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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
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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
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The purpose of applying social-ecological resilience thinking to food systems is twofold: First, to define those factors that help achieve a state in which food security for all and at all scales is possible. Second, to provide insights into how to maintain the system in this desirable regime. However, the

The purpose of applying social-ecological resilience thinking to food systems is twofold: First, to define those factors that help achieve a state in which food security for all and at all scales is possible. Second, to provide insights into how to maintain the system in this desirable regime. However, the resilience of food systems is distinct from the broader conceptualizations of resilience in social-ecological systems because of the fundamentally normative nature of food systems: humans need food to survive, and thus system stability is typically a primary policy objective for food system management. With that being said, society also needs food systems that can intensify sustainably i.e., feed everybody equitably, provide livelihoods and avoid environmental degradation while responding flexibly to shocks and uncertainty. Today’s failure in meeting food security objectives can be interpreted as the lack of current governance arrangements to consider the full and differential dimensions of food system functions – economic, ecological and social – at appropriate scales: in other words, the multifunctionality of food.

We focus on functional and response diversity as two key attributes of resilient, multifunctional food systems; respectively, the number of different functional groups and the diversity of types of responses to disturbances within a functional group. Achieving food security will require functional redundancy and enhanced response diversity, creating multiple avenues to fulfill all food system objectives. We use the 2013-15 drought in California to unpack the potential differences between managing for a single function – economic profit – and multiple functions. Our analysis emphasizes how the evolution of the Californian food system has reduced functional and response diversity and created vulnerabilities. Managing for the resilience of food systems will require a shift in priorities from profit maximization to the management for all functions that create full food security at multiple scales.

Created2015
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A growing body of literature on the commons has provided fascinating and intricate insights on how some local institutions have successfully managed to avoid a seemingly inevitable “tragedy of the commons” once popularized by Garrett Hardin. Primarily benefitting from the recent studies on the commonpool resources conducted by Elinor Ostrom

A growing body of literature on the commons has provided fascinating and intricate insights on how some local institutions have successfully managed to avoid a seemingly inevitable “tragedy of the commons” once popularized by Garrett Hardin. Primarily benefitting from the recent studies on the commonpool resources conducted by Elinor Ostrom and colleagues, polycentric selforganization and autonomy, rather than the direct state or market control over the commons, are often recognized as key features of the long enduring commons. However, these commons are quite diverse and the outcomes are often multiple and complex, accentuating the needs to differentiate among multiple commons outcomes. Furthermore, relatively under-reported are the cases where the degradation of common-pool resources are actually halted, and even restored. This study examines both the turbulent history of fishery mismanagement in Rupa Lake, Nepal and its reversal built around the participation, engagement and inclusiveness in the governance of its watershed. We find that Rupa Lake’s experience tells two stories. Reflecting Hardin’s dire forecast, the Rupa Lake watershed verged on collapse as population grew and seemingly selfish behavior intensified under an open-access regime. But the users also found a way to rebound and reverse their course as they adopted a bottom-up approach to fishery management and established an innovative community institution, the ‘Rupa Lake Rehabilitation and Fishery Cooperative’, dedicated to the sustainable governance of the commons. This case highlights how one community at the threshold of ‘tragedy’ transformed itself by turning conflict into collaboration, which we hope contributes to the effort of better understanding multiple commons.

ContributorsChaudhary, Pashupati (Author) / Chhetri, Netra (Author) / Dorman, Brian (Author) / Gegg, Tom (Author) / Rana, Ram B. (Author) / Shrestha, Milan (Author) / Thapa, Keshab (Author) / Lamsal, Krishna (Author) / Thapa, Surya (Author) / Consortium for Science, Policy and Outcomes (Contributor) / School for the Future of Innovation in Society (Contributor)
Created2015-09-18
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This study assesses whether multifunctional edible landscaping business models provide a sufficient business case at enterprise and city scales to justify widespread implementation. First, semi-structured interviews were conducted with four landscaping entrepreneurs, and the information obtained from the interviews was utilized to carry out a business model comparison with the

This study assesses whether multifunctional edible landscaping business models provide a sufficient business case at enterprise and city scales to justify widespread implementation. First, semi-structured interviews were conducted with four landscaping entrepreneurs, and the information obtained from the interviews was utilized to carry out a business model comparison with the Business Model Canvas framework. The comparison showed that the landscaping enterprises using multifunctional edible landscaping methods possessed a greater range of value propositions and revenue streams, enhancing their competitive advantage. Second, a GIS landscape analysis of seven Phoenix metro area cities was carried out to identify landscapes that were suited for becoming multifunctional edible landscapes. The GIS analysis identified single family residential, residential recreational open space, municipal parks, and municipal schools as being suitable landscapes, and that the area of these landscapes in the seven cities exceeded 180,000 acres. Third, scenarios were created using interview and GIS data to estimate potential value creation and return on investment of implementing multifunctional edible landscaping in the cities of interest. The scenarios found that the potential value creation of edible landscaping ranged between $3.9 and $66 billion, and that positive return on investment (ROI) could be achieved in 11 out of 12 scenarios within one to five years. Finally, the paper concludes by discussing potential long-term implications of implementing multifunctional edible urban landscaping, as well as possible future directions for multifunctional landscaping business model development and research.

Created2017-12-12
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The Kathmandu Valley of Nepal epitomizes the growing urbanization trend spreading across the Himalayan foothills. This metropolitan valley has experienced a significant transformation of its landscapes in the last four decades resulting in substantial land use and land cover (LULC) change; however, no major systematic analysis of the urbanization trend

The Kathmandu Valley of Nepal epitomizes the growing urbanization trend spreading across the Himalayan foothills. This metropolitan valley has experienced a significant transformation of its landscapes in the last four decades resulting in substantial land use and land cover (LULC) change; however, no major systematic analysis of the urbanization trend and LULC has been conducted on this valley since 2000. When considering the importance of using LULC change as a window to study the broader changes in socio-ecological systems of this valley, our study first detected LULC change trajectories of this valley using four Landsat images of the year 1989, 1999, 2009, and 2016, and then analyzed the detected change in the light of a set of proximate causes and factors driving those changes. A pixel-based hybrid classification (unsupervised followed by supervised) approach was employed to classify these images into five LULC categories and analyze the LULC trajectories detected from them. Our results show that urban area expanded up to 412% in last three decades and the most of this expansion occurred with the conversions of 31% agricultural land. The majority of the urban expansion happened during 1989–2009, and it is still growing along the major roads in a concentric pattern, significantly altering the cityscape of the valley. The centrality feature of Kathmandu valley and the massive surge in rural-to-urban migration are identified as the primary proximate causes of the fast expansion of built-up areas and rapid conversions of agricultural areas.

ContributorsIshtiaque, Asif (Author) / Shrestha, Milan (Author) / Chhetri, Netra (Author) / College of Liberal Arts and Sciences (Contributor)
Created2017-10-08
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Marine harvesters face significant livelihood challenges due to the impacts of climate change on marine ecosystems, and due to economic fluctuations that influence their incomes. In this study, we demonstrate vulnerability as a product of the interactions among marine harvesters, government and buyers. We combined Elinor Ostrom's attention to the

Marine harvesters face significant livelihood challenges due to the impacts of climate change on marine ecosystems, and due to economic fluctuations that influence their incomes. In this study, we demonstrate vulnerability as a product of the interactions among marine harvesters, government and buyers. We combined Elinor Ostrom's attention to the influence of institutions on resource exploitation, with political ecology's attention to perceptions of agency, and the contribution of justice and equity to measuring the success of institutions. We demonstrate the benefits of this approach by examining the multi-species fishery of Barrington, Nova Scotia. We conducted 31 semi-structured interviews and 113 surveys in the summer of 2012 with buyers, harvesters, and local experts. We used Ostrom's SES framework to pinpoint system elements that were salient to respondents, with attention to household vulnerability outcomes.

Based on an analysis of these themes, we outline three processes affecting vulnerability outcomes: 1) Harvesters preferred individual over collective action due to low procedural justice and social cohesion in decision-making, 2) agents with greater political and economic power gained control over fishing access-rights while others became more dependent on lobster, and 3) economic and ecological conditions, combined with increased dependence, incentivized harvesters to catch more lobsters as prices declined. The case suggests that actors sense of control over their resource base and perception of justice in the process of institutional design may be as significant in vulnerability as the exogenous drivers of change that affect livelihood outcomes. We suggest interventions that may improve these interactions among government, harvesters and buyers, and improve the livelihoods in coastal communities.

ContributorsBarnett, Allain (Author) / Eakin, Hallie (Author) / College of Liberal Arts and Sciences (Contributor)
Created2014-10-20
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"Wide adaptation" is an agricultural concept often employed and seldom closely examined. Norman E. Borlaug, while working for the Rockefeller Foundation (RF) on an agricultural project in Mexico in the 1950s, discovered that some tropical wheat varieties could be grown over broad geographic regions, not just in Central and South

"Wide adaptation" is an agricultural concept often employed and seldom closely examined. Norman E. Borlaug, while working for the Rockefeller Foundation (RF) on an agricultural project in Mexico in the 1950s, discovered that some tropical wheat varieties could be grown over broad geographic regions, not just in Central and South America but also in the Middle East and South Asia. He called this wide, or broad, adaptation, which scientists generally define as a plant type that has high yields throughout diverse environments. Borlaug soon made wide adaptation as a core pillar of his international wheat program. Borlaug's wheat program rapidly expanded in the 1960s, and he and his colleagues from the RF heavily promoted wide adaptation and the increased use of fertilizers in the Middle East and India. These events led to the green revolution, when several countries rapidly increased their wheat production. Indian wheat cultivation changed radically in the 1960s due to new technologies and policy reforms introduced during the green revolution, and farmers' adoption of 'technology packages' of modern seeds, fertilizer, and irrigation.

Just prior to the green revolution, Indian wheat scientists adopted Borlaug’s new plant breeding philosophy—that varieties should have as wide an adaptation as possible. But Borlaug and Indian wheat scientists also argued that wide adaptation could be achieved by selecting only plants that did well in high fertility and irrigated environments. Scientists claimed, in many cases erroneously, that widely adapted varieties still produced high yields in marginal, or resource poor, areas. Many people have criticized the green revolution for its unequal spread of benefits, but none of these critiques address wide adaptation—the core tenant held by Indian wheat scientists to justify their focus on highly productive land while ignoring marginal and rainfed agriculture. My dissertation describes Borlaug and the RF's research program in wide adaptation, Borlaug's involvement in the Indian wheat program, and internal debates about wide adaptation and selection under favorable environments among Indian scientists. It argues that scientists leveraged the concept of wide adaptation to justify a particular regime of research focused on high production agriculture, and that the footprints of this regime are still present in Indian agriculture.
ContributorsBaranski, Marcin (Author) / Kinzig, Ann P. (Thesis advisor) / Mathur, Prem N. (Committee member) / Eakin, Hallie (Committee member) / Sarewitz, Daniel (Committee member) / Wetmore, Jameson (Committee member) / Arizona State University (Publisher)
Created2015
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Managed Aquifer Recharge is an increasingly prevalent solution to sustain water availability in arid regions. Recharge of groundwater resources using treated wastewater effluent is one type of managed aquifer recharge that offers long-term sustainable water management. However, there are some concerns regarding the reuse of wastewater and its potential to

Managed Aquifer Recharge is an increasingly prevalent solution to sustain water availability in arid regions. Recharge of groundwater resources using treated wastewater effluent is one type of managed aquifer recharge that offers long-term sustainable water management. However, there are some concerns regarding the reuse of wastewater and its potential to increase exposures to antibiotic resistant bacteria and antibiotic resistance genes that could affect human health. Antibiotic resistance genes can confer the ability for bacteria to resist antibacterial treatment, rendering their presence in water supplies as an area of research needed to evaluate where environmental “hot spots” of potential antibiotic resistance disseminate. To evaluate the occurrence of antibiotic resistant bacteria and antibiotic resistance genes, sampling of an Arizona managed aquifer recharge facility was performed, with target antibiotic resistance genes measured using quantitative polymerase chain reaction. The occurrence of antibiotic resistance genes was evaluated at several sampling wells and in sediments to examine trade-offs between water quantity benefits and water quality issues. The goal of this work is to inform management operations for secure water quality in the face of climate change.

ContributorsDieter, Lucien Andres (Author) / Hamilton, Kerry A. (Thesis director) / Shrestha, Milan (Committee member) / Environmental and Resource Management (Contributor, Contributor) / School of Music, Dance and Theatre (Contributor) / School of Sustainability (Contributor) / Barrett, The Honors College (Contributor)
Created2021-05
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Day-to-day decision makers on agricultural operations play a key role in maintaining both a sustainable and food secure agricultural society. This population, also defined as Principal Producers by the 2017 USDA Agricultural Census Report, has witnessed a significant decline in recent years, raising many questions surrounding why farmers are retiring

Day-to-day decision makers on agricultural operations play a key role in maintaining both a sustainable and food secure agricultural society. This population, also defined as Principal Producers by the 2017 USDA Agricultural Census Report, has witnessed a significant decline in recent years, raising many questions surrounding why farmers are retiring faster than they can be replaced. To look closely at this phenomenon, this study focuses on the State of Ohio to hear first-hand from producers what they need to be successful through a series of semi-structured interviews. This study also maps recent changes in variables that define this issue from 2007-2017 using QGIS and USDA Agricultural Census data. The findings from this study show the recent decline of mid-sized agricultural operations and provide evidence linking declining rates of principal producer populations with specific features consistent with industrial agriculture. These findings are specific to the State of Ohio, but also raise much larger questions about which populations are experiencing more rapid rates of farm exit, and what implications these trends have for food security on a broader scale.
ContributorsMoore, Phillip (Author) / Chhetri, Nalini (Contributor) / Leonard, Bryan (Contributor) / Shrestha, Milan (Contributor)
Created2020