Matching Items (43)
Description
Over the past few decades, businesses globally have advanced in incorporating the principles of sustainability as they strive to align economic outcomes with growing and complex social and environmental demands and opportunities. This transition is conditioned by the maturity, scale, and geographical location of a business (among other factors), with particular challenges placed on small enterprises in middle- to low-income communities. Within this context, the overarching research question of this dissertation is why and how business incubation processes may foster sustainable enterprises at the middle and base of the socioeconomic pyramid (MoP/BoP). To explore this question, in this project I used as a case study the experience of a network of social business incubators operated by Tecnologico de Monterrey, a private, non-profit, multi-campus university system in Mexico. Centering on its campus in Guadalajara and in order to understand if and how MoP/BoP businesses address sustainability, I developed a current state assessment of incubator processes, analyzing during two semesters the activities of incubated entrepreneurs and their goals, motivations, and outcomes. The general expectation at the outset of the study was that Tec's social business incubation process, in both its design and implementation, focuses on the economic viability and outcomes of incubated projects and hence does not promote entrepreneur commitment to sustainability goals and practices. The general approach of the research project involved a qualitative, in-depth ethnographic assessment of participants. Data were collected by means of the following research tools: (a) archival and documentary review, (b) participant observation, (c) surveys of participants (entrepreneurs and advisors/mentors), and (d) semi-structured interviews of participants. The overall design of the research was inspired by the transitions management approach and by the intervention research method, while qualitative results were assessed under the grounded theory approach. Results of the research are reported under three general categories: (a) analysis of entrepreneur goals, motivations, and outcomes, (b) identification of social and environmental opportunities, and (c) review of the role of social networks and broader support structures. While results confirmed the general expectation of the study, it was possible to establish (based on the interaction with the entrepreneurs and other actors) that there is both interest and commitment to identify and explore opportunities in social and environmental issues. Thus, the dissertation concludes with a proposal for potential future interventions in this social incubator, exploring a new vision and strategies for a transition to a more sustainability-oriented approach. Finally, key recommendations define the most critical elements of an agenda for transition in the social incubation process at Campus Guadalajara and provide input for other efforts.
ContributorsWood, Mark Williams (Author) / Redman, Charles L. (Thesis advisor) / Wiek, Arnim (Committee member) / Basile, George M (Committee member) / Arizona State University (Publisher)
Created2014
Description
This is a study of the plight of smallholder agriculture in Northwest Costa Rica. More specifically, this is the story of 689 rice farms, of an average size of 7.2 hectares and totaling just less than 5,300 hectares within the largest agricultural irrigation system in Central America. I was able to define the physical bounds of this study quite clearly, but one would be mistaken to think that this simplicity transfers to a search for rural development solutions in this case. Those solutions lie in the national and international politics that appear to have allowed a select few to pick winners and losers in Costa Rican agriculture in the face of global changes. In this research, I found that water scarcity among smallholder farms between 2006 and 2013 was the product of the adaptations of other, more powerful actors in 2002 to threats of Costa Rica's ratification of the Central American Free Trade Agreement. I demonstrate how the adaptations of these more powerful actors produced new risks for others, and how this ultimately prevented the rural development program from meeting its development goals. I reflect on my case study to draw conclusions about the different ways risks may emerge in rural development programs of this type. Then, I focus on the household level and show that determinants of successful adaptation to one type of global change risk may make farmers more vulnerable to other types, creating a "catch-22" among vulnerable farmers adapting to multiple global change risks. Finally, I define adaptation limits in smallholder rice farming in Northwest Costa Rica. I show that the abandonment of livelihood security and well-being, and of the unique "parcelaro" identities of rice farmers in this region define adaptation limits in this context.
ContributorsWarner, Benjamin (Author) / Childers, Daniel (Thesis advisor) / Eakin, Hallie (Committee member) / Abbott, Joshua (Committee member) / Wiek, Arnim (Committee member) / Arizona State University (Publisher)
Created2014
Description
Transformational sustainability science demands that stakeholders and researchers consider the needs and values of future generations in pursuit of solutions to sustainability problems. This dissertation research focuses on the real-world problem of unsustainable water governance in the Phoenix region of Central Arizona. A sustainability transition is the local water system is necessary to overcome sustainability challenges and scenarios can be used to explore plausible and desirable futures to inform a transition, but this requires some methodological refinements. This dissertation refines scenario methodology to generate water governance scenarios for metropolitan Phoenix that: (i) feature enhanced stakeholder participation; (ii) incorporate normative values and preferences; (iii) focus on governance actors and their activities; and (iv) meet an expanded set of quality criteria. The first study in the dissertation analyzes and evaluates participatory climate change scenarios to provide recommendations for the construction and use of scenarios that advance climate adaptation and mitigation efforts. The second study proposes and tests a set of plausibility indications to substantiate or evaluate claims that scenarios and future projections could become reality, helping to establish the legitimacy of radically different or transformative scenarios among an extended peer community. The case study of water governance begins with the third study, which includes a current state analysis and sustainability appraisal of the Phoenix-area water system. This is followed by a fourth study which surveys Phoenix-area water decision-makers to better understand water-related preferences for use in scenario construction. The fifth and final study applies a multi-method approach to construct future scenarios of water governance in metropolitan Phoenix in 2030 using stakeholder preferences, among other normative frames, and testing systemic impacts with WaterSim 5.0, a dynamic simulation model of water in the region. The scenarios are boundary objects around which stakeholders can weigh tradeoffs, set priorities and reflect on impacts of water-related activities, broadening policy dialogues around water governance in central Arizona. Together the five studies advance transformational sustainability research by refining methods to engage stakeholders in crafting futures that define how individuals and institutions should operate in transformed and sustainable systems.
ContributorsKeeler, Lauren Withycombe (Author) / Wiek, Arnim (Thesis advisor) / White, Dave D (Committee member) / Lang, Daniel J (Committee member) / Arizona State University (Publisher)
Created2014
Description
Research shows that many water governance regimes are failing to guide social-ecological systems away from points, beyond which, damage to social and environmental well-being will be difficult to correct. This problem is apparent in regions that face water conflicts and climate threats. There remains a need to clarify what is it about governance that people need to change in water conflict prone regions, how to collectively go about doing that, and how research can actively support this. To address these needs, here I present a collaborative research project from the dry tropics of Guanacaste Province, Costa Rica. The project addressed the overarching questions: How can water be governed sustainably in water-contested and climate-threatened regions? And, how can people transition current water governance regimes toward more sustainable ones? In pursuit of these questions, a series of individual studies were performed with many partners and collaborators. These studies included: a participatory analysis and sustainability assessment of current water governance regimes; a case analysis and comparison of water conflicts; constructing alternative governance scenarios; and, developing governance transition strategies. Results highlight the need for water governance that addresses asymmetrical knowledge gaps especially concerning groundwater resources, reconciles disenfranchised groups, and supports local leaders. Yet, actions taken based on these initial results, despite some success influencing policy, found substantial challenges confronting them. In-depth conflict investigations, for example, found that deeply rooted issues such friction between opposing local-based and national institutions were key conflict drivers in the region. To begin addressing these issues, researchers and stakeholders then constructed a set of governing alternatives and devised governance transition strategies that could actively support people to achieve more sustainable alternatives and avoid less sustainable ones. These efforts yielded insight into the collective actions needed to implement more sustainable water governance regimes, including ways to overcoming barriers that drive harmful water conflicts. Actions based on these initial strategies yielded further opportunities, challenges, and lessons. Overall, the project addresses the research and policy gap between identifying what is sustainable water governance and understanding the strategies needed to implement it successfully in regions that experience water conflict and climate impacts.
ContributorsKuzdas, Christopher Paul (Author) / Wiek, Arnim (Thesis advisor) / Childers, Daniel (Thesis advisor) / Vignola, Raffaele (Committee member) / Eakin, Hallie (Committee member) / Basile, George (Committee member) / Arizona State University (Publisher)
Created2014
Description
Public participation is considered an essential process for achieving sustainable urban development. Often, however, insufficient attention is paid to the design of public participation, and processes are formulaic. Then, participation may not match the local context of the communities within which a project is conducted. As a result, participation may become co-optative or coercive, stakeholders may lose trust, and outcomes may favor special interests or be unsustainable, among other shortcomings.
In this research, urban public participation is a collaborative decision-making process between residents, businesses, experts, public officials, and other stakeholders. When processes are not attuned with the local context (participant lifestyles, needs, interests, and capacities) misalignments between process and context arise around living conditions and personal circumstances, stakeholder trust, civic engagement, collaborative capacity, and sustainability literacy, among others.
This dissertation asks (1) what challenges arise when the public participation process does not match the local context, (2) what are key elements of public participation processes that are aligned with the local context, (3) what are ways to design public participation that align with specific local contexts, and (4) what societal qualities and conditions are necessary for meaningful participatory processes?
These questions are answered through four interrelated studies. Study 1 analyzes the current state of the problem by reviewing public participation processes and categorizing common misalignments with the local context. Study 2 envisions a future in which the problem is solved by identifying the features of well-aligned processes. Studies 3 and 4 test interventions for achieving the vision.
This dissertation presents a framework for analyzing the local context in urban development projects and designing public participation processes to meet this context. This work envisions public participation processes aligned with their local context, and it presents directives for designing deliberative decision-making processes for sustainable urban development. The dissertation applies a systems perspective to the social process of public participation, and it provides empirical support for theoretical debates on public participation while creating actionable knowledge for planners and practitioners.
In this research, urban public participation is a collaborative decision-making process between residents, businesses, experts, public officials, and other stakeholders. When processes are not attuned with the local context (participant lifestyles, needs, interests, and capacities) misalignments between process and context arise around living conditions and personal circumstances, stakeholder trust, civic engagement, collaborative capacity, and sustainability literacy, among others.
This dissertation asks (1) what challenges arise when the public participation process does not match the local context, (2) what are key elements of public participation processes that are aligned with the local context, (3) what are ways to design public participation that align with specific local contexts, and (4) what societal qualities and conditions are necessary for meaningful participatory processes?
These questions are answered through four interrelated studies. Study 1 analyzes the current state of the problem by reviewing public participation processes and categorizing common misalignments with the local context. Study 2 envisions a future in which the problem is solved by identifying the features of well-aligned processes. Studies 3 and 4 test interventions for achieving the vision.
This dissertation presents a framework for analyzing the local context in urban development projects and designing public participation processes to meet this context. This work envisions public participation processes aligned with their local context, and it presents directives for designing deliberative decision-making processes for sustainable urban development. The dissertation applies a systems perspective to the social process of public participation, and it provides empirical support for theoretical debates on public participation while creating actionable knowledge for planners and practitioners.
ContributorsCohen, Matthew Charles (Author) / Wiek, Arnim (Thesis advisor) / Manuel-Navarrete, David (Thesis advisor) / Schugurensky, Daniel, 1958- (Committee member) / Arizona State University (Publisher)
Created2015
Description
Beneficiary participation has become popular in international development generally, and it is an essential feature of sustainable development. But there are diverse definitions of and motivations for using beneficiary participation, and empirical literature on its effects is underdeveloped. This dissertation aims to clarify what beneficiary participation is and whether there is empirical support for claims about its benefits.
I review historical trends in international development that led to the popularity of both sustainable development and beneficiary participation. This review identifies central themes in defining beneficiary participation and motivations for using it.
I also developed a new typology of beneficiary participation based on a literature review of how scholars define beneficiary participation. I found that the main dimensions of beneficiary participation are (1) participants, (2) channels, (3) types of inputs, (4) timing, and (5) goals. By making these dimensions explicit, this work helps researchers and development practitioners more clearly describe the types of beneficiary participation they study, employ, and advocate for.
To contribute to empirical literature about beneficiary participation, I conducted a case-study of two urban development projects in Bhopal, India. I collected data with a structured survey of project beneficiaries in four slums (two slums from each project) and semi-structured interviews with each project's organizers. And project documents provided secondary data on both projects. The results indicate that local elites did not capture a disproportionate share of either project's benefits, at least with respect to individual household toilets. Because project organizers rather than beneficiaries selected households that would receive toilets, both cases serve as counterexamples to the claim that beneficiaries must intensely participate for projects' benefits to be distributed equitably.
Finally, I review academic literature for empirical evidence that supports claims about the advantages of beneficiary participation. There is relatively strong empirical support for the claim that beneficiary participation improves project outcomes, but empirical support for most other claims (i.e., that it helps make projects more efficient, distribute benefits equitably, and sustain project benefits) is weak. And empirical research suggests that one claimed benefit, empowerment, rarely materializes. In general, more empirical research about beneficiary participation is needed.
I review historical trends in international development that led to the popularity of both sustainable development and beneficiary participation. This review identifies central themes in defining beneficiary participation and motivations for using it.
I also developed a new typology of beneficiary participation based on a literature review of how scholars define beneficiary participation. I found that the main dimensions of beneficiary participation are (1) participants, (2) channels, (3) types of inputs, (4) timing, and (5) goals. By making these dimensions explicit, this work helps researchers and development practitioners more clearly describe the types of beneficiary participation they study, employ, and advocate for.
To contribute to empirical literature about beneficiary participation, I conducted a case-study of two urban development projects in Bhopal, India. I collected data with a structured survey of project beneficiaries in four slums (two slums from each project) and semi-structured interviews with each project's organizers. And project documents provided secondary data on both projects. The results indicate that local elites did not capture a disproportionate share of either project's benefits, at least with respect to individual household toilets. Because project organizers rather than beneficiaries selected households that would receive toilets, both cases serve as counterexamples to the claim that beneficiaries must intensely participate for projects' benefits to be distributed equitably.
Finally, I review academic literature for empirical evidence that supports claims about the advantages of beneficiary participation. There is relatively strong empirical support for the claim that beneficiary participation improves project outcomes, but empirical support for most other claims (i.e., that it helps make projects more efficient, distribute benefits equitably, and sustain project benefits) is weak. And empirical research suggests that one claimed benefit, empowerment, rarely materializes. In general, more empirical research about beneficiary participation is needed.
ContributorsKutter, Robert W (Author) / Aggarwal, Rimjhim (Thesis advisor) / Golub, Aaron (Committee member) / Wiek, Arnim (Committee member) / Arizona State University (Publisher)
Created2014
Description
Employee-owned businesses, benefit corporations, social enterprises, and other sustainability entrepreneurship innovations are responding to challenges such as climate change, economic inequalities, and unethical business behavior. Academic programs to date, however, often fall short in sufficiently equipping students with competencies in sustainability entrepreneurship – from a coherent set of learning objectives, through effective and engaging pedagogies, to rigorous assessment of learning outcomes. This dissertation contributes to bridging these gaps. The first study proposes a process-oriented and literature-based framework of sustainability entrepreneurship competencies. It offers a general vision for students, faculty, and entrepreneurs, as well as for the design of curricula, courses, and assessments. The second study presents an exploration into the nature of sustainability entrepreneurship courses, with a focus on teaching and learning processes. Using pioneering courses at Arizona State University, the study analyzes and compares the links between learning objectives, pedagogies, and learning outcomes. Based on document analysis and semi-structured interviews with course instructors, the study identifies cognitive apprenticeship from input processing to experimentation, constructive alignment from learning objectives to assessments, and curriculum-level coordination across courses as key success factors of sustainability entrepreneurship education. The result of this study can inform instructors and researchers in applying and further substantiating effective educational models for future entrepreneurs. The third study addresses the key question of competence assessment: what are reliable tools for assessing students’ competence in sustainability entrepreneurship? This study developed and tested a novel tool for assessing students’ competence in sustainability entrepreneurship through in-vivo simulated professional situations. The tool was in different settings and evaluated against a set of criteria derived from the literature. To inform educators in business and management programs, this study discusses and concludes under which conditions this assessment tool seems most effective, as well as improvement for future applications of the tool.
ContributorsFoucrier, Tamsin (Author) / Wiek, Arnim (Thesis advisor) / Basile, George (Thesis advisor) / Barth, Matthias (Committee member) / Arizona State University (Publisher)
Created2020
Description
Energy projects have the potential to provide critical services for human well-being and help eradicate poverty. However, too many projects fail because their approach oversimplifies the problem to energy poverty: viewing it as a narrow problem of access to energy services and technologies. This thesis presents an alternative paradigm for energy project development, grounded in theories of socio-energy systems, recognizing that energy and poverty coexist as a social, economic, and technological problem.
First, it shows that social, economic, and energy insecurity creates a complex energy-poverty nexus, undermining equitable, fair, and sustainable energy futures in marginalized communities. Indirect and access-based measures of energy poverty are a mismatch for the complexity of the energy-poverty nexus. The thesis, using the concept of social value of energy, develops a methodology for systematically mapping benefits, burdens and externalities of the energy system, illustrated using empirical investigations in communities in Nepal, India, Brazil, and Philippines. The thesis argues that key determinants of the energy-poverty nexus are the functional and economic capabilities of users, stressors and resulting thresholds of capabilities characterizing the energy and poverty relationship. It proposes ‘energy thriving’ as an alternative standard for evaluating project outcomes, requiring energy systems to not only remedy human well-being deficits but create enabling conditions for discovering higher forms of well-being.
Second, a novel, experimental approach to sustainability interventions is developed, to improve the outcomes of energy projects. The thesis presents results from a test bed for community sustainability interventions established in the village of Rio Claro in Brazil, to test innovative project design strategies and develop a primer for co-producing sustainable solutions. The Sustainable Rio Claro 2020 initiative served as a longitudinal experiment in participatory collective action for sustainable futures.
Finally, results are discussed from a collaborative project with grassroots practitioners to understand the energy-poverty nexus, map the social value of energy and develop energy thriving solutions. Partnering with local private and non-profit organizations in Uganda, Bolivia, Nepal and Philippines, the project evaluated and refined methods for designing and implementing innovative energy projects using the theoretical ideas developed in the thesis, subsequently developing a practitioner toolkit for the purpose.
First, it shows that social, economic, and energy insecurity creates a complex energy-poverty nexus, undermining equitable, fair, and sustainable energy futures in marginalized communities. Indirect and access-based measures of energy poverty are a mismatch for the complexity of the energy-poverty nexus. The thesis, using the concept of social value of energy, develops a methodology for systematically mapping benefits, burdens and externalities of the energy system, illustrated using empirical investigations in communities in Nepal, India, Brazil, and Philippines. The thesis argues that key determinants of the energy-poverty nexus are the functional and economic capabilities of users, stressors and resulting thresholds of capabilities characterizing the energy and poverty relationship. It proposes ‘energy thriving’ as an alternative standard for evaluating project outcomes, requiring energy systems to not only remedy human well-being deficits but create enabling conditions for discovering higher forms of well-being.
Second, a novel, experimental approach to sustainability interventions is developed, to improve the outcomes of energy projects. The thesis presents results from a test bed for community sustainability interventions established in the village of Rio Claro in Brazil, to test innovative project design strategies and develop a primer for co-producing sustainable solutions. The Sustainable Rio Claro 2020 initiative served as a longitudinal experiment in participatory collective action for sustainable futures.
Finally, results are discussed from a collaborative project with grassroots practitioners to understand the energy-poverty nexus, map the social value of energy and develop energy thriving solutions. Partnering with local private and non-profit organizations in Uganda, Bolivia, Nepal and Philippines, the project evaluated and refined methods for designing and implementing innovative energy projects using the theoretical ideas developed in the thesis, subsequently developing a practitioner toolkit for the purpose.
ContributorsBiswas, Saurabh (Author) / Miller, Clark A. (Thesis advisor) / Wiek, Arnim (Committee member) / Janssen, Marcus A (Committee member) / Arizona State University (Publisher)
Created2020
Description
Making significant progress on the U.N. Sustainable Development Goals (SDGs) needs change agents equipped with key competencies in sustainability. While thousands of sustainability programs have emerged at various educational levels over the past decade, there is, as of yet, no reliable way to assess if these programs successfully convey key competencies in sustainability. This dissertation contributes to addressing this gap in three ways. First, it reviews the body of work on key competencies in sustainability. Based on broad agreement around five key competencies as well as an emerging set of three, an extended framework is outlined that can be used as unified set of learning objectives across sustainability programs. The next chapter reviews the scholarly work on assessing sustainability competencies. Based on this review, a typology of assessment tools is proposed offering guidance to both educators and researchers. Finally, drawing on experience of the four-year “Educating Future Change Agents” project, the last chapter explores the results from a diverse set of competency assessments in numerous courses. The study appraises assessment practices and results to demonstrate opportunities and challenges in the current state of assessing key competencies in sustainability. The results of this doctoral thesis are expected to make a practical and scholarly contribution to the teaching and learning in sustainability programs, in particular with regards to reliably assessing key competencies in sustainability.
ContributorsRedman, Aaron (Author) / Wiek, Arnim (Thesis advisor) / Barth, Matthias (Committee member) / Basile, George (Committee member) / Fischer, Daniel (Committee member) / Mochizuki, Yoko (Committee member) / Arizona State University (Publisher)
Created2020
Description
In many social-ecological systems, shared resources play a critical role in supporting the livelihoods of rural populations. Physical infrastructure enables resource access and reduces the variability of resource supply. In order for the infrastructure to remain functional, institutions must incentivize individuals to engage in provision and maintenance. The objective of my dissertation is to understand key formal and informal institutions that affect provision of shared infrastructure and the policy tools that may improve infrastructure provision. I examine these questions in the context of irrigation systems in India because infrastructure maintenance is a persistent challenge and system function is critical for global food production.
My first study investigates how the presence of private infrastructure, such as groundwater pumps, affects the provision of shared infrastructure, such as shared tanks or surface reservoirs. I examine whether formal institutions, such as water pricing instruments, may prevent under-provision of the shared tanks. My findings suggest that in the absence of rules that coordinate tank maintenance, the presence of private pumps will have a detrimental effect on system productivity and equality. On the other hand, the combination of a fixed groundwater fee and a location-based maintenance fee for tank users can improve system productivity and equality.
The second study examines the effect of power asymmetries between farmers, caused by informal institutions such as caste, on the persistence of political institutions that govern infrastructure provision. I examined the effect of policy tools, such as non-farm wage employment and informational interventions, on the persistence of two types of political institutions: self-governed and nested. Results suggest that critical regime shifts in political institutions can be generated by either intervening in formal institutions, such as non-farm wage employment, or informal institutions, such as knowledge transmission or learning mechanisms.
The third study investigates how bureaucratic and political corruption affect public good provision. I examine how institutional and environmental factors affect the likelihood of corruption and infrastructure provision. I demonstrate that cracking down on corruption is only beneficial when infrastructure provision is poor. I also show that bureaucratic wages play an important role in curbing extralegal transactions and improving infrastructure provision.
My first study investigates how the presence of private infrastructure, such as groundwater pumps, affects the provision of shared infrastructure, such as shared tanks or surface reservoirs. I examine whether formal institutions, such as water pricing instruments, may prevent under-provision of the shared tanks. My findings suggest that in the absence of rules that coordinate tank maintenance, the presence of private pumps will have a detrimental effect on system productivity and equality. On the other hand, the combination of a fixed groundwater fee and a location-based maintenance fee for tank users can improve system productivity and equality.
The second study examines the effect of power asymmetries between farmers, caused by informal institutions such as caste, on the persistence of political institutions that govern infrastructure provision. I examined the effect of policy tools, such as non-farm wage employment and informational interventions, on the persistence of two types of political institutions: self-governed and nested. Results suggest that critical regime shifts in political institutions can be generated by either intervening in formal institutions, such as non-farm wage employment, or informal institutions, such as knowledge transmission or learning mechanisms.
The third study investigates how bureaucratic and political corruption affect public good provision. I examine how institutional and environmental factors affect the likelihood of corruption and infrastructure provision. I demonstrate that cracking down on corruption is only beneficial when infrastructure provision is poor. I also show that bureaucratic wages play an important role in curbing extralegal transactions and improving infrastructure provision.
ContributorsVallury, Sechindra (Author) / Abbott, Joshua K (Thesis advisor) / Anderies, John M (Thesis advisor) / Leonard, Bryan (Committee member) / Arizona State University (Publisher)
Created2019