On the Regulation of Small Actors: Three Experimental Essays about Policies based on Voluntary Compliance and Decentralized Monitoring

Monitoring and enforcement are perhaps the biggest challenges in the design and implementation of environmental policies in developing countries where the actions of many small informal actors cause significant impacts on the ecosystem services and where the transaction costs for the state to regulate them could be enormous. This dissertation studies the potential of innovative institutions based on decentralized coordination and enforcement to induce better environmental outcomes. Such policies have in common that the state plays the role of providing the incentives for organization but the process of compliance happens through decentralized agreements, trust building, signaling and monitoring. I draw from the literatures in collective action, common-pool resources, game-theory and non-point source pollution to develop the instruments proposed here. To test the different conditions in which such policies could be implemented I designed two field-experiments that I conducted with small-scale gold miners in the Colombian Pacific and with users and providers of ecosystem services in the states of Veracruz, Quintana Roo and Yucatan in Mexico. This dissertation is organized in three essays.

The first essay, “Collective Incentives for Cleaner Small-Scale Gold Mining on the Frontier: Experimental Tests of Compliance with Group Incentives given Limited State Monitoring”, examines whether collective incentives, i.e. incentives provided to a group conditional on collective compliance, could “outsource” the required local monitoring, i.e. induce group interactions that extend the reach of the state that can observe only aggregate consequences in the context of small-scale gold mining. I employed a framed field-lab experiment in which the miners make decisions regarding mining intensity. The state sets a collective target for an environmental outcome, verifies compliance and provides a group reward for compliance which is split equally among members. Since the target set by the state transforms the situation into a coordination game, outcomes depend on expectations of what others will do. I conducted this experiment with 640 participants in a mining region of the Colombian Pacific and I examine different levels of policy severity and their ordering. The findings of the experiment suggest that such instruments can induce compliance but this regulation involves tradeoffs. For most severe targets – with rewards just above costs – raise gains if successful but can collapse rapidly and completely. In terms of group interactions, better outcomes are found when severity initially is lower suggesting learning.

The second essay, “Collective Compliance can be Efficient and Inequitable: Impacts of Leaders among Small-Scale Gold Miners in Colombia”, explores the channels through which communication help groups to coordinate in presence of collective incentives and whether the reached solutions are equitable or not. Also in the context of small-scale gold mining in the Colombian Pacific, I test the effect of communication in compliance with a collective environmental target. The results suggest that communication, as expected, helps to solve coordination challenges but still some groups reach agreements involving unequal outcomes. By examining the agreements that took place in each group, I observe that the main coordination mechanism was the presence of leaders that help other group members to clarify the situation. Interestingly, leaders not only helped groups to reach efficiency but also played a key role in equity by defining how the costs of compliance would be distributed among group members.

The third essay, “Creating Local PES Institutions and Increasing Impacts of PES in Mexico: A real-Time Watershed-Level Framed Field Experiment on Coordination and Conditionality”, considers the creation of a local payments for ecosystem services (PES) mechanism as an assurance game that requires the coordination between two groups of participants: upstream and downstream. Based on this assurance interaction, I explore the effect of allowing peer-sanctions on upstream behavior in the functioning of the mechanism. This field-lab experiment was implemented in three real cases of the Mexican Fondos Concurrentes (matching funds) program in the states of Veracruz, Quintana Roo and Yucatan, where 240 real users and 240 real providers of hydrological services were recruited and interacted with each other in real time. The experimental results suggest that initial trust-game behaviors align with participants’ perceptions and predicts baseline giving in assurance game. For upstream providers, i.e. those who get sanctioned, the threat and the use of sanctions increase contributions. Downstream users contribute less when offered the option to sanction – as if that option signal an uncooperative upstream – then the contributions rise in line with the complementarity in payments of the assurance game.

WARMING AND CHRONIC HIGH NUTRIENT MANIPULATIONS YIELD DIFFERING LEGACY EFECTS ON THE SOIL MICROBIAL COMMUNITY AND NUTRIENT POOLS IN THE LOW ARCTIC

Climate warming is predicted to increase summer air temperatures in the Arctic, warming soils and enhancing microbial decomposition of soil organic matter. Given the size of the soil carbon stores in the Arctic, even a fraction of its release as CO2 to the atmosphere could result in a positive feedback to climate warming. Fertilizers have been used in the past to quickly increase soil solution nutrients pools to mimic predicted concentrations under climate warming. However, because it may have inadvertent affects on the soil microbial community, fertilizer-induced patterns in microbial decomposition may be unrealistic. This study aimed to better understand the proposed mechanism of enhanced microbial decomposition under nutrient addition and warming treatments to discern whether warming alone is enough to stimulate enhanced microbial decomposition, or if nutrients in excess (i.e. chronic high nutrient additions) are necessary to yield such a response. I investigated the impacts of 10 years of greenhouse summer warming, chronic low nutrient factorial addition (5 g N and 1g P m-2 year-1, respectively), and chronic high nutrient factorial addition (10 g N and 5g P m-2 year-1, respectively) treatments on a mesic birch hummock tundra ecosystem near Daring Lake, NWT, Canada. Soil microbial nutrient pools, soil solution nutrient pools, and microbial community structure were measured in the upper organic, lower organic, and uppermost mineral soil depth intervals of all treatment plots in Spring 2014. Interestingly, the low nutrient additions did not yield any significant trends, yet the warming treatment increased soil bacterial richness suggesting a legacy effect of warming from the previous summers. Enhanced microbial nutrient uptake occurred only in the high nutrient addition treatments, and did not significantly alter soil carbon at least within the ten year period of this experiment. Together, these results and the absence of significant impacts of the low nutrient and greenhouse warming treatments suggests that nutrient and carbon cycling in these low arctic soils may be resilient against climate warming, at least over the initial decades.

Highway 60 Reconstruction Project : Final Environmental Impact Statement, 2004

The proposed reconstruction of Trunk Highway 60 is considered a Federal Class I Action because of the potential for significant impacts on the natural and physical environment. An Environmental Impact Statement (EIS) is a full disclosure document that discusses the environmental impacts of a proposed Class I action. The Draft EIS, which was distributed in July 2002, is incorporated by reference herein and made a part of the Final EIS.

As reações do mercado acionista e obrigacionista dos GIPSI às notícias da Troika durante o período de crise financeira: 2010-2013

A zona euro e mais concretamente o conjunto de países constituído por Grécia, Itália, Portugal, Espanha e Irlanda chamado de GIPSI, atravessam uma das maiores crises desde a Grande Depressão. De forma a ajudar estes países mais afetados, um conjunto de organizações internacionais (FMI/BCE/CE) apelidado de Troika, tem unido esforços para debelar as dificuldades de financiamento e criarem políticas de reforma com o objetivo de devolver a independência e potenciar o crescimento económico dos mesmos. As ações e comunicados destas organizações passaram assim a gozar de uma maior visibilidade e interesse por parte dos investidores. Tendo isso em conta, neste trabalho estudamos o impacto das notícias da Troika nos mercados acionista e obrigacionista dos GIPSI, com um maior foco no mercado português. Em Portugal não encontramos evidência de que as notícias diretamente relacionadas com as ações e comunicações da Troika têm efetivamente impactos significativos, quer no mercado acionista, quer no obrigacionista. No entanto, as notícias de carácter internacional sobre a crise, respeitantes aos outros países afetados, impactaram de forma significativa o PSI 20, especialmente quando estas foram boas, assim como outras notícias relativas a avaliações, anúncios de apoio ou críticas de outras organizações europeias e mundiais, bem como como de líderes de países intervenientes na ajuda aos países afetados e anúncios macroeconómicos, sendo que aqui esse impacto foi mais sentido nas más notícias. No mercado obrigacionista, voltamos a ter impactos significativos dos mesmos tipos de notícias juntando-se aqui as notícias relativas às medidas tomadas pelo Governo português e outros agentes governamentais. Os restantes mercados, Espanha e Grécia apresentaram impactos significativos no mercado acionista e obrigacionista, o que nos leva a confirmar estudos anteriores de que notícias relacionadas com a crise têm efeitos para além do país visado e impactam de forma significativa outros mercados, em especial os mais afetados.

Effect of soil structure on temporal and spatial dynamics of bacteria

Soil is a complex heterogeneous system comprising of highly variable and dynamic micro-habitats that have significant impacts on the growth and activity of resident microbiota. A question addressed in this research is how soil structure affects the temporal dynamics and spatial distribution of bacteria. Using repacked microcosms, the effect of bulk-density, aggregate sizes and water content on growth and distribution of introduced Pseudomonas fluorescens and Bacillus subtilis bacteria was determined. Soil bulk-density and aggregate sizes were altered to manipulate the characteristics of the pore volume where bacteria reside and through which distribution of solutes and nutrients is controlled. X-ray CT was used to characterise the pore geometry of repacked soil microcosms. Soil porosity, connectivity and soil-pore interface area declined with increasing bulk-density. In samples that differ in pore geometry, its effect on growth and extent of spread of introduced bacteria was investigated. The growth rate of bacteria reduced with increasing bulk-density, consistent with a significant difference in pore geometry. To measure the ability of bacteria to spread thorough soil, placement experiments were developed. Bacteria were capable of spreading several cm’s through soil. The extent of spread of bacteria was faster and further in soil with larger and better connected pore volumes. To study the spatial distribution in detail, a methodology was developed where a combination of X-ray microtopography, to characterize the soil structure, and fluorescence microscopy, to visualize and quantify bacteria in soil sections was used. The influence of pore characteristics on distribution of bacteria was analysed at macro- and microscales. Soil porosity, connectivity and soil-pore interface influenced bacterial distribution only at the macroscale. The method developed was applied to investigate the effect of soil pore characteristics on the extent of spread of bacteria introduced locally towards a C source in soil. Soil-pore interface influenced spread of bacteria and colonization, therefore higher bacterial densities were found in soil with higher pore volumes. Therefore the results in this showed that pore geometry affects the growth and spread of bacteria in soil. The method developed showed showed how thin sectioning technique can be combined with 3D X-ray CT to visualize bacterial colonization of a 3D pore volume. This novel combination of methods is a significant step towards a full mechanistic understanding of microbial dynamics in structured soils.

Farm practices to manage the impact of severe tropical cyclone damage on banana production – a case study from tropical Australia

Most Australian banana production occurs on the north-eastern tropical coast between latitudes 15-18°S, and can experience summer cyclone activity. Damage from severe tropical cyclones has serious impact on banana-based livelihoods. The most significant impacts include immediate loss of production and income for several months, the region-wide synchronization of cropping and the expense of rehabilitating affected plantations. Severe tropical cyclones have directly affected the main production region twice in recent years Tropical Cyclone (TC) Larry (Category 4) in March 2006 and TC Yasi (Category 5) in February 2011. Based on TC Larry experiences, pre- and post-cyclone farm practices were developed to reduce these impacts in future cyclonic events. The main pre-cyclone farm practice focused on maintaining production units and an earlier return to fruit production by partially or completely removing the plant canopy to reduce wind resistance. Post-cyclone farm practices focused on managing the industry-wide crop synchronization using crop timing techniques to achieve a staggered return to cropping by scheduling production to provide continuous fruit supply. With TC Yasi in 2011, some banana producers implemented these practices, allowing them to examine their effectiveness in reducing cyclonic impacts. Additional research and development activities were conducted to refine our understanding of their effectiveness and improve their application for future cyclonic events. Based on these activities and farm-based observations, suggested practice-based management strategies can be developed to help reduce the impact of severe tropical cyclones in the future. Canopy removal maintained banana plants as productive units, and provided earlier but smaller bunches, generating earlier-than-expected income. Queensland producers expressed willingness to adopt canopy removal for future cyclone threats where appropriate, despite its labor-intensiveness. Mechanization would allow larger scale adoption. Implementing a staggered cropping program successfully achieved a consistent, continuous fruit supply after a cyclone impact. Both techniques should be applicable to other cyclone-prone regions.

The effects of excise tax changes on alcoholic beverages and tobacco consumption in Thailand

The purpose of this thesis is to examine the factors affecting the likelihood of consumption and the amount spent on alcoholic beverages and tobacco in Thailand using the 2009 Socio-Economic Survey of Thailand. Results suggest that household size, tenure and occupation have significant impacts on both the probability of alcohol and tobacco consumption and spending levels. Income also plays a key role in explaining the amount spent on alcoholic beverages and tobacco. Demand elasticities are calculated under the Extended Linear Expenditure System (ELES). Demand for alcoholic beverages and tobacco is found to be inelastic. The effects of increasing taxation on alcohol and tobacco consumption in Thailand are estimated. The findings are that excise taxes in Thailand are efficient taxes with only a modest rise in deadweight loss. Taxes result in a small decrease in consumption but generate higher expenditure and government tax revenue. Excise tax on alcoholic beverages results in a net benefit to the Thai economy. Tobacco taxes increase total expenditure and government revenue as well as increasing net benefit to the Thai economy. However, the low elasticities of demand also mean that excise taxes have only a small impact on reducing the costs associated with drinking and smoking.

US Antidumping Petitions and Revealed Comparative Advantage of Shrimp Exporting Countries

The paper explores the trade competitiveness of seven major shrimp exporting countries, namely Vietnam, China, Thailand, Ecuador, India, Indonesia and Mexico, to the USA. Specifically, we investigate whether the United States (US) antidumping petitions impact upon the bilateral revealed comparative advantage (RCA) indexes for each of the seven shrimp exporting countries with the USA. Monthly data from January 2003 to December 2014 and the panel data model are used to examine the determinants of the RCA for the shrimp exporting countries. The empirical results show the shrimp exporting countries have superior competitiveness against the shrimp market in the USA. Moreover, the RCA indexes are significantly negatively influenced by shrimp prices, and are positively affected by US income per capita. However, the EMS (Early Mortality Syndrome) shrimp disease, domestic US shrimp quantity, exchange rate, and US antidumping laws are found to have no significant impacts on the RCA indexes. In terms of policy implications, the USA should try to reduce production costs of shrimp in the US market instead of imposing antidumping petitions, and the shrimp exporting countries should maintain their comparative advantage and diversify into new markets.

Pertencer à terra : resistência de saberes e diversidade da vida pelos Kaiowá-Guarani

Tese (doutorado)—Universidade de Brasília, Centro de Desenvolvimento Sustentável, Programa de Pós-Graduação em Desenvolvimento Sustentável, 2016.

MICHIGAN TEACHER EXCELLENCE PROGRAM: PERSONAL EXPERIENCES AND IMPACT

This report is a summary of the effects of the Michigan Teacher Excellence Program (MITEP) on me as a science educator. The first chapter is a report of an action research project jointly authored with two other science teachers participating in the MITEP program titled “Station Activities and Misconceptions in the Chemistry Classroom.” The second chapter is a reflective essay evaluating the impacts of the MITEP experience on my teaching skills and practice, knowledge of science education and science education research, and leadership skills. The most significant impacts were a dramatic increase in my earth science content knowledge, a deeper understanding of inquiry-based teaching methods, and an expanded professional network of science educators.

A comparative study of the species composition of discards from five fisheries from the Algarve (southern Portugal)

Discards from five of the most important fisheries (crustacean trawling, fish trawling, demersal purse seining, pelagic purse seining and trammel netting) in southern Portugal were studied and compared. A total of 236 species of all taxa were discarded, with fish and cephalopods accounting for more than 90% of the discarded biomass, except trammel nets (81%). Although there was some overlapping of species, multivariate analysis using cluster analysis for classification and multidimensional scaling (MDS) for ordination, showed that there were significant differences between the five gears in terms of species composition and biomasses discarded, with the least similarity between crustacean trawling and all other fishing operations. The differences between fisheries were probably as a result of a combination of gear selectivity and depth fished. The results suggest that discarding practices are likely to have different, yet significant impacts on the marine ecosystem, warranting further studies on the fate of discards, the factors influencing discarding and mitigation.

The epidemiology of foot-and-mouth disease at the wildlife-livestock interface in northern Tanzania

Foot-and-mouth disease (FMD), a disease of cloven hooved animals caused by FMD virus (FMDV), is one of the most economically devastating diseases of livestock worldwide. The global burden of disease is borne largely by livestock-keepers in areas of Africa and Asia where the disease is endemic and where many people rely on livestock for their livelihoods and food-security. Yet, there are many gaps in our knowledge of the drivers of FMDV circulation in these settings. In East Africa, FMD epidemiology is complicated by the circulation of multiple FMDV serotypes (distinct antigenic variants) and by the presence of large populations of susceptible wildlife and domestic livestock. The African buffalo (Syncerus caffer) is the only wildlife species with consistent evidence of high levels of FMDV infection, and East Africa contains the largest population of this species globally. To inform FMD control in this region, key questions relate to heterogeneities in FMD prevalence and impacts in different livestock management systems and to the role of wildlife as a potential source of FMDV for livestock. To develop FMD control strategies and make best use of vaccine control options, serotype-specific patterns of circulation need to be characterised. In this study, the impacts and epidemiology of FMD were investigated across a range of traditional livestock-keeping systems in northern Tanzania, including pastoralist, agro-pastoralist and rural smallholder systems. Data were generated through field studies and laboratory analyses between 2010 and 2015. The study involved analysis of existing household survey data and generated serological data from cross-sectional livestock and buffalo samples and longitudinal cattle samples. Serological analyses included non-structural protein ELISAs, serotype-specific solid-phase competitive ELISAs, with optimisation to detect East African FMDV variants, and virus neutralisation testing. Risk factors for FMDV infection and outbreaks were investigated through analysis of cross-sectional serological data in conjunction with a case-control outbreak analysis. A novel Bayesian modeling approach was developed to infer serotype-specific infection history from serological data, and combined with virus isolation data from FMD outbreaks to characterise temporal and spatial patterns of serotype-specific infection. A high seroprevalence of FMD was detected in both northern Tanzanian livestock (69%, [66.5 - 71.4%] in cattle and 48.5%, [45.7-51.3%] in small ruminants) and in buffalo (80.9%, [74.7-86.1%]). Four different serotypes of FMDV (A, O, SAT1 and SAT2) were isolated from livestock. Up to three outbreaks per year were reported by households and active surveillance highlighted up to four serial outbreaks in the same herds within three years. Agro-pastoral and pastoral livestock keepers reported more frequent FMD outbreaks compared to smallholders. Households in all three management systems reported that FMD outbreaks caused significant impacts on milk production and sales, and on animals’ draught power, hence on crop production, with implications for food security and livelihoods. Risk factor analyses showed that older livestock were more likely to be seropositive for FMD (Odds Ratio [OR] 1.4 [1.4-1.5] per extra year) and that cattle (OR 3.3 [2.7-4.0]) were more likely than sheep and goats to be seropositive. Livestock managed by agro-pastoralists (OR 8.1 [2.8-23.6]) or pastoralists (OR 7.1 [2.9-17.6]) were more likely to be seropositive compared to those managed by smallholders. Larger herds (OR: 1.02 [1.01-1.03] per extra bovine) and those that recently acquired new livestock (OR: 5.57 [1.01 – 30.91]) had increased odds of suffering an FMD outbreak. Measures of potential contact with buffalo or with other FMD susceptible wildlife did not increase the likelihood of FMD in livestock in either the cross-sectional serological analysis or case-control outbreak analysis. The Bayesian model was validated to correctly infer from ELISA data the most recent serotype to infect cattle. Consistent with the lack of risk factors related to wildlife contact, temporal and spatial patterns of exposure to specific FMDV serotypes were not tightly linked in cattle and buffalo. In cattle, four serial waves of different FMDV serotypes that swept through southern Kenyan and northern Tanzanian livestock populations over a four-year period dominated infection patterns. In contrast, only two serotypes (SAT1 and SAT2) dominated in buffalo populations. Key conclusions are that FMD has a substantial impact in traditional livestock systems in East Africa. Wildlife does not currently appear to act as an important source of FMDV for East African livestock, and control efforts in the region should initially focus on livestock management and vaccination strategies. A novel modeling approach greatly facilitated the interpretation of serological data and may be a potent epidemiological tool in the African setting. There was a clear temporal pattern of FMDV antigenic dominance across northern Tanzania and southern Kenya. Longer-term research to investigate whether serotype-specific FMDV sweeps are truly predictable, and to shed light on FMD post-infection immunity in animals exposed to serial FMD infections is warranted.

The seismicity of Portugal and its adjacent Atlantic region from 1300 to 2014: Maximum Observed Intensity map (MOI)

In this study, we considered earthquakes with a maximum observed intensity (MOI) Io≥V that occurred throughout the Portuguese mainland and its adjacent Atlantic region to produce the map of maximum intensities of Portugal. This map is based on a wide variety of historical and recent sources, including 175 earthquakes, over the period of 1300–2014. This MOI map allows the regions of high, medium, and low levels of seismic hazard to be highlighted. The entirety of Portugal has been affected by major seismic events, some of which have caused serious damage. In addition, offshore earthquakes have had significant impacts on the coastal cities located in the central and southern regions of the country. Because the southern region of mainland Portugal is more active than the northern region, the largest concentrations of events with Io≥VI are in the southern region, especially on the mainland near the city of Évora, in the Lisbon region, in the Lower Tagus Valley region, and along the Algarve coast, especially in the southwest region in Cape of São Vicente and the Gorringe Bank.

The science of assessment : identifying and predicting environmental impacts

The historical challenge of environmental impact assessment (EIA) has been to predict project-based impacts accurately. Both EIA legislation and the practice of EIA have evolved over the last three decades in Canada, and the development of the discipline and science of environmental assessment has improved how we apply environmental assessment to complex projects. The practice of environmental assessment integrates the social and natural sciences and relies on an eclectic knowledge base from a wide range of sources. EIA methods and tools provide a means to structure and integrate knowledge in order to evaluate and predict environmental impacts.----- This Chapter will provide a brief overview of how impacts are identified and predicted. How do we determine what aspect of the natural and social environment will be affected when a mine is excavated? How does the practitioner determine the range of potential impacts, assess whether they are significant, and predict the consequences? There are no standard answers to these questions, but there are established methods to provide a foundation for scoping and predicting the potential impacts of a project.----- Of course, the community and publics play an important role in this process, and this will be discussed in subsequent chapters. In the first part of this chapter, we will deal with impact identification, which involves appplying scoping to critical issues and determining impact significance, baseline ecosystem evaluation techniques, and how to communicate environmental impacts. In the second part of the chapter, we discuss the prediction of impacts in relation to the complexity of the environment, ecological risk assessment, and modelling.