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Adaptation for whom? A Study of the Conceptualization and Experience of Planned Adaptation Interventions in India

Description

Adaptation to climate change is a core sustainability challenge across the Global South. Development and government organizations conceptualize and govern climate adaptation by creating national and sub-national action plans and implementing projects. This dissertation confronts the inherent tensions that arise when formal planned adaptation interventions encounter the complex, often messy…

Adaptation to climate change is a core sustainability challenge across the Global South. Development and government organizations conceptualize and govern climate adaptation by creating national and sub-national action plans and implementing projects. This dissertation confronts the inherent tensions that arise when formal planned adaptation interventions encounter the complex, often messy realities of the implementation context. In doing so, this research examines how planned adaptation—with its incentives, provisioned resources, prescribed behaviors, and expectations of commitment from target beneficiaries —interacts with individuals and communities already balancing diverse risks while pursuing their livelihood aspirations. Two broad questions guide this dissertation: 1) how is adaptation envisioned by planners and practitioners? and, 2) how do project beneficiaries engage with, and experience planned adaptation interventions? The research employs an exploratory and inductive qualitative research design. Using Foucault’s lens of governmentality, this research utilises document analysis to examine how the first wave of Indian adaptation projects envision goals, conceptualize problems, delineate roles, and frame expectations of intended beneficiaries. Next, using a case study of an adaptation project implemented in Uttarakhand, India, the study examines the motivations and associated trade-offs behind the engagement and disengagement of the intended beneficiaries: smallholder farmers. Insights from gender-differentiated focus group discussions guide this analysis. Both inquiries are supplemented with findings from semi-structured interviews with Indian adaptation experts and project implementers. The analysis finds that: 1) project reports construct identities of the climate vulnerable beneficiary, implicitly assigning roles and transferring responsibilities for sustaining adaptation efforts beyond project timelines, 2) project participants are not default beneficiaries, but instead exercise agency in decision-making by either opting-in or opting-out of planned initiatives, and 3) the implicit and explicit costs of engaging in planned adaptation interventions are substantial, encompassing significant contributions of time, physical labor, and active participation during and post the project period. This dissertation challenges existing notions of whom planned adaptation serves, and to what end, offering new insights into its design and effectiveness. Furthermore, this research suggests that for planned adaptation to be sustainable, a concerted effort to align with evolving needs, aspirations and livelihood shifts of those on the frontlines of climate change is essential.

ContributorsYogya, Yamini (Author) / Eakin, Hallie (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / York, Abigail (Committee member) / Agrawal, Arun (Committee member) / Arizona State University (Publisher)

Created2024

Multilevel Governance of Climate Change Adaptation in Coastal Areas: Evidence from Bangladesh

Description

Climate change impacts are evident throughout the world, particularly in the low lying coastal areas. The multidimensional nature and cross-scale impacts of climate change require a concerted effort from different organizations operating at multiple levels of governance. The efficiency and effectiveness of the adaptation actions of these organizations rely on…

Climate change impacts are evident throughout the world, particularly in the low lying coastal areas. The multidimensional nature and cross-scale impacts of climate change require a concerted effort from different organizations operating at multiple levels of governance. The efficiency and effectiveness of the adaptation actions of these organizations rely on the problem framings, network structure, and power dynamics of the organizations and the challenges they encounter. Nevertheless, knowledge on how organizations within multi-level governance arrangements frame vulnerability, how the adaptation governance structure shapes their roles, how power dynamics affect the governance process, and how barriers emerge in adaptation governance as a result of multi-level interactions is limited. In this dissertation research, a multilevel governance perspective has been adopted to address these knowledge gaps through a case study of flood risk management in coastal Bangladesh. Key-informant interviews, systematic literature review, spatial multi-criteria decision analysis, social network analysis (SNA), and content analysis techniques have been used to collect and analyze data. This research finds that the organizations involved in adaptation governance generally have aligned framings of vulnerability, irrespective of the level at which they are operated, thus facilitating adaptation decision-making. However, this alignment raises concerns of a neglect of socio-economic aspects of vulnerability, potentially undermining adaptation initiatives. This study further finds that the adaptation governance process is elite-pluralistic in nature, but has a coexistence of top-down and bottom-up processes in different phases of adaptation actions. The analysis of power dynamics discloses the dominance of a few national level organizations in the adaptation governance process in Bangladesh. Lastly, four mechanisms have been found that can explain how organizational culture, practices, and preferences dictate the emergence of barriers in the adaptation governance process. This dissertation research overall advances our understanding on the significance of multilevel governance approach in climate change adaptation governance.

ContributorsIshtiaque, Asif (Author) / Chhetri, Netra (Thesis advisor) / Eakin, Hallie (Thesis advisor) / Myint, Soe W (Committee member) / Arizona State University (Publisher)

Created2019

Safe-to-fail infrastructure for resilient cities under non-stationary climate

Description

Motivated by the need for cities to prepare and be resilient to unpredictable future weather conditions, this dissertation advances a novel infrastructure development theory of “safe-to-fail” to increase the adaptive capacity of cities to climate change. Current infrastructure development is primarily reliant on identifying probable risks to engineered systems and…

Motivated by the need for cities to prepare and be resilient to unpredictable future weather conditions, this dissertation advances a novel infrastructure development theory of “safe-to-fail” to increase the adaptive capacity of cities to climate change. Current infrastructure development is primarily reliant on identifying probable risks to engineered systems and making infrastructure reliable to maintain its function up to a designed system capacity. However, alterations happening in the earth system (e.g., atmosphere, oceans, land, and ice) and in human systems (e.g., greenhouse gas emission, population, land-use, technology, and natural resource use) are increasing the uncertainties in weather predictions and risk calculations and making it difficult for engineered infrastructure to maintain intended design thresholds in non-stationary future. This dissertation presents a new way to develop safe-to-fail infrastructure that departs from the current practice of risk calculation and is able to manage failure consequences when unpredicted risks overwhelm engineered systems.

This dissertation 1) defines infrastructure failure, refines existing safe-to-fail theory, and compares decision considerations for safe-to-fail vs. fail-safe infrastructure development under non-stationary climate; 2) suggests an approach to integrate the estimation of infrastructure failure impacts with extreme weather risks; 3) provides a decision tool to implement resilience strategies into safe-to-fail infrastructure development; and, 4) recognizes diverse perspectives for adopting safe-to-fail theory into practice in various decision contexts.

Overall, this dissertation advances safe-to-fail theory to help guide climate adaptation decisions that consider infrastructure failure and their consequences. The results of this dissertation demonstrate an emerging need for stakeholders, including policy makers, planners, engineers, and community members, to understand an impending “infrastructure trolley problem”, where the adaptive capacity of some regions is improved at the expense of others. Safe-to-fail further engages stakeholders to bring their knowledge into the prioritization of various failure costs based on their institutional, regional, financial, and social capacity to withstand failures. This approach connects to sustainability, where city practitioners deliberately think of and include the future cost of social, environmental and economic attributes in planning and decision-making.

ContributorsKim, Yeowon (Author) / Chester, Mikhail (Thesis advisor) / Eakin, Hallie (Committee member) / Redman, Charles (Committee member) / Miller, Thaddeus R. (Committee member) / Arizona State University (Publisher)

Created2018

Perceptions of climate trends among mexican maize farmers

Description

Perceptions of climate variability and change reflect local concerns and the actual impacts of climate phenomena on people's lives. Perceptions are the bases of people's decisions to act, and they determine what adaptive measures will be taken. But perceptions of climate may not always be aligned with scientific observations because…

Perceptions of climate variability and change reflect local concerns and the actual impacts of climate phenomena on people's lives. Perceptions are the bases of people's decisions to act, and they determine what adaptive measures will be taken. But perceptions of climate may not always be aligned with scientific observations because they are influenced by socio-economic and ecological variables. To find sustainability solutions to climate-change challenges, researchers and policy makers need to understand people's perceptions so that they can account for likely responses. Being able to anticipate responses will increase decision-makers' capacities to create policies that support effective adaptation strategies. I analyzed Mexican maize farmers' perceptions of drought variability as a proxy for their perceptions of climate variability and change. I identified the factors that contribute to the perception of changing drought frequency among farmers in the states of Chiapas, Mexico, and Sinaloa. I conducted Chi-square tests and Logit regression analyses using data from a survey of 1092 maize-producing households in the three states. Results showed that indigenous identity, receipt of credits or loans, and maize-type planted were the variables that most strongly influenced perceptions of drought frequency. The results suggest that climate-adaptation policy will need to consider the social and institutional contexts of farmers' decision-making, as well as the agronomic options for smallholders in each state.

ContributorsRodríguez, Natalia (Author) / Eakin, Hallie (Thesis advisor) / Muneepeerakul, Rachata (Thesis advisor) / Manuel-Navarrete, David (Committee member) / Arizona State University (Publisher)

Created2015

Organizational learning for climate change adaptation: a case study of four NGOs in India

Description

For a country like India which is highly vulnerable to climate change, the need to focus on adaptation in tandem with traditional development is immense, as the two are inextricably tied together. As a prominent actor working at the intersection of these two fields, NGOs need to be prepared for…

For a country like India which is highly vulnerable to climate change, the need to focus on adaptation in tandem with traditional development is immense, as the two are inextricably tied together. As a prominent actor working at the intersection of these two fields, NGOs need to be prepared for the emerging challenges of climate change. While research indicates that investments in learning can be beneficial for this purpose, there are limited studies looking into organizational learning within NGOs working on climate change adaptation. This study uses a multiple case study design to explore learning mechanisms, and trace learning over time within four development NGOs working on climate change adaptation in India. These insights could be useful for development NGOs looking to enhance their learning to meet the challenges of climate change. More broadly, this research adds to the understanding of the role of learning in climate change adaptation.

ContributorsNautiyal, Snigdha (Author) / Klinsky, Sonja (Thesis advisor) / Eakin, Hallie (Committee member) / Wang, Lili (Committee member) / Arizona State University (Publisher)

Created2017

Governing Climate Change Adaptation Through Insurance: Complexity, Risk and Justice Concerns?

Description

Climate adaptation has not kept pace with climate impacts which has formed an adaptation gap. Increasingly insurance is viewed as a solution to close this gap. However, the efficacy and implications of using insurance in the climate adaptation space are not clear. Furthermore, past research has focused on specific actors…

Climate adaptation has not kept pace with climate impacts which has formed an adaptation gap. Increasingly insurance is viewed as a solution to close this gap. However, the efficacy and implications of using insurance in the climate adaptation space are not clear. Furthermore, past research has focused on specific actors or processes, not on the interactions and interconnections between the actors and the processes. I take a complex adaptive systems approach to map out how these dynamics are shaping adaptation and to interrogate what the insurance climate adaptation literature claims are the successes and pitfalls of insurance driving, enabling or being adaptation. From this interrogation it becomes apparent that insurance has enormous influence on its policy holders, builds telecoupling into local adaptation, and creates structures which support contradictory land use policies at the local level. Based on the influence insurance has on policy holders, I argue that insurance should be viewed as a form of governance. I synthesize insurance, governance and adaptation literature to examine exactly what governance tools insurance uses to exercise this influence and what the consequences may be. This research reveals that insurance may not be the exemplary adaptation approach the international community is hoping for. Using insurance, risk can be reduced without reducing vulnerability, and risk transfer can result in risk displacement which can reduce adaptation incentives, fuel maladaptation, or impose public burdens. Moreover, insurance requires certain information and legal relationships which can and often do structure that which is insured to the needs of insurance and shift authority away from governments to insurance companies or public-private partnerships. Each of these undermine the legitimacy of insurance-led local adaptation and contradict the stated social justice goals of international calls for insurance. Finally, I interrogate the potential justice concerns that emerged through an analysis of insurance as a form of adaptation governance. Using a multi-valent approach to justice I examine a suite of programs intended to support agricultural adaptation through insurance. This analysis demonstrates that although some programs clearly attempted to consider issues of justice, overall these existing programs raise distributional, procedural and recognition justice concerns.

ContributorsLueck, Vanessa (Author) / Klinsky, Sonja (Thesis advisor) / Schoon, Michael (Thesis advisor) / Eakin, Hallie (Committee member) / Arizona State University (Publisher)

Created2020

Governing Farmer-Managed Irrigation Systems in a Rapidly Changing World

Description

Farmer-Managed Irrigation Systems (FMIS) are community managed and operated irrigation systems, celebrated for their successful governance of water resources for many decades and in several countries. Nevertheless, in the face of climatic, political, and social change, their future is uncertain. This dissertation utilizes household adaptive capacity, socio-ecological system (SES) robustness,…

Farmer-Managed Irrigation Systems (FMIS) are community managed and operated irrigation systems, celebrated for their successful governance of water resources for many decades and in several countries. Nevertheless, in the face of climatic, political, and social change, their future is uncertain. This dissertation utilizes household adaptive capacity, socio-ecological system (SES) robustness, and the Institutional Analysis and Development framework to structure a multi-scalar and multi-stressor analysis of changes experienced in Nepal’s FMIS. The dissertation documents irrigators’ perception of environmental change, impacts, and response; diagnoses the multiple disturbances impacting the robustness of the FMIS; and analyzes changes in the FMIS as an institution over time, in an effort to understand the major drivers of SES change. Fifteen FMIS from five districts of Nepal were selected for the study. Data were collected through field observations, household surveys, key informant interviews, and focus group discussions. The status of the existing rules was compared with the data collected three decades ago in the Nepal Irrigation Institutions and Systems database. This study finds that FMIS’s robustness is threatened by uncertain water supply, inefficient infrastructure, scarcity of farm labor, weakening collective action, and natural disasters. Farm households, whose actions are necessary to sustain the management of FMIS, perceive environmental change differently according to their ecological region and position along the irrigation canal, leading to different adaptation strategies. Despite livelihood diversification, irrigators rely primarily on irrigation infrastructure management to respond to the impacts of environmental change. Institutional analysis demonstrates the evolution of FMIS in terms of working rules in the face of multiple stressors. In this study, payoff, information, and position rules have exhibited the most substantive change. However, boundary, choice, aggregation, and scope rules are less likely to change. The findings of this work point to the need for geographically differentiated adaptation support policies, and a need for closer attention to the dynamics of labor, environmental change, and institutional persistence in agriculture and irrigation sectors. FMIS being an exemplary institutional arrangement for the study of a SES, the research findings benefit similar institutions globally facing challenges to the sustainable governance of common pool resources.

ContributorsParajuli, Jagadish (Author) / Eakin, Hallie (Thesis advisor) / Chhetri, Netra (Thesis advisor) / Anderies, Marty (Committee member) / Arizona State University (Publisher)

Created2021

Evidence-Based Transit and Land Use Sketch Planning Using Interactive Accessibility Methods on Combined Schedule and Headway-Based Networks

Description

There is a need for indicators of transportation-land use system quality that are understandable to a wide range of stakeholders, and which can provide immediate feedback on the quality of interactively designed scenarios. Location-based accessibility indicators are promising candidates, but indicator values can vary strongly depending on time of day…

There is a need for indicators of transportation-land use system quality that are understandable to a wide range of stakeholders, and which can provide immediate feedback on the quality of interactively designed scenarios. Location-based accessibility indicators are promising candidates, but indicator values can vary strongly depending on time of day and transfer wait times. Capturing this variation increases complexity, slowing down calculations. We present new methods for rapid yet rigorous computation of accessibility metrics, allowing immediate feedback during early-stage transit planning, while being rigorous enough for final analyses. Our approach is statistical, characterizing the uncertainty and variability in accessibility metrics due to differences in departure time and headway-based scenario specification. The analysis is carried out on a detailed multi-modal network model including both public transportation and streets. Land use data are represented at high resolution. These methods have been implemented as open-source software running on commodity cloud infrastructure. Networks are constructed from standard open data sources, and scenarios are built in a map-based web interface. We conclude with a case study, describing how these methods were applied in a long-term transportation planning process for metropolitan Amsterdam.

ContributorsConway, Matthew Wigginton (Author) / Byrd, Andrew (Author) / van der Linden, Marco (Author)

Created2017

Accounting for Uncertainty and Variation in Accessibility Metrics for Public Transport Sketch Planning

Description

Accessibility is increasingly used as a metric when evaluating changes to public transport systems. Transit travel times contain variation depending on when one departs relative to when a transit vehicle arrives, and how well transfers are coordinated given a particular timetable. In addition, there is necessarily uncertainty in the value…

Accessibility is increasingly used as a metric when evaluating changes to public transport systems. Transit travel times contain variation depending on when one departs relative to when a transit vehicle arrives, and how well transfers are coordinated given a particular timetable. In addition, there is necessarily uncertainty in the value of the accessibility metric during sketch planning processes, due to scenarios which are underspecified because detailed schedule information is not yet available. This article presents a method to extend the concept of "reliable" accessibility to transit to address the first issue, and create confidence intervals and hypothesis tests to address the second.

ContributorsConway, Matthew Wigginton (Author) / Byrd, Andrew (Author) / van Eggermond, Michael (Author)

Created2018-07-23

Reducing Livestock-based Emissions in Argentina: Analyzing Climate Change Mitigation Strategies through Policy and Governance in the Agricultural Sector

Description

Intensive global animal agricultural practices have proved to be a cause for concern, resulting, in part, from consumer preferences and an increasing global demand for protein, especially meat. Countries like Argentina, contribute to Greenhouse Gas emissions substantially through their livestock sector. Improved resource management can help to promote sustainable agriculture…

Intensive global animal agricultural practices have proved to be a cause for concern, resulting, in part, from consumer preferences and an increasing global demand for protein, especially meat. Countries like Argentina, contribute to Greenhouse Gas emissions substantially through their livestock sector. Improved resource management can help to promote sustainable agriculture by reducing the amount of water and energy used to produce livestock, and improve livestock practices in order to reduce GHG emissions. The integration of resource management between food, energy, and water systems can help to decrease livestock-based emissions, through efficiency improvements targeted towards animal agricultural practices. This paper can act as a reference for other researchers studying the FEW nexus, to increase their understanding of how to improve coordination across water, energy, and agricultural sectors by using Argentina’s livestock sector as an example. Furthermore, policy and decision makers in Argentina can use information about FEW systems to make informed decisions about the allocation and prioritization of integrated management between food, energy, and water sectors, to help them implement integrated mitigation strategies within their livestock sector to help reduce GHG emissions.

ContributorsGregorio, Gisselle Marie (Author) / White, Dave (Thesis director) / Eakin, Hallie (Committee member) / School of Sustainability (Contributor) / Barrett, The Honors College (Contributor)

Created2020-12

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