strength

          Steven Levitsky1 and María Victoria Murillo21Weatherhead Center for International Affairs, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2Department of Political Science, Columbia University, New York, New York 10027; email: [email protected]
          Annual Review of Political Science Vol. 12: 115 - 133
          • ...Notwithstanding the importance of informal rules and procedures (March & Olsen 1989, North 1990a, O'Donnell 1996, Helmke & Levitsky 2006), ...
          • ...Following North (1990a, pp. 4–5), we distinguish between institutions (the “rules of the game”) and organizations (the “players”)....
          • ...actors develop expectations of stability and consequently invest in skills, technologies, and organizations that are appropriate to those institutions (North 1990a,b...
        • Quality of Government: What You Get

          Sören Holmberg, Bo Rothstein, and Naghmeh NasiritousiThe Quality of Government Institute, Department of Political Science, University of Gothenburg, SE 405 30 Gothenburg, Sweden; email: [email protected]
          Annual Review of Political Science Vol. 12: 135 - 161
          • Organizations, Regulation, and Economic Behavior: Regulatory Dynamics and Forms from the Nineteenth to Twenty-First Century

            Marc Schneiberg1, and Tim Bartley2,1Department of Sociology, Reed College, Portland, Oregon 97125; email: [email protected]2Department of Sociology, Indiana University-Bloomington, Bloomington, Indiana 47405; email: [email protected]
            Annual Review of Law and Social Science Vol. 4: 31 - 61
            • ...and otherwise facilitate development (Abolafia 1996, Campbell & Lindberg 1990, Fligstein 2001, North 1990, Streeck 1997)....
          • Discursive Institutionalism: The Explanatory Power of Ideas and Discourse

            Vivien A. SchmidtDepartment of International Relations, Boston University, Boston, Massachusetts 02215; email: [email protected]
            Annual Review of Political Science Vol. 11: 303 - 326
            • ...instead mostly assuming them to be good (Moe 2003, p. 3) and/or efficient (North 1990)....
          • Debating the Role of Institutions in Political and Economic Development: Theory, History, and Findings

            Stanley L. Engerman1 and Kenneth L. Sokoloff21Departments of Economics and History, University of Rochester, Rochester, New York 14627-0156; email: [email protected];2Deceased
            Annual Review of Political Science Vol. 11: 119 - 135
            • ...following North's approach (North & Thomas 1973, North & Weingast 1989, North 1990; for an interesting discussion regarding the choice of institutions in the United States, ...
          • The Rule of Law and Economic Development

            Stephan Haggard,1 Andrew MacIntyre,2and Lydia Tiede31Graduate School of International Relations and Pacific Studies, University of California at San Diego, La Jolla, California 92093-0519; email: [email protected]2Crawford School of Economics and Government, Australian National University, Canberra ACT 0200, Australia; email: [email protected]3Department of Political Science, University of California at San Diego, La Jolla, California 92093-0521; email: [email protected]
            Annual Review of Political Science Vol. 11: 205 - 234
            • The Rule of Law

              John K.M. OhnesorgeUniversity of Wisconsin Law School, Madison, Wisconsin 53706; email: [email protected]
              Annual Review of Law and Social Science Vol. 3: 99 - 114
              • ...which argues that legal rules and institutions can profoundly affect economic performance (Coase 1998; North 1990, ...
            • Moral Views of Market Society

              Marion Fourcade1 and Kieran Healy21Department of Sociology, University of California, Berkeley, California 94720-1980; email: [email protected]2Department of Sociology, University of Arizona, Tucson, Arizona 85721; email: [email protected]
              Annual Review of Sociology Vol. 33: 285 - 311
              • ...market-friendly institutions economists have variously identified are strong property rights (De Soto 2003, North 1990, North & Thomas 1973), ...
            • Toward a Historicized Sociology: Theorizing Events, Processes, and Emergence

              Elisabeth S. ClemensDepartment of Sociology, University of Chicago, Chicago, Illinois 60637; email: [email protected]
              Annual Review of Sociology Vol. 33: 527 - 549
              • ...paths that were “locked in” by prior investments or the interdependence of actors within a system (David 1985, North 1990)....
            • Institutional Failure in Resource Management

              James M. AchesonDepartments of Anthropology and Marine Science, University of Maine, Orono, Maine 04469; email: [email protected]
              Annual Review of Anthropology Vol. 35: 117 - 134
              • ...Moreover, market inefficiency and market failure are common (North 1990)....
              • ... argues politicians deliberately design government institutions to be inefficient to avoid having an efficient invention of their own making used against them when they are out of power. North (1990, ...
              • ...social homogeneity, dependence on the resource, leadership, and secure boundaries (North 1990, ...
            • RETHINKING THE RESOURCE CURSE: Ownership Structure, Institutional Capacity, and Domestic Constraints

              Pauline Jones Luong1 and Erika Weinthal21Department of Political Science, Brown University, Providence, Rhode Island 02912; email: [email protected]2Nicholas School of the Environment and Earth Sciences, Duke University, Durham, North Carolina 27708; email: [email protected]
              Annual Review of Political Science Vol. 9: 241 - 263
              • ...which argues that one of the main impetuses for building strong institutions is the need to lower such costs by establishing formal guarantees (e.g., Levi 1988, North 1990, Williamson 1975)....
            • LAW AND CORPORATE GOVERNANCE

              Neil Fligstein and Jennifer ChooDepartment of Sociology, University of California, Berkeley, California 94720; email: [email protected]
              Annual Review of Law and Social Science Vol. 1: 61 - 84
              • ...and social institutions played a fundamental role in the rise of the West (North 1981, 1990)....
              • ...that might affect market outcomes (Berkowitz et al. 2003; Carlin & Mayer 2003; La Porta et al. 1997a,b, 1998, 1999b; Mahoney 2001; North 1990)....
            • Comparative-Historical Methodology

              James MahoneyDepartment of Sociology, Brown University, Providence, Rhode Island 02912; email: [email protected]
              Annual Review of Sociology Vol. 30: 81 - 101
              • ...and sociology has sought to codify the various tools of analysis used to study these “path-dependent” sequences (Arthur 1994, David 1985, Goldstone 1998, North 1990, Pierson 2000a,b...
            • The Sociology of Property Rights

              Bruce G. Carruthers andLaura AriovichDepartment of Sociology, Northwestern University, Evanston, Illinois 60208; email: [email protected]
              Annual Review of Sociology Vol. 30: 23 - 46
              • ...Who specifies and enforces these rules? According to North (1990), it is the state....
              • ...Others acknowledge that change does not always lead to greater efficiency (North 1990)....
            • Sustainable Governance of Common-Pool Resources: Context, Methods, and Politics

              Arun AgrawalDepartment of Political Science, McGill University, Montréal, Québec H3A 2T7, Canada; email: [email protected]
              Annual Review of Anthropology Vol. 32: 243 - 262
              • ...They have drawn and built upon the works of other property rights theorists and institutionalists (Bates 1989, Knight 1992, Libecap 1990, North 1990) but have produced additional evidence on the role of informal norms in influencing human actions....
            • The Economic Sociology of Conventions: Habit, Custom, Practice, and Routine in Market Order

              Nicole Woolsey Biggart1 and Thomas D. Beamish21Graduate School of Management and Department of Sociology, University of California, Davis, California 95616; email: [email protected] 2Department of Sociology, University of California, Davis, California 95616; email: [email protected]
              Annual Review of Sociology Vol. 29: 443 - 464
              • ...This observation supports recent insights of institutional economics (North 1990) and sociological institutional theory (Meyer & Whittier 1994)...
            • Ideas, Politics, and Public Policy

              John L. CampbellDepartment of Sociology, Dartmouth College, Hanover, New Hampshire 03755, e-mail: [email protected]
              Annual Review of Sociology Vol. 28: 21 - 38
              • ...even some rational choice theorists have conceded that ideas matter (Knight & North 1997, Levi 1997, North 1990, Ostrom 1990:33–35), ...
            • THE ORIGINS, DEVELOPMENT, AND POSSIBLE DECLINE OF THE MODERN STATE

              Hendrik SpruytDepartment of Political Science, Arizona State University, Tempe, Arizona 85287-2001; e-mail: [email protected]
              Annual Review of Political Science Vol. 5: 127 - 149
              • ...Britain and the Netherlands were able to raise larger funds than their absolutist competitors (North & Thomas 1973, North 1981, 1990)....
            • HOW CONCEPTUAL PROBLEMS MIGRATE: Rational Choice, Interpretation, and the Hazards of Pluralism

              James JohnsonDepartment of Political Science, University of Rochester, Rochester, New York 14627; e-mail: [email protected]
              Annual Review of Political Science Vol. 5: 223 - 248
              • ...North 1990, Knight 1992, 1995, Calvert 1995a, b, Allio et al. 1997, Knight & North 1997, Binder & Smith 1998)....
            • Democratization and Economic Reform

              V. BunceDepartment of Government, Cornell University, 208 Kline Road, Ithaca, New York 14850; e-mail: [email protected]
              Annual Review of Political Science Vol. 4: 43 - 65
              • ...especially given recent recognition of the role of the state in capitalist economies—a role that was forgotten in the emphasis on state “subtraction” but that received due recognition in studies of capitalism that predate the consensus around neoliberal policies (see Popov 1999, Schamis 2000; earlier, Polanyi 1957, North 1990)....
            • Political Traditions and Political Change: The Significance of Postwar Japanese Politics for Political Science

              Bradley Richardson1 and Dennis Patterson21Department of Political Science, Ohio State University, Columbus, Ohio 43210; e-mail: [email protected];2Department of Political Science, Michigan State University, East Lansing, Michigan 48824; e-mail: [email protected]
              Annual Review of Political Science Vol. 4: 93 - 115
              • ... and political economy (Hall 1986, North 1990) have somewhat similarly described long-lasting patterns of behavior as reflective of formally or informally derived institutionalization....
            • Archaeology, Property, and Prehistory

              Timothy EarleDepartment of Anthropology, Northwestern University, Evanston, Illinois 60208; e-mail: [email protected]
              Annual Review of Anthropology Vol. 29: 39 - 60
              • ...New economic historians (Demsetz 1967;, North 1981, 1990;, Williamson 1985; but see also Neale 1998)...
            • The Choice-Within-Constraints New Institutionalism and Implications for Sociology

              Paul IngramColumbia Business School, Columbia University, New York, New York 10027-6902; email: [email protected]Karen ClayHeinz School of Public Policy, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]
              Annual Review of Sociology Vol. 26: 525 - 546
              • ...and major contributions have come from economics (Coase 1937, Williamson 1975, North 1990, Greif 1994), ...
              • ...This is illustrated by North's (1990, p. 22) characterization of the trade-off between ideological and material preferences: “… where the price to individuals of being able to express their own values and interests is low, ...
              • ...Institutions are typically categorized as formal or informal (North 1990, Nee & Ingram 1998)....
              • ...which affects efforts to change institutions because existing organizations have a stake in the status quo (North 1990)....
            • Constructing Effective Environmental Regimes

              George W. DownsDepartment of Politics, New York University, 715 Broadway, New York, New York 10003; e-mail: [email protected]
              Annual Review of Political Science Vol. 3: 25 - 42
              • ...and economists have evidenced considerable creativity in devising theoretical arguments and presenting data to show that apparent changes in an actor's underlying utility function are, in fact, effects of relative price changes (North 1990)...
              • ...the abolitionist movement succeeded in changing public opinion in Britain during the 1830s and in the northern states prior to the Civil War (North 1990:85)....
            • Political Trust and Trustworthiness

              Margaret LeviDepartment of Political Science, University of Washington, Seattle, Washington 98195; e-mail: [email protected] Laura StokerDepartment of Political Science, University of California, Berkeley, California 94720; e-mail: [email protected]
              Annual Review of Political Science Vol. 3: 475 - 507
              • ...Similarly, North (1981, 1990) considers trust a means for lowering transaction costs, ...
            • Constitutional Political Economy: On the Possibility of Combining Rational Choice Theory and Comparative Politics

              Norman SchofieldCenter in Political Economy, Washington University, St. Louis, Missouri 63130; e-mail: [email protected]
              Annual Review of Political Science Vol. 3: 277 - 303
              • ...In studying such belief games I have been much influenced by Riker, of course, but also by North (1990)....
              • ...Institutional change shapes the way societies evolve through time…. (North 1990:3)...
            • International Institutions and System Transformation

              Harold K. JacobsonCenter for Political Studies, Institute for Social Research, University of Michigan, Ann Arbor, Michigan 48106-1248; e-mail: [email protected]
              Annual Review of Political Science Vol. 3: 149 - 166
              • ...This new literature defines institutions in broad terms as “the humanly devised constraints that shape human interactions” (North 1990:3)....
              • ...and the historically derived subjective modeling of the issues reinforce the course” (1990:99)....
              • ...We cannot understand today's choices…without tracing the incremental evolution of institutions” (North 1990:100)....
            • POLITICS AND INSTITUTIONALISM: Explaining Durability and Change

              Elisabeth S. Clemens and James M. CookDepartment of Sociology, University of Arizona, Tucson, Arizona 85721; e-mail:[email protected] , [email protected]
              Annual Review of Sociology Vol. 25: 441 - 466
              • ...both variants conceptualize institutions as “humanly devised constraints that shape human interaction” (North 1990:3)....
              • ...Dense network ties also establish the conditions for maintaining order and punishing defectors from institutional arrangements (North 1990...
              • ...:103–20)? And under what conditions do networks propagate initially small variations producing path-dependent trajectories of social change (North 1990:93–98)?...
            • INSTITUTIONALISM AND THE EUROPEAN UNION: Beyond International Relations and Comparative Politics

              J. Jupille and J. A. CaporasoDepartment of Political Science, University of Washington, Seattle, Washington 98195; e-mail: [email protected]
              Annual Review of Political Science Vol. 2: 429 - 444
              • ...Institutions are generally seen as “the rules of the game” or the “humanly devised constraints that shape human interaction” (North 1990:3)....
            • HISTORICAL INSTITUTIONALISM IN COMPARATIVE POLITICS

              Kathleen ThelenDepartment of Political Science, Northwestern University, Evanston, Illinois 60208; e-mail: [email protected]
              Annual Review of Political Science Vol. 2: 369 - 404
              • ...North's later work (e.g. 1990), for example, is concerned with tracing, ...
              • ...is perhaps better described as incentive structure or coordination effects (see also North 1990)....
              • ...More recently they have been joined by a host of others, including Ferejohn (1991), Bates et al (1998a), Levi (1998, 1999), North (1990), Greif (1994)....
            • EFFECTS OF INSTITUTIONAL ARRANGEMENTS ON POLITICAL STABILITY IN SOUTH ASIA

              Subrata Kumar MitraDepartment of Political Science, South Asia Institute, The University of Heidelberg, Im Neuenheimer Feld 330, Heidelberg, 69120 Germany; e-mail: [email protected]
              Annual Review of Political Science Vol. 2: 405 - 428
              • ...understood as “rules of the game in a society…the humanly devised constraints that shape human interaction” (North 1990:3), ...
              • ...This section analyzes the mixed record of South Asia's attempts to achieve political stability through institutional change with reference to the important theoretical insights provided by North (1990)....
              • ...but provides us with a key to explaining past historical change. (North 1990:6)...
              • ...and the feedback process by which human beings perceive and react to changes in the opportunity set” (North 1990:7)....
              • ... provide the empirical evidence that, interpreted in the manner of North (1990), ...
            • DOMESTIC POLITICS, FOREIGN POLICY, AND THEORIES OF INTERNATIONAL RELATIONS

              James D. FearonDepartment of Political Science, University of Chicago, Chicago, Illinois 60637; e-mail: [email protected]
              Annual Review of Political Science Vol. 1: 289 - 313
              • ...Most of the research Rogowski reviews and synthesizes is influenced by the “new institutionalism” of Shepsle (1979), North (1990), ...
            • INTERNATIONAL TECHNOLOGY TRANSFER FOR CLIMATE CHANGE MITIGATION AND THE CASES OF RUSSIA AND CHINA

              Eric Martinot, Jonathan E. Sinton, and and Brent M. HaddadEnergy and Resources Group, University of California at Berkeley, 310 Barrows, Berkeley, California 94720
              Annual Review of Energy and the Environment Vol. 22: 357 - 401
              • ...Market/transaction perspectives also have roots in transaction cost and institutional economics (11, 12)....
            • Market Transition and Societal Transformation in Reforming State Socialism

              Victor Nee and Rebecca MatthewsDepartment of Sociology, Cornell University, Ithaca, New York 14853
              Annual Review of Sociology Vol. 22: 401 - 435
              • ...Such a program has already crystallized around the new institutionalist paradigm (Cook & Levi 1990, Nee & Ingram 1997), influential in economics (North 1990), ...

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            • Institutional Dynamics and American Political Development

              Adam SheingateDepartment of Political Science, Johns Hopkins University, Baltimore, Maryland 21218; email: [email protected]
              Annual Review of Political Science Vol. 17: 461 - 477
              • ...scholars emphasize how creative actors exploit the tensions and contradictions between institutions created at different times or promote incremental innovations that transform institutions over time (Orren & Skowronek 2004, Mahoney & Thelen 2010)....
              • ...A third family of explanation prominent in APD and historical institutionalism more generally examines how gradual or incremental change takes place through processes of layering, conversion, or drift (Mahoney & Thelen 2010)....
              • ...or political environment can gradually transform the practical effects of institutions without any underlying change in their structures (Thelen 2004, Streeck & Thelen 2005, Mahoney & Thelen 2010)....

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            • External Validity

              Michael G. Findley,1 Kyosuke Kikuta,2 and Michael Denly11Department of Government, University of Texas, Austin, Texas 78712, USA; email: [email protected]2Osaka School of International Public Policy, Osaka University, Osaka 560-0043, Japan
              Annual Review of Political Science Vol. 24: 365 - 393
              • ...At least since Pierson's (2000) famous article, most political scientists have known that social science is subject to contingencies, ...
            • Making Sense of the Design of International Institutions

              Erik VoetenEdmund A. Walsh School of Foreign Service and Department of Government, Georgetown University, Washington, DC 20057, USA; email: [email protected]
              Annual Review of Political Science Vol. 22: 147 - 163
              • ...There are increasing returns to sticking with institutional designs (Pierson 2000)....
            • The Politics, Promise, and Peril of Criminal Justice Reform in the Context of Mass Incarceration

              Katherine BeckettDepartment of Law, Societies & Justice and Department of Sociology, University of Washington, Seattle, Washington 98115, USA; email: [email protected]
              Annual Review of Criminology Vol. 1: 235 - 259
              • ...The term path dependence refers to “the tendency for courses of political or social development to ‘generate self-reinforcing processes’” (Pierson 2000, ...
            • Climate Change and International Relations (After Kyoto)

              Arild Underdal1,21Department of Political Science, University of Oslo, Oslo 0317, Norway; email: [email protected]2Center for International Climate and Environmental Research—Oslo (CICERO), Oslo 0318, Norway
              Annual Review of Political Science Vol. 20: 169 - 188
              • ...sometimes generates lock-in effects (Pierson 2000, Global Energy Assessment 2012, Levin et al. 2012, Jordan & Matt 2014)....
            • Political Economy of Taxation

              Edgar Kiser and Steven M. KarceskiDepartment of Sociology, University of Washington, Seattle, Washington 98195; email: [email protected], [email protected]
              Annual Review of Political Science Vol. 20: 75 - 92
              • ...we cannot fully understand them without knowing their history (Acemoglu & Robinson 2012, Fukuyama 2011, Pierson 2000, Steinmo 2010)....
            • Comparative Legal Research and Legal Culture: Facts, Approaches, and Values

              David NelkenThe Dickson Poon School of Law, King's College, University of London, London WC2R 2LS, United Kingdom; email: [email protected]
              Annual Review of Law and Social Science Vol. 12: 45 - 62
              • ..., “legal epistemes” (Legrand 1997), “legal formants” (Sacco 1991), “path-dependency” (Mahoney 2000, Pierson 2000), ...
            • Institutional Dynamics and American Political Development

              Adam SheingateDepartment of Political Science, Johns Hopkins University, Baltimore, Maryland 21218; email: [email protected]
              Annual Review of Political Science Vol. 17: 461 - 477
              • ...Pierson (2000, 2004) and Mahoney (2000) elaborate more fully the concept of path dependence and its implications for the study of politics....
            • Militant Democracy: The Institutional Bases of Democratic Self-Preservation

              Giovanni CapocciaDepartment of Politics and International Relations, University of Oxford, Corpus Christi College, OX1 4JF Oxford, United Kingdom; email: [email protected]
              Annual Review of Law and Social Science Vol. 9: 207 - 226
              • ...at least its “historical” variant (e.g., Thelen & Steinmo 1992; Thelen 1999; Pierson 2000, 2004)....
            • The Politics of Inequality in America: A Political Economy Framework

              Lawrence R. Jacobs and Joe SossHumphrey Institute and Department of Political Science, University of Minnesota, Minneapolis, Minnesota 55455; email: [email protected]; [email protected];
              Annual Review of Political Science Vol. 13: 341 - 364
              • .... Pierson's (2000) work on “path dependencies” extended this emphasis on structural constraint by explaining how existing institutions generate “self-reinforcing” dynamics that sustain them over time and explain their developmental trajectory....
            • Variation in Institutional Strength

              Steven Levitsky1 and María Victoria Murillo21Weatherhead Center for International Affairs, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2Department of Political Science, Columbia University, New York, New York 10027; email: [email protected]
              Annual Review of Political Science Vol. 12: 115 - 133
              • The Role of Politics in Economic Development

                Peter GourevitchSchool of International Relations and Department of Political Science, University of California at San Diego, La Jolla, California 92093; email: [email protected]
                Annual Review of Political Science Vol. 11: 137 - 159
                • ...This raises to the forefront the agency issues involved in explaining the mechanism of path dependence (Pierson 2000) and brings to the center the social issues of agency....
              • Discursive Institutionalism: The Explanatory Power of Ideas and Discourse

                Vivien A. SchmidtDepartment of International Relations, Boston University, Boston, Massachusetts 02215; email: [email protected]
                Annual Review of Political Science Vol. 11: 303 - 326
                • ...or history is given very limited play through path dependence, with its “lock-in effects” and “positive reinforcement” mechanisms (Pierson 2000)....
              • QUALITATIVE RESEARCH: Recent Developments in Case Study Methods

                Andrew Bennett1 and Colin Elman21Department of Government, Georgetown University, Washington, DC 20057; email: [email protected]2Department of Political Science, Arizona State University, Tempe, Arizona 85287; email: [email protected]
                Annual Review of Political Science Vol. 9: 455 - 476
                • ...Political scientists, most notably Pierson (2000, 2003, 2004), Thelen (1999, 2003), Mahoney (2000, 2006), and Mahoney & Schensul (2006)...
                • ...explanatory typologies are useful for capturing temporal effects (on which see Pierson 2000, 2003, 2004...
              • THEORIZING THE EUROPEAN UNION: International Organization, Domestic Polity, or Experiment in New Governance?

                Mark A. PollackDepartment of Political Science, Temple University, Philadelphia, Pennsylvania 19122-6089; email: [email protected]
                Annual Review of Political Science Vol. 8: 357 - 398
                • ...Paul Pierson (2000) has argued that political institutions are characterized by increasing returns, ...
              • Comparative-Historical Methodology

                James MahoneyDepartment of Sociology, Brown University, Providence, Rhode Island 02912; email: [email protected]
                Annual Review of Sociology Vol. 30: 81 - 101
                • ...and sociology has sought to codify the various tools of analysis used to study these “path-dependent” sequences (Arthur 1994, David 1985, Goldstone 1998, North 1990, Pierson 2000a,b...
              • US Social Policy in Comparative and Historical Perspective: Concepts, Images, Arguments, and Research Strategies

                Edwin Amenta, Chris Bonastia, and Neal CarenDepartment of Sociology, New York University, New York, NY 10003; e-mail: [email protected]
                Annual Review of Sociology Vol. 27: 213 - 234
                • ...We now know more about the nature of policy feedback arguments (Pierson 2000a, Mahoney 2000), ...

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              Jacobsson S, Lauber V. 2006. The politics and policy of energy system transformation: explaining the German diffusion of renewable energy technology. Energy Policy 34:256–76
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              • The Politics of Energy

                Llewelyn Hughes1 and Phillip Y. Lipscy21Department of Political Science, George Washington University, Washington, DC 20052; email: [email protected]2Department of Political Science and Shorenstein Asia-Pacific Research Center, Stanford University, Stanford, California 94305; email: [email protected]
                Annual Review of Political Science Vol. 16: 449 - 469
                • .... Jacobsson & Lauber (2006) show how interest group politics drove Germany's success in promoting the diffusion of solar and wind power, ...
              • The Energy Technology Innovation System

                Kelly Sims Gallagher,1 Arnulf Grübler,2 Laura Kuhl,1 Gregory Nemet,3 and Charlie Wilson41The Fletcher School, Tufts University, Medford, Massachusetts 02155; email: [email protected], [email protected]2International Institute for Applied Systems Analysis, A-2361 Laxenburg, Austria; email: [email protected]3La Follette School of Public Affairs, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected]4Tyndall Centre for Climate Change Research, University of East Anglia, Norwich NR4 7TJ, United Kingdom; email: [email protected]
                Annual Review of Environment and Resources Vol. 37: 137 - 162
                • ...can counteract this inertia through political lobbying and advocacy coalitions (80, 81, 82)....
                • ...these key functions interact strongly and can be supported by policy makers (76, 82, 84)....

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              Klitkou A, Bolwig S, Hansen T, Wessberg N. 2015. The role of lock-in mechanisms in transition processes: the case of energy for road transport. Environ. Innov. Soc. Transit. 16:22–37
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              • Empirical Models of Lobbying

                Matilde Bombardini1,2,3 and Francesco Trebbi1,2,31Vancouver School of Economics, University of British Columbia, Vancouver, British Columbia V6T 1L4, Canada; email: [email protected], [email protected]2Canadian Institute for Advanced Research, Toronto, Ontario M5G 1M1, Canada3National Bureau of Economic Research, Cambridge, Massachusetts 02138, USA
                Annual Review of Economics Vol. 12: 391 - 413
                • ...Kang further assumes that within each coalition collective action issues (Olson 1965) have been solved.13...
              • Radical Decentralization: Does Community-Driven Development Work?

                Katherine CaseyGraduate School of Business, Stanford University, Stanford, California 94305, USA; email: [email protected]
                Annual Review of Economics Vol. 10: 139 - 163
                • ...These findings are consistent with coordination challenges increasing with group size (Olson 1965), ...
              • Collective Action Theory and the Dynamics of Complex Societies

                Elizabeth DeMarrais1 and Timothy Earle21Department of Archaeology and Anthropology, University of Cambridge, Cambridge CB2 3DZ, United Kingdom; email: [email protected]2Department of Anthropology, Northwestern University, Evanston, Illinois 60208; email: [email protected]
                Annual Review of Anthropology Vol. 46: 183 - 201
                • ...modern origins of collective action theory are found in writings of the economist Olson (1965), ...
              • Explaining Corruption in the Developed World: The Potential of Sociological Approaches

                Anthony F. Heath,1 Lindsay Richards,1 and Nan Dirk de Graaf21Centre for Social Investigation, Nuffield College, Oxford OX1 1NF, United Kingdom; email: [email protected], [email protected]2Nuffield College, Oxford OX1 1NF, United Kingdom; email: [email protected]
                Annual Review of Sociology Vol. 42: 51 - 79
                • ...On the rational choice side, there is the classic collective action/free rider issue (Olson 1965)...
              • The Haves, the Have-Nots, and the Health of Everyone: The Relationship Between Social Inequality and Environmental Quality

                Lara Cushing,1 Rachel Morello-Frosch,2 Madeline Wander,3 and Manuel Pastor31Energy and Resources Group;2Department of Environmental Science, Policy, and Management, and the School of Public Health; University of California, Berkeley, California 94720; email: [email protected], [email protected]3Program for Environmental and Regional Equity, University of Southern California, Los Angeles, California 90089; email: [email protected], [email protected]
                Annual Review of Public Health Vol. 36: 193 - 209
                • ...Olson (65) argues that when wealthy individuals accrue most of the benefits of a collective good, ...
              • Resolving Conflicts During the Evolutionary Transition to Multicellular Life

                Paul B. Rainey1,2 and Silvia De Monte31New Zealand Institute for Advanced Study and Allan Wilson Center for Molecular Ecology and Evolution, Massey University, Auckland 0745, New Zealand; email: [email protected]2Max Planck Institute for Evolutionary Biology, 24306 Plön, Germany3Institut de Biologie de l'Ecole Normale Supérieure, UMR CNRS 8197 INSERM 1024, F-75005 Paris, France; email: [email protected]
                Annual Review of Ecology, Evolution, and Systematics Vol. 45: 599 - 620
                • ...this corresponds to the fact that cooperation affirms with greater ease in small groups where direct benefits are achievable (Olson 1965)....
              • Inequality and Institutions: The Case of Economic Coordination

                Pablo Beramendi1 and David Rueda2,31Department of Political Science, Duke University, Durham, North Carolina 27708; email: [email protected]2Department of Politics & IR, University of Oxford, Oxford OX1 3UQ, United Kingdom;3Nuffield College, University of Oxford, Oxford OX1 1NF, United Kingdom; email: [email protected]
                Annual Review of Political Science Vol. 17: 251 - 271
                • ...Starting with Olson (1965), arguments about the importance of institutions for collective action have emphasized coordination among workers and employers....
                • ...Functionalist approach.The notion of coordination as an efficient institutional device to internalize externalities and prioritize society's interests over those of specific interest groups (Olson 1965, Lange 1984) provides a second framework to understand economic coordination....
              • Interest-Oriented Action

                Lyn Spillman1 and Michael Strand21Department of Sociology, University of Notre Dame, Notre Dame, Indiana 46556; email: [email protected]2Department of Sociology, Bowling Green State University, Bowling Green, Ohio 43403
                Annual Review of Sociology Vol. 39: 85 - 104
                • ...considering collective over individual interests may invite puzzles about how interests are aggregated (e.g., Olson 1965) or about prior collective identity formation (e.g., ...
              • Distributive Politics Around the World

                Miriam Golden1 and Brian Min21Department of Political Science, University of California, Los Angeles, California 90095; email: [email protected]2Department of Political Science, University of Michigan, Ann Arbor, Michigan 48109; email: [email protected]
                Annual Review of Political Science Vol. 16: 73 - 99
                • ...well known for their abilities to organize and lobby (Olson 1965), ...
              • The Changing Landscape of US Unions in Historical and Theoretical Perspective

                Michael Goldfield and Amy BromsenDepartment of Political Science, Wayne State University, Detroit, Michigan 48202; email: [email protected], [email protected]
                Annual Review of Political Science Vol. 16: 231 - 257
                • ...Olson 1965)? These seemingly plausible questions put overwhelming emphasis on the calculation of costs and benefits by individual workers....
              • Evolutionary Psychology: New Perspectives on Cognition and Motivation

                Leda Cosmides1 and John Tooby21Department of Psychological & Brain Sciences and Center for Evolutionary Psychology and2Department of Anthropology and Center for Evolutionary Psychology, University of California, Santa Barbara, California 93106; email: [email protected], [email protected]
                Annual Review of Psychology Vol. 64: 201 - 229
                • ...and even politics (Olson 1965, Brewer & Kramer 1986, Ostrom 1990, Price et al. 2002)....
              • Group Culture and the Interaction Order: Local Sociology on the Meso-Level

                Gary Alan FineDepartment of Sociology, Northwestern University, Evanston, Illinois 60208; email: [email protected]
                Annual Review of Sociology Vol. 38: 159 - 179
                • ...Groups help overcome the free rider problem (Olson 1965) through selective reputational and material incentives that microcommunities with tight surveillance, ...
              • Studying Organizational Advocacy and Influence: Reexamining Interest Group Research

                Marie Hojnacki,1 David C. Kimball,2 Frank R. Baumgartner,3 Jeffrey M. Berry,4 and Beth L. Leech51Department of Political Science, Penn State University, University Park, Pennsylvania 16802; email: [email protected]2Department of Political Science, University of Missouri–St. Louis, St. Louis, Missouri 63121; email: [email protected]3Department of Political Science, University of North Carolina–Chapel Hill, Chapel Hill, North Carolina 27599; email: [email protected]4Department of Political Science, Tufts University, Medford, Massachusetts 02111; email: [email protected]5Department of Political Science, Rutgers University, New Brunswick, New Jersey 08901; email: [email protected]
                Annual Review of Political Science Vol. 15: 379 - 399
                • ...Olson's The Logic of Collective Action (1965) had a profound impact on interest group scholarship....
              • Formal Models of International Institutions

                Michael J. Gilligan1 and Leslie Johns21Department of Politics, New York University, New York, New York 10003; email: [email protected]2Department of Political Science, University of California, Los Angeles 90095; email: [email protected]
                Annual Review of Political Science Vol. 15: 221 - 243
                • The Contribution of Behavioral Economics to Political Science

                  Rick K. WilsonDepartment of Political Science, Rice University, Houston, Texas 77251-1892; email: [email protected]
                  Annual Review of Political Science Vol. 14: 201 - 223
                  • ...It has its foundations in Olson's (1965) book The Logic of Collective Action....
                • The Politics of Regulation: From New Institutionalism to New Governance

                  Christopher Carrigan1,3 and Cary Coglianese2,31John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2University of Pennsylvania Law School and Department of Political Science, Philadelphia, Pennsylvania 19104; email: [email protected]3Penn Program on Regulation, University of Pennsylvania, Philadelphia, Pennsylvania 19104
                  Annual Review of Political Science Vol. 14: 107 - 129
                  • ...A tendency toward capture may always exist because regulated firms are better able than diffuse publics to overcome collective action problems (Olson 1965, Wilson 1980) and, ...
                • Field Experiments on Political Behavior and Collective Action

                  Eline A. de Rooij,1 Donald P. Green,2 and Alan S. Gerber21Nuffield College, University of Oxford, Oxford OX1 1NF, United Kingdom; email: [email protected]2Department of Political Science, Yale University, New Haven, Connecticut 06520; email: [email protected], [email protected]
                  Annual Review of Political Science Vol. 12: 389 - 395
                  • ...According to Olson (1965), collective action can only be successful in the context of small groups or if “coercion or some other special device” (p. 2) is applied to make individuals cooperate....
                • Divided Politics: Bicameralism, Parties, and Policy in Democratic Legislatures

                  William B. HellerDepartment of Political Science, Binghamton University, Binghamton, New York 13902-6000; email: [email protected]
                  Annual Review of Political Science Vol. 10: 245 - 269
                  • ...It also combines the logic of the setter model with principal-agent analysis and Olson's (1965) insights into problems of collective action....
                • Institutional Failure in Resource Management

                  James M. AchesonDepartments of Anthropology and Marine Science, University of Maine, Orono, Maine 04469; email: [email protected]
                  Annual Review of Anthropology Vol. 35: 117 - 134
                  • ...there is no guarantee they will be provided. Olson (1965) first recognized this problem: He pointed out that even if rules or other public goods would benefit all, ...
                  • ...Buchanan & Tullock (1962), Olson (1965), and Becker (1983) see the source of government failure in the interest groups or winning majorities that pressure the government into redistributing goods and services to them at enormous cost to the public....
                • Personnel Psychology: Performance Evaluation and Pay for Performance

                  Sara L. Rynes Barry Gerhart Laura ParksDepartment of Management & Organizations, Tippie College of Business, University of Iowa, Iowa City, Iowa 52242; email: [email protected] Graduate School of Business, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected] Tippie College of Business, University of Iowa, Iowa City, Iowa 52242; email: [email protected]
                  Annual Review of Psychology Vol. 56: 571 - 600
                  • ...rational self-interested individuals will not act to achieve their common or group interests” (Olson 1965, ...
                • Advocacy Organizations in the U.S. Political Process

                  Kenneth T. Andrews1 andBob Edwards21Department of Sociology, University of North Carolina, Chapel Hill, North Carolina 27599-3210; email: [email protected] 2Department of Sociology, East Carolina University, Greenville, North Carolina 27858; email: [email protected]
                  Annual Review of Sociology Vol. 30: 479 - 506
                  • ...Recent research has provided insight into how interest groups overcome Olson's (1965) free-rider problem (e.g., ...
                  • ...Substantial analytic attention has focused on issues arising from the “iron law of oligarchy” (Lipset et al. 1977, Michels 1958) and the free-rider problem (Olson 1965)....
                • WHAT DOES POLITICAL ECONOMY TELL US ABOUT ECONOMIC DEVELOPMENT—AND VICE VERSA?

                  Philip KeeferDevelopment Research Group, The World Bank, 1818 H Street NW, Washington, DC 20433; email: [email protected]
                  Annual Review of Political Science Vol. 7: 247 - 272
                  • ...Why are some economic interests better able to impose their preferences on government policy than others? Olson (1965) answered this question by arguing that those economic interests least able to overcome collective action problems in order to project their demands on politicians are most likely to bear the costs of political decision making....

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                  Annual Review of Ecology, Evolution, and Systematics Vol. 52: 87 - 109
                  • ...the UK, and the USA, commencing in the mid-1950s (Cowan 1990)....
                • Nuclear Power: Economic, Safety, Health, and Environmental Issues of Near-Term Technologies

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                  Annual Review of Environment and Resources Vol. 34: 127 - 152
                  • ...It is likely that the near-term future of nuclear power will be locked into light-water technology for historical and political reasons in addition to technical ones (15)....
                • The New Corporate Social Responsibility

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                  Annual Review of Environment and Resources Vol. 33: 413 - 435
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                • ENERGY IN THE TWENTIETH CENTURY: Resources, Conversions, Costs, Uses, and Consequences

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                  Annual Review of Energy and the Environment Vol. 25: 21 - 51
                  • ...but owing to its early adoption following its initial use on U.S. nuclear submarines (54)....

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                • Human Cooperation and the Crises of Climate Change, COVID-19, and Misinformation

                  Paul A.M. Van Lange1 and David G. Rand21Department of Experimental and Applied Psychology and Institute for Brain and Behavior Amsterdam (iBBA), Vrije Universiteit Amsterdam, 1081 BT Amsterdam, The Netherlands; email: [email protected]2Department of Brain and Cognitive Sciences, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139, USA; email: [email protected]
                  Annual Review of Psychology Vol. 73: 379 - 402
                  • ...cooperation routinely decreases over time because targeted reciprocity is not possible: An individual cooperates with either everyone or no one (Hardin 1968)....
                • The Alignment of Natural and Sexual Selection

                  Locke Rowe1 and Howard D. Rundle21Department of Ecology and Evolutionary Biology, University of Toronto, Toronto, Ontario, Canada M5S 3B2; email: [email protected]2Department of Biology, University of Ottawa, Ottawa, Ontario, Canada K1N 6N5; email: [email protected]
                  Annual Review of Ecology, Evolution, and Systematics Vol. 52: 499 - 517
                  • ...A well-known example of decoupling is the tragedy of the commons whereby selection for increasing consumption of a limited resource may drive the population to a Darwinian extinction (Hardin 1968, Webb 2003)....
                • On the Coevolution of Economic and Ecological Systems

                  Simon Levin1 and Anastasios Xepapadeas2,31Department of Ecology and Evolutionary Biology, Princeton University, Princeton, New Jersey 08544, USA; email: [email protected]2Department of International and European Studies, Athens University of Economics and Business, Athens 104 34, Greece; email: [email protected]3Department of Economics, University of Bologna, 40126 Bologna, Italy
                  Annual Review of Resource Economics Vol. 13: 355 - 377
                  • ... as well as in the management of socioecological systems (Hardin 1968)....
                  • ...common-pool or open access situations lead to inefficient overexploitation of a resource and the tragedy of the commons (Hardin 1968)....
                • The Sharing Economy: Rhetoric and Reality

                  Juliet B. Schor1 and Steven P. Vallas21Department of Sociology, Boston College, Chestnut Hill, Massachusetts 02467, USA; email: [email protected]2Department of Sociology and Anthropology, Northeastern University, Boston, Massachusetts 02115, USA; email: [email protected]
                  Annual Review of Sociology Vol. 47: 369 - 389
                  • ...Garrett Hardin's (1968) article “The Tragedy of the Commons” argued that self-interested users of common resources would inevitably overuse and degrade them....
                • Experimental Games and Social Decision Making

                  Eric van Dijk1 and Carsten K.W. De Dreu1,21Department of Psychology, Leiden University, 2300 RA Leiden, The Netherlands; email: [email protected]2Faculty of Economics and Business, University of Amsterdam, 1012 WX Amsterdam, The Netherlands
                  Annual Review of Psychology Vol. 72: 415 - 438
                  • ...cooperative effort can be aimed at preventing a public bad such as the spreading of contagious disease (Cartwright et al. 2019, Gross & De Dreu 2019b, Hardin 1968)...
                  • ...free-riding can result in what Hardin (1968) famously called the “tragedy of the commons.”...
                • Social Evolution and Cheating in Plant Pathogens

                  Maren L. FriesenDepartment of Plant Pathology and Department of Crop and Soil Sciences, Washington State University, Pullman, Washington 99164, USA; email: [email protected]
                  Annual Review of Phytopathology Vol. 58: 55 - 75
                  • ...The plant host can be considered a public good and its exploitation can result in a tragedy of the commons (68), ...
                  • ...even when this leads to the demise of the group (6, 68)....
                • Global Groundwater Sustainability, Resources, and Systems in the Anthropocene

                  Tom Gleeson,1 Mark Cuthbert,2,3 Grant Ferguson,4 and Debra Perrone51Department of Civil Engineering and School of Earth and Ocean Sciences, University of Victoria, British Columbia V8W 3P5, Canada; email: [email protected]2School of Earth and Ocean Sciences and Water Research Institute, Cardiff University, Cardiff CF10 3AT, United Kingdom3Connected Waters Initiative Research Centre, University of New South Wales, Sydney, New South Wales 2052, Australia4Department of Civil, Geological and Environmental Engineering, University of Saskatchewan, Saskatoon, Saskatchewan S7N 5E5, Canada5Environmental Studies Program, University of California, Santa Barbara, California 93106-1100, USA
                  Annual Review of Earth and Planetary Sciences Vol. 48: 431 - 463
                  • ...which can lead to the tragedy of the commons (Hardin 1968) where groundwater depletion or contamination occurs because a large number of users share a rivalrous resource....
                • Deregulation and the Assault on Science and the Environment

                  Jonathan M. Samet1 and Thomas A. Burke21Colorado School of Public Health, University of Colorado Anschutz Medical Campus, Aurora, Colorado 80045, USA; email: [email protected]2Department of Health Policy and Management, Bloomberg School of Public Health, Johns Hopkins University, Baltimore, Maryland 21205, USA; email: [email protected]
                  Annual Review of Public Health Vol. 41: 347 - 361
                  • ...The “tragedy of the commons” is being played out too quickly as the societal principles underlying regulation have been abandoned (11)....
                • Is Natural Capital Really Substitutable?

                  François Cohen,1 Cameron J. Hepburn,1 and Alexander Teytelboym1,21Smith School for Enterprise and the Environment and Institute for New Economic Thinking at the Oxford Martin School, University of Oxford, Oxford OX2 6, United Kingdom; email: [email protected]2Department of Economics and St. Catherine's College, University of Oxford, Oxford OX2 6, United Kingdom
                  Annual Review of Environment and Resources Vol. 44: 425 - 448
                  • ...This is because property rights over much of natural capital—such as the atmosphere, oceans, and biodiversity—are not well established (72)....
                • Illegal Wildlife Trade: Scale, Processes, and Governance

                  Michael ‘t Sas-Rolfes,1,2 Daniel W.S. Challender,1,3 Amy Hinsley,1,3 Diogo Veríssimo,1,3,4 and E.J. Milner-Gulland1,31Oxford Martin Program on the Illegal Wildlife Trade, Oxford Martin School, University of Oxford, Oxford OX1 3BD, United Kingdom; email: [email protected], [email protected], [email protected], [email protected], [email protected]2School of Geography and the Environment, University of Oxford, Oxford OX1 3QY, United Kingdom3Department of Zoology, University of Oxford, Oxford OX1 3SZ, United Kingdom4Institute for Conservation Research, San Diego Zoo Global, Escondido, CA 92027, USA
                  Annual Review of Environment and Resources Vol. 44: 201 - 228
                  • ...it reached a wider audience following Garret Hardin's influential “Tragedy of the Commons” article (57)....
                • The Politics of Climate Change Adaptation

                  Nives Dolšak1 and Aseem Prakash21School of Marine and Environmental Affairs, University of Washington, Seattle, Washington 98195, USA; email: [email protected]2Department of Political Science & Center for Environmental Politics, University of Washington, Seattle, Washington 98195, USA; email: [email protected]
                  Annual Review of Environment and Resources Vol. 43: 317 - 341
                  • ...Mitigation requires addressing the tragedy of the global commons (3)....
                • Sharing Data to Build a Medical Information Commons: From Bermuda to the Global Alliance

                  Robert Cook-Deegan,1 Rachel A. Ankeny,2 and Kathryn Maxson Jones31School for the Future of Innovation in Society, Arizona State University, Washington, DC 20009; email: [email protected]2School of Humanities, University of Adelaide, Adelaide, South Australia 5005, Australia3Program in History of Science, Department of History, Princeton University, Princeton, New Jersey 08544
                  Annual Review of Genomics and Human Genetics Vol. 18: 389 - 415
                  • ...This language explicitly invoked a “commons” and thus Garrett Hardin's classic essay from 1968 (67, 68)....
                • Transition Metals and Virulence in Bacteria

                  Lauren D. Palmer1 and Eric P. Skaar1,21Department of Pathology, Microbiology, and Immunology, Vanderbilt University Medical Center, Nashville, Tennessee 37212; email: [email protected]2Tennessee Valley Healthcare System, US Department of Veterans Affairs, Nashville, Tennessee 37212
                  Annual Review of Genetics Vol. 50: 67 - 91
                  • ...an economics term first applied to evolutionary biology by Garrett Hardin in 1968 to describe each individual seeking maximum benefit from common goods at the expense of population-wide fitness (60)....
                • Transformative Environmental Governance

                  Brian C. Chaffin,1 Ahjond S. Garmestani,2 Lance H. Gunderson,3 Melinda Harm Benson,4 David G. Angeler,5 Craig Anthony (Tony) Arnold,6 Barbara Cosens,7 Robin Kundis Craig,8 J.B. Ruhl,9 and Craig R. Allen10 1College of Forestry & Conservation, University of Montana, Missoula, Montana 59801; email: [email protected]2National Risk Management Research Laboratory, US Environmental Protection Agency, Cincinnati, Ohio 45268; email: [email protected]3Department of Environmental Sciences, Emory University, Atlanta, Georgia 30322; email: [email protected]4Department of Geography & Environmental Studies, University of New Mexico, Albuquerque, New Mexico 87131; email: [email protected]5Department of Aquatic Sciences and Assessment, Swedish University of Agricultural Sciences, 75007 Uppsala, Sweden; email: [email protected]6Brandeis School of Law and Department of Urban and Public Affairs, University of Louisville, Louisville, Kentucky 40208; email: [email protected]7College of Law, University of Idaho, Moscow, Idaho 83844; email: [email protected]8S.J. Quinney College of Law, University of Utah, Salt Lake City, Utah 84112; email: [email protected]9Vanderbilt Law School, Vanderbilt University, Nashville, Tennessee 37203; email: [email protected]10US Geological Survey, Nebraska Cooperative Fish and Wildlife Research Unit, University of Nebraska, Lincoln, Nebraska 68583; email: [email protected]
                  Annual Review of Environment and Resources Vol. 41: 399 - 423
                  • ...Hardin (20) called upon two mechanisms to prevent overexploitation of common-pool resources: private ownership (and thus market mechanisms to respond to change) and state regulation....
                • Corporate Environmentalism: Motivations and Mechanisms

                  Elizabeth Chrun,1 Nives Dolšak,2 and Aseem Prakash11Department of Political Science, University of Washington, Seattle, Washington 98195; email: [email protected]2School of Marine and Environmental Affairs, University of Washington, Seattle, Washington 98195
                  Annual Review of Environment and Resources Vol. 41: 341 - 362
                  • ...Hardin (5) further underlined concerns about the overexploitation of resources due to the absence of property rights....
                  • ...This quickly caught the public imagination because it provided the vocabulary to articulate concerns over overpopulation and overharvesting (5)....
                  • ...Unlike Hardin (5), the Limits to Growth (6, 7) report did not attribute resource overexploitation to the improper specification of property rights....
                • Well-Being Dynamics and Poverty Traps

                  Christopher B. Barrett,1 Teevrat Garg,2,3 and Linden McBride11Charles H. Dyson School of Applied Economics and Management, Cornell University, Ithaca, New York 14853; email: [email protected], [email protected]2Grantham Research Institute on Climate Change and Environment, London School of Economics, London, WC2A 2AE, United Kingdom3School of Global Policy and Strategy, University of California, San Diego, La Jolla, California 92093; email: [email protected]
                  Annual Review of Resource Economics Vol. 8: 303 - 327
                  • ...degrading the resource below a recoverable threshold and compromising communities' future livelihoods (Baland & Platteau 1996, Hardin 1968, Ostrom 1990)....
                • Conservation Paleobiology: Leveraging Knowledge of the Past to Inform Conservation and Restoration

                  Gregory P. Dietl,1,2 Susan M. Kidwell,3 Mark Brenner,4 David A. Burney,5 Karl W. Flessa,6 Stephen T. Jackson,6,7 and Paul L. Koch81Paleontological Research Institution, Ithaca, New York 148502Department of Earth and Atmospheric Sciences, Cornell University, Ithaca, New York 14853; email: [email protected]3Department of Geophysical Sciences, University of Chicago, Chicago, Illinois 606374Department of Geological Sciences, University of Florida, Gainesville, Florida 326115National Tropical Botanical Garden, Kalaheo, Hawaii 967416Department of Geosciences, University of Arizona, Tucson, Arizona 857217Southwest Climate Science Center, US Department of the Interior, Tucson, Arizona 857198Department of Earth and Planetary Sciences, University of California, Santa Cruz, California 95064
                  Annual Review of Earth and Planetary Sciences Vol. 43: 79 - 103
                  • ...Although conservation triage remains as controversial now (Jachowski & Kesler 2009, Parr et al. 2009) as in the early days of environmental science (Hardin 1968, 1985), ...
                • Resolving Conflicts During the Evolutionary Transition to Multicellular Life

                  Paul B. Rainey1,2 and Silvia De Monte31New Zealand Institute for Advanced Study and Allan Wilson Center for Molecular Ecology and Evolution, Massey University, Auckland 0745, New Zealand; email: [email protected]2Max Planck Institute for Evolutionary Biology, 24306 Plön, Germany3Institut de Biologie de l'Ecole Normale Supérieure, UMR CNRS 8197 INSERM 1024, F-75005 Paris, France; email: [email protected]
                  Annual Review of Ecology, Evolution, and Systematics Vol. 45: 599 - 620
                  • ...acts to increase the abundance of defecting types ultimately to the point where cooperating types go extinct—a classic instance of the tragedy of the commons (Hardin 1968, Kerr et al. 2006, Rankin et al. 2007)....
                • Measuring the Co-Benefits of Climate Change Mitigation

                  Diana Ürge-Vorsatz,1 Sergio Tirado Herrero,1 Navroz K. Dubash,2 and Franck Lecocq31Center for Climate Change and Sustainable Energy Policy, Central European University, Budapest H-1051, Hungary; email: [email protected], [email protected]2Centre for Policy Research, Chanakyapuri, New Delhi 110021, India; email: [email protected]3Centre International de Recherche sur l'Environnement et le Développement, Campus du Jardin Tropical, Nogent-sur-Marne F-94736, France; email: [email protected]
                  Annual Review of Environment and Resources Vol. 39: 549 - 582
                  • ...climate change can be taken as an updated example of the tragedy of the commons (13)....
                • Networks and the Challenge of Sustainable Development

                  Adam Douglas Henry1 and Björn Vollan21School of Government and Public Policy, University of Arizona, Tucson, Arizona 85721-0027; email: [email protected]2Department of Public Finance, University of Innsbruck, A-6020 Innsbruck, Austria; email: [email protected]
                  Annual Review of Environment and Resources Vol. 39: 583 - 610
                  • ...In his article “The Tragedy of the Commons,” Hardin (24) painted a bleak picture of our collective ability to protect common pool resources (CPRs), ...
                  • ...Overconsumption emerges as a rational outcome that undermines the ability of otherwise well-intentioned actors to contribute to the protection of a particular resource.2 The classical view on commons management is that CPR dilemmas may be resolved only through centralized government control or by the creation of private property rights for the CPR (24)....
                • The Psychology of Environmental Decisions

                  Ben R. Newell,1 Rachel I. McDonald,1,2 Marilynn Brewer,1 and Brett K. Hayes11School of Psychology, University of New South Wales, Sydney 2052, Australia; email: [email protected]2Department of Psychology, University of Kansas, Lawrence, Kansas 66045
                  Annual Review of Environment and Resources Vol. 39: 443 - 467
                  • ...Social dilemmas occur in one of two forms: public goods (give-some) dilemmas and resource (take-some) dilemmas (also known as the commons dilemma) (124)....
                • Dynamics and Resilience of Rangelands and Pastoral Peoples Around the Globe

                  Robin S. Reid,1,2,3 María E. Fernández-Giménez,4 and Kathleen A. Galvin3,51Department of Ecosystem Science and Sustainability,2Center for Collaborative Conservation,3Natural Resource Ecology Laboratory,4Department of Forest and Rangeland Stewardship,5Department of Anthropology, Colorado State University, Fort Collins, Colorado 80523; email: [email protected], [email protected], [email protected]
                  Annual Review of Environment and Resources Vol. 39: 217 - 242
                  • ...Hardin's “Tragedy of the Commons” (31) promoted the idea that joint grazing of rangelands by multiple herders inevitably leads to overuse because no herder has the incentive to restrain from overgrazing the commons....
                • The Internship Imbalance in Professional Psychology: Current Status and Future Prospects

                  Robert L. HatcherThe Graduate Center–City University of New York, New York 10016; email: [email protected]
                  Annual Review of Clinical Psychology Vol. 10: 53 - 83
                  • ...Hardin (1968) recognized this situation as the “tragedy of the commons,” a situation that has occurred worldwide throughout history, ...
                • Acyl-Homoserine Lactone Quorum Sensing: From Evolution to Application

                  Martin Schuster,1 D. Joseph Sexton,1 Stephen P. Diggle,2 and E. Peter Greenberg31Department of Microbiology, Oregon State University, Corvallis, Oregon 97331; email: [email protected], [email protected]2School of Life Sciences, University of Nottingham, Nottingham NG7 2RD, United Kingdom; email: [email protected]3Department of Microbiology, University of Washington, Seattle, Washington 98195; email: [email protected]
                  Annual Review of Microbiology Vol. 67: 43 - 63
                  • ...This problem is well known in the fields of economics and human morality, where it is termed the tragedy of the commons (42)....
                  • ...but this is not stable because each individual gains by selfishly pursuing its own short-term interests (42)....
                • The Political Economy of Fishery Reform

                  Corbett A. Grainger and Dominic P. ParkerDepartment of Agricultural and Applied Economics, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected], [email protected]
                  Annual Review of Resource Economics Vol. 5: 369 - 386
                  • ... and Scott (1955) and labeled a “tragedy of the commons” by Hardin (1968)....
                • Law and Economics of Intellectual Property: In Search of First Principles

                  Dan L. BurkSchool of Law, University of California, Irvine, California 92617; email: [email protected]
                  Annual Review of Law and Social Science Vol. 8: 397 - 414
                  • ...and no party with the right to prevent anyone else from grazing (Hardin 1968)....
                • Lives With Others: Climate Change and Human-Animal Relations

                  Rebecca CassidyDepartment of Anthropology, Goldsmiths, University of London, London SE14 6NW, United Kingdom; email: [email protected]
                  Annual Review of Anthropology Vol. 41: 21 - 36
                  • ...when it was conventional to portray food shortages in Africa as “man made” disasters and desertification as the consequence of the “tragedy of the Commons” (Hardin 1968): the natural desire of pastoralists to enlarge their herds....
                • Lessons Learned

                  Richard L. Hall1055 W. Joppa Road, Apt. 614, Towson, Maryland 21204; email: [email protected]

                  Annual Review of Food Science and Technology Vol. 3: 1 - 13
                  • ...My thoughts on free markets and regulation—especially as we confront looming shortages—were strongly influenced by Garrett Hardin's seminal paper, “The Tragedy of the Commons” (1968)....
                • Approaches and Incentives to Implement Integrated Pest Management that Addresses Regional and Environmental Issues

                  Michael J. Brewer1 and Peter B. Goodell21Texas AgriLife Research & Department of Entomology, Texas AgriLife Research and Extension Center Corpus Christi, Texas A&M University, Corpus Christi, Texas 78406; email: [email protected]2Statewide Integrated Pest Management Program, Cooperative Extension, Kearney Agricultural Center, University of California, Parlier, California 93648; email: [email protected]
                  Annual Review of Entomology Vol. 57: 41 - 59
                  • ...the natural resource base on which agriculture depends) is well described as the tragedy of the commons (51)....
                  • ...In the example provided in Hardin's essay (51), a community of herdsman utilize the same common grazing area....
                  • ...Although Hardin's argument (51) is aimed mostly at the need to feed an exploding human population, ...
                • Political Economy of the Environment

                  Thomas K. Rudel,1 J. Timmons Roberts,2 and JoAnn Carmin31Departments of Human Ecology and Sociology, Rutgers University, New Brunswick, New Jersey 08901; email: [email protected]2Center for Environmental Studies and Department of Sociology, Brown University, Providence, Rhode Island 02912; email: [email protected]3Department of Urban Studies and Planning, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139; email: [email protected]
                  Annual Review of Sociology Vol. 37: 221 - 238
                  • ...Most prominently, Hardin (1968), in his famous “Tragedy of the Commons” essay, ...
                  • ...In the early 1970s, “The Tragedy of the Commons” (Hardin 1968) received widespread attention, ...
                • The State of the Field of Environmental History

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                  • ...The concept of the “tragedy of the commons,” popularized by Hardin (195) with its classic example of a pasture open to all comers, ...
                • Economic Incentives and Global Fisheries Sustainability

                  Christopher Costello,1,* John Lynham,2 Sarah E. Lester,3 and Steven D. Gaines11Bren School of Environmental Science and Management, University of California, Santa Barbara, California 93106; email: [email protected], [email protected]2Department of Economics, University of Hawai'i, Mānoa, Hawaii 96822; email: [email protected]3Marine Science Institute, University of California, Santa Barbara, California 93106; email: [email protected]
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                  • ...an outcome subsequently popularized by an ecologist (Hardin 1968) as the tragedy of the commons and refined in a contemporary context (e.g., ...
                • A Long Polycentric Journey

                  Elinor OstromWorkshop in Political Theory and Policy Analysis, Indiana University, Bloomington, Indiana 47408; email: [email protected]

                  Annual Review of Political Science Vol. 13: 1 - 23
                  • ... book on The Logic of Collective Action nor Hardin's (1968) article on the “Tragedy of the Commons” had been published....
                • Morality in the Law: The Psychological Foundations of Citizens’ Desires to Punish Transgressions

                  John M. DarleyDepartment of Psychology, Princeton University, Princeton, New Jersey 08540; email: [email protected]

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                  • ...The latter is Hardin's (1968) paradigm of the tragedy of the commons....
                • Global Groundwater? Issues and Solutions

                  Mark GiordanoInternational Water Management Institute, Colombo, Sri Lanka; email: [email protected]
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                  • ...Although the solutions to CPR problems may have seemed impossible [e.g., Hardin (99)], ...
                • Behavior, Environment, and Health in Developing Countries: Evaluation and Valuation

                  Subhrendu K. Pattanayak1,2 and Alexander Pfaff11Sanford School of Public Policy, Duke University, Durham, North Carolina 27708; email: [email protected], [email protected]2Nicholas School of the Environment, Duke University, Durham, North Carolina 27708
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                  • ...For a general discussion of analogous problems of common property resource management, see Ostrom (1990), which essentially is a response to Hardin (1968)....
                • Sanctions, Cooperation, and the Stability of Plant-Rhizosphere Mutualisms

                  E. Toby Kiers1 and R. Ford Denison21Faculteit der Aard – en Levenswetenschappen, De Boelelaan 1085, Vrije Universiteit Amsterdam, 1081 HV Amsterdam, The Netherlands; email: [email protected]2Department of Ecology, Evolution, & Behavior, University of Minnesota, St. Paul, Minnesota 55108; email: [email protected]
                  Annual Review of Ecology, Evolution, and Systematics Vol. 39: 215 - 236
                  • ...Such multiple infections can create a potential tragedy of the commons (Hardin 1968)....
                • From Resilience to Resistance: Political Ecological Lessons from Antibiotic and Pesticide Resistance

                  Kathryn M. Orzech and Mark NichterDepartment of Anthropology, University of Arizona, Tucson, Arizona 85721; email: [email protected], [email protected]
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                  • ...bringing to mind the concept of tragedy of the commons (Hardin 1968)....
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                  Diana Rhoten1 and Walter W. Powell21Social Science Research Council, New York, NY 10019; email: [email protected]2School of Education, Stanford University, Stanford, California 94305; email: [email protected]
                  Annual Review of Law and Social Science Vol. 3: 345 - 373
                  • ...setting the stage for the enduring tension subsequently taken up by scholars concerned with the balance between individual incentive and collective benefit associated with the production and consumption of a shared resource (Hardin 1968...
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                  • ...leading to the familiar tragedy of the commons problem where the selfish interest of individuals leads to less efficient resource use (Hardin 1968)....
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                  • ...This partly responds to Hardin's theory of the tragedy of the commons (17), ...
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                  • ...Hardin (1968) advocated government management in his article “The Tragedy of the Commons.” Many bureaucrats and environmentalists share Hardin's advocacy of strong and possibly repressive government action, ...
                  • ...Why conserve when the resource will likely be taken by someone else—perhaps in a matter of a few hours (Acheson 1989, Gordon 1954, Hardin 1968)...
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                  • ...social groups are vulnerable to exploitation by group members who free ride on group resources (51, 61)....
                  • ...reproductive workers carry out little work and worker reproduction can reduce colony productivity, causing a “tragedy of the commons” (51, 136)....
                  • ...As in the conflict over male rearing, this may create a tragedy of the commons (51), ...
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                  • ...Indeed one can see that Garrett Hardin's “tragedy of the commons” is another instance of exactly the same game (Hardin 1968, 1998)....
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                  • ...the paper that commanded substantially more attention for saying the same thing (although confusing common property and open access) was Hardin's 1968 paper “The Tragedy of the Commons” (17)....
                • Applied Evolution

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                  • ...thereby providing the opportunity (and incentive) for free-riding. Hardin's (1968) famous essay on the “tragedy of the commons” involves just such a scenario, ...
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                  • ...Although this line of work has provided an important counter to the “tragedy of the commons” perspective (Hardin 1968), ...
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                  • ...Since the influential article by Hardin (1968), “the tragedy of the commons” has been used as a metaphor for the problems of overuse and degradation of natural resources including the destruction of fisheries, ...
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                  • ...The recent focus by both natural and social scientists on the “global commons,” stimulated by Garrett Hardin's often cited and apocryphal Tragedy of the Commons (28), ...
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                  • ... and made famous by Hardin in 1968 when he published his article in Science on the topic....
                  • ...This is also the solution Hardin proposed in his famous article (1968) when he concluded that “freedom in a commons brings ruin to all.” Hardin fully acknowledged that the outcome might be grossly unfair to some people, ...
                  • ...but given the global tragedy he felt was inevitable, he declared that “injustice is preferable to total ruin” (1968)....
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                  • ...One tendency in ecological research followed Garret Hardin's thesis in “Tragedy of the Commons” (1968), ...
                  • ...Garret Hardin's “Tragedy of the Commons,” published in Science in 1968, ...
                  • ...Freedom in a commons brings ruin to all” (Hardin 1968, p. 1244)....
                • ENVIRONMENTAL PSYCHOLOGY 1989–1994

                  Eric SundstromDepartment of Psychology, University of Tennessee, Knoxville, Tennessee 37916 Paul A. BellDepartment of Psychology, Colorado State University, Fort Collins, Colorado 80523 Paul L. BusbyDepartment of Psychology, University of Tennessee, Knoxville, Tennessee 37916 Cheryl AsmusDepartment of Psychology, Colorado State University, Fort Collins, Colorado 80523
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                  • ...Hardin's (1968) description of self-interested abuse of a shared environment spawned many laboratory simulations of the commons dilemma in which individuals harvest from a shared resource (Fusco et al 1991, Gifford & Wells 1991)...

              • 65. 
                Ostrom E. 1990. Governing the Commons: The Evolution of Institutions for Collective Action. Cambridge, UK: Cambridge Univ. Press
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                • The Internship Imbalance in Professional Psychology: Current Status and Future Prospects

                  Robert L. HatcherThe Graduate Center–City University of New York, New York 10016; email: [email protected]
                  Annual Review of Clinical Psychology Vol. 10: 53 - 83
                  • ...Frequently cited examples of such resources include water supplies, fish stocks, and grazing areas (Ostrom 1990, Parks et al. 2013), ...
                  • ...and serious losses, especially to less advantaged participants (Dietz et al. 2002, 2003; Ostrom 1990...
                  • ...Ostrom and colleagues presented numerous studies of the various governance structures in use currently and historically around the world to provide effective management of common-pool resources and forestall the tragedy of the commons (e.g., Dietz et al. 2002, Ostrom 1990...
                  • ...and place limits on each user's take from the resource (e.g., Dietz et al. 2003, Ostrom 1990)....
                  • ...numerous examples exist of overly rigid and centralized government management systems that have brought ruin to common-pool resource management (Ostrom 1990)....
                  • ...programs using alternative resources may appear to be free riders (Delton et al. 2012, Hatcher 2011a, Ostrom 1990) who take advantage of a common good without bearing their share of the cost of doing so (prominent among many costs is the risk of unplaced applicants with nowhere to go)....
                • Market Instruments for the Sustainability Transition

                  Edward A. Parson1 and Eric L. Kravitz21School of Law, University of California, Los Angeles, California 90095; email: [email protected]2School of Natural Resources and Environment, University of Michigan, Ann Arbor, Michigan 48109; email: [email protected]
                  Annual Review of Environment and Resources Vol. 38: 415 - 440
                  • ...which define people's perceived obligations and expectations and so influence behavior by internalized norms or social enforcement (13–16)....
                • Economic Institutions and the State: Insights from Economic History

                  Henning HillmannDepartment of Sociology, School of Social Sciences, University of Mannheim, D-68159 Mannheim, Germany; email: [email protected]
                  Annual Review of Sociology Vol. 39: 251 - 273
                  • ...whether political, social, or economic.” Ostrom (1990) offers a more comprehensive definition, ...
                  • ...and what payoffs will be assigned to individuals dependent on their actions” (Ostrom 1990, ...
                • The Political Economy of Fishery Reform

                  Corbett A. Grainger and Dominic P. ParkerDepartment of Agricultural and Applied Economics, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected], [email protected]
                  Annual Review of Resource Economics Vol. 5: 369 - 386
                  • ...Considerable confusion about the distinction between the two terms has clouded academic discourse and misguided policy reforms (see Ostrom 1990)....
                • Social Networks and the Environment

                  Julio ViderasEconomics Department, Hamilton College, Clinton, New York 13323; email: [email protected]
                  Annual Review of Resource Economics Vol. 5: 211 - 226
                  • ...Among the findings by Ostrom (1990), an insight that challenges the neoclassical concept of isolated economic agents is that the type and nature of social networks and norms can influence a community’s ability to manage successfully its finite resources....
                • Why Social Relations Matter for Politics and Successful Societies

                  Peter A. Hall and Michèle LamontMinda de Gunzburg Center for European Studies, Harvard University, Cambridge, Massachusetts 02138; email: [email protected], [email protected]
                  Annual Review of Political Science Vol. 16: 49 - 71
                  • ...They may entail cooperation to resolve common pool resource problems of the sort Ostrom (1990, 2005) has investigated....
                  • ...Ostrom (1990) and others have shown that systems for monitoring and sanctioning defections from cooperative behavior can be important to such capacities....
                • Green Clubs: Collective Action and Voluntary Environmental Programs

                  Matthew Potoski1 and Aseem Prakash21Bren School of Environmental Science and Management, University of California, Santa Barbara, California 93106; email: [email protected]2Department of Political Science, University of Washington, Seattle, Washington 98195; email: [email protected]
                  Annual Review of Political Science Vol. 16: 399 - 419
                  • ...As Ostrom (1990) suggested, institutionalist scholars need to study rules on the ground (operational choice rules) as well as the rules to make rules (collective choice rules)....
                  • ...As Ostrom (1990) emphasized, scholars need to look for solutions beyond the monolithic categories of “the state” or “the market” to develop policy instruments that harness the strengths of each while avoiding their pitfalls....
                • Evolutionary Psychology: New Perspectives on Cognition and Motivation

                  Leda Cosmides1 and John Tooby21Department of Psychological & Brain Sciences and Center for Evolutionary Psychology and2Department of Anthropology and Center for Evolutionary Psychology, University of California, Santa Barbara, California 93106; email: [email protected], [email protected]
                  Annual Review of Psychology Vol. 64: 201 - 229
                  • ...and even politics (Olson 1965, Brewer & Kramer 1986, Ostrom 1990, Price et al. 2002)....
                • Toward Principles for Enhancing the Resilience of Ecosystem Services

                  Reinette Biggs,1,2 Maja Schlüter,1,3 Duan Biggs,4,5,6 Erin L. Bohensky,7 Shauna BurnSilver,8 Georgina Cundill,10 Vasilis Dakos,11 Tim M. Daw,1,12 Louisa S. Evans,4 Karen Kotschy,13 Anne M. Leitch,4,14 Chanda Meek,15 Allyson Quinlan,16 Ciara Raudsepp-Hearne,17 Martin D. Robards,18 Michael L. Schoon,9 Lisen Schultz,1 and Paul C. West191Stockholm Resilience Centre, Stockholm University, Stockholm 10691, Sweden; email: [email protected], [email protected], [email protected]2Stellenbosch Institute for Advanced Study, Wallenberg Research Centre at Stellenbosch University, Stellenbosch 7600, South Africa3Department of Biology and Ecology of Fishes, Leibniz-Institute of Freshwater Ecology and Inland Fisheries, 12587 Berlin, Germany4Australian Research Council Centre of Excellence for Coral Reef Studies, James Cook University, Townsville, Queensland 4811, Australia; email: [email protected]5Scientific Services, South African National Parks, Skukuza 1350, South Africa6Centre of Excellence for Environmental Decisions, School of Biological Sciences, University of Queensland, Brisbane, Queensland 4072, Australia; email: [email protected]7Social and Economic Sciences Program, CSIRO Ecosystem Sciences, Townsville, Queensland 4811, Australia; email: [email protected]8School of Human Evolution and Social Change,9Complex Adaptive Systems Initiative, Arizona State University, Tempe, Arizona 85287; email: [email protected], [email protected]10Department of Environmental Science, Rhodes University, Grahamstown 6140, South Africa; email: [email protected]11Department of Aquatic Ecology and Water Quality Management, Wageningen University, Wageningen, 6708 PB, The Netherlands; email: [email protected]12School of International Development, University of East Anglia, Norwich NR4 7TJ, United Kingdom; email: [email protected]13Centre for Water in the Environment, University of the Witwatersrand, Johannesburg 2050, South Africa; email: [email protected]14CSIRO Sustainable Ecosystems, Brisbane, Queensland 4001, Australia; email: [email protected]15Department of Political Science, University of Alaska, Fairbanks, Alaska 99775; email: [email protected]16Department of Geography, Carleton University, Ottawa, Canada K1S 5B6; email: [email protected]17Geography Department, McGill University, Montreal, Quebec, Canada H3A 2K6; email: [email protected]18Wildlife Conservation Society, Fairbanks, Alaska 99775; email: [email protected]19Institute on the Environment, University of Minnesota, St. Paul, Minnesota 55108; email: [email protected]
                  Annual Review of Environment and Resources Vol. 37: 421 - 448
                  • ...and improve a management system's capacity to detect and interpret shocks and disturbances (123, 124)....
                • Payments for Environmental Services: Evolution Toward Efficient and Fair Incentives for Multifunctional Landscapes

                  Meine van Noordwijk,1 Beria Leimona,1 Rohit Jindal,2 Grace B. Villamor,1,3 Mamta Vardhan,4 Sara Namirembe,5 Delia Catacutan,6 John Kerr,7 Peter A. Minang,5 and Thomas P. Tomich81World Agroforestry Centre (ICRAF), Bogor 16880, Indonesia; email: [email protected], [email protected]2Department of Resource Economics and Environmental Sociology, University of Alberta, Edmonton, Alberta, Canada T6G 2H1; email: [email protected]3Center for Development Research (ZEF), University of Bonn, Germany 53113; email: [email protected]4Institute for Sustainable Energy, Environment and Economy, University of Calgary, Calgary, Alberta, Canada T2N 1N4; email: [email protected]5World Agroforestry Centre (ICRAF), Nairobi 00100, Kenya; email: [email protected], [email protected]6World Agroforestry Centre (ICRAF), Hanoi, Vietnam; email: [email protected]7Department of Community, Agriculture, Recreation and Resource Studies, Michigan State University, East Lansing, Michigan 48824; email: [email protected]8Agricultural Sustainability Institute, University of California, Davis, California 95616-8523; email: [email protected]
                  Annual Review of Environment and Resources Vol. 37: 389 - 420
                  • ...such as long-standing traditions or norms that favor collective action (129, 130)...
                • Behavioral Economics and Environmental Policy

                  Fredrik Carlsson and Olof Johansson-Stenman*Department of Economics, University of Gothenburg, SE 405 30 Gothenburg, Sweden; email: [email protected], [email protected]
                  Annual Review of Resource Economics Vol. 4: 75 - 99
                  • ...to effectively handle social dilemma–type situations (see, e.g., Dietz et al. 2003; Ostrom 1990, 2009...
                  • .... Ostrom (1990) provides extensive real-world evidence that sanction possibilities are essential for successful common property resource management....
                • The Political Science of Federalism

                  Jenna BednarDepartment of Political Science, University of Michigan, Ann Arbor, Michigan 48109; External Faculty, Santa Fe Institute, Santa Fe, New Mexico 87501; email: [email protected]
                  Annual Review of Law and Social Science Vol. 7: 269 - 288
                  • ...It abstracts the goals described in Section 2 to social goods requiring the coordinated effort of self-interested agents—the federal and state governments (some analyses further break apart the governments into components)—and hence leans heavily on theories of collective action problems and noncooperative game theory (Ostrom 1990)....
                • Efficiency Advantages of Grandfathering in Rights-Based Fisheries Management

                  Terry Anderson,1 Ragnar Arnason,2 and Gary D. Libecap3,4,*1PERC, Bozeman Montana Hoover Institution, Bozeman, Montana 59718; email: [email protected]2Department of Economics, University of Iceland, 101 Reykjavik, Iceland; email: [email protected]3Bren School of Environmental Science and Management, University of California, Santa Barbara, California 93106; email: [email protected]4National Bureau of Economic Research, Cambridge, Massachusetts 02138
                  Annual Review of Resource Economics Vol. 3: 159 - 179
                  • ...The conditions under which common property regimes function effectively, however, are limited, as outlined by Ostrom (1990, ...
                • Natural Resource Management: Challenges and Policy Options

                  Jessica Coria1,2 and Thomas Sterner1,*1Department of Economics, School of Business, Economics, and Law, University of Gothenburg, Gothenburg, SE 405 30 Sweden; email: [email protected], [email protected]2Facultad de Economía y Empresa, Universidad Diego Portales, Santiago 8370057, Chile
                  Annual Review of Resource Economics Vol. 3: 203 - 230
                  • ...2.3.2. Common property resource management.Some researchers maintain that common property resources (CPRs) may be a superior institution under certain conditions (Ostrom 1990, 1998, 1999...
                  • ...Ostrom (1990) developed eight general conditions that seemed to characterize sustainable CPR management:1)...
                  • ...Both Ostrom (1990) and Cox et al. (2010) do, however, insist that the conditions should not be seen as a blueprint to be applied everywhere: One of the essential conditions is that of local ownership and adjustment to local conditions. Cox et al. (2010)...
                • Political Economy of the Environment

                  Thomas K. Rudel,1 J. Timmons Roberts,2 and JoAnn Carmin31Departments of Human Ecology and Sociology, Rutgers University, New Brunswick, New Jersey 08901; email: [email protected]2Center for Environmental Studies and Department of Sociology, Brown University, Providence, Rhode Island 02912; email: [email protected]3Department of Urban Studies and Planning, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139; email: [email protected]
                  Annual Review of Sociology Vol. 37: 221 - 238
                  • ...whereas after 1990, Ostrom's (1990) Governing the Commons became a central theoretical resource....
                • The Rescaling of Global Environmental Politics

                  Liliana B. Andonova1 and Ronald B. Mitchell21Department of Political Science, Graduate Institute of International and Development Studies, Geneva 21, 1211, Switzerland; email: [email protected]2Department of Political Science, University of Oregon, Eugene, Oregon 97403-1284; email: [email protected]
                  Annual Review of Environment and Resources Vol. 35: 255 - 282
                  • ...has clarified the importance of multiple actors and networks, including local communities; private actors; subnational governments (8, 118)...
                  • ...and methods to examine the multiscale nature of environmental politics (5, 6, 10, 12, 118)....
                • Water Sustainability: Anthropological Approaches and Prospects

                  Ben Orlove1 and Steven C. Caton21School of International and Public Affairs, Columbia University, New York, NY 10027; email: [email protected]2Department of Anthropology, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]
                  Annual Review of Anthropology Vol. 39: 401 - 415
                  • ...which have been a locus both of participatory governance (Ostrom 1990)...
                • A Long Polycentric Journey

                  Elinor OstromWorkshop in Political Theory and Policy Analysis, Indiana University, Bloomington, Indiana 47408; email: [email protected]

                  Annual Review of Political Science Vol. 13: 1 - 23
                  • ...Many scholars have read Governing the Commons (E. Ostrom 1990) and found that the robust, ...
                • Connectivity and the Governance of Multilevel Social-Ecological Systems: The Role of Social Capital

                  Eduardo S. Brondizio,1 Elinor Ostrom,2 and Oran R. Young31Department of Anthropology, Anthropological Center for Training and Research on Global Environmental Change (ACT), Center for the Study of Institutions, Population, and Environmental Change (CIPEC), Indiana University, Bloomington, Indiana 47405; email: [email protected]2Workshop in Political Theory and Policy Analysis, CIPEC, Indiana University, Bloomington, Indiana 47405; email: [email protected]3Bren School of Environmental Science and Management, University of California, Santa Barbara, California 93106; email: [email protected]
                  Annual Review of Environment and Resources Vol. 34: 253 - 278
                  • ...Considerable agreement exists on the usefulness of eight institutional design principles1 (6, 7)...
                  • ...They emphasize features such as monitoring the use of an ecosystem and the availability of graduated sanctions to deter violators (7, 139, 140)....
                • Behavior, Environment, and Health in Developing Countries: Evaluation and Valuation

                  Subhrendu K. Pattanayak1,2 and Alexander Pfaff11Sanford School of Public Policy, Duke University, Durham, North Carolina 27708; email: [email protected], [email protected]2Nicholas School of the Environment, Duke University, Durham, North Carolina 27708
                  Annual Review of Resource Economics Vol. 1: 183 - 217
                  • ...For a general discussion of analogous problems of common property resource management, see Ostrom (1990), ...
                • Hobbesian Hierarchy: The Political Economy of Political Organization

                  David A. LakeDepartment of Political Science, University of California, San Diego, La Jolla, California 92093-0521; email: [email protected]
                  Annual Review of Political Science Vol. 12: 263 - 283
                  • ...private or nonhierarchical institutions are also effective in reducing transaction costs and facilitating cooperation (Elickson 2005, Keohane 1984, Ostrom 1990)....
                • Adaptation to Environmental Change: Contributions of a Resilience Framework

                  Donald R. Nelson,1,4 W. Neil Adger,1,2 and Katrina Brown1,31Tyndall Centre for Climate Change Research, 2School of Environmental Sciences, 3School of Development Studies, University of East Anglia, Norwich, NR4 7TJ, United Kingdom; email: [email protected], [email protected], [email protected]4Bureau of Applied Research in Anthropology, University of Arizona, Tucson, Arizona 85721
                  Annual Review of Environment and Resources Vol. 32: 395 - 419
                  • ...and robust decision making are, indeed, well known (see, for example, References 92, 112, and 113)....
                • Women, Water, and Development

                  Isha RayEnergy and Resources Group, University of California, Berkeley, California 94720; email: [email protected]
                  Annual Review of Environment and Resources Vol. 32: 421 - 449
                  • ...The primary reasons for the rapid acceptance of PIM were (a) the heavy financial burden of major canal systems on governments and (b) the growing belief that if water systems are owned by their users they will be better able to use, allocate, and manage them (106)....
                • Neoliberalism and the Environment in Latin America

                  Diana M. Liverman and Silvina VilasEnvironmental Change Institute, Oxford University Center for the Environment, Oxford OX1 3QY, United Kingdom; email: [email protected], [email protected]
                  Annual Review of Environment and Resources Vol. 31: 327 - 363
                  • ...whereas most common property regimes are held in common by a community and exclude use by those outside the community (18, 19)....
                  • ...For example Ostrom (18, 19) has documented commons systems that have worked for centuries to manage water and forests in cases where boundaries and members of the commons community are well defined and there are strong institutions for conflict resolution and rule making....
                • Environmental Governance

                  Maria Carmen Lemos and Arun AgrawalSchool of Natural Resources and Environment, University of Michigan, Ann Arbor, Michigan 48109; email: [email protected], [email protected]
                  Annual Review of Environment and Resources Vol. 31: 297 - 325
                  • ...Arguments advanced by scholars of the commons engaged these policy prescriptions and identified communities as a third potential locus of environmental governance (51)....
                • Institutional Failure in Resource Management

                  James M. AchesonDepartments of Anthropology and Marine Science, University of Maine, Orono, Maine 04469; email: [email protected]
                  Annual Review of Anthropology Vol. 35: 117 - 134
                  • ...Each of these structures has strong advocates (Ostrom 1990)....
                  • ...co-management) (Anderson & Hill 2004, Baland & Platteau 1996, Berkes 1989, McCay & Acheson 1987, Ostrom 1990, Pinkerton & Weinstein 1995)....
                  • ...Berkes 1989, Berkes & Folke 1998, Dyer & McGoodwin 1994, McCay & Acheson 1987, Ostrom 1990, Pinkerton & Weinstein 1995), ...
                  • ...dependence on the resource, leadership, and secure boundaries (North 1990, p. 12; Ostrom 1990, 2000a,b...
                • REGIONAL ATMOSPHERIC POLLUTION AND TRANSBOUNDARY AIR QUALITY MANAGEMENT

                  Michelle S. Bergin,1 J. Jason West,2 Terry J. Keating,3 and Armistead G. Russell11Georgia Institute of Technology, Department of Civil and Environmental Engineering, Atlanta, Georgia 30332; email: [email protected], [email protected]2Princeton University, Program in Atmospheric and Oceanic Sciences and Woodrow Wilson School of Public and International Affairs, Princeton, New Jersey 08540; email: [email protected]3U.S. Environmental Protection Agency, Office of Air and Radiation, Washington, District of Columbia 20460; email: [email protected]
                  Annual Review of Environment and Resources Vol. 30: 1 - 37
                  • ...decreasing upwind emissions will require the development of some type of cooperative regime (120)....
                • TOO MUCH FOR TOO FEW: Problems of Indigenous Land Rights in Latin America

                  Anthony StocksDepartment of Anthropology, Idaho State University, Pocatello, Idaho 83209; email: [email protected]
                  Annual Review of Anthropology Vol. 34: 85 - 104
                  • ...the work of Ostrom and her colleagues on common property regimes scotched the notion that communal (group) property is equivalent to the open-access commons about which Hardin wrote (Ostrom 1990...
                • The Sociology of Property Rights

                  Bruce G. Carruthers andLaura AriovichDepartment of Sociology, Northwestern University, Evanston, Illinois 60208; email: [email protected]
                  Annual Review of Sociology Vol. 30: 23 - 46
                  • ...and people find many other ways to avoid such tragedies (Ellickson 1991, Ostrom 1990)....
                • Advocacy Organizations in the U.S. Political Process

                  Kenneth T. Andrews1 andBob Edwards21Department of Sociology, University of North Carolina, Chapel Hill, North Carolina 27599-3210; email: [email protected] 2Department of Sociology, East Carolina University, Greenville, North Carolina 27858; email: [email protected]
                  Annual Review of Sociology Vol. 30: 479 - 506
                  • ...Recent research has provided insight into how interest groups overcome Olson's (1965) free-rider problem (e.g., Ostrom 1990)....
                • Dynamics of Land-Use and Land-Cover Change in Tropical Regions

                  Eric F. Lambin,1 Helmut J. Geist,2 and Erika Lepers21Department of Geography, University of Louvain, Place Louis Pasteur 3, B-1348 Louvain-la-Neuve, Belgium; email: [email protected] 2LUCC International Project Office, Department of Geography, University of Louvain, Place Louis Pasteur 3, B-1348 Louvain-la-Neuve, Belgium; email: [email protected] [email protected]
                  Annual Review of Environment and Resources Vol. 28: 205 - 241
                  • ...The systems/structures perspective explains land-use change through the organization and institutions of society (174)....
                • State of the World’s Fisheries

                  Ray Hilborn, Trevor A. Branch, Billy Ernst, Arni Magnusson, Carolina V. Minte-Vera, Mark D. Scheuerell, and Juan L. ValeroSchool of Aquatic and Fishery Sciences, University of Washington, Box 355020, Seattle, Washington 98195; email: [email protected] ,[email protected] ,[email protected] ,[email protected] ,[email protected] ,[email protected] ,[email protected]
                  Annual Review of Environment and Resources Vol. 28: 359 - 399
                  • ...and the incentives it provides are the primary determinants of the success or failure of fisheries (117, 121)....
                • Sustainable Governance of Common-Pool Resources: Context, Methods, and Politics

                  Arun AgrawalDepartment of Political Science, McGill University, Montréal, Québec H3A 2T7, Canada; email: [email protected]
                  Annual Review of Anthropology Vol. 32: 243 - 262
                  • ...A number of writings have undertaken important theoretical development to focus on the commons dilemmas that confront communities of users (Cheung 1970, Dasgupta & Heal 1979, Oakerson 1992, Ostrom 1990, Runge 1984)....
                  • ...The works by Robert Wade (1994), Elinor Ostrom (1990), Jean-Marie Baland & Jean-Philippe Platteau (1996) are path-breaking book-length analyses of local, ...
                  • ...but at least we can presume that the data collection in each case is consistent. Ostrom (1990) uses detailed case studies that other scholars generated....
                  • ...Consider Ostrom's (1990) design principles, based on her investigation of 14 cases....
                  • ...A design principle for Ostrom is not part of a blueprint but “an essential element or condition that helps to account for the success of these institutions in sustaining the CPRs and gaining the compliance of generation after generation of appropriators to the rules in use” (1990, ...
                  • ...TABLE 1 Synthesis of facilitating conditions identified by Wade (1994)—RW, Ostrom (1990)—EO, and Baland & Platteau (1996)...
                  • ...Abbreviations: Wade (1994)—RW, Ostrom (1990)—EO, and Baland & Platteau (1996)—B&P...
                • Ideas, Politics, and Public Policy

                  John L. CampbellDepartment of Sociology, Dartmouth College, Hanover, New Hampshire 03755, e-mail: [email protected]
                  Annual Review of Sociology Vol. 28: 21 - 38
                  • ...even some rational choice theorists have conceded that ideas matter (Knight & North 1997, Levi 1997, North 1990, Ostrom 1990:33–35), ...
                • Ecology, Conservation, and Public Policy

                  Donald Ludwig,1 Marc Mangel,2 and Brent Haddad21Departments of Mathematics and Zoology, University of British Columbia, Vancouver, British Columbia V6T 1Z2, Canada; e-mail: [email protected] 2Department of Environmental Studies, University of California, Santa Cruz, California 95064; e-mail: [email protected] [email protected]
                  Annual Review of Ecology and Systematics Vol. 32: 481 - 517
                  • ...perhaps we can learn something of value for our present problems. Ostrom (1990) provides a well-articulated account of things to be learned....
                • CAPACITY DEVELOPMENT FOR THE ENVIRONMENT: A View for the South, A View for the North

                  Ambuj D. SagarScience, Technology, and Public Policy Program, Belfer Center for Science and International Affairs, John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02138; e-mail: [email protected]
                  Annual Review of Energy and the Environment Vol. 25: 377 - 439
                  • ...among other things, played a significant role in managing natural resources (165)....
                • Conservation and Subsistence in Small-Scale Societies

                  Eric Alden SmithDepartment of Anthropology, University of Washington, Box 353100, Seattle, Washington 98195-3100; e-mail: [email protected] Mark WishnieSchool of Forestry and Environmental Studies, Yale University, New Haven, Connecticut 06511; e-mail: [email protected]
                  Annual Review of Anthropology Vol. 29: 493 - 524
                  • ...A classic form of collective good is what economists and collective action theorists term a common-pool resource (CPR) (Gordon 1954, Ciriacy-Wantrup & Bishop 1975, Ostrom 1990)....
                  • ...This oversight is critical because both theory and data indicate that resources involving open access are much more vulnerable to overharvesting than those with restricted access (Ostrom 1990, McKean 1992)....
                  • ...and some providing considerable evidence of explicit and effective conservation practices (Ostrom 1990, Feeny et al 1990)....
                • The Choice-Within-Constraints New Institutionalism and Implications for Sociology

                  Paul IngramColumbia Business School, Columbia University, New York, New York 10027-6902; email: [email protected]Karen ClayHeinz School of Public Policy, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]
                  Annual Review of Sociology Vol. 26: 525 - 546
                  • ...and major contributions have come from economics (Coase 1937, Williamson 1975, North 1990, Greif 1994), political science (North & Weingast 1989, Ostrom 1990), ...
                  • ...The formation of private-centralized institutions to govern property rights is not just a historical phenomenon. Ostrom (1990) documents a variety of contemporary institutions that have arisen to manage property rights over resources that are common property (that is, ...
                  • ...Elected officials hire the herdsmen and impose fines on households who misuse the commons by sending too many cattle (Ostrom 1990, ...
                  • ...particularly on private institutions. Ostrom's (1990) discussion of the emergence of institutions to govern water in the Los Angeles Basin, ...
                • ETHICS AND INTERNATIONAL BUSINESS

                  John V. MitchellEnergy and Environmental Program, Royal Institute of International Affairs, London SW1Y4LE, England; e-mail: [email protected]
                  Annual Review of Energy and the Environment Vol. 24: 83 - 111
                  • ...They are additional to (and reflect some distrust of) the Hobbesian solution of using the coercive powers of the state through “the development of appropriate international law and treaties.” They could mark the beginning of the development of a “third way” of governing the commons: the development of private (i.e. non-state) mechanisms for “Common-Pool Resource Management” (44)....
                • New Ecology and the Social Sciences: What Prospects for a Fruitful Engagement?

                  I. ScoonesEnvironment Group, Institute of Development Studies, University of Sussex, Brighton BN1 9RE, UK
                  Annual Review of Anthropology Vol. 28: 479 - 507
                  • ...a significant concern has been the collective action issues central to the management of common pool resources (e.g. Ostrom 1990, Bromley 1992)....
                  • ...for example as in the game theoretic formulations of common property theory (cf Berkes 1989, Ostrom 1990, Bromley 1992, Hanna et al 1996)....
                • COPING WITH TRAGEDIES OF THE COMMONS

                  Elinor OstromWorkshop in Political Theory and Policy Analysis; Center for the Study of Institutions, Population, and Environmental Change, Indiana University, Bloomington, Indiana 47408-3895; e-mail: [email protected]
                  Annual Review of Political Science Vol. 2: 493 - 535
                  • ...the broad design principles that characterize robust self-organized resource governance systems have been identified (E Ostrom 1990)...
                  • ...as well as other common-pool resources (see Schlager 1990;, Tang 1992;, Schlager et al 1994;, Lam 1998;, E Ostrom 1990, 1996;, Gibson et al 1999)....
                • BOUNDED RATIONALITY

                  Bryan D. JonesDepartment of Political Science, University of Washington, Seattle, Washington 98195; e-mail: [email protected]
                  Annual Review of Political Science Vol. 2: 297 - 321
                  • ...conflictual process (Sabatier & Jenkins-Smith 1993, Lounamaa & March 1985, Ostrom 1990) rather than the instantaneous adjustment process that rational organization theory would imply....
                • Social Dilemmas: The Anatomy of Cooperation

                  Peter KollockDepartment of Sociology, University of California at Los Angeles, Los Angeles, California 90095-1551; email: [email protected]
                  Annual Review of Sociology Vol. 24: 183 - 214
                  • ...An important set of field studies on social dilemmas can be found in Ostrom et al (1994), Bromley et al (1992), Ostrom (1990), McCay & Acheson (1987), Hardin & Baden (1977)....
                  • ...lasting across several generations (McCay & Acheson 1987, Ostrom 1990, 1992, Ostrom et al 1994)....
                  • ...Ostrom (1990) proposes a third route away from the tragedy of the commons: the local regulation of access to and use of common property by those who actually use and have local knowledge of the resource....
                  • ...The first characteristic she discusses deals explicitly with the issue of excludability: Successful communities are marked by clearly defined boundaries—“Individuals or households who have rights to withdraw resource units from the [commons] must be clearly defined, as must the boundaries of the [commons] itself” (1990, ...
                  • ...some situations exist in which the costs can be made very small through the right institutional arrangements (Ostrom 1990)....
                  • ...18Assuming the meadow is homogenous; see Ostrom 1990, p. 13....

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                  Deepak Rajagopal,1 Steve Sexton,2 Gal Hochman,2 and David Zilberman2* 1Energy and Resources Group, University of California, Berkeley, California 94720; email: [email protected] 2Department of Agricultural and Resource Economics, University of California, Berkeley, California 94720; email: [email protected]
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                  • ...R&D spending on renewable energy also declined (Margolis & Kammen 1999, Rausser & Papineau 2008)....
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                  Kelly Sims Gallagher, John P. Holdren, and Ambuj D. SagarScience, Technology, and Public Policy Program, Belfer Center for Science and International Affairs, John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02138; email: [email protected], [email protected], [email protected]
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                  Majid Ezzati,1 Robert Bailis,2 Daniel M. Kammen,2 Tracey Holloway,3 Lynn Price,4 Luis A. Cifuentes,5 Brendon Barnes,6 Akanksha Chaurey,7 and Kiran N. Dhanapala81Harvard School of Public Health, Harvard University, Boston, Massachusetts 02115; email: [email protected]2Energy and Resources Group, University of California, Berkeley, California 94720; email: [email protected], [email protected]3Center for Sustainability and the Global Environment, Gaylord Nelson Institute for Environmental Studies, University of Wisconsin, Madison, Wisconsin 53726; email: [email protected]4E.O. Lawrence Berkeley National Laboratory, Berkeley, California 94720; email: [email protected]5Industrial and Systems Engineering Department, P. Universidad Catolica de Chile, Santiago 6904411, Chile; email: [email protected]6Medical Research Council of South Africa, Houghton 2041, South Africa; email: [email protected]7Energy-Environment Technology Division, The Energy and Resources Institute, New Delhi 110003, India; email: [email protected]8Environmental & Natural Resource Economics, Division of Resource Management, West Virginia University, Morgantown, West Virginia 26506; email: [email protected]
                  Annual Review of Environment and Resources Vol. 29: 383 - 419
                  • ...the neglect of energy R&D capacity to meet global and national energy needs without significant public health consequences is the result of the combination of two powerful forces: the vulnerable and often neglected domestic capacity for innovation in developing nations and the lack of sustained support for energy R&D capacity by industrialized nations (122)....
                • ENERGY INFRASTRUCTURE AND SECURITY

                  Alexander E. Farrell,1 Hisham Zerriffi,2 and Hadi Dowlatabadi31Energy and Resources Group, University of California, Berkeley, California 94720-3050; email: [email protected]2Department of Engineering and Public Policy, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213-3890; email: [email protected]3Sustainable Development Research Initiative, University of British Columbia, Vancouver, BC Canada V6T 1Z2; email: [email protected]
                  Annual Review of Environment and Resources Vol. 29: 421 - 469
                  • ...several researchers have documented the need for diversity in energy research and development in order to assure a broad choice of technologies into the future (51, 52)....

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                  Annual Review of Environment and Resources Vol. 38: 441 - 471
                  • ...statistical methods have been used to study the relationship between democracy and environmental performance (110) and the provision and effectiveness of environmental aid (111, 112)....
                • The Rescaling of Global Environmental Politics

                  Liliana B. Andonova1 and Ronald B. Mitchell21Department of Political Science, Graduate Institute of International and Development Studies, Geneva 21, 1211, Switzerland; email: [email protected]2Department of Political Science, University of Oregon, Eugene, Oregon 97403-1284; email: [email protected]
                  Annual Review of Environment and Resources Vol. 35: 255 - 282
                  • ...including the United Nations Development Programme, regional financial institutions, and international development assistance more broadly (129, 133, 134, 135)....
                • The Politics of Effective Foreign Aid

                  Joseph Wright1 and Matthew Winters21Department of Political Science, The Pennsylvania State University, University Park, Pennsylvania 16802; email: [email protected]2Department of Political Science, University of Illinois at Urbana-Champaign, Champaign, Illinois 61820; email: [email protected]
                  Annual Review of Political Science Vol. 13: 61 - 80
                  • ..., education (Dreher et al. 2008), the environment (Hicks et al. 2008), ...
                  • ...Hicks et al. (2008) use them to explore why environmentally “friendly” aid has increased over time and why many “unfriendly” aid projects persist....

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                • Populism, Democracy, and Party System Change in Europe

                  Milada Anna VachudovaDepartment of Political Science, University of North Carolina, Chapel Hill, North Carolina 27599, USA; email: [email protected]
                  Annual Review of Political Science Vol. 24: 471 - 498
                  • ...2Scholars have used a variety of terms to describe the cultural dimension of competition that we call GAL–TAN, including the postmaterialist (Inglehart 1990), ...
                • Class Position and Political Opinion in Rich Democracies

                  Arvid Lindh1 and Leslie McCall21Swedish Institute for Social Research, Stockholm University, 106 91 Stockholm, Sweden; email: [email protected]2Stone Center on Socio-Economic Inequality, The Graduate Center, City University of New York, New York, NY 10016, USA; email: [email protected]
                  Annual Review of Sociology Vol. 46: 419 - 441
                  • ...have eroded the foundations of class politics (Inglehart 1990, Clark & Lipset 1991, Clark et al. 1993)....
                  • ...as did immigration with its expansion at roughly the same time (Inglehart 1990, Kitschelt & McGann 1995)....
                  • ...a state of affairs that is due to both generational replacement and changing views over the life course (Inglehart 1990, Adamczyk & Liao 2019, Norris & Inglehart 2019).6...
                • Democratic Stability: A Long View

                  Federica CarugatiCenter for Advanced Study in the Behavioral Sciences, Stanford University, Stanford, California 94305, USA; email: [email protected]
                  Annual Review of Political Science Vol. 23: 59 - 75
                  • ...focuses on cultural attributes as critical determinants of democratic stability (Almond & Verba 1963, Inglehart 1990, Putnam 1993, Inglehart & Welzel 2005, Diamond 2008)....
                • The Changing Cleavage Politics of Western Europe

                  Robert Ford1 and Will Jennings21Department of Politics, University of Manchester, Manchester M13 9PL, United Kingdom; email: [email protected]2Department of Politics and International Relations, University of Southampton, Southampton SO17 1BJ, United Kingdom; email: [email protected]
                  Annual Review of Political Science Vol. 23: 295 - 314
                  • ...Three accounts of this process have been particularly influential—each proposing a different basis for this second dimension: “materialists” versus “postmaterialists” (Inglehart 1977, 1990, 1997)...
                  • ...Inglehart's (1977, 1990, 1997, 2008) postmaterialism thesis involves two interlocking mechanisms....
                  • ...There are substantial differences in these approaches. Inglehart (1977, 1990, 1997) grounds his postmaterialism hypothesis in comparative cross-sectional survey indicators that track evolving value orientations over many decades....
                • Twenty-First-Century Trade Agreements and the Owl of Minerva

                  Bernard Hoekman1,2 and Douglas Nelson31European University Institute, Florence 50133, Italy; email: [email protected]2Center for Economic and Policy Research (CEPR), Washington, DC 20009, USA3Murphy Institute of Political Economy, Tulane University, New Orleans, Louisiana 70118, USA; email: [email protected]
                  Annual Review of Resource Economics Vol. 10: 161 - 183
                  • ...but most scholars agree on its importance and that its emergence was well in advance of the rapid increase in globalization that is sometimes taken to drive populist policies (Inglehart 1990, Hooghe et al. 2002)....
                • The Second Demographic Transition Theory: A Review and Appraisal

                  Batool Zaidi1 and S. Philip Morgan21Department of Sociology, University of North Carolina, Chapel Hill, North Carolina 27599; email: [email protected]2Carolina Population Center, University of North Carolina, Chapel Hill, North Carolina 27599; email: [email protected]
                  Annual Review of Sociology Vol. 43: 473 - 492
                  • ...2.3.2. The Maslowian drift and rise of individualism.Inglehart's (1990) claims of a shift from materialist to postmaterialist values also played a critical role in the elaboration of the SDT (van de Kaa 1987...
                  • ...The demographic changes since 1960 cannot be divorced from Inglehart's (1990)...
                  • ...Contrary to original SDT predictions, van de Kaa (2001) found Inglehart's (1990)...
                  • ... and Inglehart (1990) claim of the watershed changes in ideology that undergird the SDT—a shift from materialism to postmaterialism (or the related child-king to king-couple)....
                  • ... discussion of Inglehart's (1990) work that is a foundation of the SDT]....
                • Environmental Movements in Advanced Industrial Democracies: Heterogeneity, Transformation, and Institutionalization

                  Marco Giugni1 and Maria T. Grasso21Department of Political Science and International Relations, University of Geneva, 1211 Geneva, Switzerland; email: [email protected]2Department of Politics, University of Sheffield, Sheffield S10 2TU, United Kingdom; email: [email protected]
                  Annual Review of Environment and Resources Vol. 40: 337 - 361
                  • ...Inglehart (67, 68) predicted that the expansion of education and rising material affluence in postwar advanced industrial democracies would result in an intergenerational shift from materialist values relating to economic security and survival to postmaterialist values prioritizing higher-order nonmaterial and self-actualization needs....
                  • ...The influence of postmaterial values on support for and membership in environmental groups is documented at the individual level (68...
                • Making Sense of Culture

                  Orlando PattersonDepartment of Sociology, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]

                  Annual Review of Sociology Vol. 40: 1 - 30
                  • ...when ultimate values change the consequences are enormous for individuals and societies (see Inglehart 1990, Inglehart & Welzel 2005)....
                • Voters, Satisficing, and Policymaking: Recent Directions in the Study of Electoral Politics

                  Clem BrooksDepartment of Sociology Indiana University, Bloomington, Indiana 47405-7103; email: [email protected]
                  Annual Review of Sociology Vol. 32: 191 - 211
                  • ...it is precisely individuals' differential exposure to educational institutions and their membership within competing religious traditions that represent one source of influence over their preferences (Inglehart 1990, Inglehart & Baker 2000, Flanagan & Lee 2003)....
                • ENVIRONMENTAL VALUES

                  Thomas Dietz,1,2 Amy Fitzgerald,2 and Rachael Shwom1,2Environmental Science and Policy Program,1 Department of Sociology,2 Michigan State University, East Lansing, Michigan 48824; email: [email protected], [email protected], [email protected]
                  Annual Review of Environment and Resources Vol. 30: 335 - 372
                  • Identity Politics

                    Mary BernsteinDepartment of Sociology, University of Connecticut, Storrs, Connecticut 06269-2068; email: [email protected]
                    Annual Review of Sociology Vol. 31: 47 - 74
                    • ...These macrostructural changes produced postmaterial values concerned with achieving democracy rather than with economic survival (Inglehart 1981, 1990)....
                  • THE GLOBALIZATION OF PUBLIC OPINION RESEARCH

                    Anthony Heath, Stephen Fisher, and Shawna SmithDepartment of Sociology, University of Oxford, Oxford OX1 3UQ, United Kingdom; email: [email protected], [email protected], [email protected]
                    Annual Review of Political Science Vol. 8: 297 - 333
                    • ...and the data have been widely used in academic research (see Inglehart 1990, 1997)....
                  • Values: Reviving a Dormant Concept

                    Steven Hitlin1 andJane Allyn Piliavin2 1Carolina Population Center, University of North Carolina, Chapel Hill, North Carolina 27516; email: [email protected] 2Department of Sociology, University of Wisconsin, Madison, Wisconsin 53706; email: [email protected]
                    Annual Review of Sociology Vol. 30: 359 - 393
                    • ... Inglehart (1977, 1990, 1995, 1997) theorized a distinction between “materialist” (modernist) and “postmaterialist” (postmodern) values. 6 He argued that Western societies are entering a phase in which political conflicts arise from tensions between materialists (who favor law and order, ...
                    • ... to extrapolate values from real-life medical decisions; and the use by Inglehart (1990...
                  • INTERNATIONAL ENVIRONMENTAL AGREEMENTS: A Survey of Their Features, Formation, and Effects

                    Ronald B. MitchellDepartment of Political Science, University of Oregon, Eugene, Oregon 97403-1284; email: [email protected]
                    Annual Review of Environment and Resources Vol. 28: 429 - 461
                    • ...such as changes in administrative and financial capacity, leadership, NGO activities, and knowledge and information (127, p. 535; 134, 135, 136, 137)....
                  • TAKING STOCK: The Constructivist Research Program in International Relations and Comparative Politics

                    Martha Finnemore1, and Kathryn Sikkink21Political Science Department, George Washington University Funger Hall 625, Washington, D.C. 20052; e-mail: [email protected] 2Department of Political Science, University of Minnesota, 267 19th Avenue S., Minneapolis, Minnesota 55455; e-mail: [email protected]
                    Annual Review of Political Science Vol. 4: 391 - 416
                    • ...More recent arguments about political culture in comparative politics include work by Inglehart (1988, 1990, 1997), Laitin (1998), Putnam (1993)....
                    • ...culture is ultimately an intervening variable rather than the primary explanation. Inglehart (1990) argued that a particular stage of development in advanced industrial countries leads to a “culture shift” to a set of “post-materialist” values, ...
                  • Religion and Comparative Politics

                    Anthony GillDepartment of Political Science, University of Washington, Seattle, Washington 98195; e-mail: [email protected]
                    Annual Review of Political Science Vol. 4: 117 - 138
                    • ...Many of the new social movements that arise will be more secular in nature (cf Inglehart 1990)....
                  • The Continued Significance of Class Voting

                    Geoffrey EvansNuffield College, Oxford University, OX1 1NF United Kingdom; e-mail: [email protected]
                    Annual Review of Political Science Vol. 3: 401 - 417
                    • ...Germany, and the United States between 1945 and 1980; Inglehart (1990...
                  • THE PSYCHOLOGICAL UNDERPINNINGS OF DEMOCRACY: A Selective Review of Research on Political Tolerance, Interpersonal Trust, and Social Capital

                    J. L. Sullivan and J. E. TransueDepartment of Political Science, University of Minnesota, 1414 Social Sciences, Minneapolis, Minnesota 55455-0410; e-mail: [email protected] , [email protected]
                    Annual Review of Psychology Vol. 50: 625 - 650
                    • ...The second wave is the relatively recent renaissance of political-culture studies by Inglehart (1977, 1990, 1997), Putnam (1993)....
                    • ...Ronald Inglehart (1977, 1990, 1997) has pursued the question of the role of political culture for over twenty years....
                    • ...to a shift from material values to postmaterial values (Inglehart 1990, 1997)....
                    • ... included a measure of postmaterialism as a predictor of tolerance. Inglehart (1990, 1997) argued that since postmaterialists are committed to autonomy and expression for themselves, ...
                  • SOCIAL CAPITAL AND POLITICS

                    Robert W. JackmanDepartment of Political Science, University of California, Davis, California, 95616; e-mail: [email protected] Ross A. MillerDepartment of Political Science, Santa Clara University, Santa Clara, California, 95053; e-mail: [email protected]
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                    • ...or values have received special notice (see e.g. Putnam 1993, 1995a, b, c;, Fukuyama 1995;, Inglehart 1990, 1997;, Harrison 1985, 1992, 1997)....
                    • ...The point is also stressed in Inglehart's claim that “people live in the past much more than they realize” (Inglehart 1990, ...
                    • ...A major problem of temporal ordering appears to carry over from Inglehart (1990): We are told that current social capital drives growth that has already occurred....
                  • The Changing Organizational Context of Professional Work

                    Kevin T. LeichtDepartment of Sociology, University of Iowa, 140W Seashore Hall, Iowa City, Iowa 52242; e-mail: [email protected] Mary L. FennellDepartment of Sociology, Brown University, Box 1916 Maxcy Hall, Providence, Rhode Island 02912
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                    • Politics and Culture: A Less Fissured Terrain

                      Mabel BerezinDepartment of Sociology, University of California at Los Angeles, Los Angeles, California 90095-1551
                      Annual Review of Sociology Vol. 23: 361 - 383
                      • ...For example, Inglehart (130) contends that since the mid-1970s, what he terms “post-materialist” values have shaped political attitudes in Europe ....

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                    • Foreign Direct Investment and the Environment

                      Matthew A. Cole, Robert J.R. Elliott, and Liyun ZhangDepartment of Economics, University of Birmingham, Birmingham B15 2TT, United Kingdom; email: [email protected], [email protected], [email protected]
                      Annual Review of Environment and Resources Vol. 42: 465 - 487
                      • ...Garcia-Johnson (105) examines the role of multinationals in the chemical industry in Latin America and finds that US companies played a key role in diffusing the Responsible Care Program, ...
                    • Migration, Labor, and the International Political Economy

                      Layna Mosley1 and David A. Singer21Department of Political Science, University of North Carolina at Chapel Hill, North Carolina 27599; email: [email protected]2Department of Political Science, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139; email: [email protected]
                      Annual Review of Political Science Vol. 18: 283 - 301
                      • ...leveling the playing field between domestic and foreign firms (Garcia-Johnson 2000, Prakash & Potoski 2007)....
                    • Methods and Global Environmental Governance

                      Kate O'Neill,1 Erika Weinthal,2 Kimberly R. Marion Suiseeya,2 Steven Bernstein,3 Avery Cohn,4 Michael W. Stone,5 and Benjamin Cashore51Department of Environmental Science, Policy, and Management, University of California at Berkeley, California 94720; email: [email protected]2Nicholas School of the Environment, Duke University, Durham, North Carolina 27708; email: [email protected], [email protected]3Department of Political Science, University of Toronto, Toronto, Canada M5S 3G3; email: [email protected]4National Center for Atmospheric Research, Boulder, Colorado 80385; email: [email protected]5School of Forestry and Environmental Studies, Yale University, New Haven, Connecticut, 06511; email: [email protected], [email protected]
                      Annual Review of Environment and Resources Vol. 38: 441 - 471
                      • ...including advocacy networks and governance arrangements that form networks across boundaries (e.g., 18...
                    • The Rescaling of Global Environmental Politics

                      Liliana B. Andonova1 and Ronald B. Mitchell21Department of Political Science, Graduate Institute of International and Development Studies, Geneva 21, 1211, Switzerland; email: [email protected]2Department of Political Science, University of Oregon, Eugene, Oregon 97403-1284; email: [email protected]
                      Annual Review of Environment and Resources Vol. 35: 255 - 282
                      • ...And NGO pressures on multinational corporations have led to adoption of more environmentally friendly policies at home but also to multiplier effects when those corporations enforce those policies in their foreign offices and throughout their supply and investment chains (18, 93, 94, 95, 96, 97)....
                      • ...the politics of differential uptake and diffusion of corporate social responsibility practices as well as voluntary environmental targets and management standards (17, 93, 95, 99, 105, 106, 107)....
                      • ...Often corporations that see proenvironment actions as worthwhile but costly support such collective efforts as mechanisms for mitigating comparative disadvantage by spreading environmental practices across industrialized, developing, and transition countries (70, 93)....
                      • ... has been extended to include the influence of international trade on the diffusion of voluntary environmental standards and certification and on environmental justice (17, 93, 106)....
                      • ...and collaborative networks across the private and the public spheres (17, 19, 79, 83, 89, 93, 111)....
                    • Private Global Business Regulation

                      David VogelHaas School of Business, Department of Political Science, University of California, Berkeley, California 94720; email: [email protected]
                      Annual Review of Political Science Vol. 11: 261 - 282
                      • ...as well as several studies of Responsible Care (Gunningham 1995, King & Lenox 2000, Garcia-Johnson 2000, Howard et al. 2000)....
                    • ACTORS, NORMS, AND IMPACT: Recent International Cooperation Theory and the Influence of the Agent-Structure Debate

                      Kate O'Neill,1 Jörg Balsiger,1 and Stacy D. VanDeveer21Department of Environmental Science, Policy and Management, Division of Society and Environment, University of California at Berkeley, 135 Giannini Hall, Berkeley, California 94720–3312; email: [email protected];2Department of Political Science, University of New Hampshire, Durham, New Hampshire 03824
                      Annual Review of Political Science Vol. 7: 149 - 175
                      • ...even though the globalization of capital and financing has dramatically increased their economic and political reach (DeSombre 2000, Garcia-Johnson 2000, O'Neill 2001)....
                    • INTERNATIONAL ENVIRONMENTAL AGREEMENTS: A Survey of Their Features, Formation, and Effects

                      Ronald B. MitchellDepartment of Political Science, University of Oregon, Eugene, Oregon 97403-1284; email: [email protected]
                      Annual Review of Environment and Resources Vol. 28: 429 - 461
                      • ...and promote consumer boycotts and buy green campaigns that directly shape corporate incentives (6, 91, p. 66; 95, 96, 97)....

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                    • Decision Making Across Adulthood

                      JoNell Strough1 and Wändi Bruine de Bruin21Department of Psychology, West Virginia University, Morgantown, West Virginia 26506, USA; email: [email protected]2Sol Price School of Public Policy, Dornsife Department of Psychology, Schaeffer Center for Health Policy and Economics, and Center for Economic and Social Research, University of Southern California, Los Angeles, California 90089-0626, USA
                      Annual Review of Developmental Psychology Vol. 2: 345 - 363
                      • ...they may benefit from nudges that structure the architecture of the choice environment to steer decisions while preserving freedom of choice (Thaler & Sunstein 2008)....
                    • Climate Decision-Making

                      Ben Orlove,1 Rachael Shwom,2 Ezra Markowitz,3 and So-Min Cheong41School of International and Public Affairs and Earth Institute, Columbia University, New York, New York 10025, USA; email: [email protected]2Department of Human Ecology and Rutgers Energy Institute, Rutgers University, New Brunswick, New Jersey 08901, USA; email: [email protected]3Department of Environmental Conservation, University of Massachusetts Amherst, Amherst, Massachusetts 01002, USA; email: [email protected]4Department of Geography and Atmospheric Science, University of Kansas, Lawrence, Kansas 66045, USA; email: [email protected]
                      Annual Review of Environment and Resources Vol. 45: 271 - 303
                      • ...which differ from rational optimization of outcomes; the wide influence of this research was signaled by the awarding of the Nobel Prize in economics to the psychologist Daniel Kahneman in 2002 and by broad popularity of books on this topic in the following years (7, 8)....
                    • Research on Improving Outcomes and Reducing Costs of Psychological Interventions: Toward Delivering the Best to the Most for the Least

                      Brian T. YatesDepartment of Psychology, American University, Washington, DC 20016-8062, USA; email: [email protected]
                      Annual Review of Clinical Psychology Vol. 16: 125 - 150
                      • ...and smart rings allow delivery of therapeutic microinterventions (“nudges”; see Thaler & Sunstein 2008) to clients in their natural environments, ...
                    • Judgment and Decision Making

                      Baruch Fischhoff1 and Stephen B. Broomell21Department of Engineering and Public Policy, and Institute for Politics and Strategy, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213, USA; email: [email protected]2Department of Social and Decision Sciences, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213, USA; email: [email protected]
                      Annual Review of Psychology Vol. 71: 331 - 355
                      • ...defined as those that would be made by fully informed, rational individuals (Thaler & Sunstein 2008)....
                    • Bayesian Persuasion and Information Design

                      Emir KamenicaBooth School of Business, University of Chicago, Chicago, Illinois 60637, USA; email: [email protected]
                      Annual Review of Economics Vol. 11: 249 - 272
                      • ... argues that some of the methods used in nudging and choice architecture (Thaler & Sunstein 2008) can be seen as technological interventions....
                    • The Culminating Crisis of American Sociology and Its Role in Social Science and Public Policy: An Autobiographical, Multimethod, Reflexive Perspective

                      James S. HouseSurvey Research Center, Ford School of Public Policy, and Department of Sociology, University of Michigan, Ann Arbor, Michigan 48104; email: [email protected]

                      Annual Review of Sociology Vol. 45: 1 - 26
                      • ...preferring to focus on more specific policy factors and “nudges” (Thaler & Sunstein 2008) supported by randomized experiments....
                    • Better Government, Better Science: The Promise of and Challenges Facing the Evidence-Informed Policy Movement

                      Jake Bowers1 and Paul F. Testa21Department of Political Science, University of Illinois at Urbana-Champaign, Urbana, Illinois 61801, USA; email: [email protected]2Department of Political Science, Brown University, Providence, Rhode Island 02912, USA; email: [email protected]
                      Annual Review of Political Science Vol. 22: 521 - 542
                      • ...The popular book Nudge by Thaler & Sunstein (2008) further inspired this effort in the policy world....
                      • ...and mandates, defaults are a relatively “low-touch” intervention—what Thaler & Sunstein (2008, ...
                      • ...They can highlight the extent to which many behaviorally motivated interventions are consistent with the principles of libertarian paternalism outlined by Thaler & Sunstein (2003, 2008); policies built around insights into how individuals are likely to behave under different scenarios (choice architectures) need not coerce behavior to improve welfare....
                    • Campaign Finance Disclosure

                      Abby K. WoodGould School of Law, University of Southern California, Los Angeles, California 90089, USA; email: [email protected]
                      Annual Review of Law and Social Science Vol. 14: 11 - 27
                      • ...and we should help consumers by structuring their choices in a way that nudges parties toward better decision making (Thaler & Sunstein 2008)....
                    • From Nudge to Culture and Back Again: Coalface Governance in the Regulated Organization

                      Ruthanne Huising1 and Susan S. Silbey21Emlyon Business School, 69130 Écully, France; email: [email protected]2Department of Anthropology, Massachusetts Institute of Technology, Cambridge, Massachusetts 02142, USA; email: [email protected]
                      Annual Review of Law and Social Science Vol. 14: 91 - 114
                      • ...the choice architecture must “alter behavior in a predictable way without forbidding any options or significantly changing economic incentives” (Thaler & Sunstein 2008, ...
                    • Desistance from Offending in the Twenty-First Century

                      Bianca E. Bersani1 and Elaine Eggleston Doherty21Department of Sociology, University of Massachusetts, Boston, Massachusetts 02125-3393, USA; email: [email protected]2Department of Criminology and Criminal Justice, University of Missouri-St. Louis, St. Louis, Missouri 63121, USA
                      Annual Review of Criminology Vol. 1: 311 - 334
                      • ... and nudge individuals in conventional directions (Laub 2016; see also Thaler & Sunstein 2008)....
                    • Managing Street-Level Arbitrariness: The Evidence Base for Public Sector Quality Improvement

                      Daniel E. Ho and Sam ShermanStanford Law School, Stanford University, Stanford, California 94305; email: [email protected], [email protected]
                      Annual Review of Law and Social Science Vol. 13: 251 - 272
                      • ...although there may be promise to behavioral economics approaches (e.g., Thaler & Sunstein 2008), ...
                    • Decision-Making Processes in Social Contexts

                      Elizabeth Bruch1 and Fred Feinberg21Department of Sociology and Complex Systems, University of Michigan, Ann Arbor, Michigan 48104; email: [email protected]2Ross School of Business and Department of Statistics, University of Michigan, Ann Arbor, Michigan 48109; email: [email protected]
                      Annual Review of Sociology Vol. 43: 207 - 227
                      • ...This insight has led to an influential literature on the construction of preferences (see the sidebar titled The Construction of Preferences) as well as a great deal of interest in policy interventions that manipulate features of choice environments (Shafir 2013, Thaler & Sunstein 2008)....
                    • Toward a Rational and Mechanistic Account of Mental Effort

                      Amitai Shenhav,1,2 Sebastian Musslick,3 Falk Lieder,4 Wouter Kool,5 Thomas L. Griffiths,6 Jonathan D. Cohen,3,7 and Matthew M. Botvinick8,91Department of Cognitive, Linguistic and Psychological Sciences, Brown University, Providence, Rhode Island 02912; email: [email protected]2Brown Institute for Brain Science, Brown University, Providence, Rhode Island 029123Princeton Neuroscience Institute, Princeton University, Princeton, New Jersey 085444Helen Wills Neuroscience Institute, University of California, Berkeley, California 947205Department of Psychology, Harvard University, Cambridge, Massachusetts 021386Department of Psychology, University of California, Berkeley, California 947207Department of Psychology, Princeton University, Princeton, New Jersey 085408Google DeepMind, London M1C 4AG, United Kingdom9Gatsby Computational Neuroscience Unit, University College London, London W1T 4JG, United Kingdom
                      Annual Review of Neuroscience Vol. 40: 99 - 124
                      • ...a policy referred to as paternalistic libertarianism (Thaler & Sunstein 2008)....
                    • Measuring and Modeling Attention

                      Andrew CaplinDepartment of Economics, New York University, New York, NY 10003; email: [email protected]
                      Annual Review of Economics Vol. 8: 379 - 403
                      • ...information overload (Iyengar & Lepper 2000), and nudges (Thaler & Sunstein 2008)....
                      • ...and then how it is used in decision making. Thaler & Sunstein (2008) note that businesses and policy makers may attempt to steer attention in particular ways....
                      • ...The work of Thaler & Sunstein (2008) on behavioral nudges was decisive in turning policy makers' attention to how to manipulate behavior using subtle features of the messaging either to encourage or discourage attention being given to a particular option. Allcott & Mullainathan (2010)...
                    • Paternalism and Energy Efficiency: An Overview

                      Hunt Allcott1,2,3,4,51Department of Economics, New York University, New York, NY 10012; email: [email protected]2National Bureau of Economic Research, Cambridge, Massachusetts 021383Abdul Latif Jameel Poverty Action Lab (J-PAL), Massachusetts Institute of Technology, Cambridge, Massachusetts 021424ideas42, New York, NY 100045E2e, Massachusetts Institute of Technology, Cambridge, Massachusetts 02142
                      Annual Review of Economics Vol. 8: 145 - 176
                      • ...Building on Thaler & Sunstein (2008), Allcott & Taubinsky (2015) define a pure nudge as an intervention that eliminates bias but has no other effects....
                    • Making Healthy Choices Easier: Regulation versus Nudging

                      Pelle Guldborg Hansen,1,2 Laurits Rohden Skov,3 and Katrine Lund Skov41Communication, Business and Information Technology,2Center for Science, Society and Policy, Roskilde University, 4000 Roskilde, Denmark; email: [email protected]3Department of Development and Planning, Aalborg University, 9100 Aalborg, Denmark; email: [email protected]4Danish Nudging Network, 1208 København K, Denmark; email: [email protected]
                      Annual Review of Public Health Vol. 37: 237 - 251
                      • ...In their book Nudge: Improving Decisions About Health, Wealth and Happiness (53), ...
                      • ...Thaler & Sunstein (53) suggest that nudges may avoid some of the challenges and potential pitfalls of traditional regulation, ...
                      • ...The proclaimed advantage of applying nudges is that public policy makers might thus supplement—or, perhaps, even replace (53, ...
                      • ...the original definition of a nudge provided by Thaler & Sunstein (53)...
                      • ...Thaler & Sunstein (53) seem to admit as much: Nudging is about manipulation of choices (p. 82)....
                      • ...whether we like it or not, making the antinudge position a literal nonstarter (53, ...
                      • ...if nudging is guided by libertarian paternalism and a Rawlsian publicity principle (which can be summarized as a principle that bans government from selecting a policy that it would not be able or willing to defend publicly to its own citizens), the relevant political and normative concerns are met (53, ...
                    • Contributions to Defined Contribution Pension Plans

                      James J. Choi1,21School of Management, Yale University, New Haven, Connecticut 06520-8200; email: [email protected]2National Bureau of Economic Research, Cambridge, Massachusetts 02138
                      Annual Review of Financial Economics Vol. 7: 161 - 178
                      • ...which have motivated employers and governments to take a more active role in designing DC pension plans that nudge individuals toward better outcomes through their choice architecture (Thaler & Sunstein 2008)—the context in which people make decisions....
                    • Behavioral Finance

                      David HirshleiferMerage School of Business, University of California, Irvine, California 92697; email: [email protected]
                      Annual Review of Financial Economics Vol. 7: 133 - 159
                      • ...; and on policy, regulation, or field experiments, Thaler & Sunstein (2008), Hirshleifer (2008), ...
                    • Realism About Political Corruption

                      Mark Philp1 and Elizabeth Dávid-Barrett21Department of History, University of Warwick, Coventry CV4 7AN, United Kingdom; email: [email protected]2Department of Politics, University of Sussex, Brighton BN1 9RH, United Kingdom; email: [email protected]
                      Annual Review of Political Science Vol. 18: 387 - 402
                      • ...A more recent wave of experiments on policy interventions has drawn on “nudge” theory (Thaler & Sunstein 2008), ...
                    • Emotion and Decision Making

                      Jennifer S. Lerner,1 Ye Li,2 Piercarlo Valdesolo,3 and Karim S. Kassam41Harvard Kennedy School, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2School of Business Administration, University of California, Riverside, California 92521; email: [email protected]3Department of Psychology, Claremont McKenna College, Claremont, California 91711; email: [email protected]4Department of Social and Decision Sciences, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]
                      Annual Review of Psychology Vol. 66: 799 - 823
                      • ...the burgeoning literature on choice architecture offers an alternative set of tactics that affects behaviors automatically without restricting choices (Thaler & Sunstein 2008)....
                    • The Evolutionary Roots of Human Decision Making

                      Laurie R. Santos and Alexandra G. RosatiDepartment of Psychology, Yale University, New Haven, Connecticut 06511; email: [email protected]
                      Annual Review of Psychology Vol. 66: 321 - 347
                      • ...work from psychology and behavioral economics has increasingly identified situations that encourage people to act against their typical dispositions (Thaler & Sunstein 2008)....
                    • The Psychology of Environmental Decisions

                      Ben R. Newell,1 Rachel I. McDonald,1,2 Marilynn Brewer,1 and Brett K. Hayes11School of Psychology, University of New South Wales, Sydney 2052, Australia; email: [email protected]2Department of Psychology, University of Kansas, Lawrence, Kansas 66045
                      Annual Review of Environment and Resources Vol. 39: 443 - 467
                      • ...Many of these insights from framing and other aspects of what has become known as behavioral economics are being applied to a broad range of policy settings, especially those of health and finance (74...
                    • Applying Insights from Behavioral Economics to Policy Design

                      Brigitte C. Madrian1,21Harvard Kennedy School, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2National Bureau of Economic Research, Cambridge, Massachusetts 02138
                      Annual Review of Economics Vol. 6: 663 - 688
                      • ...and simplifying—are examples of what Thaler & Sunstein (2008) call choice architecture, ...
                      • ...There are several additional choice architecture tools that policy makers can use to facilitate decision making that better aligns outcomes with consumer preferences (see Thaler & Sunstein 2008...
                    • Disclosure: Psychology Changes Everything

                      George Loewenstein,1 Cass R. Sunstein,2 and Russell Golman11Department of Social and Decision Sciences, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]2Harvard Law School, Harvard University, Cambridge, Massachusetts 02138
                      Annual Review of Economics Vol. 6: 391 - 419
                      • ...it might be worthwhile to consider improved approaches that nonetheless involve information (see Section 4) or other regulatory approaches, including default rules (Thaler & Sunstein 2008)....
                    • The Endowment Effect

                      Keith M. Marzilli Ericson1,3 and Andreas Fuster21School of Management, Boston University, Boston, Massachusetts 02115; email: [email protected]2Federal Reserve Bank of New York, New York, NY 100453National Bureau of Economic Research, Cambridge, Massachusetts 02138
                      Annual Review of Economics Vol. 6: 555 - 579
                      • ...These findings suggest that loss aversion based on endowments is relevant in settings outside the laboratory and that it can be used by policy makers to implement more effective incentive schemes or nudge people toward desirable behaviors (Thaler & Sunstein 2008)....
                    • Early-Starting Conduct Problems: Intersection of Conduct Problems and Poverty

                      Daniel S. Shaw and Elizabeth C. ShellebyDepartment of Psychology, University of Pittsburgh, Pittsburgh, Pennsylvania 15260; email: [email protected]
                      Annual Review of Clinical Psychology Vol. 10: 503 - 528
                      • ...researchers in the area of behavioral economics have been taking advantage of potential increases in motivation resulting from increases in income to design and test incentive-based strategies for improving conditions for low-income families and children (Aber & Chaudry 2010, Thaler & Sunstein 2008)....
                    • Financial Literacy, Financial Education, and Economic Outcomes

                      Justine S. Hastings,1,2 Brigitte C. Madrian,2,3 and William L. Skimmyhorn41Department of Economics, Brown University, Providence, Rhode Island 02912; email: [email protected]2National Bureau of Economic Research, Cambridge, Massachusetts 021383Harvard Kennedy School of Government, Cambridge, Massachusetts 021384Department of Social Sciences, United States Military Academy, West Point, New York 10996
                      Annual Review of Economics Vol. 5: 347 - 373
                      • ...; Stango & Zinman 2009; Hung et al. 2009; van Rooij et al. 2012)....
                      • ...One regulatory alternative is to design policies that address biases and reduce the decision-making costs that consumers face in financial product markets (Thaler & Sunstein 2008)....
                    • Social Networks and the Environment

                      Julio ViderasEconomics Department, Hamilton College, Clinton, New York 13323; email: [email protected]
                      Annual Review of Resource Economics Vol. 5: 211 - 226
                      • ...as public policies might be tailored to exploit the beneficial impact of social factors, the social multiplier, through social nudges (Thaler & Sunstein 2008)....
                    • Voluntary Approaches to Environmental Protection and Resource Management

                      Kathleen SegersonDepartment of Economics, University of Connecticut, Storrs, Connecticut 06269-1063; email: [email protected]
                      Annual Review of Resource Economics Vol. 5: 161 - 180
                      • ...8For a general discussion of nudges, see Thaler & Sunstein (2008)....
                    • The Behavioral Economics of Health and Health Care

                      Thomas RiceDepartment of Health Policy and Management, Fielding School of Public Health, University of California, Los Angeles, California 90095-1772; email: [email protected]
                      Annual Review of Public Health Vol. 34: 431 - 447
                      • ...Nudge: a concept developed by Richard Thaler and Cass Sunstein (47)....
                      • ...Thaler & Sunstein, in their book, Nudge (47), colorfully illustrate this theoretical insight by distinguishing between two types of being: mythical Econs and actual Humans....
                      • ...an important contribution to popularizing the field of behavioral economics was the publication of the book Nudge in 2008 by Thaler, an economist, and Sunstein, a legal scholar (47)....
                      • ...which Thaler & Sunstein (47) report was even more successful in increasing savings.] The program also addresses the phenomenon of loss aversion, ...
                      • ...One might argue, as Thaler & Sunstein (47) do, that it could be a government overstep to mandate an opt-out system because this implies that those who do not go to the effort of explicitly opting out actually want to be donors....
                    • Behavioral Ethics: Toward a Deeper Understanding of Moral Judgment and Dishonesty

                      Max H. Bazerman and Francesca GinoHarvard Business School, Boston, Massachusetts 02163; email: [email protected], [email protected]
                      Annual Review of Law and Social Science Vol. 8: 85 - 104
                      • ...and our government can intervene to change the way we see and react to problems. Thaler & Sunstein (2008) outline a structure of how to change institutions that take into account the most accurate expectations of how humans behave....
                    • A Reduced-Form Approach to Behavioral Public Finance

                      Sendhil Mullainathan,1 Joshua Schwartzstein,2 and William J. Congdon31Department of Economics, Harvard University, Cambridge, Massachusetts 02138, and Consumer Financial Protection Bureau, Washington, DC 20552; email: [email protected]2Department of Economics, Dartmouth College, Hanover, New Hampshire 03755; email: [email protected]3Brookings Institution, Washington, DC 2003 6; email: [email protected]
                      Annual Review of Economics Vol. 4: 511 - 540
                      • ...We call these nudges, after Thaler & Sunstein (2008)....
                    • The Politics of Regulation: From New Institutionalism to New Governance

                      Christopher Carrigan1,3 and Cary Coglianese2,31John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2University of Pennsylvania Law School and Department of Political Science, Philadelphia, Pennsylvania 19104; email: [email protected]3Penn Program on Regulation, University of Pennsylvania, Philadelphia, Pennsylvania 19104
                      Annual Review of Political Science Vol. 14: 107 - 129
                      • ...Although a substantial decline in toxic releases followed the creation of the EPA's Toxics Release Inventory information disclosure requirement in the late 1980s (Fung & O'Rourke 2000, Thaler & Sunstein 2008), ...
                    • Happiness Studies and Legal Policy

                      Peter Henry HuangTemple University Law School, Philadelphia, Pennsylvania 19122; email: [email protected]
                      Annual Review of Law and Social Science Vol. 6: 405 - 432
                      • ...live safer, be healthier, and make better decisions (Thaler & Sunstein 2008)....
                    • Willpower and Legal Policy

                      Lee Anne FennellUniversity of Chicago Law School, Chicago, Illinois 60637; email: [email protected]
                      Annual Review of Law and Social Science Vol. 5: 91 - 113
                      • ...The possibility that people are actually making themselves worse off in their own eyes has led to new calls for public policy interventions to help individuals achieve the outcomes they prefer (e.g., Camerer et al. 2003, Thaler & Sunstein 2008)....
                      • ...whether by capitalizing on inertia or implicitly providing a recommendation (e.g., Thaler & Sunstein 2008, ...
                    • Conceptual Consumption

                      Dan Ariely1 and Michael I. Norton21Duke University, Durham, North Carolina 27708; email: [email protected]2Harvard Business School, Boston, Massachusetts 02163; email: [email protected]
                      Annual Review of Psychology Vol. 60: 475 - 499
                      • ...using the knowledge acquired from previous research to improve public policy (Mick 2007, Ratner et al. 2008, Thaler & Sunstein 2008)....
                    • Mindful Judgment and Decision Making

                      Elke U. Weber and Eric J. JohnsonCenter for the Decision Sciences (CDS), Columbia University, New York, New York 10027; email: [email protected]
                      Annual Review of Psychology Vol. 60: 53 - 85
                      • ...including the design of decision environments that nudge people to construct their preferences in ways they will not regret after the fact (Thaler & Sunstein 2008)....
                      • ...we have seen an explosion of research that applies principles from behavioral decision research to address applications in policy and other areas (Thaler & Sunstein 2008)....

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                    • Food and Language: Production, Consumption, and Circulation of Meaning and Value

                      Martha Sif Karrebæk,1 Kathleen C. Riley,2 and Jillian R. Cavanaugh31Department of Nordic Studies and Linguistics, Faculty of Humanities, University of Copenhagen, DK-2300 Copenhagen, Denmark; email: [email protected]2Department of Anthropology, Rutgers University, New Brunswick, New Jersey 08901-1414; email: [email protected]3Department of Anthropology and Archaeology, Brooklyn College and the Graduate Center, City University of New York, Brooklyn, New York 11210; email: [email protected]
                      Annual Review of Anthropology Vol. 47: 17 - 32
                      • ...This approach dovetails neatly with scholarship on the social life of things (Appadurai 1986), on consumption and materiality (Miller 1998, 2005), ...
                    • Language and Materiality in Global Capitalism

                      Shalini Shankar1,3 and Jillian R. Cavanaugh2,31Department of Anthropology, Asian American Studies, Northwestern University, Evanston, Illinois 60208; email: [email protected]2Department of Anthropology and Archaeology, Brooklyn College and the Graduate Center, City University of New York, Brooklyn, New York 11210; email: [email protected]3Both authors contributed equally to this work.
                      Annual Review of Anthropology Vol. 41: 355 - 369
                      • ...Seminal work on the social value of commodities (Appadurai 1986, Miller 1998, Myers 2001)...
                    • Objects of Affect: Photography Beyond the Image

                      Elizabeth EdwardsPhotographic History Research Center, De Montfort University, Leicester LE1 9BH, United Kingdom; email: [email protected]
                      Annual Review of Anthropology Vol. 41: 221 - 234
                      • ...and its importance is a register of the shift from asking semiotic questions about how images signify to cultural and phenomenological questions about how things mean (Miller 1998, ...
                      • ...association that is more likely to lead us to the concerns of those being studied than those doing the studying” (Miller 1998, ...
                    • The Semiotics of Brand

                      Paul ManningDepartment of Anthropology, Trent University, Toronto, Ontario M6H 3Y3, Canada; email: [email protected]
                      Annual Review of Anthropology Vol. 39: 33 - 49
                      • ...Nike) that serve as what Miller (1998) calls “meta-symbols” of aspects of this global culture of circulation: “So Coca-Cola is not merely material culture, ...
                      • ...Such approaches (Miller 1998; Foster 2005, 2007, 2008; also Meneley 2004, 2007, 2008...
                    • Food and Globalization

                      Lynne PhillipsDepartment of Sociology and Anthropology, University of Windsor, 401 Sunset Ave., Windsor, Ontario, Canada N9B 3P4; email: [email protected]
                      Annual Review of Anthropology Vol. 35: 37 - 57
                      • ... new reader brings together published work that explores this area of study, including the important work of Miller (1998)...
                    • Consumers and Consumption

                      Sharon ZukinDepartment of Sociology, Brooklyn College, and the Graduate Center, City University of New York, New York, NY 10016; email: [email protected] Jennifer Smith MaguireDepartment of Sociology, University of Leicester, Leicester, Leicestershire LE1 7RH, United Kingdom; email: [email protected]
                      Annual Review of Sociology Vol. 30: 173 - 197

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                      • Energy Efficiency: What Has Research Delivered in the Last 40 Years?

                        Harry D. Saunders,1, Joyashree Roy,2,3, Inês M.L. Azevedo,4, Debalina Chakravarty,5 Shyamasree Dasgupta,6 Stephane de la Rue du Can,7 Angela Druckman,8 Roger Fouquet,9, Michael Grubb,10, Boqiang Lin,11 Robert Lowe,12, Reinhard Madlener,13,14, Daire M. McCoy,9,15, Luis Mundaca,16, Tadj Oreszczyn,17 Steven Sorrell,18, David Stern,19, Kanako Tanaka,20 and Taoyuan Wei211Carnegie Institution for Science, Global Ecology Group, Stanford, California 94305, USA; email: [email protected]2Sustainable Energy Transition Program, Department of Energy, Environment and Climate Change, Asian Institute of Technology, Klongluang, Pathumthani 12120, Thailand3Department of Economics, Jadavpur University, Kolkata 700032, India4Department of Energy Resources Engineering, Stanford University, Stanford, California 94305, USA5Department of Economics, St. Xavier's University, Kolkata 700160, India6School of Humanities and Social Sciences, Indian Institute of Technology Mandi, Himachal Pradesh 175005, India7Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA8Centre for Environment and Sustainability, University of Surrey, Guildford, Surrey GU2 5XH, United Kingdom9Grantham Research Institute on Climate Change and the Environment, London School of Economics and Political Science, London WC2A 2AE, United Kingdom10UCL Institute for Sustainable Resources, The Bartlett Faculty of the Built Environment, Bartlett School of Environment, Energy & Resources, University College London, London NW1 2HE, United Kingdom11China Institute for Studies in Energy Policy, Xiamen University, Xiamen 361005, China12UCL Energy Institute, University College London, London WC1E 6BT, United Kingdom13School of Business and Economics/E.ON Energy Research Center, RWTH Aachen University, Aachen 52074, Germany14Department of Industrial Economics and Technology Management, Norwegian University of Science and Technology (NTNU), 7491 Trondheim, Norway15The Economic and Social Research Institute, Dublin D02 K138, Ireland16International Institute for Industrial Environmental Economics, Lund University, Lund SE-221 00, Sweden17Bartlett School of Environment, Energy & Resources, University College London, London WC1H 0NN, United Kingdom18Science Policy Research Unit, University of Sussex, Brighton BN1 9RH, United Kingdom19Crawford School of Public Policy, College of Asia & the Pacific, Australian National University, Canberra ACT 2600, Australia20Center for Low Carbon Society Strategy, Japan Science and Technology Agency, Tokyo 102-8666, Japan21Climate Economics Group, Center for International Climate Research (CICERO), 0318 Oslo, Norway
                        Annual Review of Environment and Resources Vol. 46: 135 - 165
                        • ...Along the same lines, Jaffe & Stavins (23) propose two distinct notions....
                        • ...The costs and benefits of energy efficiency programs have been debated extensively (23, 24, 58, 59)....
                      • Consumer End-Use Energy Efficiency and Rebound Effects

                        Inês M.L. AzevedoDepartment of Engineering and Public Policy, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]
                        Annual Review of Environment and Resources Vol. 39: 393 - 418
                        • ...and energy prices that do not reflect their true cost (sometimes caused by distortional regulation or the noninclusion of negative externalities that are associated with the provision of energy services) (2...
                      • Evaluating Energy Efficiency Policies with Energy-Economy Models

                        Luis Mundaca,1 Lena Neij,1 Ernst Worrell,2 and Michael McNeil31International Institute for Industrial Environmental Economics, Lund University, 221 00 Lund, Sweden; email: [email protected], [email protected]iiee.lu.se2Department of Innovation and Environmental Sciences, Utrecht University, NL-3584 CS Utrecht, The Netherlands; email: [email protected]3Energy and Environmental Technologies Division, Lawrence Berkeley National Laboratory, Berkeley, California 94720-8136; email: [email protected]
                        Annual Review of Environment and Resources Vol. 35: 305 - 344
                        • ...See, for instance, References 30, 43, and 62, 63, 64....
                        • ...See, for instance, References 63, 64, and 66, 67, 68, 69, 70....
                        • ...miscalculations in equipment costs and/or energy savings, and a need for compensation for risk (63, 72, 73)....
                        • ...Whereas the importance of (implicit) discount rates in the context of the “energy efficiency gap” has been long debated (see, e.g., References 6, 63, ...
                      • Energy Efficiency Economics and Policy

                        Kenneth Gillingham,1 Richard G. Newell,2,3,4,* and Karen Palmer31Precourt Energy Efficiency Center, Stanford University, Stanford, California 94309; email: [email protected]2Nicholas School of the Environment, Duke University, Durham, North Carolina 27708; email: [email protected]3Resources for the Future, Washington, D.C. 20036; email: [email protected]4National Bureau of Economic Research, Cambridge, Massachusetts 02138
                        Annual Review of Resource Economics Vol. 1: 597 - 620
                        • ...The agent will then underinvest in energy efficiency relative to the social optimum, resulting in a market failure (Jaffe & Stavins 1994)...
                      • Models of Decision Making and Residential Energy Use

                        Charlie Wilson and Hadi DowlatabadiInstitute for Resources, Environment and Sustainability, University of British Columbia, Vancouver, British Columbia V6T 1Z4, Canada; email: [email protected], [email protected]
                        Annual Review of Environment and Resources Vol. 32: 169 - 203
                        • ...Energy efficiency provides an interesting empirical context for considering individual decision making and behavior owing to the persistence of a gap between technological and economic potential, and actual market behavior (6)....

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                      • Sanctions, Perceptions, and Crime

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                        Annual Review of Criminology Vol. 5: 205 - 227
                        • ...9Ajzen (1991) reports that behavioral intentions correlate in the expected manner with actual behavior....
                      • Separating Myth from Reality: An Analysis of Socially Acceptable Credence Attributes

                        Jayson L. LuskDepartment of Agricultural Economics, Purdue University, West Lafayette, Indiana 47907, USA; email: [email protected]
                        Annual Review of Resource Economics Vol. 10: 65 - 82
                        • ...For example, the widely used theories of planned behavior (Ajzen 1991)...
                      • Drivers of Human Stress on the Environment in the Twenty-First Century

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                        Annual Review of Environment and Resources Vol. 42: 189 - 213
                        • ...their view of their ability to carry out the behavior (which is similar to ascription of responsibility in VBN theory), and their intention to carry out the behavior (132, 133)....
                      • Evidence-Based Management: Foundations, Development, Controversies and Future

                        Sara L. Rynes1 and Jean M. Bartunek21Tippie College of Business, University of Iowa, Iowa City, Iowa 52242; email: [email protected]2Carroll Graduate School of Management, Boston College, Chestnut Hill, Massachusetts 02467; email: [email protected]
                        Annual Review of Organizational Psychology and Organizational Behavior Vol. 4: 235 - 261
                        • ...Drawing on Ajzen's (1991) theory of planned behavior to organize their review, ...
                        • ...An alternative model for planning and organizing future research on EBP is Ajzen's (1991)...
                      • Changing Provider Behavior in the Context of Chronic Disease Management: Focus on Clinical Inertia

                        Kim L. Lavoie,1,2 Joshua A. Rash,3 and Tavis S. Campbell31Department of Psychology, University of Quebec at Montreal (UQAM), Montreal, Quebec H3C 3P8, Canada2Montreal Behavioural Medicine Centre (MBMC), Research Centre, Hôpital du Sacré-Coeur de Montréal, Montreal, Quebec H2J 1C5, Canada3Department of Psychology, University of Calgary, Calgary, Alberta T2N 1N4, Canada; email: [email protected]
                        Annual Review of Pharmacology and Toxicology Vol. 57: 263 - 283
                        • Health Behavior Change: Moving from Observation to Intervention

                          Paschal Sheeran,1 William M.P. Klein,2 and Alexander J. Rothman31Department of Psychology and Neuroscience, University of North Carolina, Chapel Hill, North Carolina 27599; email: [email protected]2Behavioral Research Program, National Cancer Institute, Bethesda, Maryland 208923Department of Psychology, University of Minnesota, Minneapolis, Minnesota 55455
                          Annual Review of Psychology Vol. 68: 573 - 600
                          • ...the theory of reasoned action (Fishbein & Ajzen 1975), the theory of planned behavior (Ajzen 1991), ...
                          • ...▪Theory of planned behavior (Ajzen 1991)...
                        • Can We Tweet, Post, and Share Our Way to a More Sustainable Society? A Review of the Current Contributions and Future Potential of #Socialmediaforsustainability

                          Elissa Pearson,1 Hayley Tindle,2 Monika Ferguson,3 Jillian Ryan,1 and Carla Litchfield11Centre for Social Change, School of Psychology, Social Work and Social Policy, University of South Australia, Magill Campus, Magill, South Australia 5072, Australia; email: [email protected], [email protected], [email protected]2School of Engineering, University of South Australia, Mawson Lakes Campus, Mawson Lakes, South Australia 5095; email: [email protected]3Mental Health and Substance Use Research Group, School of Nursing and Midwifery, University of South Australia, City East Campus, Adelaide, South Australia 5001; email: [email protected]
                          Annual Review of Environment and Resources Vol. 41: 363 - 397
                          • ...which theorize that increasing knowledge on an issue will lead to positive attitudes and subsequent environmental behavior, and the theory of planned behavior (38), ...
                        • Evidence-Based Practice: The Psychology of EBP Implementation

                          Denise M. Rousseau1 and Brian C. Gunia21Heinz College of Public Policy, Information, and Management and Tepper School of Business, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]2Carey Business School, Johns Hopkins University, Baltimore, Maryland 21202-1099; email: [email protected]
                          Annual Review of Psychology Vol. 67: 667 - 692
                          • ...Because EBP is a form of goal-related behavior, we organize our review using an integration of Ajzen's (1991)...
                          • ...the drive to engage in a certain behavior, is a function of three individual beliefs (Ajzen 1991)....
                          • ...The individual's intention to perform a behavior generally is expected to be strongest when all three beliefs are high (Ajzen 1991)....
                          • ...Where introduction of EBP economically or psychologically costs the practitioner in some fashion, it is more likely to be resisted (Ajzen 1991)....
                          • ...in turn, are more likely to be adopted by others (Ajzen 1991)....
                        • Assessing and Changing Organizational Social Contexts for Effective Mental Health Services

                          Charles Glisson and Nathaniel J. WilliamsChildren's Mental Health Services Research Center, University of Tennessee, Knoxville, Tennessee 37996; email: [email protected], [email protected]
                          Annual Review of Public Health Vol. 36: 507 - 523
                          • ...Our program of research integrates organizational culture and climate theory with well-established social cognitive theories of individual behavior and behavior change (5, 6, 10, 27)....
                          • ...Individuals develop intentions to pursue such behaviors and are more likely to enact the behaviors when environmental conditions support their intentions (5, 27)....
                        • Social Influence, Consumer Behavior, and Low-Carbon Energy Transitions

                          Jonn Axsen1 and Kenneth S. Kurani21School of Resource and Environmental Management, Simon Fraser University, Burnaby, British Columbia V5A 1S6, Canada; email: [email protected]2Institute of Transportation Studies, University of California, Davis, California 95616; email: [email protected]
                          Annual Review of Environment and Resources Vol. 37: 311 - 340
                          • ...the theory of planned behavior included the influence of values and more social concepts, including norms (25)....
                        • Job Attitudes

                          Timothy A. Judge1 and John D. Kammeyer-Mueller21Mendoza College of Business, University of Notre Dame, Notre Dame, Indiana 46556; email: [email protected]2Department of Management, University of Florida, Gainesville, Florida 32611; email: [email protected]
                          Annual Review of Psychology Vol. 63: 341 - 367
                          • ...However, the theories of reasoned action and planned behavior (Ajzen 1991), ...
                          • ...the dominant model linking attitudes to behaviors is the theory of planned behavior (Ajzen 1991), ...
                        • Personality Processes: Mechanisms by Which Personality Traits “Get Outside the Skin”

                          Sarah E. HampsonOregon Research Institute, Eugene, Oregon 97403; email: [email protected]
                          Annual Review of Psychology Vol. 63: 315 - 339
                          • ...Other studies illustrate how personality processes may be investigated in the context of cognitive social-psychological theories such as the Theory of Planned Behavior (Ajzen 1985, 1991) using more conventional prospective, ...
                        • Integrating Clinical, Community, and Policy Perspectives on Human Papillomavirus Vaccination

                          María E. Fernández1, Jennifer D. Allen2, Ritesh Mistry3, and Jessica A. Kahn41School of Public Health, University of Texas Health Science Center at Houston, Houston, Texas 77030; email: [email protected]2Dana-Farber Cancer Institute and School of Public Health, Harvard University, Boston, Massachusetts 02115; email: [email protected]3School of Public Health, University of California, Los Angeles, California 90095; email: [email protected]4Cincinnati Children's Hospital Medical Center and College of Medicine, University of Cincinnati, Cincinnati, Ohio 45229; email: [email protected]
                          Annual Review of Public Health Vol. 31: 235 - 252
                          • ...The majority of studies that describe psychosocial factors associated with vaccine acceptability or intent measure constructs from theories including the health belief model (14), theory of planned behavior (2), ...
                        • The Role of Behavioral Science Theory in Development and Implementation of Public Health Interventions

                          Karen Glanz1 and Donald B. Bishop21Schools of Medicine and Nursing, University of Pennsylvania, Philadelphia, Pennsylvania 19104; email: [email protected]2Minnesota Department of Health, St. Paul, Minnesota 55164; email: [email protected]
                          Annual Review of Public Health Vol. 31: 399 - 418
                          • ...; the TRA and its new version, the theory of planned behavior (TPB) (2)...
                          • ...The TPB (2) and the Precaution Adoption Process Model (117) also explicitly identify cognitive stages of readiness and decisions to take action....
                          • ...A further application of this distinction comes from the TPB (2)....
                          • ...These strategies are an eclectic mix drawn from SCT (70), the TPB (2), ...
                        • Environmental Influences on Tobacco Use: Evidence from Societal and Community Influences on Tobacco Use and Dependence

                          K. Michael Cummings,1 Geoffrey T. Fong,2 and Ron Borland31Department of Health Behavior, Roswell Park Cancer Institute, Buffalo, New York 14263; email: [email protected]2Department of Psychology, University of Waterloo, Waterloo, Ontario, Canada N2L 3G1, and Ontario Institute for Cancer Research, Toronto, Ontario, Canada; email: [email protected]3VicHealth Center for Tobacco Control, The Cancer Council Victoria, Melbourne, Australia 3053; email: [email protected]
                          Annual Review of Clinical Psychology Vol. 5: 433 - 458
                          • ...and are taken from well-known psychosocial models of health behavior such as the Theory of Planned Behavior (Ajzen 1991), ...
                        • Geographic Life Environments and Coronary Heart Disease: A Literature Review, Theoretical Contributions, Methodological Updates, and a Research Agenda

                          Basile ChaixInserm, U707, 75012 Paris, France; Université Pierre et Marie Curie-Paris6, 75012 Paris, France; email: [email protected]
                          Annual Review of Public Health Vol. 30: 81 - 105
                          • ...The theory of planned behavior.Ajzen's theory of planned behavior (1) states that intentions to perform a behavior are influenced by individuals’ attitudes toward the behavior (positive or negative evaluations), ...
                          • ...whereas perceived behavioral control and self-efficacy beliefs are more behavior- and situation-specific (1)...
                        • Health Psychology: The Search for Pathways between Behavior and Health

                          Howard Leventhal,1 John Weinman,2 Elaine A. Leventhal,1 and L. Alison Phillips11Institute for Health, Health Care Policy and Aging Research, Rutgers, The State University of New Jersey, New Brunswick, New Jersey 08901-1293;2Health Psychology Section, Psychology Department, Institute of Psychiatry, King's College London, London SE1 9RT, United Kingdom; email: [email protected]
                          Annual Review of Psychology Vol. 59: 477 - 505
                          • ...The Theory of Planned Behavior (TPB; Ajzen 1991) has been used to examine the relationships of behavioral and/or treatment beliefs to adherence for issues such as use of condoms (Albarracin et al. 2001)...
                        • Models of Decision Making and Residential Energy Use

                          Charlie Wilson and Hadi DowlatabadiInstitute for Resources, Environment and Sustainability, University of British Columbia, Vancouver, British Columbia V6T 1Z4, Canada; email: [email protected], [email protected]
                          Annual Review of Environment and Resources Vol. 32: 169 - 203
                          • ...attitudes are formed from an individual's beliefs about a behavior as well as an evaluation of its outcomes (90)....
                          • ...perceived behavioral control was incorporated as a third precursor of intention to act as well as a direct precursor of behavior (90, 91)....
                        • Moral Emotions and Moral Behavior

                          June Price Tangney,,1 Jeff Stuewig,1 and Debra J. Mashek21Department of Psychology, George Mason University, Fairfax, Virginia 22030; email: [email protected], [email protected]2Department of Humanities and Social Sciences, Harvey Mudd College, Claremont, California 91711; email: [email protected]
                          Annual Review of Psychology Vol. 58: 345 - 372
                          • .... Ajzen's (1991) theory of planned behavior offers a well-integrated model of the ways in which attitudes, ...
                        • Psychology, Psychologists, and Public Policy

                          Katherine M. McKnight, Lee Sechrest, and Patrick E. McKnightEvaluation Group for Analysis of Data, Department of Psychology, University of Arizona, Tucson, Arizona 85721-0068; email: [email protected] or [email protected], [email protected], [email protected]
                          Annual Review of Clinical Psychology Vol. 1: 557 - 576
                          • ... transtheoretical model or Ajzen's (1991) theory of planned behavior] might be brought to bear on effective knowledge dissemination....
                        • Nature and Operation of Attitudes

                          Icek AjzenDepartment of Psychology, University of Massachusetts, Amherst, Massachusetts 01003; e-mail: [email protected]
                          Annual Review of Psychology Vol. 52: 27 - 58
                          • ...Most studies concerned with the prediction of behavior from attitudinal variables were conducted in the framework of the theory of planned behavior (Ajzen 1991) and, ...

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                        • Implicit Social Cognition

                          Anthony G. Greenwald1 and Calvin K. Lai21Department of Psychology, University of Washington, Seattle, Washington 98195, USA; email: [email protected]2Department of Psychological and Brain Sciences, Washington University in St. Louis, St. Louis, Missouri 63130, USA
                          Annual Review of Psychology Vol. 71: 419 - 445
                          • ...Correspondence was first introduced as a theorized moderator of attitude–behavior correlations by Ajzen & Fishbein (1977)....
                          • ...They offered this example: “When the behavioral criterion is [attendance at] next Sunday's worship service in his church [a high correspondence] attitudinal predictor would be a measure of the person's evaluation of ‘attending my church's worship service next Sunday'” (Ajzen & Fishbein 1977, ...

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                        • Attitudes, Habits, and Behavior Change

                          Bas Verplanken1 and Sheina Orbell21Department of Psychology, University of Bath, Bath BA2 7AY, United Kingdom; email: [email protected]2Department of Psychology, University of Essex, Colchester CO4 3SQ, United Kingdom; email: [email protected]
                          Annual Review of Psychology Vol. 73: 327 - 352
                          • ...Lally et al. (2010) asked participants to perform a new behavior once each day and to submit daily entries of self-reported habit....
                        • Self-Control and Academic Achievement

                          Angela L. Duckworth,1 Jamie L. Taxer,2 Lauren Eskreis-Winkler,1 Brian M. Galla,3 and James J. Gross21Department of Psychology, University of Pennsylvania, Philadelphia, Pennsylvania 19104, USA; email: [email protected], [email protected]2Department of Psychology, Stanford University, Stanford, California 94305, USA; email: [email protected], [email protected]3School of Education, University of Pittsburgh, Pittsburgh, Pennsylvania 15260, USA; email: [email protected]
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                          • ...as cue–behavior sequences are repeated and reinforced over weeks or months (Lally et al. 2010)....

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                        • Attitudes, Habits, and Behavior Change

                          Bas Verplanken1 and Sheina Orbell21Department of Psychology, University of Bath, Bath BA2 7AY, United Kingdom; email: [email protected]2Department of Psychology, University of Essex, Colchester CO4 3SQ, United Kingdom; email: [email protected]
                          Annual Review of Psychology Vol. 73: 327 - 352
                          • ..., reaction time measures of context-response associations (Neal et al. 2012)...
                          • ...participants infer an intention from their habit (Mazar & Wood 2021, Neal et al. 2012); and the inadequate sampling of participants with strong habits and counter-habitual intentions, ...
                          • ...For instance, Neal et al. (2012, study 1) revealed the inverted-U-shape relationship of attitude to behavior using a word recognition task with experimentally manipulated subliminal primes....
                          • ...indicated by the speed of responding to habit cues (Neal et al. 2012)...
                        • Self-Control and Academic Achievement

                          Angela L. Duckworth,1 Jamie L. Taxer,2 Lauren Eskreis-Winkler,1 Brian M. Galla,3 and James J. Gross21Department of Psychology, University of Pennsylvania, Philadelphia, Pennsylvania 19104, USA; email: [email protected], [email protected]2Department of Psychology, Stanford University, Stanford, California 94305, USA; email: [email protected], [email protected]3School of Education, University of Pittsburgh, Pittsburgh, Pennsylvania 15260, USA; email: [email protected]
                          Annual Review of Psychology Vol. 70: 373 - 399
                          • ...habits bias attention toward trigger cues and circumvent the appraisal stage entirely (Neal et al. 2012)....
                        • Psychology of Habit

                          Wendy Wood and Dennis RüngerDepartment of Psychology, University of Southern California, Los Angeles, California 90089-1061; email: [email protected], [email protected]
                          Annual Review of Psychology Vol. 67: 289 - 314
                          • ...Neal et al. (2012) found that runners with strong running habits automatically brought to mind thoughts of running and jogging when exposed to words designating the physical locations in which they typically ran....
                          • ...despite no change in their motivation to speak loudly (Neal et al. 2012)....
                          • ...Perhaps the most valid assessments of everyday habit strength involve reaction time measures of the accessibility of the habitual response given exposure to associated context cues (e.g., Neal et al. 2012)....
                          • ...when in fact the opposite was true—intentions and goals were particularly poor predictors of strongly habitual behaviors (Ji & Wood 2007, Neal et al. 2012)....

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                        • Attitudes, Habits, and Behavior Change

                          Bas Verplanken1 and Sheina Orbell21Department of Psychology, University of Bath, Bath BA2 7AY, United Kingdom; email: [email protected]2Department of Psychology, University of Essex, Colchester CO4 3SQ, United Kingdom; email: [email protected]
                          Annual Review of Psychology Vol. 73: 327 - 352
                          • ...and it has been discussed since the emergence of renewed interest in habits in the late 1990s (Aarts et al. 1998, Gardner et al. 2020, Ouellette & Wood 1998, Verplanken & Aarts 1999, Verplanken & Wood 2006, Wood & Neal 2007, Wood & Rünger 2016)....
                          • ...An alternative approach is to classify the types of behavior according to whether they can be performed frequently in stable contexts and might therefore be capable of becoming habits (Ouellette & Wood 1998, Sheeran et al. 2016, Webb & Sheeran 2006)....
                        • Health Behavior Change: Moving from Observation to Intervention

                          Paschal Sheeran,1 William M.P. Klein,2 and Alexander J. Rothman31Department of Psychology and Neuroscience, University of North Carolina, Chapel Hill, North Carolina 27599; email: [email protected]2Behavioral Research Program, National Cancer Institute, Bethesda, Maryland 208923Department of Psychology, University of Minnesota, Minneapolis, Minnesota 55455
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                          • ...One prominent example is habit (for a review, see Wood & Rünger 2015). Ouellette & Wood (1998)...

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                        • Psychology of Habit

                          Wendy Wood and Dennis RüngerDepartment of Psychology, University of Southern California, Los Angeles, California 90089-1061; email: [email protected], [email protected]
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                          • ...and biased the searches toward their habitual choice (Aarts et al. 1997...

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                        • Three Decades of Climate Mitigation: Why Haven't We Bent the Global Emissions Curve?

                          Isak Stoddard,1 Kevin Anderson,1,2 Stuart Capstick,3 Wim Carton,4 Joanna Depledge,5 Keri Facer,1,6 Clair Gough,2 Frederic Hache,7 Claire Hoolohan,2,3 Martin Hultman,8 Niclas Hällström,9 Sivan Kartha,10 Sonja Klinsky,11 Magdalena Kuchler,1 Eva Lövbrand,12 Naghmeh Nasiritousi,13,14 Peter Newell,15 Glen P. Peters,16 Youba Sokona,17 Andy Stirling,18 Matthew Stilwell,19 Clive L. Spash,20 and Mariama Williams171Natural Resources and Sustainable Development, Department of Earth Sciences, Uppsala University, SE-752 36 Uppsala, Sweden; email: [email protected]2Tyndall Centre for Climate Change Research, School of Engineering, University of Manchester, Manchester M13 9PL, United Kingdom3Centre for Climate Change and Social Transformation, School of Psychology, Cardiff University, Cardiff CF10 3AT, United Kingdom4Lund University Centre for Sustainability Studies, Lund University, SE-221 00 Lund, Sweden5Cambridge Centre for Environment, Energy and Natural Resource Governance, Cambridge University, Cambridge CB2 3QZ, United Kingdom6School of Education, University of Bristol, Bristol BS8 1JA, United Kingdom7Green Finance Observatory, 1050 Brussels, Belgium8Department of Technology Development and Management, Chalmers University of Technology, SE-412 96 Gothenburg, Sweden9What Next?, SE-756 45 Uppsala, Sweden10Stockholm Environment Institute, Somerville, Massachusetts 02144, USA11School of Sustainability, Arizona State University, Tempe, Arizona 85287, USA12Department of Thematic Studies–Environmental Change, Linköping University, SE-581 83 Linköping, Sweden13Department of Political Science, Stockholm University, SE-106 91 Stockholm, Sweden14Swedish Institute of International Affairs, SE-114 28 Stockholm, Sweden15Department of International Relations, University of Sussex, Brighton BN1 9SN, United Kingdom16Center for International Climate Research, 0318 Oslo, Norway17The South Centre, 1219 Geneva, Switzerland18Science Policy Research Unit, Business School, University of Sussex, Brighton BN1 9RH, United Kingdom19Institute for Governance & Sustainable Development, Washington, DC 20007, USA20Institute for Multi-Level Governance and Development, WU Vienna University of Economics, 1020 Vienna, Austria
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                          • ...in that environmentally significant actions are often stable, persistent, and an automatic response to particular contexts (159), ...

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                        • Attitudes, Habits, and Behavior Change

                          Bas Verplanken1 and Sheina Orbell21Department of Psychology, University of Bath, Bath BA2 7AY, United Kingdom; email: [email protected]2Department of Psychology, University of Essex, Colchester CO4 3SQ, United Kingdom; email: [email protected]
                          Annual Review of Psychology Vol. 73: 327 - 352
                          • ...important goals and values may come to the fore and guide the new choices (Verplanken et al. 2008)....
                          • ...This habit discontinuity hypothesis (Verplanken et al. 2008) was tested in a field experiment among 800 households (Verplanken & Roy 2016)...
                        • Psychology of Habit

                          Wendy Wood and Dennis RüngerDepartment of Psychology, University of Southern California, Los Angeles, California 90089-1061; email: [email protected], [email protected]
                          Annual Review of Psychology Vol. 67: 289 - 314
                          • ...Habit discontinuity interventions capitalize on this reduced exposure to cues that trigger old habits (Thøgersen 2012, Verplanken et al. 2008, Walker et al. 2014)....
                        • Do Conscious Thoughts Cause Behavior?

                          Roy F. Baumeister, E. J. Masicampo, and Kathleen D. VohsDepartment of Psychology, Florida State University, Tallahassee, Florida 32306; email: [email protected]
                          Annual Review of Psychology Vol. 62: 331 - 361
                          • ...habits guide behavior automatically. Verplanken et al. (2008) showed that consciously held environmental values had only a modest effect on whether people used their cars for commuting—if the people had established habits....

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                        • Green Consumption: Behavior and Norms

                          Ken PeattieThe Center for Business Relationships, Accountability, Sustainability and Society, Cardiff University, Cardiff, Wales CF10 3AT, United Kingdom; email: [email protected]
                          Annual Review of Environment and Resources Vol. 35: 195 - 228
                          • ...has been identified as a life-stage opportunity during which consumers may establish new greener behavior patterns (145)....
                          • ...including recycling, household energy adaptations, and exploring alternatives to car use (145, 163, 164)....

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                        • Climate Decision-Making

                          Ben Orlove,1 Rachael Shwom,2 Ezra Markowitz,3 and So-Min Cheong41School of International and Public Affairs and Earth Institute, Columbia University, New York, New York 10025, USA; email: [email protected]2Department of Human Ecology and Rutgers Energy Institute, Rutgers University, New Brunswick, New Jersey 08901, USA; email: [email protected]3Department of Environmental Conservation, University of Massachusetts Amherst, Amherst, Massachusetts 01002, USA; email: [email protected]4Department of Geography and Atmospheric Science, University of Kansas, Lawrence, Kansas 66045, USA; email: [email protected]
                          Annual Review of Environment and Resources Vol. 45: 271 - 303
                          • ...except where insights from the behavioral and decision sciences provide tangible advice to policy-makers and social planners interested in disrupting and redirecting such automatic or habitual actions (e.g., breaking transportation mode choice habits; 27)....

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                        • Human Cooperation and the Crises of Climate Change, COVID-19, and Misinformation

                          Paul A.M. Van Lange1 and David G. Rand21Department of Experimental and Applied Psychology and Institute for Brain and Behavior Amsterdam (iBBA), Vrije Universiteit Amsterdam, 1081 BT Amsterdam, The Netherlands; email: [email protected]2Department of Brain and Cognitive Sciences, Massachusetts Institute of Technology, Cambridge, Massachusetts 02139, USA; email: [email protected]
                          Annual Review of Psychology Vol. 73: 379 - 402
                          • ...It took some time before a majority of people fully realized that global warming is partially due to human behavior and indicates the need for major changes in our consumption patterns (e.g., Gifford 2011, Van Lange et al. 2018)....
                          • ...of this particular social dilemma (Gifford 2011, Van Lange et al. 2018)....
                          • ...but also that it is sometimes used as a self-serving excuse to justify one's lack of cooperation (Kerr 1992; see also Gifford 2011)....
                        • Projected Behavioral Impacts of Global Climate Change

                          Gary W. EvansDepartment of Design and Environmental Analysis and Department of Human Development, Cornell University, Ithaca, New York 14850, USA; email: [email protected]
                          Annual Review of Psychology Vol. 70: 449 - 474
                          • ...The psychological analysis of GCC has focused on attitudes and decision making (Clayton et al. 2015, Gifford 2011, Swim et al. 2011), ...
                        • Can We Tweet, Post, and Share Our Way to a More Sustainable Society? A Review of the Current Contributions and Future Potential of #Socialmediaforsustainability

                          Elissa Pearson,1 Hayley Tindle,2 Monika Ferguson,3 Jillian Ryan,1 and Carla Litchfield11Centre for Social Change, School of Psychology, Social Work and Social Policy, University of South Australia, Magill Campus, Magill, South Australia 5072, Australia; email: [email protected], [email protected], [email protected]2School of Engineering, University of South Australia, Mawson Lakes Campus, Mawson Lakes, South Australia 5095; email: [email protected]3Mental Health and Substance Use Research Group, School of Nursing and Midwifery, University of South Australia, City East Campus, Adelaide, South Australia 5001; email: [email protected]
                          Annual Review of Environment and Resources Vol. 41: 363 - 397
                          • ...described by Gifford (21) as the psychological “dragons of inaction.” These are psychological processes that may prevent environmental action, ...
                          • ...Comparison to others who are not undertaking conservation behaviors can similarly be used as a reason for inaction (21, 34)...
                          • ...with the gains made by undertaking a sustainable behavior being reduced or eradicated by subsequent unsustainable actions (21)....
                        • The Psychology of Environmental Decisions

                          Ben R. Newell,1 Rachel I. McDonald,1,2 Marilynn Brewer,1 and Brett K. Hayes11School of Psychology, University of New South Wales, Sydney 2052, Australia; email: [email protected]2Department of Psychology, University of Kansas, Lawrence, Kansas 66045
                          Annual Review of Environment and Resources Vol. 39: 443 - 467
                          • ...as well as the complex layering of the psychological determinants of environmental decision making (16)....
                        • Environmental Psychology Matters

                          Robert GiffordDepartment of Psychology, University of Victoria, Victoria V8W 3P5, Canada; email: [email protected]
                          Annual Review of Psychology Vol. 65: 541 - 579
                          • ...engaging in a few low-impact actions and rationalizing that contribution to be sufficient (Gifford 2011)....
                          • ...like those insects pollinating fruit trees in the pursuit of a nonenvironmental, self-interested goal, they inadvertently provide important environmental benefits (Gifford 2011)....

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                        • Drivers of Human Stress on the Environment in the Twenty-First Century

                          Thomas Dietz1,21Department of Sociology, Michigan State University, East Lansing, Michigan 48824; email: [email protected]2Environmental Science and Policy Program, Michigan State University, East Lansing, Michigan 48824
                          Annual Review of Environment and Resources Vol. 42: 189 - 213
                          • ...although in some cases good practice is simply making options and their implications more clear to those who need to make a decision (146)....

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                        • Sustainable Living: Bridging the North-South Divide in Lifestyles and Consumption Debates

                          Bronwyn Hayward1,2 and Joyashree Roy3,41Department of Political Science and International Relations, University of Canterbury, Christchurch 8140, New Zealand; email: [email protected]2Centre for Understanding Sustainable Prosperity, University of Surrey, Guildford GU2 7XH, United Kingdom3Asian Institute of Technology, Pathum Thani 12120, Thailand; email: [email protected], [email protected]4Global Change Programme, Jadavpur University, Kolkata, West Bengal 700032, India
                          Annual Review of Environment and Resources Vol. 44: 157 - 175
                          • ...the study of consumption routines as these occur in “distinct domains of social life,” to identify opportunities to reduce consumption and lessen environmental impact through the action of “knowledgeable and capable agents who make use of the possibilities offered to them in the context of specific systems of provision” (72, p. 688; see also 83...
                        • From Waste to Resource: The Trade in Wastes and Global Recycling Economies

                          Nicky Gregson and Mike CrangDepartment of Geography, Durham University, Durham DH1 3LE, United Kingdom; email: [email protected], [email protected]
                          Annual Review of Environment and Resources Vol. 40: 151 - 176
                          • ...Work in the environmental psychology paradigm has been highly influential in environmental policy circles, where Elizabeth Shove (43) has shown ABC (or attitude, ...
                          • ...She argues that UK climate change policy frames environmental issues as “a problem of human behaviour,” and that this “marginalises and in many ways excludes serious engagement with other possible analyses” (43, ...
                        • Social Influence, Consumer Behavior, and Low-Carbon Energy Transitions

                          Jonn Axsen1 and Kenneth S. Kurani21School of Resource and Environmental Management, Simon Fraser University, Burnaby, British Columbia V5A 1S6, Canada; email: [email protected]2Institute of Transportation Studies, University of California, Davis, California 95616; email: [email protected]
                          Annual Review of Environment and Resources Vol. 37: 311 - 340
                          • ...such as the uptake and use of low-carbon technologies, are constructed and sustained by the individuals who participate (136), ...
                          • ...which may not apply to less conspicuous, more habitual behaviors (136)....

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                        • Sustainability Transitions Research: Transforming Science and Practice for Societal Change

                          Derk Loorbach, Niki Frantzeskaki, and Flor AvelinoDutch Research Institute for Transitions, Erasmus University Rotterdam, 3000 DR Rotterdam, The Netherlands; email: [email protected]
                          Annual Review of Environment and Resources Vol. 42: 599 - 626
                          • ...innovation journeys (46) are reconstructed through desk research and data analysis to map the patterns and dynamics of regime change....

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                        • Sociology and the Climate Crisis

                          Eric Klinenberg,1 Malcolm Araos,1 and Liz Koslov21Department of Sociology, New York University, New York, NY 10012, USA; email: [email protected]2Department of Urban Planning and Institute of the Environment and Sustainability, University of California, Los Angeles, California 90095, USA
                          Annual Review of Sociology Vol. 46: 649 - 669
                          • ...Individual consumer behaviors do help determine carbon emissions in the case of energy-intensive practices such as home heating or cooling (Shove et al. 2012, Steg 2016)....
                        • The Sociology of Consumption: Its Recent Development

                          Alan WardeSchool of Social Sciences, University of Manchester, Manchester M13 9PL, United Kingdom; email: [email protected]
                          Annual Review of Sociology Vol. 41: 117 - 134
                          • ...Later work has varyingly paid special and increasing attention to embodiment (Wilhite 2012), materials (Shove et al. 2012), ...

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                        • Anxiety, Worry, and Grief in a Time of Environmental and Climate Crisis: A Narrative Review

                          Maria Ojala,1 Ashlee Cunsolo,2 Charles A. Ogunbode,3 and Jacqueline Middleton41Center for Environmental and Sustainability Social Science (CESSS), School of Law, Psychology, and Social Work, Örebro University, 701 82 Örebro, Sweden; email: [email protected]2School of Arctic and Subarctic Studies, Labrador Institute of Memorial University, Happy Valley-Goose Bay, Labrador A0P 1C0, Canada; email: [email protected]3School of Psychology, University of Nottingham, University Park, Nottingham NG7 2RD, United Kingdom; email: [email protected]4Climate Change and Global Health Research Group, School of Public Health, University of Alberta, Edmonton, Alberta T6G 1C9, Canada; email: [email protected]
                          Annual Review of Environment and Resources Vol. 46:
                          • ...where there is a feeling of existential anxiety related to something being deeply wrong with the natural world and our relationship to it (52)....
                        • Climate Change and Society

                          Thomas Dietz,1, Rachael L. Shwom,2, and Cameron T. Whitley3,1Sociology and Environmental Science and Policy Program, Michigan State University, East Lansing, Michigan 48824, USA; email: [email protected]2Human Ecology and Rutgers Energy Institute, Rutgers University, New Brunswick, New Jersey 08901, USA; email: [email protected]3Department of Sociology, Western Washington University, Bellingham, Washington 98225, USA; email: [email protected]
                          Annual Review of Sociology Vol. 46: 135 - 158
                          • ...can evoke strong emotional responses that can either motivate action or induce anxiety and paralysis (Brulle & Norgaard 2019, Davidson 2019, Norgaard 2011)....
                        • Sociology and the Climate Crisis

                          Eric Klinenberg,1 Malcolm Araos,1 and Liz Koslov21Department of Sociology, New York University, New York, NY 10012, USA; email: [email protected]2Department of Urban Planning and Institute of the Environment and Sustainability, University of California, Los Angeles, California 90095, USA
                          Annual Review of Sociology Vol. 46: 649 - 669
                          • ...as Norgaard (2011) examined regarding local media coverage of unusual weather in Norway. [For instance, ...
                        • An Environmental Sociology for the Twenty-First Century

                          David N. Pellow and Hollie Nyseth BrehmDepartment of Sociology, University of Minnesota, Minneapolis, Minnesota 55455; email: [email protected], [email protected]
                          Annual Review of Sociology Vol. 39: 229 - 250
                          • ...whereas environmental privilege goes largely unexamined (Norgaard 2011, Park & Pellow 2011, Taylor 2009)....
                        • The Politics of the Anthropogenic

                          Nathan F. SayreDepartment of Geography, University of California, Berkeley, California 94720; email: [email protected]
                          Annual Review of Anthropology Vol. 41: 57 - 70
                          • ...especially when the evidence of misinformation campaigns by the skeptics is readily available? Norgaard (2011) provided an exemplary study along these lines, ...

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                        Burch S. 2010. Transforming barriers into enablers of action on climate change: insights from three municipal case studies in British Columbia, Canada. Glob. Environ. Change 20(2):287–97
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                        • Wicked Challenges at Land's End: Managing Coastal Vulnerability Under Climate Change

                          Susanne C. Moser,1,2 S. Jeffress Williams,3 and Donald F. Boesch41Susanne Moser Research & Consulting, Santa Cruz, California 95060; email: [email protected]2Stanford University, Stanford, California 943053Department of Geology and Geophysics, University of Hawaii, Honolulu, Hawaii 96822; email: [email protected]4University of Maryland Center for Environmental Science, Cambridge, Maryland 21613; email: [email protected]
                          Annual Review of Environment and Resources Vol. 37: 51 - 78
                          • ...Some factors act as either enablers or barriers, depending on circumstances (160, 166, 167)....

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                        • Social Identity and Economic Policy

                          Moses ShayoDepartment of Economics and Center for the Study of Rationality, The Hebrew University of Jerusalem, 9190501 Jerusalem, Israel; email: [email protected]
                          Annual Review of Economics Vol. 12: 355 - 389
                          • ...augmenting the treatment with an injunctive norm encouraging conservation can reduce this effect (see Schultz et al. 2007)....
                        • Social Mobilization

                          Todd Rogers,1 Noah J. Goldstein,2 and Craig R. Fox21John F. Kennedy School of Government, Harvard University, Cambridge, Massachusetts 02138; email: [email protected]2Anderson School of Management, University of California, Los Angeles, California 90095; email: [email protected], [email protected]
                          Annual Review of Psychology Vol. 69: 357 - 381
                          • ...the average amount that a group of people engages in the behavior (Schultz et al. 2007), ...
                          • ...Schultz et al. (2007) provided residents with personalized energy use feedback that included the descriptive norm in the form of the average energy use of their neighborhood....
                          • ...has leveraged both the descriptive and injunctive elements of the Schultz et al. (2007) work to great effect on a massive scale....
                        • Why Social Relationships Are Important for Physical Health: A Systems Approach to Understanding and Modifying Risk and Protection

                          Julianne Holt-LunstadDepartments of Psychology and Neuroscience, Brigham Young University, Provo, Utah 84602; email: [email protected]
                          Annual Review of Psychology Vol. 69: 437 - 458
                          • ...as well as in subtle messaging in the mainstream media, such as television shows and movies (Schultz et al. 2007)....
                        • Drivers of Human Stress on the Environment in the Twenty-First Century

                          Thomas Dietz1,21Department of Sociology, Michigan State University, East Lansing, Michigan 48824; email: [email protected]2Environmental Science and Policy Program, Michigan State University, East Lansing, Michigan 48824
                          Annual Review of Environment and Resources Vol. 42: 189 - 213
                          • ...norms have been one of the most thoroughly studied influences on behavior and are frequently deployed in experiments intended to change behavior (130, 136, 137)....
                        • Decision-Making Processes in Social Contexts

                          Elizabeth Bruch1 and Fred Feinberg21Department of Sociology and Complex Systems, University of Michigan, Ann Arbor, Michigan 48104; email: [email protected]2Ross School of Business and Department of Statistics, University of Michigan, Ann Arbor, Michigan 48109; email: [email protected]
                          Annual Review of Sociology Vol. 43: 207 - 227
                          • ...people are more likely to be influenced if the descriptive norm references their neighbors or others with whom they share social spaces (Schultz et al. 2007)....
                        • Values, Norms, and Intrinsic Motivation to Act Proenvironmentally

                          Linda StegFaculty of Behavioural and Social Sciences, University of Groningen, Grote Kruisstraat 2/I, 9712 TS Groningen, The Netherlands; email: [email protected]
                          Annual Review of Environment and Resources Vol. 41: 277 - 292
                          • ...they are more likely to act proenvironmentally when they think others do so as well (16–18), ...
                          • ...average energy use of similar households or neighbors); such information about descriptive norms is particularly effective when most others act more proenvironmental than the recipient (18, 113)....
                        • Can We Tweet, Post, and Share Our Way to a More Sustainable Society? A Review of the Current Contributions and Future Potential of #Socialmediaforsustainability

                          Elissa Pearson,1 Hayley Tindle,2 Monika Ferguson,3 Jillian Ryan,1 and Carla Litchfield11Centre for Social Change, School of Psychology, Social Work and Social Policy, University of South Australia, Magill Campus, Magill, South Australia 5072, Australia; email: [email protected], [email protected], [email protected]2School of Engineering, University of South Australia, Mawson Lakes Campus, Mawson Lakes, South Australia 5095; email: [email protected]3Mental Health and Substance Use Research Group, School of Nursing and Midwifery, University of South Australia, City East Campus, Adelaide, South Australia 5001; email: [email protected]
                          Annual Review of Environment and Resources Vol. 41: 363 - 397
                          • ...and norms have been utilized to influence a range of sustainable behaviors (31, 32)....
                          • ...Comparison to others who are not undertaking conservation behaviors can similarly be used as a reason for inaction (21, 34) or increasing environmentally damaging behaviors (31)....
                        • Changing Norms to Change Behavior

                          Dale T. Miller1 and Deborah A. Prentice21Graduate School of Business, Stanford University, Stanford, California 94305; email: [email protected]2Department of Psychology, Princeton University, Princeton, New Jersey 08540
                          Annual Review of Psychology Vol. 67: 339 - 361
                          • ...the information provided to people in environmental interventions tends to focus not on behavior (cf. Goldstein et al. 2008, Schultz et al. 2007) but rather on the output of behavior (e.g., ...
                          • ...Current efforts to reduce environmental harm by providing normative feedback originated in a series of small field studies that used SNM and PNF (e.g., Goldstein et al. 2008, Nolan et al. 2008, Schultz et al. 2007)....
                          • ...The study that became the model for most of the larger-scale interventions to follow was a PNF intervention that targeted household energy usage (Schultz et al. 2007)....
                          • ...and scalability of the Schultz et al. (2007) study inspired a series of large-scale interventions that delivered personalized normative feedback about energy consumption to householders via their monthly energy bill....
                        • Beyond Altruism: Sociological Foundations of Cooperation and Prosocial Behavior

                          Brent Simpson1, and Robb Willer2,1Department of Sociology, University of South Carolina, Columbia, South Carolina 29208; email: [email protected]2Department of Sociology, Stanford University, Stanford, California 94305; email: [email protected]
                          Annual Review of Sociology Vol. 41: 43 - 63
                          • ...a field experiment by Schultz et al. (2007) found that providing households with information about typical levels of electricity usage for their neighborhood led households to assimilate to the perceived norm in the weeks that followed....
                        • Realism About Political Corruption

                          Mark Philp1 and Elizabeth Dávid-Barrett21Department of History, University of Warwick, Coventry CV4 7AN, United Kingdom; email: [email protected]2Department of Politics, University of Sussex, Brighton BN1 9RH, United Kingdom; email: [email protected]
                          Annual Review of Political Science Vol. 18: 387 - 402
                          • ...that effect disappears and hence overall behavior improves (Schultz et al. 2007)....
                        • The Psychology of Environmental Decisions

                          Ben R. Newell,1 Rachel I. McDonald,1,2 Marilynn Brewer,1 and Brett K. Hayes11School of Psychology, University of New South Wales, Sydney 2052, Australia; email: [email protected]2Department of Psychology, University of Kansas, Lawrence, Kansas 66045
                          Annual Review of Environment and Resources Vol. 39: 443 - 467
                          • ...Both injunctive norms (those about what other people approve or think should be done) and descriptive norms (those about what others actually do) influence decisions to engage in environmentally relevant actions, including littering (108), energy saving (79, 109, 110), ...
                        • Disclosure: Psychology Changes Everything

                          George Loewenstein,1 Cass R. Sunstein,2 and Russell Golman11Department of Social and Decision Sciences, Carnegie Mellon University, Pittsburgh, Pennsylvania 15213; email: [email protected]2Harvard Law School, Harvard University, Cambridge, Massachusetts 02138
                          Annual Review of Economics Vol. 6: 391 - 419
                          • ...social comparison information can potentially establish descriptive norms that often convert into injunctive ones (Schultz et al. 2007)....
                          • ...but some studies have documented so-called boomerang effects in which those discovering that they are consuming less than average actually increase their usage [Schultz et al. 2007...
                        • Environmental Psychology Matters

                          Robert GiffordDepartment of Psychology, University of Victoria, Victoria V8W 3P5, Canada; email: [email protected]
                          Annual Review of Psychology Vol. 65: 541 - 579
                          • ...such as neighbors or other hotel guests, are doing for the environment (e.g., Schultz et al. 2007)....
                        • Social Influence, Consumer Behavior, and Low-Carbon Energy Transitions

                          Jonn Axsen1 and Kenneth S. Kurani21School of Resource and Environmental Management, Simon Fraser University, Burnaby, British Columbia V5A 1S6, Canada; email: [email protected]2Institute of Transportation Studies, University of California, Davis, California 95616; email: [email protected]
                          Annual Review of Environment and Resources Vol. 37: 311 - 340
                          • ...Schultz et al. (91) applied this concept to household energy conservation, ...
                        • A Reduced-Form Approach to Behavioral Public Finance

                          Sendhil Mullainathan,1 Joshua Schwartzstein,2 and William J. Congdon31Department of Economics, Harvard University, Cambridge, Massachusetts 02138, and Consumer Financial Protection Bureau, Washington, DC 20552; email: [email protected]2Department of Economics, Dartmouth College, Hanover, New Hampshire 03755; email: [email protected]3Brookings Institution, Washington, DC 2003 6; email: [email protected]
                          Annual Review of Economics Vol. 4: 511 - 540
                          • ...giving people information on how their residential energy consumption compares with that of their neighbors has been shown to have significant effects on usage (Schultz et al. 2007, Allcott 2011)....
                          • ...and a reduction in the associated externalities (Schultz et al. 2007, Allcott 2011)....
                        • Behavioral Economics and Environmental Policy

                          Fredrik Carlsson and Olof Johansson-Stenman*Department of Economics, University of Gothenburg, SE 405 30 Gothenburg, Sweden; email: [email protected], [email protected]
                          Annual Review of Resource Economics Vol. 4: 75 - 99
                          • ...This literature demonstrates that reminders about environmental effects related to energy use as well as information about self-consumption and others' consumption of energy can substantially affect self-consumption of energy; see, e.g., Schultz et al. (2007)...

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                        • The Sociology of Consumption: Its Recent Development

                          Alan WardeSchool of Social Sciences, University of Manchester, Manchester M13 9PL, United Kingdom; email: [email protected]
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                          • ...Mundane activities such as washing bodies and clothes (Shove 2003), gardening (Hitchings 2007), heating and cooling (Shove et al. 2014), ...

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                        • Social Influence, Consumer Behavior, and Low-Carbon Energy Transitions

                          Jonn Axsen1 and Kenneth S. Kurani21School of Resource and Environmental Management, Simon Fraser University, Burnaby, British Columbia V5A 1S6, Canada; email: [email protected]2Institute of Transportation Studies, University of California, Davis, California 95616; email: [email protected]
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                      • Figures
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                      Figure 1  Schematic of the value of a hypothetical energy asset over its lifetime. The solid black curve depicts the net present value (NPV) of a capital asset such as a power plant to its private owner. During the investment period, capital costs exceed operating returns. When this ceases to be the case, NPV begins to increase, and the returns gradually pay back the initial capital investment. Afterwards, there is a profit period until the aging asset's operating and maintenance costs begin to encroach on returns. Depending on the time required to finance and permit the asset's replacement, a decision must be made about retrofit or replacement technologies in anticipation of future costs, risks and policies. If this expected economic life cycle is interrupted by early replacement of the asset, value will be lost. Depending on how early, the losses due to such early replacement will include “stranded investments” (i.e., unpaid capital costs) and/or “stranded profits” (i.e., anticipated operational profits). Furthermore, if technology costs and policies are changing quickly may also greatly increase risks. The black dashed line after the replacement suggests the NPV if the asset were not replaced and continued to be maintained at ever greater expense.

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                      ...investments in which costs occur now and payoffs occur later, and create substantial sunk costs (Figure 1). ...

                      ...and the current and anticipated social and policy context (e.g., Figure 1)....

                      ...There are numerous interconnections and interactions within and between technological, institutional, and behavioral lock-in (Figure 3)....

                      image

                      Figure 2  Assessments of lock-in related to different types of CO2 emitting infrastructure. Different types of fossil fuel–burning infrastructure are plotted according to their historical lifetime (x-axis), the carbon price ($ per ton of CO2) that would be required to equalize the marginal cost of the existing infrastructure (mainly fuel) with the total levelized cost (i.e., including capital and operating expenses) of a low-carbon replacement (y-axis). The sizes of circles reflect the cumulative future emissions related to each type of infrastructure that are in excess of what that type of infrastructure can emit under a 2°C climate scenario, and the colors are a qualitative indicator of the techno-institutional resistance of that type of infrastructure to unlocking (e.g., stocks of very specific intellectual capital, established subsidies, entrenched social norms, large supporting infrastructures, political influence, etc.). For further details, see source (28). Adapted under CC BY License (https://creativecommons.org/licenses/by/3.0/).

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                      ...whose operating lifetime can be more than 50 years and can require a carbon tax of up to $100 per ton of CO2 (tCO2) to induce replacement (Figure 2)....

                      image

                      Figure 3  Interconnections and interactions (red arrows) among and within different levels of carbon lock-in. Carbon lock-in occurs in multiple dimensions (institutional, technological, behavioral), at multiple scales (local to national or individual to structural), with multidirectional causation between and among the levels. For example, governments can influence technology through regulations and legal frameworks, but technology also influences government decision making through activities such as lobbying and political donations. The red arrows demonstrate the multidirectional causation between and among the levels of lock-in and are intended to be illustrative only.

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                      Human–Wildlife Conflict and Coexistence

                      Philip J. Nyhus
                      Vol. 41, 2016

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                      Human interactions with wildlife are a defining experience of human existence. These interactions can be positive or negative. People compete with wildlife for food and resources, and have eradicated dangerous species; co-opted and domesticated valuable ...Read More

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                      Figure 1: Growth in scientific papers referencing human–wildlife conflict between 1995 and 2015 as measured by (red) citations that use the exact words human–wildlife conflict or human wildlife confli...

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                      Figure 2: A model for conceptualizing different types of human–wildlife conflict. The x-axis represents a range of interactions or outcomes from negative (e.g., crop damage) to positive (e.g., income ...

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                      Figure 3: Summary of selected common approaches used to mitigate human–wildlife conflict and promote human–wildlife coexistence organized by broad categories of intervention (8, 24, 26, 136, 146). The...


                      Three Decades of Climate Mitigation: Why Haven't We Bent the Global Emissions Curve?

                      Isak Stoddard, Kevin Anderson, Stuart Capstick, Wim Carton, Joanna Depledge, Keri Facer, Clair Gough, Frederic Hache, Claire Hoolohan, Martin Hultman, Niclas Hällström, Sivan Kartha, Sonja Klinsky, Magdalena Kuchler, Eva Lövbrand, Naghmeh Nasiritousi, Peter Newell, Glen P. Peters, Youba Sokona, Andy Stirling, Matthew Stilwell, Clive L. Spash, Mariama Williams
                      Vol. 46, 2021

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                      Abstract

                      Despite three decades of political efforts and a wealth of research on the causes and catastrophic impacts of climate change, global carbon dioxide emissions have continued to rise and are 60% higher today than they were in 1990. Exploring this rise ...Read More

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                      Figure 1: Territorial carbon dioxide (CO2) emissions of so-called developed, developing, and least developed countries (LDCs) (a) over time, (b) cumulatively 1990–2018, and (c) per capita. The categor...

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                      Figure 2: The global energy system from 1750 to today showing (a) absolute primary energy supply, (b) share of primary energy supply, and (c) the log of primary energy supply. The data are from the In...


                      Global Water Pollution and Human Health

                      René P. Schwarzenbach, Thomas Egli, Thomas B. Hofstetter, Urs von Gunten, Bernhard Wehrli
                      Vol. 35, 2010

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                      Abstract

                      Water quality issues are a major challenge that humanity is facing in the twenty-first century. Here, we review the main groups of aquatic contaminants, their effects on human health, and approaches to mitigate pollution of freshwater resources. Emphasis ...Read More

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                      Figure 1: Air-water (Kaw) versus octanol-water partitioning constants (Kow) of different organic water pollutants (BTEX stands for benzene, toluene, ethylbenzenes, and xylenes, i.e. fuel constituents)...

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                      Figure 2: Estimated risks for arsenic contamination in drinking water based on hydrogeological conditions. Map modified after Reference 89.


                      The Politics of Sustainability and Development

                      Ian Scoones
                      Vol. 41, 2016

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                      Abstract

                      This review examines the relationships between politics, sustainability, and development. Following an overview of sustainability thinking across different traditions, the politics of resources and the influence of scarcity narratives on research, policy ...Read More

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                      Figure 1: Transformations and politics for sustainability and development (drawing from References 92 and 192).


                      Municipal Solid Waste and the Environment: A Global Perspective

                      Sintana E. Vergara and George Tchobanoglous
                      Vol. 37, 2012

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                      Abstract

                      Municipal solid waste (MSW) reflects the culture that produces it and affects the health of the people and the environment surrounding it. Globally, people are discarding growing quantities of waste, and its composition is more complex than ever before, ...Read More

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                      Figure 1: Per capita waste generation rates versus Human Development Index for 20 selected cities. Data are from Reference 14. Abbreviation: kg/cap-d, kilogram per capita per day.

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                      Figure 2: Waste composition for 20 selected cities (14).

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                      Figure 3: Current (2010) solid waste generation per capita by regions of the world. The Organisation for Economic Co-operation and Development (OECD) countries produce about 50% of the world's waste, ...

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                      Figure 4: Flow of waste material through a waste management system. Abbreviation: RDF, refuse-derived fuel.

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                      Figure 5: Municipal solid waste collection rates for selected global cities. Industrialized cities invest more money in solid waste and are able to achieve high collection rates. Less-industrialized c...


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