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- Genre: Doctoral Dissertation
Description
Sustainability depends in part on our capacity to resolve dilemmas of the commons in Coupled Infrastructure Systems (CIS). Thus, we need to know more about how to incentivize individuals to take collective action to manage shared resources. Moreover, given that we will experience new and more extreme weather events due to climate change, we need to learn how to increase the robustness of CIS to those shocks. This dissertation studies irrigation systems to contribute to the development of an empirically based theory of commons governance for robust systems. I first studied the eight institutional design principles (DPs) for long enduring systems of shared resources that the Nobel Prize winner Elinor Ostrom proposed in 1990. I performed a critical literature review of 64 studies that looked at the institutional configuration of CIS, and based on my findings I propose some modifications of their definitions and application in research and policy making. I then studied how the revisited design principles, when analyzed conjointly with biophysical and ethnographic characteristics of CISs, perform to avoid over-appropriation, poverty and critical conflicts among users of an irrigation system. After carrying out a meta-analysis of 28 cases around the world, I found that particular combinations of those variables related to population size, countries corruption, the condition of water storage, monitoring of users behavior, and involving users in the decision making process for the commons governance, were sufficient to obtain the desired outcomes. The two last studies were based on the Peruvian Piura Basin, a CIS that has been exposed to environmental shocks for decades. I used secondary and primary data to carry out a longitudinal study using as guidance the robustness framework, and different hypothesis from prominent collapse theories to draw potential explanations. I then developed a dynamic model that shows how at the current situation it is more effective to invest in rules enforcement than in the improvement of the physical infrastructure (e.g. reservoir). Finally, I explored different strategies to increase the robustness of the system, through enabling collective action in the Basin.
ContributorsRubinos, Cathy (Author) / Anderies, John M (Thesis advisor) / Abbott, Joshua K (Committee member) / Janssen, Marcus A (Committee member) / Arizona State University (Publisher)
Created2017
Description
Understanding the resilience of water management systems is critical for the continued existence and growth of communities today, in urban and rural contexts alike. In recent years, many studies have evaluated long-term human-environmental interactions related to water management across the world, highlighting both resilient systems and those that eventually succumb to their vulnerabilities. To understand the multitude of factors impacting resilience, scholars often use the concept of adaptive capacity. Adaptive capacity is the ability of actors in a system to make adaptations in anticipation of and in response to change to minimize potential negative impacts.
In this three-paper dissertation, I evaluate the adaptive capacity of the water management systems of two medieval Khmer cities, located in present-day Cambodia, over the course of centuries. Angkor was the capital of the Khmer Empire for over 600 years (9 th -15 th centuries CE), except for one brief period when the capital was relocated to Koh Ker (921 – 944 CE). These cities both have massive water management systems that provide a comparative context for studying resilience; while Angkor thrived for hundreds of years, Koh Ker was occupied as the capital of the empire for a relatively short period. In the first paper, I trace the chronological and spatial development of two types of settlement patterns (epicenters and lower-density temple-reservoir settlement units) at Angkor in relation to state-sponsored hydraulic infrastructure. In the second and third papers, I conduct a diachronic analysis using empirical data for the adaptive capacity of the water management systems at both cities. The results suggest that adaptive capacity is useful for identifying causal factors in the resilience and failures of systems over the long term. The case studies also demonstrate the importance and warn of the danger of large centralized water management features.
In this three-paper dissertation, I evaluate the adaptive capacity of the water management systems of two medieval Khmer cities, located in present-day Cambodia, over the course of centuries. Angkor was the capital of the Khmer Empire for over 600 years (9 th -15 th centuries CE), except for one brief period when the capital was relocated to Koh Ker (921 – 944 CE). These cities both have massive water management systems that provide a comparative context for studying resilience; while Angkor thrived for hundreds of years, Koh Ker was occupied as the capital of the empire for a relatively short period. In the first paper, I trace the chronological and spatial development of two types of settlement patterns (epicenters and lower-density temple-reservoir settlement units) at Angkor in relation to state-sponsored hydraulic infrastructure. In the second and third papers, I conduct a diachronic analysis using empirical data for the adaptive capacity of the water management systems at both cities. The results suggest that adaptive capacity is useful for identifying causal factors in the resilience and failures of systems over the long term. The case studies also demonstrate the importance and warn of the danger of large centralized water management features.
ContributorsKlassen, Sarah E (Author) / Nelson, Ben (Thesis advisor) / Redman, Charles (Thesis advisor) / Evans, Damian (Committee member) / Smith, Mike E (Committee member) / Barton, Michael C (Committee member) / Arizona State University (Publisher)
Created2018
Description
Design is a fundamental human activity through which we attempt to navigate and manipulate the world around us for our survival, pleasure, and benefit. As human society has evolved, so too has the complexity and impact of our design activities on the environment. Now clearly intertwined as a complex social-ecological system at the global scale, we struggle in our ability to understand, design, implement, and manage solutions to complex global issues such as climate change, water scarcity, food security, and natural disasters. Some have asserted that this is because complex adaptive systems, like these, are moving targets that are only partially designed and partially emergent and self-organizing. Furthermore, these types of systems are difficult to understand and control due to the inherent dynamics of "wicked problems", such as: uncertainty, social dilemmas, inequities, and trade-offs involving multiple feedback loops that sometimes cause both the problems and their potential solutions to shift and evolve together. These problems do not, however, negate our collective need to effectively design, produce, and implement strategies that allow us to appropriate, distribute, manage and sustain the resources on which we depend. Design, however, is not well understood in the context of complex adaptive systems involving common-pool resources. In addition, the relationship between our attempts at control and performance at the system-level over time is not well understood either. This research contributes to our understanding of design in common-pool resource systems by using a multi-methods approach to investigate longitudinal data on an innovative participatory design intervention implemented in nineteen small-scale, farmer-managed irrigation systems in the Indrawati River Basin of Nepal over the last three decades. The intervention was intended as an experiment in using participatory planning, design and construction processes to increase food security and strengthen the self-sufficiency and self-governing capacity of resource user groups within the poorest district in Nepal. This work is the first time that theories of participatory design-processes have been empirically tested against longitudinal data on a number of small-scale, locally managed common-pool resource systems. It clarifies and helps to develop a theory of design in this setting for both scientific and practical purposes.
ContributorsRatajczyk, Elicia Beth (Author) / Anderies, John M (Thesis advisor) / York, Abigail (Committee member) / Shivakoti, Ganesh P (Committee member) / Arizona State University (Publisher)
Created2018
Description
Natural resources management is a pressing issue for Native American nations and communities. More than ever before, tribal officials sit at the decision-making tables with federal and state officials as well as non-governmental natural resource stakeholders. This, however, has not always been the case. This dissertation focuses on tribal activism to demonstrate how and why tribal sovereignty, self-determination, and treaty rights protection are tied closely to contemporary environmental issues and natural resources management. With the Klamath Tribes of southern Oregon as a case study, this dissertation analyzes how a tribal nation garnered a political position in which it could both indirectly influence and directly orchestrate natural resource management within and outside of its sovereign boundaries. The Klamath Tribes experienced the devastating termination policy in the 1950s. Termination stripped them of their federal status as an Indian tribe, the government services offered to recognized tribes, and their 1.2-million-acre reservation. Despite this horrific event, the Klamaths emerged by the 2000s as leading natural resource stakeholders in the Klamath River Watershed, a region ten times larger than their former reservation. The Klamaths used tools, such as their treaty and water rights, and employed careful political, legal, and social tactics. For example, they litigated, appropriated science, participated in democratic national environmental policy processes, and developed a lexicon. They also negotiated and established alliances with non-governmental stakeholders in order to refocus watershed management toward a holistic approach that promoted ecological restoration.
This study applies spatial theory and an ethnohistorical approach to show how traditional values drove the Klamaths’ contemporary activism. From their perspective, healing the land would heal the people. The Klamaths’ history illuminates the active roles that tribes have had in the institutionalization of the federal self-determination policy as federal agencies resisted recognizing tribes and working with them in government-to-government relationships. Through their efforts to weave their interests into natural resource management with state, federal, and non-governmental stakeholders, the Klamaths took part in a much larger historical trend, the increased pluralization of American society.
This study applies spatial theory and an ethnohistorical approach to show how traditional values drove the Klamaths’ contemporary activism. From their perspective, healing the land would heal the people. The Klamaths’ history illuminates the active roles that tribes have had in the institutionalization of the federal self-determination policy as federal agencies resisted recognizing tribes and working with them in government-to-government relationships. Through their efforts to weave their interests into natural resource management with state, federal, and non-governmental stakeholders, the Klamaths took part in a much larger historical trend, the increased pluralization of American society.
ContributorsBilka, Monika (Author) / Fixico, Donald L (Thesis advisor) / Hirt, Paul (Committee member) / Tsosie, Rebecca (Committee member) / Arizona State University (Publisher)
Created2015
Description
In the present study, primarily, gas diffusion layer samples containing microporous layers (MPLs), are fabricated using carbon paper substrate, PUREBLACK® carbon powder and polyethylene glycol (PEG) as pore forming agent. The GDLs are studied in single cell fuel cell, to evaluate the effect of porosity of the micro-porous layer on the performance at different operating relative humidity conditions and compared with commercial GDLs. Scanning electron microscopy (SEM) and contact angle measurements indicate crack-free surface morphology and hydrophobic characteristics of the PUREBLACK® based GDLs, respectively. By varying the wt. % of PEG, fuel cell performance is evaluated under relative humidity conditions of 60 and 100 % using H2/O2 and H2/Air at 70 oC and the durability is also evaluated for the samples without, with 30% PEG and commercial. The fuel cell performance of the GDL with 30 % PEG (with pore volume 1.72 cc.g-1) exhibited higher performance (444 and 432 mW.cm-2 at 60 and 100 % RH conditions, respectively using H2 and air) compared to that without pore forming agent (436 and 397 mW.cm-2).Subsequently, the best performing configuration underwent two different ex-situ methods of accelerated stress testing (AST), in water and hydrogen peroxide (30%), for 1000 and 24 h, respectively. The samples were evaluated via contact angle, SEM, and fuel cell performance, before and after the ASTs, and compared to similar configuration, using carbon powder VULCAN® (XC-72R), and aged in the exact same conditions. Contact angle and SEM demonstrated greater degradation of VULCAN® carbon, especially in hydrogen peroxide, where carbon corrosion caused surface cracks and change in hydrophobicity. The fuel cell performance and durability, evaluated at 60 and 100% RH at 70 oC, using O2 and air as oxidants, confirmed that VULCAN® carbon is more prone to carbon corrosion, with significant performance loss (12-19%) in contrast to PUREBLACK® that demonstrated higher carbon corrosion resistance due to its graphitized surface.
ContributorsAthanasaki, Grigoria (Author) / Kannan, Arunachala Mada A. M. (Thesis advisor) / Nam, Changho (Committee member) / Peng, Xihong (Committee member) / Arizona State University (Publisher)
Created2021
Description
This dissertation focuses on water security in terms of sustaining socio-economic development, livelihoods, and human well-being. Using the double exposure framework, I analyze the combined effect of climate change and economic development on water security in the Philippines. There is a need to examine how the combination of these two processes aggravate existing inequalities related to water security among different groups of people, and also analyze how these two processes can combine to increase stakeholders’ vulnerability to water-related shocks and stresses. The Philippines has been rated as one of the countries that is most vulnerable to climate change due to its exposure to extreme climate events and sea level rise. At the same time, the Philippines is currently undergoing an economic transition from a predominantly agricultural country to one where industry and services play a larger role. This dissertation zeroes in on the water security of municipalities in the Philippines, which were sorted into different syndromes based on a combination of their risk to future hydro-climatic changes and economic growth trends. Four syndromes which covered 73% of the population then emerged. By comparing five case study municipalities drawn from these four syndromes, I offer insights into how different combinations of climatic and economic factors can impact water security, and which combination could have the lowest water security in the future. Through analyzing the results of focus group discussions and semi-structured interviews, I also explore the variation of perceptions and collaborative strategies of stakeholders regarding their current and future water security. While each municipality had different climate and economic vulnerabilities, they shared largely similar water security perceptions and used the same strategies.
ContributorsLorenzo, Theresa Marie (Author) / Kinzig, Ann (Thesis advisor) / David, Carlos Primo (Committee member) / Perrings, Charles (Committee member) / Schoon, Michael (Committee member) / Selin, Cynthia (Committee member) / Arizona State University (Publisher)
Created2021
Description
This dissertation presents a new methodology for the sustainable and optimal allocation of water for a river basin management area that maximizes sustainable net economic benefit over the long-term planning horizon. The model distinguishes between short and long-term planning horizons and goals using a short-term modeling component (STM) and a long term modeling component (LTM) respectively. An STM optimizes a monthly allocation schedule on an annual basis in terms of maximum net economic benefit. A cost of depletion based upon Hotelling’s exhaustible resource theory is included in the STM net benefit calculation to address the non-use value of groundwater. An LTM consists of an STM for every year of the long-term planning horizon. Net economic benefits for both use and non-use values are generated by the series of STMs. In addition output from the STMs is measured in terms of sustainability which is quantified using a sustainability index (SI) with two groups of performance criteria. The first group measures risk to supply and is based on demand-supply deficits. The second group measures deviations from a target flow regime and uses a modified Hydrologic Alteration (HA) factor in the Range of Variability Approach (RVA). The STM is a linear programming (LP) model formulated in the General Algebraic Modeling System (GAMS) and the LTM is a nonlinear programming problem (NLP) solved using a genetic algorithm. The model is applied to the Prescott Active Management Area in north-central Arizona. Results suggest that the maximum sustainable net benefit is realized with a residential population and consumption rate increase in some areas, and a reduction in others.
ContributorsOxley, Robert Louis (Author) / Mays, Larry (Thesis advisor) / Fox, Peter (Committee member) / Johnson, Paul (Committee member) / Murray, Alan (Committee member) / Arizona State University (Publisher)
Created2015