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- Genre: Doctoral Dissertation
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ABSTRACT Water resources in many parts of the world are subject to increasing stress because of (a) the growth in demand caused by population increase and economic development, (b) threats to supply caused by climate and land cover change, and (c) a heightened awareness of the importance of maintaining water supplies to other parts of the ecosystem. An additional factor is the quality of water management. The United States-Mexican border provides an example of poor water management combined with increasing demand for water resources that are both scarce and uncertain. This dissertation focuses on the problem of water management in the border city of Ciudad Juarez, Chihuahua. The city has attracted foreign investment during the last few decades, largely due to relatively low environmental and labor costs, and to a range of tax incentives and concessions. This has led to economic and population growth, but also to higher demand for public services such as water which leads to congestion and scarcity. In particular, as water resources have become scarce, the cost of water supply has increased. The dissertation analyzes the conditions that allow for the efficient use of water resources at sustainable levels of economic activity--i.e., employment and investment. In particular, it analyzes the water management strategies that lead to an efficient and sustainable use of water when the source of water is either an aquifer, or there is conjunctive use of ground and imported water. The first part of the dissertation constructs a model of the interactive effects of water supply, wage rates, inward migration of labor and inward investment of capital. It shows how growing water scarcity affects population growth through the impact it has on real wage rates, and how this erodes the comparative advantage of Ciudad Juarez--low wages--to the point where foreign investment stops. This reveals the very close connection between water management and the level of economic activity in Ciudad Juarez. The second part of the dissertation examines the effect of sustainable and efficient water management strategies on population and economic activity levels under two different settings. In the first Ciudad Juarez relies exclusively on ground water to meet demand--this reflects the current situation of Ciudad Juarez. In the second Ciudad Juarez is able both to import water and to draw on aquifers to meet demand. This situation is motivated by the fact that Ciudad Juarez is considering importing water from elsewhere to maintain its economic growth and mitigate the overdraft of the Bolson del Hueco aquifer. Both models were calibrated on data for Ciudad Juarez, and then used to run experiments with respect to different environmental and economic conditions, and different water management options. It is shown that for a given set of technological, institutional and environmental conditions, the way water is managed in a desert environment determines the long run equilibrium levels of employment, investment and output. It is also shown that the efficiency of water management is consistent with the sustainability of water use and economic activity. Importing water could allow the economy to operate at higher levels of activity than where it relies solely on local aquifers. However, at some scale, water availability will limit the level of economic activity, and the disposable income of the residents of Ciudad Juarez.
ContributorsGarduno Angeles, Gustavo Leopoldo (Author) / Perrings, Charles (Thesis advisor) / Holway, Jim (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / Arizona State University (Publisher)
Created2011
Description
Farmers' markets are a growing trend both in Arizona and the broader U.S., as many recognize them as desirable alternatives to the conventional food system. As icons of sustainability, farmers' markets are touted as providing many environmental, social, and economic benefits, but evidence is mounting that local food systems primarily serve the urban elite, with relatively few low-income or minority customers. However, the economic needs of the market and its vendors often conflict with those of consumers. While consumers require affordable food, farmers need to make a profit. How farmers' markets are designed and governed can significantly influence the extent to which they can meet these needs. However, very little research explores farmers' market design and governance, much less its capacity to influence financial success and participation for underprivileged consumers. The present study examined this research gap by addressing the following research question: How can farmers' markets be institutionally designed to increase the participation of underprivileged consumers while maintaining a financially viable market for local farmers? Through a comparative case study of six markets, this research explored the extent to which farmers' markets in Central Arizona currently serve the needs of farmer-vendors and underprivileged consumers. The findings suggest that while the markets serve as a substantial source of income for some vendors, participation by low-income and minority consumers remains low, and that much of this appears to be due to cultural barriers to access. Management structures, site characteristics, market layout, community programs, and staffing policies are key institutional design features, and the study explores how these can be leveraged to better meet the needs of the diverse participants while improving the markets' financial success.
ContributorsTaylor, Carissa (Author) / Aggarwal, Rimjhim (Thesis advisor) / York, Abigail (Committee member) / Wharton, Christopher (Christopher Mack), 1977- (Committee member) / Arizona State University (Publisher)
Created2013
Description
Energy is a central concern of sustainability because how we produce and consume energy affects society, economy, and the environment. Sustainability scientists are interested in energy transitions away from fossil fuels because they are nonrenewable, increasingly expensive, have adverse health effects, and may be the main driver of climate change. They see an opportunity for developing countries to avoid the negative consequences fossil-fuel-based energy systems, and also to increase resilience, by leap-frogging-over the centralized energy grid systems that dominate the developed world. Energy transitions pose both challenges and opportunities. Obstacles to transitions include 1) an existing, centralized, complex energy-grid system, whose function is invisible to most users, 2) coordination and collective-action problems that are path dependent, and 3) difficulty in scaling up RE technologies. Because energy transitions rely on technological and social innovations, I am interested in how institutional factors can be leveraged to surmount these obstacles. The overarching question that underlies my research is: What constellation of institutional, biophysical, and social factors are essential for an energy transition? My objective is to derive a set of "design principles," that I term institutional drivers, for energy transitions analogous to Ostrom's institutional design principles. My dissertation research will analyze energy transitions using two approaches: applying the Institutional Analysis and Development Framework and a comparative case study analysis comprised of both primary and secondary sources. This dissertation includes: 1) an analysis of the world's energy portfolio; 2) a case study analysis of five countries; 3) a description of the institutional factors likely to promote a transition to renewable-energy use; and 4) an in-depth case study of Thailand's progress in replacing nonrenewable energy sources with renewable energy sources. My research will contribute to our understanding of how energy transitions at different scales can be accomplished in developing countries and what it takes for innovation to spread in a society.
ContributorsKoster, Auriane Magdalena (Author) / Anderies, John M (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / Van Der Leeuw, Sander (Committee member) / Arizona State University (Publisher)
Created2013
Description
Great disasters can often serve as birthing grounds for national transformation. As communities work to recover and rebuild, opportunities to reassess of prevailing development theories and programs may arise. As traditional development programs, supported by top-down development theories and billions in foreign aid, have not changed Haiti's impoverished status, such an opportunity has been presented to the Caribbean nation. Just a few months removed from the devastating 7.0 earthquake of Jan 12, 2010, this study identified the emergent thinking about development as expressed by key informants (N=21) from six entity types involved in Haiti's rebuilding efforts - government agencies, social ventures, grassroots, diaspora, foreign, and hybrid nonprofits. Findings were supplemented by participant observation of a civil society meeting in Port-au-Prince, Haiti. The Sustainable Livelihoods (SL) Framework was used as a lens with which to understand the causes of Haiti's social, institutional, environmental, and economic vulnerabilities. Modified grounded theory was used as the qualitative data analytical method from which five themes emerged: Haitian government, rebuilding, aid work and its effects, Haitian society, and international interference. Participants called for a refoundation, the building a nation from the ground up, of Haiti. Based on these findings, four transformative processes were identified as fundamental to Haiti's refoundation: 1) communication and collaboration with the Haitian government, 2) engagement of the Haitian people and the Haitian diaspora in the redevelopment work, 3) a broad vision of development for the nation, and 4) coordination and collaboration among NGOs.
ContributorsInnocent, Darlye Élise (Author) / Knopf, Richard (Thesis advisor) / Phillips, Rhonda (Committee member) / Aggarwal, Rimjhim (Committee member) / Wang, Lili (Committee member) / Arizona State University (Publisher)
Created2010
Description
Food waste is one of the most significant food system inefficiencies with environmental, financial, and social consequences. This waste, which occurs more at the consumer stage in high income countries, is often attributed to consumers’ behavior. While behavior is a contributing factor, the role of other contextual factors in influencing this behavior has not been systematically analyzed. Understanding contextual drivers of consumer food waste behavior is important, as behavior sits in a matrix of technology, infrastructures, institutions and social structure. Hence designing effective interventions will require a systems perceptive of the problem. In paper 1, I used Socio-ecological framing to understand how personal, interpersonal, socio-cultural, built, and institutional environments contribute to food waste at the consumer stage. In paper 2, I explored the perception of stakeholders in Phoenix on the effectiveness and feasibility of possible interventions that could be used to tackle consumer food waste. In paper 3, I examined the impact of knowledge and awareness of the environmental consequence of food waste in terms of embedded water and energy on the cognitive factors responsible for consumer food waste behavior. Across these three papers, I have identified three findings. First, the most influential factor responsible for consumer food waste is meal planning, as many decisions about food management depend on it. However, there are many contextual factors that discourage meal planning. Other factors identified include the wide gap between food producers and consumers, the low price of food, and marketing strategies used by retailers to encourage food purchases. Systems level interventions will be required to address these drivers that provide an enabling environment for behavioral change. Second stakeholders in the city overwhelmingly support and agree that education will be the most effective and feasible intervention to address consumer food waste, 3) there is need to carefully craft education materials to inform consumers about other resources, such as water and energy, embedded in food waste to stimulate a personal norm that motivates change in behavior. In this study, I emphasize the need to understand the root causes of consumer food waste and exploration of systems level interventions, in combination with education and information interventions that are being commonly used.
ContributorsOpejin, Adenike Kafayat (Author) / Aggarwal, Rimjhim (Thesis advisor) / White, Dave (Thesis advisor) / Garcia, Margret (Committee member) / Merrigan, Kathleen (Committee member) / Arizona State University (Publisher)
Created2022
Description
Producing, transforming, distributing, and consuming food requires a multitude of actors, from the microbes in the soil to the truck drivers, from the salesperson to the bacterial life that supports digestion. Yet, the global food system – far from being neutral – unequally provides and extracts resources around the globe to serve and protect the needs of some, while excluding and/or oppressing others and producing trauma in the process. Drawing on feminist scholarship and permaculture research – two fields that discuss the importance of care but only rarely work together – and using social science methods, I explore how to integrate care into food systems, and what are the outcomes of such an integration. I first bring together the voices of 35 everyday experts from Cuba, France, and the United States (Arizona) and perspectives from ethics of care, creation care, indigenous scholars, and permaculture specialists, and I use grounded theory to develop a definition of care in food systems context, and a conceptual map of care that identifies motives for caring, caring practices and their results. I then discuss how caring practices enhance food systems’ adaptive capacity and resilience. Next, I study the relationship between a subset of the identified caring practices – what is recognized as “Earth care” – and their effect on well-being in general, and Food Well-Being more specifically, using three case studies from Arizona based on: (1) interviews of school teachers, (2) interviews of sustainable farmers, (3) a survey with 96 gardeners. There, I also discuss how policies and cultural transformations can better support the integration of Earth care practices in food systems. Then, I examine how urban food autonomy movements are grassroots examples of integration of care in food systems, and how through their care practices – Earth care, “People care” and “Fair share” – they can serve as a catalyst for social change and contribute to the achievement of the United Nations Sustainable Development Goals. Lastly, I conclude with recommendations to strengthen a culture of care in food systems, as well as limitations to my research, and future research directions.
ContributorsGiraud, Esteve Gaelle (Author) / Aggarwal, Rimjhim (Thesis advisor) / Cloutier, Scott (Thesis advisor) / Samuelson, Hava (Committee member) / Chhetri, Netra (Committee member) / Arizona State University (Publisher)
Created2022
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 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
Description
Given increasing frequency and intensity of extreme weather events and disparities in socio-economic conditions, managing flood risks has become ever more challenging. Building a community flood resilience becomes an essential strategy to reduce flood risks and achieve sustainable development. However, enhancing community flood resilience presents numerous obstacles and potential downsides. To address such a challenge, this dissertation investigates the interactions among natural, built environment, and actor systems using a case study of flooding in Jakarta, Indonesia, focusing on the Ciliwung river watershed. The study first develops a conceptual framework for community flood resilience by integrating concepts from disaster, flood, and community resilience research to represent how water, structural elements, and actors are connected and can contribute to hazards and vulnerabilities. Building on the framework, the study utilizes a mixed-methods approach, combining stakeholder interviews with network and heatmap analysis to identify the roles and interconnections of relevant actors in Jakarta’s flooding. Next, the study employs a hybrid of agent-based and system dynamics modeling to explore the complex interactions among the watershed’s physical and actor systems. The model evaluates how the level of collaboration among government agencies affects flood management interventions and community resilience under various scenarios concerning weather patterns and land-use change.
The research provides an exploratory tool and a strategic guide for enhancing community flood resilience. The stakeholder analysis reveals the complexity of stakeholder relationships and challenges such as imbalance in resource allocation, authority overlap, and low engagement. These insights highlight the need for trust-building, community involvement, and strategic alignment in flood management efforts. Systems modeling to derive policy recommendations bridges the gap between theoretical frameworks and governance challenges, offering empirical evidence of the critical role of governmental collaboration in reducing exposure to floods. The systems modeling results suggest that under conditions of uncertainties, enhancing community flood resilience requires a coordinated approach among stakeholders.
ContributorsSulistyo, Sinta Rahmawidya (Author) / Agusdinata, Datu Buyung (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / Brundiers, Katja (Committee member) / Arizona State University (Publisher)
Created2024
Description
Diarrheal diseases caused by poor water, sanitation and hygiene continue to kill more children in Sub-Saharan Africa's burgeoning informal urban settlements than in any other part of the world. In recent years, Delegated Management Model (DMM), a partnership in which a utility delegates service management to slum residents have been promoted as new models to improve services.
This dissertation examines the benefits of DMM by comparing water services in three informal settlements in Kisumu city, Kenya: two slums where DMM has been implemented, and one, a control, where it has not. In addition, the research examined how school-based hygiene interventions could be designed to improve safe water and hygiene knowledge in urban informal settlements. This study compared outcomes of two approaches to hygiene education, one which combined messages with participatory water testing; the second used hygiene messages alone.
Results of the DMM study showed that DMM implementation had lowered water cost and improved provider accountability. However, unhygienic water collection and handling practices on the part of the service users could contaminate drinking water that was clean at the delivery point, thus preventing the intended health outcomes of DMM from being realized. Results of the hygiene education intervention showed that one week after the inventions, hygiene knowledge among students who received the intervention that combined hygiene messages with participatory water testing was significantly improved. Evaluation of the intervention 12 months after implementation showed that the hygiene knowledge gained was sustained.
The research findings suggest that: i) regular monitoring of water quality at the kiosks is essential to ensure that the DMM model achieves intended health outcomes, ii) sanitation conditions at kiosk sites need to be regulated to meet minimum hygiene standards, and iii) customers need to be educated on safe water collection and storage practices. Finally, school-based hygiene education could be made more effective by including hands-on water testing by students. Making sustainable impact on health and wellbeing of slum residents requires not only building effective partnerships for water delivery, but also paying close attention to the other points of intervention within the water system.
This dissertation examines the benefits of DMM by comparing water services in three informal settlements in Kisumu city, Kenya: two slums where DMM has been implemented, and one, a control, where it has not. In addition, the research examined how school-based hygiene interventions could be designed to improve safe water and hygiene knowledge in urban informal settlements. This study compared outcomes of two approaches to hygiene education, one which combined messages with participatory water testing; the second used hygiene messages alone.
Results of the DMM study showed that DMM implementation had lowered water cost and improved provider accountability. However, unhygienic water collection and handling practices on the part of the service users could contaminate drinking water that was clean at the delivery point, thus preventing the intended health outcomes of DMM from being realized. Results of the hygiene education intervention showed that one week after the inventions, hygiene knowledge among students who received the intervention that combined hygiene messages with participatory water testing was significantly improved. Evaluation of the intervention 12 months after implementation showed that the hygiene knowledge gained was sustained.
The research findings suggest that: i) regular monitoring of water quality at the kiosks is essential to ensure that the DMM model achieves intended health outcomes, ii) sanitation conditions at kiosk sites need to be regulated to meet minimum hygiene standards, and iii) customers need to be educated on safe water collection and storage practices. Finally, school-based hygiene education could be made more effective by including hands-on water testing by students. Making sustainable impact on health and wellbeing of slum residents requires not only building effective partnerships for water delivery, but also paying close attention to the other points of intervention within the water system.
ContributorsNzengya, Daniel (Author) / Aggarwal, Rimjhim (Thesis advisor) / Hartwell, Leland (Committee member) / Boone, Christopher (Committee member) / Arizona State University (Publisher)
Created2014
Description
The conflict conditions that afflict the livelihoods of Palestinian residents living in the West Bank are embedded within the population's ability to travel more so than any other routine activity. For Palestinian residents, domestic and international travel is a process of following paths riddled with multiple barriers that are both physical and political. Past studies have done well to paint a clear picture of the harsh transportation landscape in the region. However, less attention has focused on how barriers interact to indirectly and directly affect levels of accessibility and well-being. Additionally, suggested development solutions are rarely capable of being successfully implemented given current political conditions. This dissertation uses a systems approach to understand drivers of accessibility challenges in the West Bank and uses the understanding to propose a method to identify transition strategies that may be presently initiated whilst maintaining the ability to provide adequate benefit. The research question informing the study asks, How do drivers influencing the issue of poor accessibility and well-being in the West Bank persist and interact, and how might solutions be approached? The dissertation approaches the question in four sequential actions that each produces a functional planning deliverable. First, a system map that depicts the drivers and influences to the problem of poor accessibility and well-being is constructed (Chapter 4). Second, a future vision for the transportation system in the West Bank is identified (Chapter 5). Third, the system map and vision are used to assess how conflict conditions affect transition research (Chapter 6). Finally, the previous three deliverables are used to suggest a guide for transition management for transportation development in the West Bank (Chapter 7). Combinations of four different data sets, including an extensive review of published literature, field observations, individual field expert interviews, and group commuter interviews inform the research. Additionally, the Transformational Sustainability Research framework provides a normative base for the steps taken throughout the research. Ultimately, the dissertation presents an interpretation of information that has theoretical and practical application potential in transformational sustainability research and development efforts in the region respectively.
ContributorsAhmad, Omaya Heidi (Author) / Golub, Aaron (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / Saleh Sadaqa, Ahmad (Committee member) / Arizona State University (Publisher)
Created2015