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- Genre: Doctoral Dissertation
Description
Small-scale fisheries are globally ubiquitous, employing more than 99% of the world’s fishers and providing over half of the world’s seafood. However, small-scale fisheries face many management challenges including declining catches, inadequate resources and infrastructure, and overcapacity. Baja California Sur, Mexico (BCS) is a region with diverse small-scale fisheries; these fisheries are intense, poorly regulated, and overlap with foraging hot spots of endangered sea turtles. In partnership with researchers, fishers, managers, and practitioners from Mexico and the United States, I documented bycatch rates of loggerhead turtles at BCS that represent the highest known megafauna bycatch rates worldwide. Concurrently, I conducted a literature review that determined gear modifications were generally more successful than other commonly used fisheries management strategies for mitigating bycatch of vulnerable megafauna including seabirds, marine mammals, and sea turtles. I then applied these results by partnering with researchers, local fishers, and Mexico’s federal fisheries science agency to develop and test two gear modifications (i.e. buoyless and illuminated nets) in operating net fisheries at BCS as potential solutions to reduce bycatch of endangered sea turtles, improve fisheries sustainability, and maintain fisher livelihoods. I found that buoyless nets significantly reduced mean turtle bycatch rates by 68% while maintaining target catch rates and composition. By contrast, illuminated nets did not significantly reduce turtle bycatch rates across day-night periods, although they reduced mean turtle bycatch rates by 50% at night. Illuminated nets, however, significantly reduced mean rates of total bycatch biomass by 34% across day-night periods while maintaining target fish catch and market value. I conclude with a policy analysis of the unilateral identification of Mexico by the U.S. State Department under section 610 of the Magnusson-Stevens Fishery Conservation and Management Act for failure to manage bycatch of loggerhead turtles at BCS. Taken together, the gear modifications developed and tested here represent promising bycatch mitigation solutions with strong potential for commercial adoption, but fleet-wide conversion to more selective and turtle-friendly gear (e.g. hook and line and/or traps) at BCS, coupled with coordinated international conservation action, is ultimately needed to eliminate sea turtle bycatch and further improve fisheries sustainability.
ContributorsSenko, Jesse (Author) / Smith, Andrew (Thesis advisor) / Boggess, May (Committee member) / Chhetri, Nalini (Committee member) / Jenkins, Lekelia (Committee member) / Minteer, Ben (Committee member) / Arizona State University (Publisher)
Created2015
Description
Without scientific expertise, society may make catastrophically poor choices when faced with problems such as climate change. However, scientists who engage society with normative questions face tension between advocacy and the social norms of science that call for objectivity and neutrality. Policy established in 2011 by the Intergovernmental Panel on Climate Change (IPCC) required their communication to be objective and neutral and this research comprised a qualitative analysis of IPCC reports to consider how much of their communication is strictly factual (Objective), and value-free (Neutral), and to consider how their communication had changed from 1990 to 2013. Further research comprised a qualitative analysis of structured interviews with scientists and non-scientists who were professionally engaged in climate science communication, to consider practitioner views on advocacy. The literature and the structured interviews revealed a conflicting range of definitions for advocacy versus objectivity and neutrality. The practitioners that were interviewed struggled to separate objective and neutral science from attempts to persuade, and the IPCC reports contained a substantial amount of communication that was not strictly factual and value-free. This research found that science communication often blurred the distinction between facts and values, imbuing the subjective with the authority and credibility of science, and thereby damaging the foundation for scientific credibility. This research proposes a strict definition for factual and value-free as a means to separate science from advocacy, to better protect the credibility of science, and better prepare scientists to negotiate contentious science-based policy issues. The normative dimension of sustainability will likely entangle scientists in advocacy or the appearance of it, and this research may be generalizable to sustainability.
ContributorsMcClintock, Scott (Author) / Van Der Leeuw, Sander (Thesis advisor) / Klinsky, Sonja (Committee member) / Chhetri, Nalini (Committee member) / Hannah, Mark (Committee member) / Arizona State University (Publisher)
Created2015
Description
This dissertation consists of three substantive chapters. The first substantive chapter investigates the premature harvesting problem in fisheries. Traditionally, yield-per-recruit analysis has been used to both assess and address the premature harvesting of fish stocks. However, the fact that fish size often affects the unit price suggests that this approach may be inadequate. In this chapter, I first synthesize the conventional yield-per-recruit analysis, and then extend this conventional approach by incorporating a size-price function for a revenue-per-recruit analysis. An optimal control approach is then used to derive a general bioeconomic solution for the optimal harvesting of a short-lived single cohort. This approach prevents economically premature harvesting and provides an "optimal economic yield". By comparing the yield- and revenue-per-recruit management strategies with the bioeconomic management strategy, I am able to test the economic efficiency of the conventional yield-per-recruit approach. This is illustrated with a numerical study. It shows that a bioeconomic strategy can significantly improve economic welfare compared with the yield-per-recruit strategy, particularly in the face of high natural mortality. Nevertheless, I find that harvesting on a revenue-per-recruit basis improves management policy and can generate a rent that is close to that from bioeconomic analysis, in particular when the natural mortality is relatively low.
The second substantive chapter explores the conservation potential of a whale permit market under bounded economic uncertainty. Pro- and anti-whaling stakeholders are concerned about a recently proposed, "cap and trade" system for managing the global harvest of whales. Supporters argue that such an approach represents a novel solution to the current gridlock in international whale management. In addition to ethical objections, opponents worry that uncertainty about demand for whale-based products and the environmental benefits of conservation may make it difficult to predict the outcome of a whale share market. In this study, I use population and economic data for minke whales to examine the potential ecological consequences of the establishment of a whale permit market in Norway under bounded but significant economic uncertainty. A bioeconomic model is developed to evaluate the influence of economic uncertainties associated with pro- and anti- whaling demands on long-run steady state whale population size, harvest, and potential allocation. The results indicate that these economic uncertainties, in particular on the conservation demand side, play an important role in determining the steady state ecological outcome of a whale share market. A key finding is that while a whale share market has the potential to yield a wide range of allocations between conservation and whaling interests - outcomes in which conservationists effectively "buy out" the whaling industry seem most likely.
The third substantive chapter examines the sea lice externality between farmed fisheries and wild fisheries. A central issue in the debate over the effect of fish farming on the wild fisheries is the nature of sea lice population dynamics and the wild juvenile mortality rate induced by sea lice infection. This study develops a bioeconomic model that integrates sea lice population dynamics, fish population dynamics, aquaculture and wild capture salmon fisheries in an optimal control framework. It provides a tool to investigate sea lice control policy from the standpoint both of private aquaculture producers and wild fishery managers by considering the sea lice infection externality between farmed and wild fisheries. Numerical results suggest that the state trajectory paths may be quite different under different management regimes, but approach the same steady state. Although the difference in economic benefits is not significant in the particular case considered due to the low value of the wild fishery, I investigate the possibility of levying a tax on aquaculture production for correcting the sea lice externality generated by fish farms.
The second substantive chapter explores the conservation potential of a whale permit market under bounded economic uncertainty. Pro- and anti-whaling stakeholders are concerned about a recently proposed, "cap and trade" system for managing the global harvest of whales. Supporters argue that such an approach represents a novel solution to the current gridlock in international whale management. In addition to ethical objections, opponents worry that uncertainty about demand for whale-based products and the environmental benefits of conservation may make it difficult to predict the outcome of a whale share market. In this study, I use population and economic data for minke whales to examine the potential ecological consequences of the establishment of a whale permit market in Norway under bounded but significant economic uncertainty. A bioeconomic model is developed to evaluate the influence of economic uncertainties associated with pro- and anti- whaling demands on long-run steady state whale population size, harvest, and potential allocation. The results indicate that these economic uncertainties, in particular on the conservation demand side, play an important role in determining the steady state ecological outcome of a whale share market. A key finding is that while a whale share market has the potential to yield a wide range of allocations between conservation and whaling interests - outcomes in which conservationists effectively "buy out" the whaling industry seem most likely.
The third substantive chapter examines the sea lice externality between farmed fisheries and wild fisheries. A central issue in the debate over the effect of fish farming on the wild fisheries is the nature of sea lice population dynamics and the wild juvenile mortality rate induced by sea lice infection. This study develops a bioeconomic model that integrates sea lice population dynamics, fish population dynamics, aquaculture and wild capture salmon fisheries in an optimal control framework. It provides a tool to investigate sea lice control policy from the standpoint both of private aquaculture producers and wild fishery managers by considering the sea lice infection externality between farmed and wild fisheries. Numerical results suggest that the state trajectory paths may be quite different under different management regimes, but approach the same steady state. Although the difference in economic benefits is not significant in the particular case considered due to the low value of the wild fishery, I investigate the possibility of levying a tax on aquaculture production for correcting the sea lice externality generated by fish farms.
ContributorsHuang, Biao (Author) / Abbott, Joshua K (Thesis advisor) / Perrings, Charles (Thesis advisor) / Gerber, Leah R. (Committee member) / Muneepeerakul, Rachata (Committee member) / Schoon, Michael (Committee member) / Arizona State University (Publisher)
Created2014
Description
Sustainable communities discourse, literature and initiatives have essentially excluded poor marginalized communities at a time when sustainability efforts require more stakeholders and stakeholder involvement. The families in poor marginalized communities of color in the United States are struggling to meet basic needs (food, medicine, shelter, safety). Additionally, in these communities there is a disproportionate level of forced mobility to prisons, jails and detention centers. These communities are unsustainable. This dissertation is comprised of three articles. I present in the first article (published in Sustainability Journal) an argument for a definition of sustainability that includes recognition of the major, complex and persistent problems faced daily by poor marginalized communities of color (African American, Hispanic/Latino, Native American) including those connected to mass incarceration and high recidivism. I also propose a system-of-communities conceptual framework. In my second article, I explore sustainability assessment tools and find them to be inadequate for measuring the progress toward sustainability of poor marginalized communities with high incarceration and recidivism rates. In order to fill this gap, I developed the Building Sustainable Communities Framework and a Social Reintegration, Inclusion, Cohesion, Equity (Social R.I.C.E.) Transition Tool, a qualitative interview guide (a precursor to the development of a community sustainability assessment tool). In the third article, I test the utility of the Building Sustainable Communities Framework and Social R.I.C.E. Transition Tool through a community-based participatory action study: The Building Sustainable Communities-Repairing the Harm of Incarceration Pilot Project. Three types of participants were included, formerly incarcerated, family members of formerly incarcerated and community members. The Restorative Justice Circle process (based on a traditional practice of Native Americans and other indigenous peoples) was also introduced to the groups for the purpose of having discussions and sharing personal stories in a safe, nonthreatening, confidential and equitable space. During the study, data was gathered for reflexive thematic analysis from two participant groups, in-depth interviews, focus groups and short qualitative surveys. The findings reflect the community is in dire need of a path to stability and sustainability and needs the knowledge and tools to help them make collective community decisions about present and future sustainability issues.
ContributorsAdams, Muriel (Author) / Chhetri, Nalini (Thesis advisor) / Klinsky, Sonja (Thesis advisor) / Boone, Christopher (Committee member) / Pranis, Kay (Committee member) / Arizona State University (Publisher)
Created2021
Description
Prior to the COVID-19 global pandemic, ecotourism represented the tourism industry’s fastest growing segment with projections estimating that ecotourism would become the world’s largest tourism type by 2030. While the tourism industry will need several years to rebound, if historic trends tell us anything, it is that ecotourism will continue to represent a large portion of the overall industry and will continue to grow at a rate that outpaces all other tourism types. In theory, ecotourism promotes sustainable socioeconomic development while also minimizing negative environmental impacts. Unfortunately, research suggests that this is not always true, and many examples exist of ecotourism causing more harm than good. In order to combat these potential negative impacts, the ecotourism industry has become increasingly reliant on ecotourism certification programs to act as an assessment tool that identifies ecotourism’s best practitioners while minimizing false advertising present within the industry. Despite these beliefs in the efficacy of certification, there is a lack of empirical research to actually support certification as an effective assessment tool. Furthermore, little research has been conducted that assesses the impacts that certification itself has on ecotourism businesses (both certified and uncertified) and the local communities dependent on ecotourism.
My dissertation employs a mixed methods design and combines qualitative and quantitative research methods spanning multiple geographic scales to develop an understanding of certification programs as they exist today and to discern the impacts that certification itself may cause for all those either directly or indirectly involved in ecotourism. My findings ultimately suggest that certification reform is needed if certification programs are expected to be the assessment tool ecotourism experts claim them to be. Specifically, as certification exists presently, there is: no universal guideline or standard for existing certification programs to follow, a disconnect between the advertised benefits certification offers and the actual benefits received, and a lack of market penetration both amongst ecotourists and ecotourism businesses. Each of these must be addressed before certification can live up to its full potential. Furthermore, I found that certification may impact community socioeconomic dynamics, particularly by creating or exacerbating community wealth distribution.
My dissertation employs a mixed methods design and combines qualitative and quantitative research methods spanning multiple geographic scales to develop an understanding of certification programs as they exist today and to discern the impacts that certification itself may cause for all those either directly or indirectly involved in ecotourism. My findings ultimately suggest that certification reform is needed if certification programs are expected to be the assessment tool ecotourism experts claim them to be. Specifically, as certification exists presently, there is: no universal guideline or standard for existing certification programs to follow, a disconnect between the advertised benefits certification offers and the actual benefits received, and a lack of market penetration both amongst ecotourists and ecotourism businesses. Each of these must be addressed before certification can live up to its full potential. Furthermore, I found that certification may impact community socioeconomic dynamics, particularly by creating or exacerbating community wealth distribution.
ContributorsDavila, Ryan (Author) / Kinzig, Ann (Thesis advisor) / Perrings, Charles (Committee member) / Collins, James (Committee member) / Schoon, Michael (Committee member) / Buzinde, Christine (Committee member) / Arizona State University (Publisher)
Created2020
Description
Institutions (rules, norms, and shared strategies) are social feedback systems that structure actors’ decision-making context. It is important to investigate institutional design to understand how rules interact and generate feedbacks that affect robustness, i.e., the ability to respond to change. This is particularly important when assessing sustainable use/conservation trade-offs that affect species’ long-term survival. My research utilized the institutional grammar (IG) and robust institutional design to investigate these linkages in the context of four international conservation treaties.
First, the IG was used to code the regulatory formal treaty rules. The coded statements were then assessed to determine the rule linkages and dynamic interactions with a focus on monitoring and related reporting and enforcement mechanisms. Treaties with a regulatory structure included a greater number and more tightly linked rules related to these mechanisms than less regulatory instruments. A higher number of actors involved in these activities at multiple levels also seemed critical to a well-functioning monitoring system.
Then, drawing on existing research, I built a set of constitutive rule typologies to supplement the IG and code the treaties’ constitutive rules. I determined the level of fit between the constitutive and regulatory rules by examining the monitoring mechanisms, as well as treaty opt-out processes. Treaties that relied on constitutive rules to guide actor decision-making generally exhibited gaps and poorer rule fit. Regimes which used constitutive rules to provide actors with information related to the aims, values, and context under which regulatory rules were being advanced tended to exhibit better fit, rule consistency, and completeness.
The information generated in the prior studies, as well as expert interviews, and the analytical frameworks of Ostrom’s design principles, fit, and polycentricity, then aided the analysis of treaty robustness. While all four treaties were polycentric, regulatory regimes exhibited strong information processing feedbacks as evidenced by the presence of all design principles (in form and as perceived by experts) making them theoretically more robust to change than non-regulatory ones. Interestingly, treaties with contested decision-making seemed more robust to change indicating contestation facilitates robust decision-making or its effects are ameliorated by rule design.
First, the IG was used to code the regulatory formal treaty rules. The coded statements were then assessed to determine the rule linkages and dynamic interactions with a focus on monitoring and related reporting and enforcement mechanisms. Treaties with a regulatory structure included a greater number and more tightly linked rules related to these mechanisms than less regulatory instruments. A higher number of actors involved in these activities at multiple levels also seemed critical to a well-functioning monitoring system.
Then, drawing on existing research, I built a set of constitutive rule typologies to supplement the IG and code the treaties’ constitutive rules. I determined the level of fit between the constitutive and regulatory rules by examining the monitoring mechanisms, as well as treaty opt-out processes. Treaties that relied on constitutive rules to guide actor decision-making generally exhibited gaps and poorer rule fit. Regimes which used constitutive rules to provide actors with information related to the aims, values, and context under which regulatory rules were being advanced tended to exhibit better fit, rule consistency, and completeness.
The information generated in the prior studies, as well as expert interviews, and the analytical frameworks of Ostrom’s design principles, fit, and polycentricity, then aided the analysis of treaty robustness. While all four treaties were polycentric, regulatory regimes exhibited strong information processing feedbacks as evidenced by the presence of all design principles (in form and as perceived by experts) making them theoretically more robust to change than non-regulatory ones. Interestingly, treaties with contested decision-making seemed more robust to change indicating contestation facilitates robust decision-making or its effects are ameliorated by rule design.
ContributorsBrady, Ute (Author) / Anderies, John M. (Thesis advisor) / Schoon, Michael (Committee member) / Minteer, Ben A. (Committee member) / Gerber, Leah (Committee member) / Siddiki, Saba (Committee member) / Arizona State University (Publisher)
Created2020
Description
Stressors to marine environments are predicted to increase and affect the well-being of marine ecosystems and coastal communities. Marine protected areas (MPAs) are one most widely implemented interventions for marine stressors. Despite the implementation of thousands of protected areas worldwide, people are still striving to understand their dynamics as they vary in their efficacy and many MPAs have not met their objectives. Additionally, those that have often fail to protect the ecosystem services and cultural values necessary for human community health. Thus, research has expanded to include analyses of the human and social dimensions that may limit their effectiveness. This dissertation explores the role of community engagement in marine protected areas and perceptions of environmental changes in coastal communities. Currently, existing research on the roles of community engagement in marine conservation interventions is limited, particularly in the island-states of the Caribbean region. This dissertation contains a review of the literature to understand the nuances of community engagement in relation to MPAs. Through the review, it was determined that primary forms of engagement are interviews and surveys, and respondents primarily included businesses, community members, fishers, and resource users. To better understand the perceptions and practices on-the-ground, key informants were interviewed across the Caribbean. There are strong desires to conduct community engagement for innumerable benefits, but there are barriers that some participants have overcome. Sharing information between MPA sites offers an opportunity to effectively engage community members. For the local case study, Charlotteville, Trinidad and Tobago, a small, coastal fishing town in the northeast region of Tobago was selected to understand the role of perceptions of environmental changes. There were strong ties of environmental and social changes, with an emphasis on the impacts of environmental stressors to human health. The heterogeneity and diversity of responses in this chapter highlight the need to consider who is engaged in community engagement activities.
ContributorsBernard, Miranda Lynn (Author) / Gerber, Leah (Thesis advisor) / Buzinde, Christine (Committee member) / Schoon, Michael (Committee member) / Kittinger, Jack (Committee member) / Cheng, Samantha (Committee member) / Arizona State University (Publisher)
Created2021
Description
Energy poverty and vulnerability are among the world’s most difficult and enduring development challenges. Over one billion people worldwide, some in the richest countries, continue to experience the impacts of these conditions in everyday life. Part of the reason for the enduring failure to eliminate energy poverty and vulnerability is the deep theoretical and practical confusion among scholars, States, and electric utilities over the nature of these problems, how they work, and how to fix them. In this dissertation, grounded in Guyana, I examine how energy vulnerability emerges in electrified life and what energy systems might do to reduce energy vulnerability and enhance capabilities. In so doing, I contribute to theoretical perspectives on the nature of energy vulnerability and ongoing advocacy for its attention in public policy and global development. This is achieved through a multi-modal methodology centered on institutional analysis of the household and the electric utility in which imaginaries, articulations and actions of these institutions are coded and compared. This comparison helped to uncover a disconnect between these institutions resulting from a lack of visibility of what the household does in everyday life. The disconnect between the goals of efficiency (held by utilities) and effectiveness (held by households) is the main driver of energy vulnerability, exacerbated by their separate decision-making. The household institution, seeking to maintain stability in everyday life, enacts strategies in response to disruptive situations that are invisible to decision-makers at the utility but feedback to the electricity system. This dissertation calls for social innovations in the institutional arrangements of electric utilities to help them better understand what households are doing and, as a result, to reduce energy vulnerability and enhance capabilities. I argue that social innovation is necessary for resituating the household institution as an important stakeholder in energy transition and for remaking the visibility of electrified life in the governance of energy systems.
ContributorsHinds, Norwell Jermin (Author) / Miller, Clark A (Thesis advisor) / Chhetri, Nalini (Thesis advisor) / Schoon, Michael (Committee member) / Calhoun, Craig (Committee member) / Arizona State University (Publisher)
Created2024
Description
This study explores the responses of Arizona’s Refugee SupportNetwork (RSN) to the COVID-19 disaster, focusing on the role of both formal
and informal networks in shaping refugee access to services. Research
demonstrates that resilient refugee support systems must be informed by the
communities they serve. However, mainstream refugee resettlement programs
often need more flexibility to integrate local, community-based feedback into
their service delivery models, limiting the adaptability of formal support
networks during disasters. Through 17 expert interviews and 19 refugee
community interviews, analysis of disaster and COVID-19 policies, and social
infrastructure mapping this research explored how informal and formal
networks shifted to remote services and the lived experiences of refugees
navigating systemic barriers like digital literacy and institutional distrust. The
findings highlight that neither formal nor informal networks can effectively
operate in isolation; their integration is essential for addressing gaps in service
delivery and ensuring adaptable, inclusive support, particularly during crises
like the COVID-19 disaster. While formal networks, such as local resettlement
agencies (LRAs), were constrained by regulatory frameworks and rigid
workflows, community-based organizations (CBOs) were able to leverage
grassroots approaches and culturally responsive strategies to fill service gaps.
ContributorsReiswig, Clinton (Author) / Smith, Lindsay (Thesis advisor) / Chhetri, Nalini (Committee member) / Um, Mee Young (Committee member) / Arizona State University (Publisher)
Created2024
Description
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