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- Genre: Doctoral Dissertation
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
Consideration of both biological and human-use dynamics in coupled social-ecological systems is essential for the success of interventions such as marine reserves. As purely human institutions, marine reserves have no direct effects on ecological systems. Consequently, the success of a marine reserve depends on managers` ability to alter human behavior in the direction and magnitude that supports reserve objectives. Further, a marine reserve is just one component in a larger coupled social-ecological system. The social, economic, political, and biological landscape all determine the social acceptability of a reserve, conflicts that arise, how the reserve interacts with existing fisheries management, accuracy of reserve monitoring, and whether the reserve is ultimately able to meet conservation and fishery enhancement goals. Just as the social-ecological landscape is critical at all stages for marine reserve, from initial establishment to maintenance, the reserve in turn interacts with biological and human use dynamics beyond its borders. Those interactions can lead to the failure of a reserve to meet management goals, or compromise management goals outside the reserve. I use a bio-economic model of a fishery in a spatially patchy environment to demonstrate how the pre-reserve fisheries management strategy determines the pattern of fishing effort displacement once the reserve is established, and discuss the social, political, and biological consequences of different patterns for the reserve and the fishery. Using a stochastic bio-economic model, I demonstrate how biological and human use connectivity can confound the accurate detection of reserve effects by violating assumptions in the quasi-experimental framework. Finally, I examine data on recreational fishing site selection to investigate changes in response to the announcement of enforcement of a marine reserve in the Gulf of California, Mexico. I generate a scale of fines that would fully or partially protect the reserve, providing a data-driven way for managers to balance biological and socio-economic goals. I suggest that natural resource managers consider human use dynamics with the same frequency, rigor, and tools as they do biological stocks.
ContributorsFujitani, Marie (Author) / Abbott, Joshua (Thesis advisor) / Fenichel, Eli (Thesis advisor) / Gerber, Leah (Committee member) / Anderies, John (Committee member) / Arizona State University (Publisher)
Created2014
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
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
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
Description
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
What happens to community-based institutions (CBIs) when persistent out-migration changes the socio-demographic structures in the community? This question needs exploration in the context of increasing urbanization in the developing countries, where a substantial population depends on forests for subsistence livelihoods. In pursuance of this question, Almora district in India provided the necessary conditions of high out-migration, and the presence of oldest surviving CBIs of forest management (locally called as Van Panchayats or VPs). Framing the research question as social resilience of VPs amidst high out-migration, a representative sample of six VPs in Almora was investigated. Factors considered crucial to social resilience were analyzed by using qualitative and quantitative techniques on primary data collected through household surveys (n=111) and secondary data from authentic sources. Results, organized by three levels of analysis, highlight: 1) community - low participation, particularly of women, in proceedings of VPs, and a transition away from forest-based livelihoods; 2) institutional (VPs) - low adaptability to changes in gendered composition and a shift away from the community-specific needs; and, 3) policy - reduced use and access of forest resources for the community, and curtailed autonomy of VPs. The findings suggest that out-migration is one among the multiple factors, and its impacts on VPs are mediated by the broader political economy around VPs, thus obviating a linear causal relationship. Therefore, the findings arguably inform policy and future research by highlighting linkages between diverse contextual factors at the regional and community level, and the points of concern for social resilience of VPs, with particular focus on out-migration.
ContributorsPrateek, Gautam (Author) / Knopf, Richard (Thesis advisor) / Aggarwal, Rimjhim (Committee member) / Kelman, Candice Carr (Committee member) / Mobarakeh, Behrang Forroughi (Committee member) / Arizona State University (Publisher)
Created2017
Description
The Energiewende aims to drastically reduce Germany’s greenhouse gas emissions, without relying on nuclear power, while maintaining a secure and affordable energy supply. Since 2000 the country’s renewable-energy share has increased exponentially, accounting in 2017 for over a third of Germany's gross electricity consumption. This unprecedented achievement is the result of policies, tools, and institutional arrangements intended to steer society to a low-carbon economy. Despite its resounding success in renewable-energy deployment, the Energiewende is not on track to meet its decarbonization goals. Energiewende rules and regulations have generated numerous undesired consequences, and have cost much more than anticipated, a burden borne primarily by energy consumers. Why has the Energiewende not only made energy more expensive, but also failed to bring Germany closer to its decarbonization goals? I analyzed the Energiewende as a complex socio-technical system, examining its legal framework and analyzing the consequences of successive regulations; identifying major political and energy players and the factors that motivated them to pursue socio-technical change; and documenting the political trends and events in which the Energiewende is rooted and which continue to shape it. I analyzed the dynamics and the loopholes that created barriers to transition, pushed the utility sector to the brink of dissolution, and led to such undesirable outcomes as negative wholesale prices and forced exports of electricity to Germany’s European neighbors. Thirty high-level energy experts and stakeholders were interviewed to find out how the best-informed members of German society perceive the Energiewende. Surprisingly, although they were highly critical of the way the transition has unfolded, most were convinced that the transition would eventually succeed. But their definitions of success did not always depend on achieving carbon-mitigation targets. Indeed, Germany jeopardizes the achievement of these targets by changing too many policy and institutional variables at too fast a pace. Good intentions and commitment are not enough to create economies based on intermittent energy sources: they will also require intensive grid expansion and breakthroughs in storage technology. The Energiewende demonstrates starkly that collective action driven by robust political consensus is not sufficient for steering complex socio-technical systems in desired directions.
ContributorsSturm, Christine (Author) / Sarewitz, Daniel (Thesis advisor) / Miller, Clark (Committee member) / Anderies, John (Committee member) / Hirt, Paul (Committee member) / Arizona State University (Publisher)
Created2018
Description
The plateau pika (Ochotona curzoniae), a small burrowing lagomorph that occupies the high alpine grassland ecosystems of the Qinghai-Tibetan Plateau in western China, remains a controversial subject among policymakers and researchers. One line of evidence points to pikas being a pest, which has led to massive attempts to eradicate pika populations. Another point of view is that pikas are a keystone species and an ecosystem engineer in the grassland ecosystem of the QTP. The pika eradication program raises a difficult ethical and religious dilemma for local pastoralists, and is criticized for not being supported by scientific evidence. Complex interactions between pikas, livestock, and habitat condition are poorly understood. My dissertation research examines underpinning justifications of the pika poisoning program leading to these controversies. I investigated responses of pikas to habitat conditions with field experimental manipulations, and mechanisms of pika population recovery following pika removal. I present policy recommendations based on an environmental ethics framework and findings from the field experiments. After five years of a livestock grazing exclusion experiment and four years of pika monitoring, I found that grazing exclusion resulted in a decline of pika habitat use, which suggests that habitat conditions determine pika population density. I also found that pikas recolonized vacant burrow systems following removal of residents, but that distances travelled by dispersing pikas were extremely short (~50 m). Thus, current pika eradication programs, if allowed to continue, could potentially compromise local populations as well as biodiversity conservation on the QTP. Lethal management of pikas is a narrowly anthropocentric-based form of ecosystem management that has excluded value-pluralism, such as consideration of the intrinsic value of species and the important ecological role played by pikas. These conflicting approaches have led to controversies and policy gridlock. In response, I suggest that the on-going large-scale pika eradication program needs reconsideration. Moderation of stocking rates is required in degraded pika habitats, and Integrated Pest Management may be required when high stocking rate and high pika density coexist. A moderate level of livestock and pika density can be consistent with maintaining the integrity and sustainability of the QTP alpine steppe ecosystem.
ContributorsBadingqiuying (Author) / Smith, Andrew T. (Thesis advisor) / Wu, Jianguo (Committee member) / Minteer, Ben (Committee member) / Anderies, John (Committee member) / Harris, Richard B. (Committee member) / Arizona State University (Publisher)
Created2016