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This dissertation explores the unique role schools play in contributing toward a sustainable future for their communities. This was undertaken by first conducting a thorough review and analysis of the literature on the current utilization of schools as agents of sustainable development, along with an evaluation of schools engaging in

This dissertation explores the unique role schools play in contributing toward a sustainable future for their communities. This was undertaken by first conducting a thorough review and analysis of the literature on the current utilization of schools as agents of sustainable development, along with an evaluation of schools engaging in this model around the United States. Following this, a framework was developed to aid in the assessment of school-community engagements from the perspective of social change. Sustainability problem solving tools were synthesized for use by schools and community stakeholders, and were tested in the case study of this dissertation. This case study combined methods from the fields of sustainable development, transition management, and social change to guide two schools in their attempts to increase community sustainability through addressing a shared sustainability problem: childhood obesity. The case study facilitated the creation of a sustainable vision for the Phoenix Metropolitan Area without childhood obesity, as well as strategic actions plans for each school to utilize as they move forward on addressing this challenge.
ContributorsLawless, Tamara Hope (Author) / Golub, Aaron (Thesis advisor) / Redman, Charles (Committee member) / Schugurensky, Daniel (Committee member) / Arizona State University (Publisher)
Created2013
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In the past three decades alone, the United States has witnessed a dramatic rise in the prevalence of obesity and overweight in adults and children. Efforts towards obesity mitigation and prevention have produced promising recommendations and researchers and practitioners alike acknowledge that real solutions must match the complexity of the

In the past three decades alone, the United States has witnessed a dramatic rise in the prevalence of obesity and overweight in adults and children. Efforts towards obesity mitigation and prevention have produced promising recommendations and researchers and practitioners alike acknowledge that real solutions must match the complexity of the problem. Comprehensive approaches that target environmental, economic, socio-cultural, and knowledge-based factors that influence diet and physical activity are highly recommended. However, the literature yields little in the way of what such comprehensive obesity interventions actually entail and how they ought to be developed. In particular, there are knowledge gaps in how various stakeholder groups can bridge institutional barriers to collaborate in ways that maximize resources, build upon synergies, and avoid duplication of efforts; and how specific recommendations are actually implemented. This thesis aims to contribute to an emerging body of literature that fills this gap by presenting a practical case study on how to create a playground obesity intervention in the Gateway District of Phoenix, Arizona, in collaboration with researchers, health professionals, neighborhood residents, and city officials. The objectives were two-fold: 1. To outline concrete steps that will allow an organization to create a playground linked with healthy kids education program that aims to increase physical activity, perceptions of safety, and community cohesion; 2. To outline how diverse stakeholders can collaborate effectively to create such a cohesive, complex obesity intervention. A detailed, actionable intervention manual was drafted through semi-structured interviews, literature review, a survey, a stakeholder workshop, and an extended peer-review. The manual describes the sequence of actions necessary for creating an innovative playground that reinforces learning, encourages creative play, and increases physical activity. The sequence of actions was linked with existing local assets, stakeholder roles and responsibilities, costs, and potential barriers. This manual, as well as the process itself, can serve as a transferable model for helping organizations come together to build the capacity required in order to tackle complex health challenges.
ContributorsXiong, Angela (Author) / Wiek, Arnim (Thesis advisor) / Golub, Aaron (Committee member) / Otu, Essen (Committee member) / Arizona State University (Publisher)
Created2013
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Description
Cities around the globe struggle with socio-economic disparities, resource inefficiency, environmental contamination, and quality-of-life challenges. Technological innovation, as one prominent approach to problem solving, promises to address these challenges; yet, introducing new technologies, such as nanotechnology, into society and cities has often resulted in negative consequences. Recent research has conceptually

Cities around the globe struggle with socio-economic disparities, resource inefficiency, environmental contamination, and quality-of-life challenges. Technological innovation, as one prominent approach to problem solving, promises to address these challenges; yet, introducing new technologies, such as nanotechnology, into society and cities has often resulted in negative consequences. Recent research has conceptually linked anticipatory governance and sustainability science: to understand the role of technology in complex problems our societies face; to anticipate negative consequences of technological innovation; and to promote long-term oriented and responsible governance of technologies. This dissertation advances this link conceptually and empirically, focusing on nanotechnology and urban sustainability challenges. The guiding question for this dissertation research is: How can nanotechnology be innovated and governed in responsible ways and with sustainable outcomes? The dissertation: analyzes the nanotechnology innovation process from an actor- and activities-oriented perspective (Chapter 2); assesses this innovation process from a comprehensive perspective on sustainable governance (Chapter 3); constructs a small set of future scenarios to consider future implications of different nanotechnology governance models (Chapter 4); and appraises the amenability of sustainability problems to nanotechnological interventions (Chapter 5). The four studies are based on data collected through literature review, document analysis, participant observation, interviews, workshops, and walking audits, as part of process analysis, scenario construction, and technology assessment. Research was conducted in collaboration with representatives from industry, government agencies, and civic organizations. The empirical parts of the four studies focus on Metropolitan Phoenix. Findings suggest that: predefined mandates and economic goals dominate the nanotechnology innovation process; normative responsibilities identified by risk governance, sustainability-oriented governance, and anticipatory governance are infrequently considered in the nanotechnology innovation process; different governance models will have major impacts on the role and effects of nanotechnology in cities in the future; and nanotechnologies, currently, do not effectively address the root causes of urban sustainability challenges and require complementary solution approaches. This dissertation contributes to the concepts of anticipatory governance and sustainability science on how to constructively guide nanotechnological innovation in order to harvest its positive potential and safeguard against negative consequences.
ContributorsFoley, Rider Williams (Author) / Wiek, Arnim (Thesis advisor) / Guston, David H. (Committee member) / Seager, Thomas P (Committee member) / Minteer, Ben A (Committee member) / Arizona State University (Publisher)
Created2013
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Sustainability challenges with severe local to global impacts require fundamental shifts in what industrial societies aspire to, generate, consume, and represent, as well as how they function. Transition governance is a promising framework to support these transformational efforts. A key component of transition governance is the construction of transition strategies,

Sustainability challenges with severe local to global impacts require fundamental shifts in what industrial societies aspire to, generate, consume, and represent, as well as how they function. Transition governance is a promising framework to support these transformational efforts. A key component of transition governance is the construction of transition strategies, i.e., action schemes for how to transition from the current state to a sustainable one. Despite accomplishments in building theory and methodology for transition governance, the concepts of what transition strategies entail and how they relate to specific interventions are still underdeveloped. This dissertation further develops the concept of transition strategies, and explores how different stakeholder groups and allies can develop and test transition strategies across different scales, in the specific context of urban sustainability challenges. The overarching research question is: How can cities build and implement comprehensive transition strategies across different urban scales, from the city to the organizational level? The dissertation comprises four studies that explore the dynamic between transition strategies and experiments at the city, neighborhood, and organizational levels with empirical examples from Phoenix, Arizona. The first study reviews and compares paradigms of intentional change, namely transition governance, backcasting, intervention research, change management, integrated planning, and adaptive management in order to offer a rich set of converging ideas on what strategies for intentional change towards sustainability entail. The second study proposes a comprehensive concept of transition strategies and illustrates the concept with the example of sustainability strategies created through a research partnership with the City of Phoenix. The third study explores the role of experiments in transition processes through the lens of the neighborhood-level initiative of The Valley of the Sunflowers. The fourth study examines the role organizations can play in initiating urban sustainability transitions using exemplary strategies and experiments implemented at a local high school. The studies combined contribute to the further development of transition theory and sustainable urban development concepts. While this research field is at a nascent stage, the thesis provides a framework and empirical examples for how to build evidence-based transition strategies in support of urban sustainability.
ContributorsKay, Braden Ryan (Author) / Wiek, Arnim (Thesis advisor) / Loorbach, Derk (Committee member) / Schugurensky, Daniel (Committee member) / Tiger, Fern (Committee member) / Arizona State University (Publisher)
Created2012
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Over the last two decades programs and mandates to encourage and foster sustainable urban development have arisen throughout the world, as cities have emerged as key opportunity sites for sustainable development due to the compactness and localization of services and resources. In order to recognize this potential, scholars and practitioners

Over the last two decades programs and mandates to encourage and foster sustainable urban development have arisen throughout the world, as cities have emerged as key opportunity sites for sustainable development due to the compactness and localization of services and resources. In order to recognize this potential, scholars and practitioners have turned to the practice of visioning as a way to motivate actions and decision making toward a sustainable future. A "vision" is defined as desirable state in the future and scholars believe that the creation of a shared, motivational vision is the best starting point to catalyze positive and sustainable change. However, recent studies on city visions indicate that they do not offer substantive sustainability content, and methods or processes to evaluate the sustainability content of the resulting vision (sustainability appraisal or assessment) are often absent from the visioning process. Thus, this paper explores methods for sustainability appraisal and their potential contributions to (and in) visioning. The goal is to uncover the elements of a robust sustainability appraisal and integrate them into the visioning process. I propose an integrated sustainability appraisal procedure based on sustainability criteria, indicators, and targets as part of a visioning methodology that was developed by a team of researchers at Arizona State University (ASU) of which I was a part. I demonstrate the applicability of the appraisal method in a case study of visioning in Phoenix, Arizona. The proposed method allows for early and frequent consideration and evaluation of sustainability objectives for urban development throughout the visioning process and will result in more sustainability-oriented visions. Further, it can allow for better measurement and monitoring of progress towards sustainability goals, which can make the goals more tangible and lead to more accountability for making progress towards the development of more sustainable cities in the future.
ContributorsMinowitz, Amy (Author) / Wiek, Arnim (Thesis advisor) / Golub, Aaron (Committee member) / Pfeiffer, Deirdre (Committee member) / Arizona State University (Publisher)
Created2013
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Sustainability visioning (i.e. the construction of sustainable future states) is considered an important component of sustainability research, for instance, in transformational sustainability science or in planning for urban sustainability. Visioning frees sustainability research from the dominant focus on analyzing problem constellations and opens it towards positive contributions to social innovation

Sustainability visioning (i.e. the construction of sustainable future states) is considered an important component of sustainability research, for instance, in transformational sustainability science or in planning for urban sustainability. Visioning frees sustainability research from the dominant focus on analyzing problem constellations and opens it towards positive contributions to social innovation and transformation. Calls are repeatedly made for visions that can guide us towards sustainable futures. Scattered across a broad range of fields (i.e. business, non-government organization, land-use management, natural resource management, sustainability science, urban and regional planning) are an abundance of visioning studies. However, among the few evaluative studies in the literature there are apparent deficits in both the research and practice of visioning that curtails our expectations and prospects of realizing process-based and product-derived outcomes. These deficits suggests that calls instead should focus on the development of applied and theoretical understanding of crafting sustainability visions, enhancing the rigor and robustness of visioning methodology, and on integrating practice, research, and education for collaborative sustainability visioning. From an analysis of prominent visioning and sustainability visioning studies in the literature, this dissertation articulates what is sustainability visioning and synthesizes a conceptual framework for criteria-based design and evaluation of sustainability visioning studies. While current visioning methodologies comply with some of these guidelines, none adhere to all of them. From this research, a novel sustainability visioning methodology is designed to address this gap to craft visions that are shared, systemic, principles-based, action-oriented, relevant, and creative (i.e. SPARC visioning methodology) and evaluated across all quality criteria. Empirical studies were conducted to test and apply the conceptual and methodological frameworks -- with an emphasis on enhancing the rigor and robustness in real world visioning processes for urban planning and teaching sustainability competencies. In-depth descriptions of the collaborative visioning studies demonstrate tangible outcomes for: (a) implementing the above sustainability visioning methodology, including evaluative procedures; (b) adopting meaningful interactive engagement procedures; (c) integrating advanced analytical modeling, sustainability appraisal, and creativity enhancing procedures; and (d) developing perspective and methodological capacity for long-range sustainability planning.
ContributorsIwaniec, David (Author) / Wiek, Arnim (Thesis advisor) / Childers, Daniel L. (Committee member) / Lant, Timothy (Committee member) / Arizona State University (Publisher)
Created2013
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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

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
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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

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
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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

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.
ContributorsKutter, Robert W (Author) / Aggarwal, Rimjhim (Thesis advisor) / Golub, Aaron (Committee member) / Wiek, Arnim (Committee member) / Arizona State University (Publisher)
Created2014
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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,

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.
ContributorsCohen, Matthew Charles (Author) / Wiek, Arnim (Thesis advisor) / Manuel-Navarrete, David (Thesis advisor) / Schugurensky, Daniel (Committee member) / Arizona State University (Publisher)
Created2015