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Urban climate governance informed by behavioural insights: A commentary and research agenda
Author
Jeroen van der Heijden | Professor of Public Governance
Chair in Regulatory Practice | School of Government | Victoria University of Wellington
Honorary Professor | School of Regulation and Global Governance | Australian National University
(+64) (0)22 563 5082 | Room 821a, Rutherford House, Pipitea Campus | PO Box 600, Wellington 6140, New Zealand | www
.victoria.ac.nz/sog | www.jeroenvanderheijden.net | @drvanderheijden | Urban Climate Governance blog | From the
Regulatory Frontlines blog
Abstract
Policy and governance interventions often build on a rational choice perspective of human behaviour.
Over the years, the behavioural sciences have highlighted how people sometimes deviate in predictable
ways from this perspective. Building on a systematic analysis of 200 peer-reviewed publications
published between 2009 and 2018, this article discusses the core cognitive biases and heuristics
uncovered by the behavioural sciences, and gives insights into how these can be exploited to develop
urban climate governance interventions to promote behaviours that help mitigate climate change at
city level. The article concludes with a research agenda for this promising area of research for scholars
of urban climate governance.
Introduction
Cities are significant point-sources of greenhouse gas emissions, resource consumption, and other
causes of global climate change (Rosenzweig et al., 2018; UN, 2018; van der Heijden, Bulkeley, &
Certomá, 2019). Individual behaviour plays a key role in this (Dodman, 2009). For example, modifiable
behaviours such as energy consumption for domestic and commercial buildings and urban transport
use account for 40 to 70 per cent of the energy consumed at city level (Al-Mofleh, Taib, & Salah, 2010;
De Almeida, Fonseca, Schlomann, & Feilberg, 2011). A considerable amount is wasted, however,
because of poor behavioural choices: rather than switching appliances fully off, people opt for the
default standby power option (Rusk, Mahfouz, & Jones, 2011); rather than choosing novel energyefficient construction processes, developers stay with the status quo energy-intensive approaches
they are used to (Martek, Hosseini, Shrestha, Edwards, & Durdyev, 2019); and rather than opting for
ridesharing or carpooling, home-to-work commuters stick to the perceived convenience of using their
own cars (Nneoh, Chipilu, & Marshall, 2017).
If people are motivated to make changes in individual behaviour, this may, therefore, have a large
overall impact on climate mitigation at city level. Conventional urban climate governance
interventions such as direct regulation or economic incentives have not, to date, provided satisfactory
policy solutions to the problems caused by harmful behaviour at the individual level (Luque-Ayala,
Marvin, & Bulkeley, 2018; van der Heijden, 2014). These interventions are often premised on a rational
choice perspective, which assumes that individuals make a cost–benefit analysis when deciding
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whether to comply with direct regulation (Lehmann Nielsen & Parker, 2012), and make rational selfinterested decisions when responding to economic incentives (McMahon, 2015). However, people do
not always behave as predicted by the rational choice perspective. We often lack the time,
information, and mental capacity to make ‘rational’ choices, and instead fall back on heuristics (mental
shortcuts) and cognitive biases (including those relating to habits and social norms) when making
decisions (Ariely, 2008; Kahneman, 2011; Simon, 1945).
Recent advances in the behavioural sciences (including psychology, cognitive science and behavioural
economics) could help to develop urban climate governance interventions that are more responsive
to the heuristics and biases that shape people’s behaviours (OECD, 2017b; Seo, 2017). Urban climate
governance is here understood to mean the processes undertaken by governments and others to steer
the actions and behaviours of individuals and organisations to achieve desired climate mitigation and
climate adaptation goals at a city level (Luque-Ayala et al., 2018; Romero-Lankao, Burch, & Hughes,
2018; van der Heijden, 2013). To understand the potential of insights from the behavioural sciences
for urban climate governance, this article takes stock of the behavioural science literature as it has
engaged with broader questions of public governance over the last ten years. It builds on a systematic
review of 200 peer-reviewed publications. Online Appendix A gives a full overview of these 200
publications and the approach to sourcing and analysing them.
The discussion that follows first addresses the core heuristics and biases that the current behavioural
science literature identifies as leading to harmful individual choices and contributing to high
greenhouse gas emissions, excessive levels of resource consumption, and other causes of global
climate change at city level. After exploring these biases and heuristics, the article shows how they
can be exploited in interventions to promote behaviours that help mitigate climate change at city
level. The article concludes with a research agenda for further exploring this promising area of
research for scholars of urban climate governance.
Insights from the behavioural sciences
The making and implementation of policy have for a long time been built on rational choice theory,
and this is often still the case. Rational choice theory is an analytical framework from neoclassical
economics for understanding and modelling the social and economic behaviour of groups of people –
for example, the population of a city or country. A central aspect of this theory is that people are
rational beings and are thought of as having ‘stable, coherent and well-defined preferences rooted in
self-interest and utility maximisation that are revealed through their choices’ (McMahon, 2015, 141).
When people can choose from a variety of alternatives, they are expected to choose the alternative
that has the highest worth or value to them – ‘utility maximisation’ (Read, 2007). It should be noted
here that even if policymakers do not specifically choose policy interventions on the basis of traditional
rational choice theory, path dependency may explain why the types of interventions that build on
rational choice theory are still dominant (Duit, 2007; Rixen & Viola, 2015).
These understandings of choice behaviour, utility and the related ‘homo economicus’ stereotype have
received considerable criticism, however (Pinto-Prades & Abellan-Perpinan, 2012). Scholars of the
behavioural sciences point out that people may desire one thing (such as living an environmentally
sustainable lifestyle) but choose to do something else (eat organic food from disposable plastic
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containers, fly to international climate action conferences, and so on). In part, this has to do with our
personal and ever-changing understanding of the utility we get from a specific decision (Kahneman &
Tversky, 1979). This utility includes, but is not limited to, the utility we expected to get at the time of
choosing a behaviour or action (decision utility), the utility we experience at the time of engaging in
the behaviour or action (experienced utility), and the utility we remember after having engaged in
that behaviour or action (remembered utility). These understandings of utility may coincide, as
neoclassical economics assumes, but often they will not (Friedman, Isaac, James, & Sunder, 2014). For
example, our remembered utility of a past harmful behaviour may be considerably more positive than
the experienced utility at the time of engaging in that behaviour (e.g., the guilt we experienced when
flying to the international climate conference may fade over time), leading us to choose that harmful
behaviour again at a future point in time (Kahneman, Wakker, & Sarin, 1997).
Also, it is reported that people routinely overestimate the positive utility (pleasure, joy, opportunity)
and underestimate the negative utility (pain, regret, risk) they expect to get from a choice (Kahneman,
2011). Besides these deviations from the utility function, scholars have pointed out that people are
less rational in making choices under uncertainty than is predicted by neoclassical economics. In the
mid-1940s the American economist and political scientist Herbert Simon (1916-2001) was one of the
first to show that people find it difficult to obtain a full understanding of many of the decision
problems they face. It is also often impossible for us to acquire all the relevant information to make a
rational decision, and even if we could get all this information, we would probably lack the mental
capacity or the time to process it. In other words, when making decisions humans possess only
‘bounded rationality’ and must make decisions by ‘satisficing’ – we choose what makes us happy
enough (Simon, 1945).
Building on these insights, scholars from the behavioural sciences have identified several patterns of
behaviour that characterise the way people make decisions and how people deviate in predictable
ways from neoclassical assumptions of rationality. Their work indicates that we rely on cognitive
biases and heuristics (‘mental shortcuts’) when making choices, and shows that this sometimes results
in suboptimal outcomes. There are a variety of explanations of why we make these ‘irrational’ choices.
A widely acknowledged explanation is dual process theory – often referred to as system 1 (or
automated) and system 2 (or reflexive) behaviour (Kahneman, 2011) (but, for a critique, see Glimcher,
2011). The argument is that the brain capacities that we have inherited from our ancestors are well
developed for making the kind of automated life-or-death choices (system 1) that are needed to
survive in the African savannah, but are ill-suited to making the reflexive and complex choices (system
2) that give the greatest benefit in modern market economies (Bissonnette, 2016). In sum, biases and
heuristics help with ‘reduc[ing] complex tasks of assessing probabilities and predicting values to
simpler judgmental operations’ (Tversky & Kahneman, 1974, 1124)
A selected overview of heuristics and biases
While the full set of biases and heuristics uncovered over the last decades is too vast to discuss here
(but, for an easily digestible overview, see McRaney, 2012, 2014), it is helpful to touch on those that
were identified in the systematic review as among the most persistent, and those that it is particularly
relevant to address through urban climate governance interventions informed by behavioural insights.
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A first relevant insight is that people have a strong loss aversion (Kahneman, Knetsch, & Thaler, 1991).
Research has indicated that when making decisions, losses loom larger than improvements or gain,
and, consequently, people prefer to avoid losses than to acquire gains. It is sometimes argued that,
for small or moderate amounts of money, losses loom twice as large as gains (Tversky & Kahneman,
1991). What is relevant to note here is that people define losses and gains relative to a reference
point, which is often their status quo at the point of making the decision. Thus, when people are
offered solar panels on their house for an installation cost of $1000, and a possible yield of $1500 over
the lifetime of the panels, they may choose not to install the panels because the possible loss of the
investment looms larger than its gain (i.e., a $2000 yield is required to make up for the $1000
investment; see further, Greene, 2011).
People are also found to be likely to stick with routines, habits, and customary and default options,
even when better options are available and even when there is no cost associated with switching. This
is referred to as status quo bias (Samuelson & Zeckhauser, 1998) – for example, contractors tend to
stick with known construction processes, rather than to switch to more environmentally sustainable
ones (van der Heijden, 2015). The classic example is a field study on preferences regarding service
reliability and rates of electric power among consumers in California (Hartman, Doane, & Woo, 1991).
In the study, one group was told that they were currently experiencing high reliability and relatively
high rates, and the other group that they were currently experiencing low reliability but rates that
were 30 per cent below the high-reliability rate. When asked whether they would be keen to switch
plan, 60 per cent of the ‘high reliability’ group desired to stick to their status quo (high reliability at a
higher cost) and only 6 per cent opted to switch to the lower reliability at the reduced cost (the
remaining 34 per cent opted for another plan). Strikingly, 58 per cent of the ‘low reliability’ group also
wished to stick to their status quo (low reliability at the reduced rate), and only 6 per cent opted to
switch to the high reliability at the higher cost (again, the remaining 36 per cent opted for another
plan). In sum, irrespective of the status quo, most respondents chose to stick with it.
People also give stronger weight to a payoff that is received closer to the present time, when they are
faced with the choice of getting a payoff at an earlier or a later moment. This is known as present bias
and is often explained by the psychological desire to have certainty and resolve events immediately
(O'Donoghue & Rabin, 2015). The flipside is that people discount the future consequences of their
current actions, and postpone losses or dealing with losses until later, a tendency known as hyperbolic
discounting (Hardisty, Appelt, & Weber, 2012). The rate of discounting changes with the time horizon
faced. That is, people give high discount rates for short time horizons, but low discount rates for long
time horizons. For example, when given a choice, people would prefer to get $50 now rather than $60
tomorrow, but would prefer $60 a year and a day from now rather than $50 in a year’s time (Benhabib,
Bisin, & Schotter, 2010). Insights into hyperbolic discounting may also explain why people
procrastinate about making choices that do not come with immediate and significant gains, such as
changing their energy plans, installing solar panels, or switching from travelling by car to travelling by
bus (Pollitt & Shaorshadze, 2013).
Finally, when making decisions, people are heavily affected by the anchoring effect (Furnham & Boo,
2011) and the framing effect (Borah, 2011) of the information provided. If people are given a cue or
signal (an ‘anchor’) and are then asked to make a choice, they are likely to be heavily influenced by
the cue or signal even when it is not related to the object of choice. For example, if people are first
asked to recall the last three digits of their social security number and are then asked to estimate the
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number of cities in the world with a population of over one million inhabitants, those with a low digitvalue are likely to underestimate the number of cities, whereas those with a high digit-value are likely
to overestimate it (Tversky & Kahneman, 1974). The higher the ambiguity, the lower the familiarity
with the problem, or the more trustworthy the source of information, the stronger the anchoring
effect (van Exel, Brouwer, van der Berg, & Koopmanschap, 2006). Also, seemingly inconsequential
changes in the formulation of a choice problem (‘framing’) affect people’s preferences. In other words,
framing an outcome as a marginal monetary loss or a huge environmental gain may make all the
difference in seeking to encourage environmentally sustainable behaviour (Tversky & Kahneman,
1981).
Some critical reflections
Some critical reflections are warranted here. While the behavioural sciences present strong
arguments against the traditional ‘homo economicus’ stereotype, and back these arguments with
sound research, it should be kept in mind that they seek to nuance rather than replace dominant
theories that describe why and how people make particular choices under uncertainty (Kahneman,
2011; Kosters & van der Heijden, 2015). As well as thinking along the lines of the insights presented
above, our research is also open to include a range of other, perhaps less biological or economic,
origins of ‘irrational’ behaviour, such as learned, social and perhaps even institutional ones (Wolfram,
van der Heijden, Juhola, & Patterson, 2019).
Also, the choice of policy and governance interventions that build on the traditional rational choice
perspective may very well be influenced by path dependency rather than by a conscious decision to
follow the ‘choice model’ underpinning this theory: existing institutions may ‘logically’ result in a
continuation of interventions informed by rational choice, rather than in a change of those
interventions in favour of interventions that build on different choice theories. Notably, notions of
path dependency as discussed in the broader institutional literature (e.g., Duit, 2007; Rixen & Viola,
2015) strongly resonate with notions of status quo bias discussed in the behavioural science literature
(discussed above). Also, discursive institutionalism recognises the relational aspect and the ideological
embeddedness of behavioural transformation (e.g., Carstensen & Schmidt, 2016; Schmidt, 2011); this
topic resonates strongly with the social proof heuristic discussed in the behavioural science literature
(and also discussed below).
In addition, the behavioural sciences help us to explain why similar facts and knowledge may be
experienced and interpreted differently by different people and organisations. This relates in part to
the way in which for some time the media has referred to human-made climate change as an unsettled
question in the broader academic community, as well as to a tendency towards ‘cognitive dissonance’
when people realise the impact of climate change and their role in the required solutions (e.g.,
Bonneuil & Fressoz, 2016; Hoffman, 2015). As highlighted before, people may respond fundamentally
differently to a solution presented as a win and one presented as a loss: around the globe, carbon
pricing is often framed by the dominant media and populist politicians as a carbon tax that is costly
for common people, rather than as an opportunity to share the cost in the here and now before it is
too late or before the cost is passed on to future generations (Andrew, 2008; Rootes, 2014).
Finally, people’s differing ontologies and epistemologies also affect how they process, trust and treat
information. For example, those holding a realist ontology may consider climate change as something
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that is too complex for humans to understand fully but that nevertheless requires action, whereas
those holding a constructivist ontology may argue that climate change only exists in human
experience, and that no (specific) action should be taken unless all human errors are removed from
the existing knowledge of climate change (e.g., Aven, Renn, & Rosa, 2011; Marsh & Stoker, 2010).
Interventions informed by behavioural insights
Scholars have begun to call for policy and governance interventions that are more sensitive to
behavioural insights. They argue that the biases and heuristics that normally result in harmful
behaviour can be targeted to achieve desired behaviour. A body of literature has grown across the
policy and administrative sciences that seeks to understand how and with what effects behavioural
insights can shed light on governance interventions to achieve desired outcomes (for reviews of this
literature, see Grimmelikhuijsen et al., 2017; Kosters & van der Heijden, 2015; van der Heijden, 2019).
A second body of literature has emerged that is questioning the ethical and epistemic challenges of
policy and governance interventions informed by behavioural insights (e.g., Abdukadirov, 2016;
Wright & Ginsburg, 2012). This section explores examples of the instrumental application of
behavioural insights in urban climate governance. In the next section, the ethical and epistemic
challenges are given attention.
Throughout the behavioural science literature, changing of defaults and forced choice are argued to
be the strongest interventions for overcoming status quo bias and choice procrastination (Alemanno
& Spina, 2014; Baldwin, 2014). A default is the pre-set condition that comes into force when an
individual decides not to choose among alternatives. Studies indicate that defaults are ‘sticky’,
meaning that people tend not to switch from one alternative to the next unless they are explicitly
given an incentive to do so (Johnson & Goldstein, 2003). Thus, if people can choose between being
supplied with ‘conventional’ energy or being supplied with ‘green’ energy from renewable sources,
the default option they are presented with will matter. For example, studying the behaviour of people
in Germany who were given a choice to switch from the default ‘green’ energy or water supply to a
cheaper but less sustainable alternative, Pichert and Katsikopoulos (2008) found that over 90 per cent
of people tended not to switch. This finding is reflected in similar findings across a range of choice
options ranging from organ donation to retirement savings and, indeed, the supply of energy from
renewable sources (Hedlin & Sunstein, 2016).
Defaults work as passive choices, but people can also be given an ‘active choice’. Here, another
illustrative example comes from Germany (Liebig & Rommel, 2014). In a field study, more than 900
households in Berlin were provided with a ‘no junk mail’ sticker to reduce junk mail and the related
waste of resources. People can order this sticker themselves at no cost, but they often delay doing so.
When the householders were presented with the sticker at their home address, they had to make an
active choice as to whether to use it or not. It was observed that 16 per cent of people decided to stick
the sticker on their mailbox. The researchers pushed their research further, however, since they were
interested in whether a ‘forced choice’ would yield even better results. One group of households were
given the sticker in their mailbox (providing them with an ‘active choice’), and for another group, the
sticker was attached halfway onto the mailbox, forcing the owners either to remove the sticker or to
attach it fully (‘forced choice’). The forced choice option was found to be more effective than the
active choice option: 21 per cent of people stuck the half-attached sticker to their mailbox. The
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argument here is that in situations of active or forced choice, people are required to reflect on their
choices and are pushed out of automated or habitual behaviour (Hedlin & Sunstein, 2016).
Seeking to overcome procrastination in a different way, various field studies have been carried out on
the effect of precommitment strategies. The idea is to let people commit to a future goal, ideally in
public. Precommitment strategies seek to align future behaviour with what people think, in the
present, of themselves and their future behaviour. Besides targeting procrastination, these strategies
may also be helpful for overcoming loss aversion and impulsive harmful behaviour (Benartzi, 2012;
Elster, 2000). An illustrative example is a series of field studies on anti-littering interventions carried
out in various Dutch municipalities between 2007 and 2009 (Van Baaren et al., 2010). In one of the
studies, researchers went door-to-door in a neighbourhood to ask whether residents would be willing
to put a sticker on their door, car, or another visible place with the text ‘keep our neighbourhood tidy’.
For the 89 per cent of those who committed to doing so, their address was marked on a list in their
presence, to underline their public commitment to the goal. In all the intervention studies, signs with
the text ‘keep our neighbourhood tidy’ were also placed at designated waste containers. The
precommitment strategy was found to be among the most effective interventions across the studies
and reduced littering by 17 per cent in the intervention scenario compared to a 2 per cent reduction
in the non-intervention scenario.
Another promising intervention is to expose people to social norms, and address their ‘social proof
heuristic’. It is argued that social norms indicate what is acceptable in a social group and what is not,
and that people conform to social norms to find a sense of belonging among their peers (Sunstein,
2015; White, Smith, Terry, Greenslade, & McKimmie, 2011). The classic example is a study carried out
in Sacramento, USA, between 2008 and 2011, involving an intervention group of 35,000 households
and a control group of 50,000 households (Ayres, Raseman, & Shih, 2013; Cooney, 2011). The
intervention group received information on their energy consumption compared to the average
consumption of their neighbours (their social peers). Both descriptive information on comparative
energy consumption and injunctive messages (emoticons, a smiley for those with below-average
consumption, and a frowning face for those with above-average consumption) were provided, as well
as tips on how to save energy. The intervention had a considerable impact on high energy users, who
reduced their consumption by nearly 7 per cent relative to high energy users who did not receive
reports. The study has been repeated in various forms around the world. For example, a comparable
social norm intervention resulted in a 4 to 5 per cent reduction in water consumption in Belen, Costa
Rica, in 2014 (Datta et al., 2015).
A fifth, and for this article final, promising intervention is goal framing (Bizer, Larsen, & Petty, 2011;
Lindenberg, 2008). Goal framing seeks to highlight the consequences of people’s behaviour, and is
expected to help to steer individuals towards desired behaviour (by highlighting its positive
consequences) and steering them away from undesired behaviour (by highlighting its negative
consequences). For example, Avineri and Waygood (2013) illustrate how framing the difference in the
carbon emissions of two modes of transport for a trip as a gain or framing it as a loss can have a
substantial difference on the mode of transport people choose. That is, presenting the carbon
emissions of transport option X as worse than those of transport Y is more likely to result in people
choosing the desired option Y than presenting option Y as better than option X. Building on insights
from the behavioural sciences, it is assumed that people respond more strongly to loss-frames than
to gain-frames. In another study, Guo et al. (2017) show how the framing of information can help to
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mitigate bottleneck congestion in public transport systems, and thus make public transport a more
attractive alternative. In a field study they explored whether extending the apparent length of
overcrowded subway lines on the Washington DC subway map would help divert people to
underutilised lines. They found that extending the length of an overcrowded line on the map by 20
per cent can shift up to 7 per cent of passengers to another line.
Some critical reflections
Again, some critical reflections are warranted. The above examples all give positive outcomes of
studies on, and experiments using, insights from the behavioural sciences in urban climate
governance. It goes without saying that less positive results have also been presented (OECD, 2017a,
2017b, 2017c). Of more relevance to note here is that undesired effects have been identified as well.
Scholars have pointed out rebound effects when actual behaviour offsets the beneficial effects of
technological or other solutions (van der Heijden, 2014). For example, after purchasing an energy
efficient car people may decide to drive more, or after installing thermal insulation in their home they
may decide to keep it warmer than before, because they feel justified in doing so after making the
environmentally sustainable investment. Some scholars have even identified ‘prebound’ effects when
people begin using more resources in anticipation of a future change in their own behaviour or in
anticipation of technology they will obtain (Sunikka-Blank & Galvin, 2012).
Even more problematic are situations in which the behavioural interventions backfire and result in a
situation where the people targeted by the intervention consume more resources or produce more
waste after the intervention than they did before. This was indeed observed for a small group of
households who obtained the smiley emoticon on their energy bills in the example discussed above.
Now that they knew they were using less energy than their peers, this injunctive message provided a
justification for using more energy (Ayres et al., 2013; Cooney, 2011).
In addition, from the above discussion readers may get the impression that the use of insights from
the behavioural sciences in urban climate governance is widespread, or at least widely studied.
However, the opposite appears to be true. Of the set of 129 publications initially identified for the
literature review, only 5 per cent (n=6) were categorised in Web of Science as area studies,
environmental studies, or urban studies. Of the full set of 200 publications included in the review, only
7 per cent (n=13) had one or more words indicating an urban focus in their title, key-words, or abstract
– see further Online Appendix A. Insights from the examples discussed here had to be triangulated
with sources from an even broader, but unstructured, exploration of the literature carried out for the
purpose of writing this article.
Applying insights from the behavioural sciences: Ethical and epistemic challenges
Applying behavioural insights in urban climate governance will inevitably generate controversy. Over
the years, concerns have been raised about the legitimacy and ethics of governance interventions
informed by behavioural insights (Abdukadirov, 2016; Alemanno & Spina, 2014). These concerns can
largely be traced back to an influential book that has popularised the use of behavioural insights in
public policy and governance, Nudge: Improving decisions about health, wealth and happiness (Thaler
& Sunstein, 2009). Besides explaining the instrumental value of applying behavioural insights in public
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policy and governance in exceptionally clear language, its authors introduce a political philosophy that
combines freedom of choice with choice guidance by the government or other authorities and is
known as ‘libertarian paternalism’. It is particularly this political philosophy that has spurred an evergrowing, and sometimes vicious, normative rhetoric on the use of behavioural insights in public policy
and governance (Bubb & Pildes, 2014; Sunstein, 2017). Unfortunately, the polemic has rather moved
the academic debate away from questioning and exploring the instrumental value of behavioural
insights and how they provide another arrow in the quiver of policymakers and practitioners who seek
to achieve desirable societal outcomes by changing the behaviour of individuals and organisations. As
a governance instrument, the use of behavioural insights may be better fitted to some political
philosophies than others, but it is not married to a specific political philosophy. Whether or not it fits
the political philosophy of a country or city is, ultimately, a question for local decision-makers to
answer and to account for (Baldwin, 2014; Milne, 2012).
A second set of concerns that have been raised about the use of governance interventions informed
by behavioural insights is epistemic in nature. While the starting point of the use of behavioural
insights is that people do not behave in the way that rational choice theory predicts, the solutions
provided to overcome people’s biases and heuristics still assume some objective rationality that is
external to people. However, some scholars argue that rationality and irrationality are social
constructs and qualifiers for behaviour. They are not facts, they have no distinct structural foundations
in our brains, and they cannot be objectively proved to be right or wrong (Bissonnette, 2016;
McMahon, 2015). Also, the call for a ‘rational’ application of behavioural insights to overcome
‘irrational’ behaviour in individuals and organisations appears paradoxical. Why would decisionmakers not be influenced by the same heuristics and biases that they seek to address in others
(Hallsworth, Egan, Rutter, & McCrae, 2018; Vlaed, King, Dolan, & Darzi, 2016)? They may, for example,
be biased in their support for or opposition to the use of governance interventions informed by
behavioural insights (or they may simply follow path dependency, as discussed before). When
convinced that a specific solution will work, policymakers are likely to search for evidence that
supports their earlier convictions, and are unlikely to be swayed by arguments that go against them
(‘confirmation bias’). Finally, as illustrated, academics find that interventions building on these insights
sometimes have desirable effects and sometimes do not (Loewenstein, Sunstein, & Golman, 2014;
Osman et al., 2018); and evidence that a behavioural intervention has the desired effect in a specific
policy area or geographic location is by no means a guarantee that the same intervention will have
the same impact elsewhere (Agarwal, Gabaix, Driscoll, & Laibson, 2009; Bradbury, McGimpsey, &
Santori, 2013).
While these concerns warn us to be careful when seeking to apply behavioural insights in urban
climate governance, the growing knowledge base for behavioural insights points to promising avenues
for shifting harmful individual behaviour at city level towards beneficial behaviour. However, building
on the examples presented here, modest results should be expected from applying these insights. The
literature review indicates that those interested in applying these insights should expect improvement
percentages in single rather than double digits, and non-significant (or bounded) rather than
significant patterns of change across populations. However, small behavioural changes achieved in
large urban populations may ultimately deliver greater net improvements than large changes in a
small proportion of urban populations (the Rose Hypothesis, cf. Milne, 2012). The type of
interventions presented here can be implemented as relatively low-cost add-ons or as complements
to existing urban governance interventions, rather than requiring sweeping changes in existing
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governance systems or costly technological solutions, and may have a substantial impact at city level
(van der Heijden, 2017).
Conclusion: A research agenda for the use of behavioural insights in urban climate governance
Given the high rate of harmful individual behaviour at city level and the accumulated consequences
of this behaviour for climate change, a further exploration, application and testing of urban climate
governance informed by behavioural insights seems warranted. This article set out to review a large
body of scholarship, published between 2009 and 2018, as it relates to the use of behavioural insights
in urban climate governance. From this review, it has become clear that whilst the overall interest in
behavioural sciences in public governance is substantial, we know little about how, where and with
what effects these insights are applied in urban climate governance. Whilst this article has pointed at
a number of promising interventions, readers should keep in mind that little academic research has
been published on this exact topic. This leaves demanding research challenges for the next decade.
Obviously, it is essential to be critical of the potential gap between policy rhetoric and action and
results on the ground. While there is ample talk about how behavioural science can inform public
governance, we see very little discussion of this in the academic urban climate governance literature.
It may be that scholars have not yet fully embraced this approach to urban climate governance, but it
may also be that those involved in governing urban climate action have not embraced it. If the former
is true, more research into existing interventions appears necessary, while if the latter is true, more
experimentation with this approach to urban climate governance appears necessary. Here the current
trend of urban living labs may be exceptionally suitable for experiments with various behavioural
interventions at the city level.
It is also essential to scrutinise the explanatory reach of the accumulated knowledge base. Whilst there
is scant research on the use of behavioural insights in urban climate governance, there is ample insight
into their use in other areas of public governance. The set of factors that explain the success or failure
of this approach to public governance may – and most probably will – be the starting point for studies
that criticise this set for being too limited for a full understanding of real-world examples of urban
climate governance that is informed by behavioural science, and its outcomes.
It is equally important to create a stronger connection between knowledge on public governance
informed by behavioural science and the theoretical frameworks that are central to urban studies,
institutional studies and climate governance studies. This article has illustrated how insights from the
behavioural sciences complement insights from institutional analysis, and vice versa (e.g., status quo
bias as complementary to path dependency, and social proof heuristics as complementary to
discursive institutionalism). Complementary theories may, ultimately, give a more finely-grained
understanding of why some urban climate governance interventions informed by behavioural insights
yield their desired outcomes in some contexts but not others.
Last but not least, a final set of core challenges is to understand whether and how promising examples
of urban climate governance informed by behavioural science can be scaled up; whether and how
synergies can be created between these interventions and other governance instruments such as
direct regulation and market-based incentives, so that their impact as a whole is greater than the sum
of the impacts of each of them; and how we can ensure that the progress (to be) made will not be
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reversed by future swings in political leadership. Future scholarship may wish to gain a deeper
understanding of which design and implementation strategies are effective for achieving such
synergies, as well as of the entrenchment of urban climate governance interventions informed by
behavioural science that yield desirable outcomes.
To conclude, important advances have been made in the behavioural sciences in general and, albeit
to a much smaller extent, in how behavioural sciences relate to urban climate governance. This
scholarship is strongly supported by a sound foundation of experimental and observational research
published over the last decade. We now have a strong base on which to continue and expand our
research in this important area of growth, and we are faced with challenging research questions on
the use of behavioural sciences in urban climate governance that will, no doubt, generate important
insights in the critical decade that lies ahead of us.
Acknowledgements
The author wishes to thank the anonymous reviewers and the editors of the journal for helpful
suggestions to an earlier draft of this article, and wishes to acknowledge financial support from the
Australian Research Council (grant number DE15100511), the Netherlands Organisation for Scientific
Research (grant number 016165322), and the New Zealand Government Regulatory Practice
Initiative (G-REG).
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Urban climate governance informed by behavioural insights: A commentary and research agenda
Online Appendix A
Method
To understand the potential of insights from the behavioural sciences for urban climate governance,
this article takes stock of the behavioural science literature as it has engaged with broader questions
of public governance over the last ten years. It builds on a systematic review of 200 peer-reviewed
publications from the fields of law, political science and public administration published in English
between 2009 and 2018. Journals in these fields are the dominant outlets for scholars of public
governance (Bovens, 't Hart, & Peters, 2001; Morgan & Cook, 2014; Osborne, 2010), and are the
major publishers of theoretical and practical insights from the behavioural sciences in relation to
complex societal problems such as climate change (Grimmelikhuijsen, Jilke, Olsen, & Tummers,
2017; Moynihan, 2017).
Publications were systematically sourced from the Web of Science database, using key word
searches. The key word searches used were: (behav* AND science AND regulat*), resulting in 9
documents; (behav* AND econ* AND regulat*), resulting in 32 documents; (behav* AND science
AND govern*), resulting in 47 documents; (behav* AND econ* AND govern*), resulting in 32
documents; (behav* regulat*), resulting in 44 documents; and (behav* govern*), resulting in 103
documents. The asterisk (*) operates as a wildcard – i.e., the term ‘behav*’ allows the search to find
words including ‘behaviour’, ‘behavior’, ‘behavioural’, ‘behavioral’, ‘behave’, ‘behaving’, etc
After removing duplicates, this initial search resulted in a set of 129 journal articles, books and book
chapters. This set was complemented with 71 relevant publications cited in the publications traced
(‘snowball sampling’). These 200 publications were read, and notes (including the key insights
reported, the area of study, and the type of research project undertaken) were kept in a working
document. The document was coded to capture the ‘repetitiveness’ and ‘rarity’ of themes and
findings reported across the various publications (cf., Bearfield & Eller, 2008; and Sutton,
Papaioannou, & Booth, 2016). A cleaned-up working version of this document is available online as:
van der Heijden, Jeroen (2019). “Behavioural Insights and Regulatory Practice: A Review of the
International Academic Literature.” State of the Art in Regulatory Governance Research Paper –
2019.01. Wellington: Victoria University of Wellington/Government Regulatory Practice Initiative.1
Of the set of 129 publications initially identified for the literature review (see Online Appendix A),
only 5 per cent (n=6) were categorised in Web of Science as area studies, environmental studies, or
urban studies. Of the full set of 200 publications included in the review, only 7 per cent (n=13) had
one or more words indicating an urban focus in their title, key-words, or abstract. Titles, key-words
and abstracts were systematically explored for the following words ‘urban*’, ‘city’, ‘cities’,
‘metropo*’, ‘town*’, ‘built-up’, ‘built up’, ‘built-environment’, or ‘built environment’. The asterisk (*)
operates as a wildcard.
Of course, the initial focus of the review on publications in the areas of ‘law’, ‘political science’ and
‘public administration’ will have somewhat skewed the set of source publications underlying this
review. That having been said, the search includes publications from ‘typical’ journals oriented
towards environmental sustainability and climate change, such as Environmental Politics and
1
https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3332699
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Environment & Planning C, as well as urban-oriented journals such as the Journal of Urban
Economics.
Publications reviewed
Agarwal, Sumit; Chomsisengphet, Souphala; Mahoney, Neale; Stroebel, Johannes Regulating
Consumer Financial Products: Evidence from Credit Cards QUARTERLY JOURNAL OF
ECONOMICS 2015
Agarwal, Sumit; Gabaix, Xavier; Driscoll, John C.; Laibson, David The Age of Reason: Financial
Decisions over the Life Cycle and Implications for Regulation BROOKINGS PAPERS ON
ECONOMIC ACTIVITY 2009
Aidt, TS; Veiga, FJ; Veiga, LG Election results and opportunistic policies: A new test of the rational
political business cycle model PUBLIC CHOICE 2011
Akcinaroglu, S; Radziszewski, E Private Military Companies, Opportunities, and Termination of Civil
Wars in Africa JOURNAL OF CONFLICT RESOLUTION 2013
Alemanno, Alberto; Spina, Alessandro Nudging legally: On the checks and balances of behavioral
regulation ICON-INTERNATIONAL JOURNAL OF CONSTITUTIONAL LAW 2014
Al-Muharrami, Saeed; Murthy, Y. Sree Rama Interest banking spreads in Oman and Arab GCC
INTERNATIONAL JOURNAL OF EMERGING MARKETS 2017
Ayotte, K Leases and Executory Contracts in Chapter 11 JOURNAL OF EMPIRICAL LEGAL STUDIES
2015
Ayres, Ian Regulating Opt-Out: An Economic Theory of Altering Rules YALE LAW JOURNAL 2012
Badawi, AB Relational Governance and Contract Damages: Evidence from Franchising JOURNAL OF
EMPIRICAL LEGAL STUDIES 2010
Baldwin, Robert From Regulation to Behaviour Change: Giving Nudge the Third Degree MODERN
LAW REVIEW 2014
Baumgartner, FR; Carammia, M; Epp, DA; Noble, B; Rey, B; Yildirim, TM Budgetary change in
authoritarian and democratic regimes JOURNAL OF EUROPEAN PUBLIC POLICY 2017
Bechtold, S; Buccafusco, C; Sprigman, CJ Innovation Heuristics: Experiments on Sequential Creativity
in Intellectual Property INDIANA LAW JOURNAL 2016
Bell, A; Parchomovsky, G Partial takings COLUMBIA LAW REVIEW 2017
Bell, MC Police Reform and the Dismantling of Legal Estrangement YALE LAW JOURNAL 2017
Biard, A ludex non Calculat? Judges and the Magnitude of Mass Litigation from a Behavioural
Perspective EUROPEAN JOURNAL OF RISK REGULATION 2015
Bissonnette, Jean Francois From the moral to the neural: brain scans, decision-making, and the
problematization of economic (ir)rationality JOURNAL OF CULTURAL ECONOMY 2016
Blake, WD Judicial Independence on Unelected State Supreme Courts JUSTICE SYSTEM JOURNAL
2018
Boddewyn, Jean J.; Loubradou, Esther The Control of "Sex in Advertising" in France JOURNAL OF
PUBLIC POLICY & MARKETING 2011
Bossuyt, DM; Savini, F Urban sustainability and political parties: Eco-development in Stockholm and
Amsterdam ENVIRONMENT AND PLANNING C-POLITICS AND SPACE 2018
Boyd, William; Carlson, Ann E. Accidents of Federalism: Ratemaking and Policy Innovation in Public
Utility Law UCLA LAW REVIEW 2016
Bridges, A; Kousser, T Where Politicians Gave Power to the People: Adoption of the Citizen Initiative
in the US States STATE POLITICS & POLICY QUARTERLY 2011
Bubb, Ryan; Pildes, Richard H. How behavioural economics trims its sails and sails away HARVARD
LAW REVIEW 2014
Burden, BC; Helmke, G The comparative study of split-ticket voting ELECTORAL STUDIES 2009
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Butt, AI Anarchy and Hierarchy in International Relations: Examining South America's War-Prone
Decade, 1932-41 INTERNATIONAL ORGANIZATION 2013
Calo, Ryan Code, Nudge, or Notice? IOWA LAW REVIEW 2014
Calo, Ryan Digital Market Manipulation GEORGE WASHINGTON LAW REVIEW 2014
Carlsson, Fredrik; Johansson-Stenman, Olof Behavioral Economics and Environmental Policy Annual
Review of Resource Economics 2012
Carolan, Eoin The continuing problems with online consent under the EU's emerging data protection
principles COMPUTER LAW & SECURITY REVIEW 2016
Cass, RA COMPETITION IN ANTITRUST REGULATION: LAW BEYOND LIMITS JOURNAL OF
COMPETITION LAW & ECONOMICS 2010
Chan, HY The territoriality of personalization: New avenues for decentralized personalization in
multi-level Western Europe REGIONAL AND FEDERAL STUDIES 2018
Chandon, Pierre How Package Design and Packaged-based Marketing Claims Lead to Overeating
APPLIED ECONOMIC PERSPECTIVES AND POLICY 2013
Chao, BN THE CASE FOR CONTRIBUTION IN PATENT LAW UNIVERSITY OF CINCINNATI LAW REVIEW
2011
Chen, CK CHINA IN AFRICA: A THREAT TO AFRICAN COUNTRIES? STRATEGIC REVIEW FOR SOUTHERN
AFRICA 2016
Chen, CM; Lee, PC; Chou, CH The Impact of Coproductive Taxpayers' Supervisory Behaviors on the
Job Involvement of Tax Collectors REVIEW OF PUBLIC PERSONNEL ADMINISTRATION 2015
Chriss, James J. Nudging and Social Marketing SOCIETY 2015
Cloatre, E; Dingwall, R Embedded regulation: The migration of objects, scripts, and governance
REGULATION & GOVERNANCE 2013
Clopton, Zachary D. Diagonal Public Enforcement STANFORD LAW REVIEW 2018
Clot, S; Grolleau, G; Ibanez, L Do good deeds make bad people? EUROPEAN JOURNAL OF LAW AND
ECONOMICS 2016
Cofone, Ignacio N. The way the cookie crumbles: online tracking meets behavioural economics
INTERNATIONAL JOURNAL OF LAW AND INFORMATION TECHNOLOGY 2017
Cooper, CA; Knotts, HG; Ragusa, J The Constrained Governor: Exploring Gubernatorial Decision
Making on Senate Appointments POLITICAL RESEARCH QUARTERLY 2016
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MANAGEMENT REVIEW 2018
Cummins, J. David; Weiss, Mary A. Equity Capital, Internal Capital Markets, and Optimal Capital
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Czap, Natalia V.; Czap, Hans J.; Lynne, Gary D.; Burbach, Mark E. Walk in my shoes: Nudging for
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Czarnezki, Jason J. New York City Rules! Regulatory Models for Environmental and Public Health
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18
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Decker, F; Sonnicksen, J An Alternative Approach to European Union Democratization: Re-Examining
the Direct Election of the Commission President GOVERNMENT AND OPPOSITION 2011
Dilley, LTM Governing our choices: 'proenvironmental behaviour' as a practice of government
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Dormady, NC; Englander, G Carbon allowances and the demand for offsets: a comprehensive
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Eigen, ZJ; Sherwyn, D A Moral/Contractual Approach to Labor Law Reform HASTINGS LAW JOURNAL
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Feldthusen, B UNIQUE PUBLIC DUTIES OF CARE: JUDICIAL ACTIVISM IN THE SUPREME COURT OF
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Fernando The cyclical behavior of bank capital buffers in an emerging economy: Size does
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BUSINESS ETHICS 2013
Fridman, Daniel A new mentality for a new economy: performing the homo economicus in Argentina
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Friedrich, S Policy persistence and rent extraction PUBLIC CHOICE 2013
Fukurai, H; Krooth, R What brings people to the courtroom? Comparative analysis of people's
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AND JUSTICE 2010
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Goodliffe, J; Hawkins, D A Funny Thing Happened on the Way to Rome: Explaining International
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Goodman, Ellen P. VISUAL GUT PUNCH: PERSUASION, EMOTION, AND THE CONSTITUTIONAL
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Green, AD County Governments and Democratic Decision Making Explaining Why Counties Seek
Approval of Local Option Sales Taxes STATE POLITICS & POLICY QUARTERLY 2014
Griffith, JA; Connelly, S; Thiel, CE Emotion regulation and intragroup conflict: when more distracted
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Gschwend, T; Stoetzer, L; Zittlau, S What drives rental votes? How coalitions signals facilitate
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Hacker, Philipp Personalizing EU Private Law: From Disclosures to Nudges and Mandates EUROPEAN
REVIEW OF PRIVATE LAW 2017
Hagelund, Anniken From Economic Incentives to Dialogic Nudging - The Politics of Change and
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Hankinson, M When Do Renters Behave Like Homeowners? High Rent, Price Anxiety, and NIMBYism
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Horwitz, P ACT III OF THE MINISTERIAL EXCEPTION NORTHWESTERN UNIVERSITY LAW REVIEW 2012
Howell, WG Presidential Power in War ANNUAL REVIEW OF POLITICAL SCIENCE, VOL 14 2011
Howlett, Michael Matching policy tools and their targets: beyond nudges and utility maximisation in
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Hwang, W; Lee, H Globalization, Factor Mobility, Partisanship, and Compensation Policies
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Hyman, DA Follow the Money: Money Matters In Health Care, Just Like In Everything Else AMERICAN
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Jacobson, Peter D. Changing the Culture of Health: One Public Health Misstep at a Time SOCIETY
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Jeffords, Christopher Preference-directed regulation when ethical environmental policy choices are
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Jin, Lawrence; Kenkel, Don; Liu, Feng; Wang, Hua Retrospective and Prospective Benefit-Cost
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Jirusek, M; Kuchynkova, P The Conduct of Gazprom in Central and Eastern Europe: A Tool of the
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Jones, Lauren E.; Loibl, Caezilia; Tennyson, Sharon Effects of informational nudges on consumer debt
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Kaminski, ME PRIVACY AND THE RIGHT TO RECORD BOSTON UNIVERSITY LAW REVIEW 2017
Keiser, LR Understanding Street-Level Bureaucrats' Decision Making: Determining Eligibility in the
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Kennedy, Ann-Marie; Laczniak, Gene R. Conceptualisations of the consumer in marketing thought
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Khakee, A Democracy over power? The democratic decision-making process in the case of the
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Kraak, Vivica I.; Swinburn, Boyd; Lawrence, Mark; Harrison, Paul A Q methodology study of
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Krell, MR Intervention unnecessary: bar associations taking sides in regulatory actions JOURNAL OF
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Marks, Alexia Brunet THE RIGHT TO REGULATE (COOPERATIVELY) UNIVERSITY OF PENNSYLVANIA
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Mation, G Regulating Sovereign Wealth Funds: When States Become Entrepreneurs CAMBRIDGE
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Meunier, S; Vachudova, MA Liberal Intergovernmentalism, Illiberalism and the Potential Superpower
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Munro, VE; Scoular, J Abusing Vulnerability? Contemporary Law and Policy Responses to Sex Work in
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Noggle, Robert Manipulation, salience, and nudges BIOETHICS 2018
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Obolevich, Viktoria The New EU Tobacco Products Directive and Standardized Packaging: [in the
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25