Matching Items (20)
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- All Subjects: Sustainability
- Creators: Wiek, Arnim
- Member of: ASU Electronic Theses and Dissertations
Description
Urban areas face a host of sustainability problems ranging from air and water quality, to housing affordability, and sprawl reducing returns on infrastructure investments, among many others. To address such challenges, cities have begun to envision generational sustainability transitions, and coalesce transition arenas in context to manage those transitions. Transition arenas coordinate the efforts of diverse stakeholders in a setting conducive to making evidence-based decisions that guide a transition forward. Though espoused and studied in the literature, transition arenas still require further research on the specifics of agent selection, arena setting, and decision-making facilitation. This dissertation has three related contributions related to transition arenas. First, it describes a process that took place within Phoenix that focused on identifying, recruiting, and building the capacity of potential transition agents for a transition arena. As part of this, a first draft suggestion of plausible steps to take for identifying, recruiting, and building a team of transition agents is proposed followed by a brief discussion on how this step-by-step process could be evaluated in subsequent work. Second, building on such engagement, this dissertation then offers criteria for transition agent selection based on a review of the literature that includes the setting in which a transition arena occurs, and strategies to support successful facilitation of decision-making in that setting. Third, those criteria are operationalized to evaluate the facilitation of a specific decision (draft of a new transportation plan) in a specific transition arena: the Citizens Committee for the future of Phoenix Transportation. The goal of this dissertation is to articulate a first-draft framework for guiding the development and scientific evaluation of transition arenas. Future work is required to empirically validate the framework in other real-world transition arenas. A feasible research agenda is provides to support this work.
ContributorsHarlow, John (Author) / Hekler, Eric (Thesis advisor) / Golub, Aaron (Thesis advisor) / Johnston, Erik W., 1977- (Committee member) / Wiek, Arnim (Committee member) / Arizona State University (Publisher)
Created2015
Description
Three dilemmas plague governance of scientific research and technological
innovation: the dilemma of orientation, the dilemma of legitimacy, and the dilemma of control. The dilemma of orientation risks innovation heedless of long-term implications. The dilemma of legitimacy grapples with delegation of authority in democracies, often at the expense of broader public interest. The dilemma of control poses that the undesirable implications of new technologies are hard to grasp, yet once grasped, all too difficult to remedy. That humanity has innovated itself into the sustainability crisis is a prime manifestation of these dilemmas.
Responsible innovation (RI), with foci on anticipation, inclusion, reflection, coordination, and adaptation, aims to mitigate dilemmas of orientation, legitimacy, and control. The aspiration of RI is to bend the processes of technology development toward more just, sustainable, and societally desirable outcomes. Despite the potential for fruitful interaction across RI’s constitutive domains—sustainability science and social studies of science and technology—most sustainability scientists under-theorize the sociopolitical dimensions of technological systems and most science and technology scholars hesitate to take a normative, solutions-oriented stance. Efforts to advance RI, although notable, entail one-off projects that do not lend themselves to comparative analysis for learning.
In this dissertation, I offer an intervention research framework to aid systematic study of intentional programs of change to advance responsible innovation. Two empirical studies demonstrate the framework in application. An evaluation of Science Outside the Lab presents a program to help early-career scientists and engineers understand the complexities of science policy. An evaluation of a Community Engagement Workshop presents a program to help engineers better look beyond technology, listen to and learn from people, and empower communities. Each program is efficacious in helping scientists and engineers more thoughtfully engage with mediators of science and technology governance dilemmas: Science Outside the Lab in revealing the dilemmas of orientation and legitimacy; Community Engagement Workshop in offering reflexive and inclusive approaches to control. As part of a larger intervention research portfolio, these and other projects hold promise for aiding governance of science and technology through responsible innovation.
ContributorsBernstein, Michael J. (Author) / Wiek, Arnim (Thesis advisor) / Wetmore, Jameson M. (Thesis advisor) / Grimm, Nancy (Committee member) / Anderies, John M (Committee member) / Arizona State University (Publisher)
Created2016
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
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
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
Despite widespread acknowledgement of the need for transformation towards sustainability, the majority of cities appear stuck in incremental change instead of far-reaching, radical change. While there are numerous obstacles to transformational change, one critical aspect is the process of selecting impactful sustainability programs. The unique and complex nature of sustainability suggests a different approach is needed to program selection than is normal. But, to what extent are cities adapting selection processes in response to sustainability and what effect does this have on sustainable urban transformation? Could there be a more effective process to select programs with greater transformational potential? This dissertation investigates these questions using case studies and action research to add to the general knowledge of urban sustainability program selection and to develop practical knowledge (solutions) for more effective sustainable urban transformation.
The dissertation consists of three studies. Study 1 uses a case study approach to investigate existing sustainability program selection processes in three cities: Avondale, USA; Almere, the Netherlands; and Freiburg, Germany. These cities all express commitment to sustainability but have varying degrees of sustainable development experience, accomplishment, and recognition. Study 2 develops a program selection framework for urban sustainable transformation drawing extensively from the literature on sustainability assessment and related fields, and on participatory input from municipal practitioners in Avondale and Almere. Study 3 assesses the usefulness of the framework in a dual pilot study. Participatory workshops were conducted in which the framework was applied to real-world situations: (i) with the city’s sustainability working group in Avondale; and (ii) with a local energy cooperative in Almere.
Overall, findings suggest cities are not significantly adapting program selection processes in response to the challenges of sustainability. Processes are often haphazard, opportunistic, driven elite actors, and weakly aligned with sustainability principles and goals, which results in selected programs being more incremental than transformational. The proposed framework appears effective at opening up the range of program options considered, stimulating constructive deliberation among participants, and promoting higher order learning. The framework has potential for nudging program selection towards transformational outcomes and more deeply embedding sustainability within institutional culture.
The dissertation consists of three studies. Study 1 uses a case study approach to investigate existing sustainability program selection processes in three cities: Avondale, USA; Almere, the Netherlands; and Freiburg, Germany. These cities all express commitment to sustainability but have varying degrees of sustainable development experience, accomplishment, and recognition. Study 2 develops a program selection framework for urban sustainable transformation drawing extensively from the literature on sustainability assessment and related fields, and on participatory input from municipal practitioners in Avondale and Almere. Study 3 assesses the usefulness of the framework in a dual pilot study. Participatory workshops were conducted in which the framework was applied to real-world situations: (i) with the city’s sustainability working group in Avondale; and (ii) with a local energy cooperative in Almere.
Overall, findings suggest cities are not significantly adapting program selection processes in response to the challenges of sustainability. Processes are often haphazard, opportunistic, driven elite actors, and weakly aligned with sustainability principles and goals, which results in selected programs being more incremental than transformational. The proposed framework appears effective at opening up the range of program options considered, stimulating constructive deliberation among participants, and promoting higher order learning. The framework has potential for nudging program selection towards transformational outcomes and more deeply embedding sustainability within institutional culture.
ContributorsForrest, Nigel (Author) / Wiek, Arnim (Thesis advisor) / Melnick, Rob (Committee member) / Schugurensky, Daniel, 1958- (Committee member) / Arizona State University (Publisher)
Created2015