Sustainability in Practice: Addressing Challenges and Creating Opportunities in Latin America (World Sustainability Series) 3031344359, 9783031344350
Sustainability is now a widely spread concept, and much progress has been achieved since the 1970s, when it started to b
315 94 15MB
English Pages 622 [600] Year 2023
Preface
Contents
Educational Approaches and Methods
Sustainable Development Within Higher Education Institutions: The Occupational Health Field Example
1 Introduction
2 Health Promotion and Sustainability
3 Partnerships in Health Care
4 Method
5 Results and Discussion
6 Conclusions
References
Contribution to Social Sustainability and the Gender Equality at Public Universities: Women Empowerment in the Brazilian Context
1 Introduction
2 Gender Equality and Social Responsibility
3 Women Empowerment
4 Method
5 Results and Discussion
6 Conclusions
References
Pursuing 2030 Sustainable Development Agenda Through Gender Equality: Synergies of Gender Diversity and Financial Performance in Brazilian Publicly Traded Companies
1 Introduction
2 Literature Review
2.1 Corporate Governance and Board of Directors
2.2 Women in the Boardroom
2.3 Diversity and Financial Performance
3 Methodology
3.1 Data Collection and Analysis
4 Results
5 Discussion and Conclusion
References
Impact of a Social Responsibility Program on Citizen Education
1 Introduction
2 Corporate Social Responsibility: From Paternalism to Competitive Advantage
2.1 Education and Sustainability: Challenges and Possibilities for Interaction
3 Methodology
4 Results and Discussion
5 Final Considerations
References
SDGs and Scientific Community: A Case Study of the University of Campinas (UNICAMP/Brazil)
1 Introduction
2 The Global Sustainable Development Agenda and the Scientific Community
3 The Case of University of Campinas (UNICAMP): Identifying Strategic Actions
4 Final Considerations
References
Teaching Strategies for Sustainability in Creative Disciplines
1 Introduction
2 Literature Review
2.1 The Implementation of Concept of Sustainability in Design and Architecture Schools
2.2 Transformation and Transition in Design and Architecture
2.3 Designer as Problematizer
3 Methods and Literature
4 Results and Analysis
4.1 Survey Results
4.2 Strategies and Pedagogical Tools for Sustainability in the Curricula of the Creative Disciplines
5 Conclusion
References
Sustainable Development in Latin American Higher Education Institutions
1 Introduction
2 Methodology
2.1 Information Search and Download
2.2 Graphics Generation Software
2.3 Data Analysis
3 Results
3.1 Scientific Production
3.2 Development and Evolution of the Scientific Field
3.3 General Structure of the Scientific Field
3.4 Academic Campus Strategies in Latin America
4 Discussion
5 Conclusion
References
Greening the University?: Assessing the Impact of Sustainability and SDGs in Universities’ Values and Strategies
1 Introduction
2 The University of Manchester
2.1 TUM’s Strategic Plan and the SDGs
2.2 The University of Campinas
2.3 Unicamp’s Strategic Plan and the SDGs
2.4 Conclusive Discussion
References
Practical Initiatives
Gardening as a Roadmap for Sustainability in the Francophone Caribbean
1 Introduction
2 (Hi)stories and Geographies of the Caribbean
3 Movar and the Homo Hortensis’ Attitude
4 Sustainable Cultivations, or the Cultivation of Sustainability
5 Conclusion
References
Mapping Sustainability Impacts on the Performance Assessment of Software Development Distributed Teams
1 Introduction
2 Methodology
3 Results and Analysis
3.1 Content Analysis
3.2 Questionnaire Result
4 Conclusion
References
The Importance of Knowing What Your Customers Know to Drive Ecologically and Economically Effective Circular Design: A Case Study in Sports
1 Introduction
2 Literature Review
2.1 Circular Economy and Consumer Awareness
2.2 Sustainability in the Sports Sector
3 Case Study: Consumers Pay More for Sustainable Products
4 Measuring Circularity Awareness
4.1 Importance of Companies’ and Consumers’ Awareness
5 Relevance
6 Limitations and Further Research
7 Conclusion
Annex I: Questionnaire
References
Preliminary Construct of Sustainable Product Development with a Focus on the Brazilian Reality: A Review and Bibliometric Analysis
1 Introduction
2 Research Methodology
3 Results
3.1 Main Results (Sample)
3.2 Sankey's Diagram
3.3 Clustering by Bibliographic Coupling
3.4 Clustering by Bibliographic Co-Citation
3.5 Clustering by Scientific Collaboration
3.6 Conceptual Structure Map Via Factor Analysis
3.7 Analysis of the Relationship Between the Topics Covered in the Sample
4 Analysis of Results Obtained
4.1 Research Question 01—What is the Relationship Via the Sankey Diagram Between the Main Countries, Journals and Keywords in the Analysed Sample?
4.2 Research Question 02—Is It Possible to Perform Clustering by Bibliographic Coupling, Co-Citation, Scientific Collaboration of the Analysed Sample?
4.3 Research Question 03—It is Possible to Use the Factor Analysis Method to Generate a Conceptual Structure Map in the Analysed Sample?
4.4 Research Question 04—Is There an Efficient Product Lifecycle Management Model in the Literature that Considers the Triple Bottom Line? How to Build a Construct that Integrates These Areas?
4.5 Research Question 05—Is It Possible to Determine the Ranking of the Research in Brazil on the Topic Addressed?
5 Construct Modelling
6 Final Considerations
References
An Initial Exploration of Lean and Sustainable Development with a Focus on Service
1 Introduction
2 Materials and Methods
3 Literature Review
3.1 Lean in Service
3.2 Sustainable Development in Service
3.3 Lean and Sustainable Development
4 Discussion
5 Conclusion
References
Integrated Product Development Process and Green Supply Chain Management—Proposal for a Preliminary Model
1 Introduction
2 Methodology
3 Models, Frameworks and Researches that Relate IPDP and GSCM
3.1 GSCM and Environmental Sustainability
3.2 GSCM
4 The IPDP and GSCM Preliminary Model
5 Conclusion
References
The 2030 Agenda in the Socio-Technical Transition Context in the City of Curitiba: Set of Public Policies Directed at the SDG-11—Sustainable Cities and Communities
1 Introduction
2 Socio-Technical Transitions of Sustainability
3 SDG-11 and Transformative Innovation Policy (TIP)
4 Methodology
5 Results and Discussions
5.1 Urban Hypervisor Project
5.2 Pinhão Valley Innovation Project
5.3 Inter Line 2 Expansion and Electrification Project
5.4 The 2030 Agenda and Transformative Results in the Context of Socio-Technical Transitions in Curitiba
6 Conclusion
References
Environmental Conflict and Contingent Valuation Method: Setting Up a Pilot Study on Biogas Plants Acceptance in Emilia Romagna
1 Introduction
2 Theoretical Background
2.1 What Is Environmental Conflict
2.2 Prospect Theory (PT)
2.3 Non-negative Willingness to Pay
3 Empirical Approach: Setting-Up the Pilot Study (to Get an Upper and Lower Bound for WTP Regarding Biogas Acceptance in ER)
4 Data and Methods
5 Results of the Pilot Survey
6 Conclusions and Further Research
References
Bike Sharing Systems and the Collaborative Economy: A Systematic Literature Review
1 Introduction
2 Methodology
3 Results
3.1 Results from the Database Search
3.2 Comparative Analysis of the Three Systems
3.3 Bike Sharing Systems and Carbon Footprint
4 Conclusions
References
The Transformative Innovation Policy from the Perspective of the Innovation Spiral
1 Introduction
2 Innovation, Innovation Spiral—Social Process and Transformative Innovation Policies—TIPs
2.1 Innovation
2.2 Innovation Spiral—Social Process
2.3 Transformative Innovation Policies—TIPs
3 Methodology
4 Results and Analysis
4.1 Innovation and Sustainability, Transformative Innovation Spiral and TIPs
5 Conclusion
References
Concomitant Infections by Dengue and COVID-19: Public Policies and Spatio-Temporal Analysis to Enhance Public Health Management in Brazil
1 Introduction
2 Environment and Dengue and COVID-19 Infections
2.1 Dengue
2.2 Covid-19
2.3 Environmental Education for Sustainability
3 Materials and Methods
3.1 Characterization of the Study Area
3.2 Methods
4 Results
4.1 Public Policies for Diseases Management
4.2 Spatial Analysis
4.3 Predictive Model
5 Discussion
6 Conclusions
7 Limitations of the Work and Constraints
References
Sustainable Mobility and Governance in Medellín-Colombia
1 Introduction
2 New Governance Practices in the Public Matter
3 Methodology
4 Results
4.1 Analysis of the SM in Medellin
5 Discussion and Findings
6 Conclusions
References
Industry-Related Initiatives and Strategies
Permanences and Impermanences as Key Concepts for Sustainability: The Brazilian Urban Context
1 Introduction
2 The Epistemological Context of Urban Permanences and Impermanences
3 Empirical Comparisons Between Urban Permanences and Impermanences
4 Results and Analysis
5 Conclusions
References
Biofuel for Energy Transition: The Bosch Case in Latin America
1 Introduction
2 Bosch Latin America and the Development of Technologies for the Use of Ethanol in Brazil
2.1 The Influence of Robert Bosch Latin America on the Optimization of Biofuel Usage in Powertrain
3 Theoretical Basis
3.1 Technological Niches and Windows of Opportunity
3.2 Learning Connected to the Transition to Sustainability
3.3 Local Capability and Technology Development
4 Methodology
4.1 The Strategy Behind the Case Selection
4.2 Data Collection
4.3 Analysis Process
5 Results and Discussion
5.1 Center of Excellence and Protective Space
5.2 Incremental Technology to Powertrain System for Flex Fuel Vehicles
5.3 Environmental Befits and Niche Development: An Incomplete Transition
6 Conclusion
References
Vulnerability in Geosites: A Systematic Literature Review
1 Introduction
2 Methodology
3 Results
3.1 First Results
3.2 Anthropogenic and Natural Factors
3.3 Discussion and Interpretation
4 Conclusions
References
Proposal for the Design of an Artisan Dam (Tape) for the Water Resources Sustainability in Libertador Bolivar Commune, Manglaralto-Ecuador
1 Introduction
2 Study Area
3 Materials and Methods
3.1 Recognition of the Study Area
3.2 Geotechnical Characterization
3.3 Proposed Dike Design
4 Results
4.1 Dike Location Selection
4.2 Geotechnical Characterization
4.3 Proposed Dike Design
5 Result Analysis
6 Conclusions
References
Proposals for Adaptation of Stabilisation Works for Tourist Purposes and Conservation of Las Cabras Hill, Duran-Ecuador
1 Introduction
2 Study Area
3 Materials and Methods
3.1 Socio-Economic Analysis
3.2 Tourist Attractions Proposals
3.3 Impact Analysis of Proposals
4 Results
4.1 Socio-Economic Survey
4.2 Tourist Works Proposals
4.3 SWOT and Strategy Analysis in TOWS Matrix
5 Discussion
6 Conclusions
References
Biogas Propelling Initiatives: Trajectory, Current Scenario, and Perspectives for the Brazilian Context
1 Introduction
2 National Innovation Systems and the Role of Key Actors
3 Methodology
4 Results and Analysis
4.1 Recent Propelling Initiatives and Key Actors Involved with Biogas NIS in Brazil
4.2 Current Configuration of Biogas NIS in Brazil
5 Conclusion
References
Reconciling Strategy and Corporate Social Responsibility: An Analysis of Brazilian Corporate Reports from the Perspective of Stakeholder Theory
1 Introduction
2 Stakeholder—The Strategic Approach
3 Stakeholder—The Social Responsibility Approach
4 Methodology
5 Stakeholder and Strategy—IIRC and GRI Analysis
6 Stakeholder and Strategy—Analysis of Corporate Reports
7 Conclusion
References
Governance and Social Participation in Integrated Disaster Risk Management: A Case Study in Municipalities in Paraná (Brazil)
1 Introduction
2 Urban Governance
3 Disaster Risk Governance and Social Participation
4 Methodological Procedures
5 Findings
5.1 Disaster Risk Governance
5.2 Consultation in the Preparation of Plans
5.3 Planning and Preparation Pre-Event
5.4 Event Response Coordination
5.5 Resources for the Organization’s Management, Coordination and Participation
5.6 Identification of Physical Contributions
5.7 Integration of Resistance to Disasters with Other Initiatives
5.8 Extent to Which Resilience Data is Shared with Other Organizations Involved in the Resilience of the City
5.9 Social Participation
5.10 Community or “Basic” Organizations
5.11 Social Networks
5.12 Citizen Engagement Techniques
5.13 Training
6 Discussion
7 Conclusion
References
Public Administration Ensuring Sustainable Companies by Leveraging ESG Criteria
1 Introduction
2 ESG Criteria
3 Decree 10.086/2022
4 Nudges, Incentives and ESG by Design
5 Conclusion
References
Sediment Transport Study for the Establishment of Erosion, Deposition, and Undermining Zones in the Manglaralto Riverbed, Santa Elena-Ecuador
1 Introduction
2 Study Area, Geological and Hydrogeological Context
3 Methodology
3.1 First Phase: Base Data Analysis
3.2 Second Phase: Data Processing
3.3 Third Phase: Results Analysis and Conclusions
4 Results and Analysis
4.1 Undermining Zones
4.2 Sedimentation Zones
4.3 Balance Zones
4.4 Quantitative Analysis
5 Conclusion
References
Vulnerability to Contamination of the Olón Aquifer Using the GOD Method, Olón-Ecuador
1 Introduction
2 Study Area, Geological and Hydrogeological Context
3 Methodology
3.1 Phase I: Basic Information
3.2 Phase II: Data Collection and Information Processing
3.3 Phase III: Results and Conclusions
4 Results
4.1 Physical Properties of the Aquifer
4.2 Determination of the Vulnerability Index in the Olón Aquifer
4.3 Determination of the Vulnerability Index in the Olón Aquifer
5 Conclusion
References
Public Policies as Drivers of Socioeconomic and Technological Transformation: A Transformative Innovation Policy Case Study
1 Introduction
2 Transition to Sustainability
2.1 Sociotechnical Transition
2.2 Transformative Innovation Policy (TIP)
3 Methodological Procedures
4 Analysis and Discussion
4.1 Public Policies Present in the Research Territory
4.2 Policy Change Process
4.3 Transformative Capacity of These Policies
4.4 Socio-technical Transformation Aimed at Sustainable Development
5 Final Considerations
References
Chinese Climate Diplomacy: Chinese Investment in Renewable Energy Sources in Brazil and Its Significance for Achieving the Aims of the Paris Climate Agreement
1 Introduction
2 Methodology
3 Chinese Climate Diplomacy and Geopolitics of the 21st Century
3.1 Chinese Renewable Energy Policies and Climate Diplomacy
3.2 Chinese Investments Renewable Energy Projects in Brazil
3.3 Ramifications for Geopolitics
3.4 Ramifications for Brazil’s NDCs
4 Conclusion
References
New Product Development and Circular Economy: Exploratory Network Analysis and State of the Art
1 Introduction
2 Literature Review
3 Methodology
4 Results and Discussion
5 Concluding Remarks
References
The Sugar-Based Industry Operations Within Sustainability Practices Context: A Literature Review
1 Introduction
2 Sugarcane Industry Sustainability Context
3 Methodology
3.1 Inclusion and Exclusion Methodology
4 Results and Analysis
4.1 Bibliometric Analysis: Sustainability Practices Regarding Sugarcane Industry Operations
4.2 Sustainability Practices Assessed in Sugarcane Industry Operations
4.3 SCI Practices Categorization in a Sustainability Context
5 Conclusion
References
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World Sustainability Series
Walter Leal Filho Fernanda Frankenberger Ubirata Tortato Editors
Sustainability in Practice Addressing Challenges and Creating Opportunities in Latin America
123
World Sustainability Series Series Editor Walter Leal Filho , European School of Sustainability Science and Research, Research and Transfer Centre “Sustainable Development and Climate Change Management”, Hamburg University of Applied Sciences, Hamburg, Germany
Due to its scope and nature, sustainable development is a matter which is very interdisciplinary, and draws from knowledge and inputs from the social sciences and environmental sciences on the one hand, but also from physical sciences and arts on the other. As such, there is a perceived need to foster integrative approaches, whereby the combination of inputs from various fields may contribute to a better understanding of what sustainability is, and means to people. But despite the need for and the relevance of integrative approaches towards sustainable development, there is a paucity of literature which address matters related to sustainability in an integrated way. Notes on the quality assurance and peer review of this publication Prior to publication, the works published in this book are initially assessed and reviewed by an in-house editor. If suitable for publication, manuscripts are sent for further review, which includes a combined effort by the editorial board and appointed subject experts, who provide independent peer-review. The feedback obtained in this way was communicated to authors, and with manuscripts checked upon return before finally accepted. The peer-reviewed nature of the books in the “World Sustainability Series” means that contributions to them have, over many years, been officially accepted for tenure and promotion purposes.
Walter Leal Filho · Fernanda Frankenberger · Ubirata Tortato Editors
Sustainability in Practice Addressing Challenges and Creating Opportunities in Latin America
Editors Walter Leal Filho Faculty of Life Sciences Hamburg University of Applied Sciences Hamburg, Germany
Fernanda Frankenberger Cidade Industrial de Curitiba Positivo University Curitiba, Brazil
Ubirata Tortato Pontifícia Universidade Católica do Paraná (PUC-PR) Curitiba, Brazil
ISSN 2199-7373 ISSN 2199-7381 (electronic) World Sustainability Series ISBN 978-3-031-34435-0 ISBN 978-3-031-34436-7 (eBook) https://doi.org/10.1007/978-3-031-34436-7 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Preface
Sustainability is now a widely spread concept, and much progress has been achieved since the 1970s, when it started to be widely discussed. At present, many international organizations and scientists are active in implementing sustainable development as a whole, and the UN Sustainable Development Goals (SDGs) in particular. In this context, there is a perceived need to identify the means via which we may pursue a more sustainable world and identify barriers that prevent communities around the world to achieve a more sustainable way of life. Around 30th years after the first Earth Summit held in Rio de Janeiro in June 1992, research in the field of sustainable development is growing and is mobilizing academia, industry and civil society. Nevertheless, the main research agenda is being led by some countries, providing a good opportunity for other nations and regions which have not yet been so active, to bring their viewpoints to the global discussion. One of these regions is Latin America. Consistent with the need for more cross-sectorial and cross-cultural interactions among the various stakeholders working in the field of sustainability in Latin America and beyond, this book pursues two main aims: (a) to provide research institutions, universities, NGOs, government agencies and enterprises from the region with an opportunity to present their works in the field of sustainability; (b) to document and promote ideas and experiences acquired in the execution of sustainability projects, especially successful initiatives and good practice across the Latin America region. Last but not least, a further aim of the book is to present methodological approaches and experiences deriving from case studies and projects, which aim to show how sustainability may be enhanced in practice. The book is structured into three parts: Part I—Educational approaches and methods Part II—Practical initiatives Part III—Industry-Related Strategies
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Preface
The book presents various papers which present opportunities to pursue a sustainable world on the one hand and identify barriers that prevented communities to achieve a more sustainable way of life, on the other. We wish to thank all the authors who provided valuable contributions to this book, for their time and effort. We also thank the many reviewers who supported the process. Their cooperation was crucial for the preparation of the book and its final publication. We hope the experiences gathered in this book may support future initiatives on climate change mitigation and adaptation and inspire future work in these key areas. Hamburg, Germany Curitiba, Brazil Curitiba, Brazil Winter 2023–2024
Walter Leal Filho Fernanda Frankenberger Ubirata Tortato
Contents
Educational Approaches and Methods Sustainable Development Within Higher Education Institutions: The Occupational Health Field Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Barros Contribution to Social Sustainability and the Gender Equality at Public Universities: Women Empowerment in the Brazilian Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Barros Pursuing 2030 Sustainable Development Agenda Through Gender Equality: Synergies of Gender Diversity and Financial Performance in Brazilian Publicly Traded Companies . . . . . . . . . . . . . . . . Adriana Cristina Ferreira Caldana, Denise Bonifácio, and Julia Vicente Impact of a Social Responsibility Program on Citizen Education . . . . . . . Gisely Fernanda Rodrigues de Almeida, Alex Sandro Quadros Weymer, and Simone Cristina Ramos SDGs and Scientific Community: A Case Study of the University of Campinas (UNICAMP/Brazil) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Thais Aparecida Dibbern and Milena Pavan Serafim Teaching Strategies for Sustainability in Creative Disciplines . . . . . . . . . . Ana Elena Builes-Vélez, Juliana Restrepo Jaramillo, Natalia Pérez-Orrego, and Lina María Suárez-Vásquez Sustainable Development in Latin American Higher Education Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gricelda Herrera-Franco, Carlos Mora-Frank, and Paúl Carrión-Mero
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63 75
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Greening the University?: Assessing the Impact of Sustainability and SDGs in Universities’ Values and Strategies . . . . . . . . . . . . . . . . . . . . . . 111 Evandro Coggo Cristofoletti and Rómulo Pinheiro vii
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Practical Initiatives Gardening as a Roadmap for Sustainability in the Francophone Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 Chiara Lanza Mapping Sustainability Impacts on the Performance Assessment of Software Development Distributed Teams . . . . . . . . . . . . . . . . . . . . . . . . . 141 Maiara Cristina Feliceti, Edson Pinheiro de Lima, and Sergio E. Gouvea da Costa The Importance of Knowing What Your Customers Know to Drive Ecologically and Economically Effective Circular Design: A Case Study in Sports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Asia Guerreschi and Mateusz Wieloposki Preliminary Construct of Sustainable Product Development with a Focus on the Brazilian Reality: A Review and Bibliometric Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 Franciele Lourenço, Elpidio Oscar Benitez Nara, Marcelo Carneiro Gonçalves, and Osiris Canciglieri Junior An Initial Exploration of Lean and Sustainable Development with a Focus on Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 Daniela dos Santos Beckert, Matheus Beltrame Canciglieri, Ubiratã Tortato, and Osiris Canciglieri Junior Integrated Product Development Process and Green Supply Chain Management—Proposal for a Preliminary Model . . . . . . . . . . . . . . . . . . . . . 233 Alda Yoshi Uemura Reche, Osiris Canciglieri Junior, Marcelo Rudek, and Ubiratã Tortato The 2030 Agenda in the Socio-Technical Transition Context in the City of Curitiba: Set of Public Policies Directed at the SDG-11—Sustainable Cities and Communities . . . . . . . . . . . . . . . . . 247 Sérgio Luis Dias Doliveira, Sieglinde Kindl da Cunha, and Flavia Massuga Environmental Conflict and Contingent Valuation Method: Setting Up a Pilot Study on Biogas Plants Acceptance in Emilia Romagna . . . . . 265 Dottor Edoardo Maria Benassai Bike Sharing Systems and the Collaborative Economy: A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 Liliana Lotero Álvarez, Luis Horacio Botero Montoya, Jorge Calle D’Alleman, and N. I. Nicola Stepanie Klocke
Contents
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The Transformative Innovation Policy from the Perspective of the Innovation Spiral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Alvaro José Argemiro da Silva, Marcos Aurélio Larson, and Sérgio Luis Dias Doliveira Concomitant Infections by Dengue and COVID-19: Public Policies and Spatio-Temporal Analysis to Enhance Public Health Management in Brazil . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Márlon Luiz de Almeida, Noélia Moraes Aguirre Carnasciali, Luciene Pimentel da Silva, Edilberto Nunes Moura, Edson Maia Villela Filho, Felipe Favaretto, Isabella Carvalho Pagnussat, Matheus Luís Arnoni Mendes, Renan Kenzo Taguchi, Rodrigo de Paula Zardini, and Fábio Teodoro de Souza Sustainable Mobility and Governance in Medellín-Colombia . . . . . . . . . . 339 Liliana Lotero Álvarez, Luis Horacio Botero Montoya, and Laura Álvarez Industry-Related Initiatives and Strategies Permanences and Impermanences as Key Concepts for Sustainability: The Brazilian Urban Context . . . . . . . . . . . . . . . . . . . . . . 359 Marcio Siqueira Machado, Katia Atsumi Nakayama, and Fernanda Cantarim Biofuel for Energy Transition: The Bosch Case in Latin America . . . . . . 377 Cristina M. S. Ferigotti, Fernando de Oliveira Junior, Gustavo Santos Lopes, Marcus Vinicius Oliveira Lopes, Marcello Francisco Brunocilla, Rafael Lara Franco, and Walter Arens Vulnerability in Geosites: A Systematic Literature Review . . . . . . . . . . . . . 395 Gricelda Herrera-Franco, Josep Mata-Perelló, Jhon Caicedo-Potosí, and Paúl Carrión-Mero Proposal for the Design of an Artisan Dam (Tape) for the Water Resources Sustainability in Libertador Bolivar Commune, Manglaralto-Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409 Paúl Carrión-Mero, Josué Briones-Bitar, Gabriel Rivera-Vinces, Miguel Á. Chávez, and Roberto Blanco-Torrens Proposals for Adaptation of Stabilisation Works for Tourist Purposes and Conservation of Las Cabras Hill, Duran-Ecuador . . . . . . . 423 Nicolás Álvarez, Josué Briones-Bitar, Gricelda Herrera-Franco, Mariuxi Bonilla, Roberto Blanco-Torrens, and Paúl Carrión-Mero
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Contents
Biogas Propelling Initiatives: Trajectory, Current Scenario, and Perspectives for the Brazilian Context . . . . . . . . . . . . . . . . . . . . . . . . . . . 441 Andre Mateus Bertolino, Danielle Denes dos Santos, and Pasquele Marcello Falcone Reconciling Strategy and Corporate Social Responsibility: An Analysis of Brazilian Corporate Reports from the Perspective of Stakeholder Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459 Gustavo Leite Alvarenga, Juliana Hellvig, Bernardo Vaz de Oliveira Soares, and Carla Contreras Governance and Social Participation in Integrated Disaster Risk Management: A Case Study in Municipalities in Paraná (Brazil) . . . . . . . 475 Murilo Noli da Fonseca, Luciene Pimentel da Silva, and Carlos Mello Garcias Public Administration Ensuring Sustainable Companies by Leveraging ESG Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497 Eduardo Oliveira Agustinho and Kharen Kelm Herbst Sediment Transport Study for the Establishment of Erosion, Deposition, and Undermining Zones in the Manglaralto Riverbed, Santa Elena-Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511 F. Javier Montalván, Joselyne Solórzano, Emily Sánchez, Jennyffer Baque-Pozo, Lissette Barzola-González, Carolina Loor-Flores de Valgas, and Paul Carrión-Mero Vulnerability to Contamination of the Olón Aquifer Using the GOD Method, Olón-Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525 F. Javier Montalván, Joselyne Solórzano, Emily Sánchez-Zambrano, Idania Bailón-Piguave, Héctor Tomalá-Guale, Carolina Loor-Flores de Valgas, and Paul Carrión-Mero Public Policies as Drivers of Socioeconomic and Technological Transformation: A Transformative Innovation Policy Case Study . . . . . . 545 Moriel Savagnago and Danielle Denes Chinese Climate Diplomacy: Chinese Investment in Renewable Energy Sources in Brazil and Its Significance for Achieving the Aims of the Paris Climate Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . 565 Ingrid Buccieri and John J. Loomis New Product Development and Circular Economy: Exploratory Network Analysis and State of the Art . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 581 G. L. Bandeira, A. M. Chanquini, and U. Tortato The Sugar-Based Industry Operations Within Sustainability Practices Context: A Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 595 Donald Francisco Quintana Sequeira and Ubiratã Tortato
Educational Approaches and Methods
Sustainable Development Within Higher Education Institutions: The Occupational Health Field Example Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Barros
Abstract The sustainability term is widely used to define the scope of the principles and practices that are translated into the operationalization of actions and projects aiming to contribute to the citizens’ quality of life. Higher Education Institutions (HEIs) play a preponderant role in the implementation of sustainability, having among its objectives the promotion and improvement of the health and well-being of individuals and their environments, including work environments in the scope of actions encompassing the Sustainable Development Goals (SDGs) proposed by 2030 Agenda. The Work Health Promotion (WHP) must be aligned with the concept of sustainability in HEIs and one way of approaching this concept is through the Technical Cooperation Agreement (TCA) between HEIs and other public institutions, for an integrated and efficient approach toward the sustainability in the worker’s health issues. The World Health Organization (WHO) emphasized and consolidated that, compliance with the health-related SDGs, would only be possible through health professionals. The TCA presented in this research has the goal to translate the desired approach to achieve sustainable development (SD) in HEIs. This chapter will present and discuss the setup of the TCA established between the Federal University of Bahia (UFBA) and other federal public institutions during the implementation of the Federal Public Worker Health Care Integrated Subsystem (SIASS). In this context, the connections between the implemented agreements and the SDG 3, i.e., health and well-being, and SDG 17, i.e., partnerships for the goals, through public and public–private partnerships, will be addressed to support SD in HEIs. To achieve R. R. Borges (B) University Fernando Pessoa (UFP), Praça Nove de Abril, 349, 4249-004 Porto, Portugal e-mail: [email protected] Federal University of Bahia (UFBA), Rua Augusto Viana, s/n—Palácio da Reitoria, Canela, Bahia 41825-904, Brazil M. A. P. Dinis · N. Barros UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa (UFP), Praça Nove de Abril, 349, 4249-004 Porto, Portugal e-mail: [email protected] N. Barros e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_1
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the study’s objective, exploratory, descriptive, and qualitative research was made to identify how UFBA plays a leadership role in implementing sustainability practices in WHP policies and by establishing TCA in the field of occupational health with other public federal institutions in the state of Bahia. Keywords Sustainability · Work Health Promotion (WHP) · Technical Cooperation Agreement (TCA) · Sustainable Development Goals (SDGs) · Partnerships · Federal Public Worker Health Care Integrated Subsystem (SIASS)
1 Introduction Providing for the current needs of the population and ensuring that future generations can enjoy the planet’s natural resources (Giesenbauer and Müller-Christ, 2020) is the proposal of the Sustainable Development Goals (SDGs) in 2030 Agenda approved by the United Nations General Assembly (United Nations Sustainable Development Goals Knowledge Platform, 2015). In addition to playing a major role in designing an ecologically preserved environment, sustainable development (SD) can provide solutions to the most urgent global challenges (Leal Filho et al., 2021c). From an organization’s perspective, sustainability has three pillars. The economic, which seeks to add long-term value to the company, the environmental pillar, focused on the global system’s natural resources protection and the social, which proposes equal opportunities to meet individuals’ basic needs (Ludwig & Sassen, 2022). Culture, practices and work environments interfere in the employees’ health and well-being and can be a differential in healthy institutions (Machín-Rincón et al., 2020). Thus, to meet the SD challenges targeted by the SDGs, companies must act actively with creativity and innovation (Yamane & Kaneko, 2022). Higher Education Institutions (HEIs) are socially responsible for equipping people with the skills to exercise a profession as well as for producing and disseminating knowledge (Borges et al., 2022; Raji & Hassan, 2021), this way assuming leadership roles in the search for sustainability through social transformation (Awuzie and Abuzeinab 2019; Moura et al., 2019). In line with these efforts, to promote SD, universities restructured their actions by stimulating discussions about environmental issues and also by taking care of the workforce in their internal areas (Leal Filho et al. 2020). It is not an easy task and HEIs must be prepared to stimulate innovative practices at all institution’s hierarchical levels. It is imperative to review the ability to deal with complex and ambiguous issues, to be willing to perceive the world thorough, where economy, environment, and social responsibility act together for the university and society benefit (Moura et al., 2019; Giesenbauer and Müller-Christ 2020). In the SD social issues context, the SDG 3 proposes quality health for all individuals (United Nations 2015). Related to this goal are the Workplace Health Promotion (WHP) issues, understood here as the organization’s commitment to well-being and health improvement for workers (Landstad et al., 2017). This framework strengthens
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the concept that HEIs, through the Health Promotion (HP) and sustainability, adds value to the community in which they are inserted, and contributes to the people and the planet’s well-being (Dooris et al., 2021). Encourage actions aimed at sustainability requires the establishment of partnerships based on the needs and motivations of the actors involved. Differences between the partners and their different motives are key issues when establishing a technical cooperation, in line with the SDG 17, partnerships for the goals (United Nations 2015; Kurowska-Pysz and Szczepa´nska-Woszczyna 2017). Reciprocity and mutual learning, as well as synergy, should reflect commitment among partners (Groulx et al., 2021), this way proving to be an effective mechanism in meeting sustainability goals (Hauser & Ryan, 2021). Based on the principles listed above, this chapter will present and discuss, the Technical Cooperation Agreement (TCA) established by the Federal University of Bahia (UFBA) and other Brazilian public institutions in the federal public worker health (WH) care to contribute to the HP in these institutions. The said discussion will cover the expectations of each organization related to the established partnership, each stakeholder’s contribution to the agreement, as well as the results obtained from institutions’ collective.
2 Health Promotion and Sustainability The employees’ health and well-being are fundamental for a successful performance and productivity and is closely linked to planetary health (Dooris et al., 2021). The World Health Organization (WHO) sees workplaces as a priority for HP, since it’s where the employer spends most of its day at (Strickland et al., 2019). Therefore, it becomes necessary to implement measures that contribute to the improvement of workers’ health conditions (Landstad et al., 2017). WHP can make an approach to the working population health, fundamental to ensuring well-being and SD in workplaces health field (Jain et al. 2021). Sustainability for universities is no longer just an option, but a necessary strategy for responsible SD (Paletta & Bonoli, 2019). Workplaces require the institution to protect and promote workers’ health and well-being (United Nations 2015), as healthy workers have higher job satisfaction, better engagement and performance in tasks (Koinig & Diehl, 2021; Meacham et al., 2021). In the WHP field, HEIs seek health and sustainability transformation with an eye toward future generations and contribution to the planet’s well-being (Dooris et al., 2021; United Nations Sustainable Development Goals Knowledge Platform, 2015). WHP integrates constant actions proposed by the management, executed together with the workers to promote healthy workplaces (Landstad et al., 2017). Those are actions are aimed to employees’ physical and mental health to provide better organizational results (Greenberg et al., 2021). Allowing workers to monitor primary factors for their own health and work groups, should serve as a reference when implementing HP tools. With this contribution,
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WHP presents itself as an institutional strategy to benefit both the employee and the company (Meacham et al., 2021). The WHP success is a result of the entire institution’s participation (Sargent et al., 2018). WHP in the Brazilian federal public service is legitimized by Decree no. 6833, of April 29, 2009, establishing the Federal Public Worker Health Care Integrated Subsystem (SIASS) and the Public Worker Health Management Committee (Brazil, Civil House, 2009) and by Normative Ordinance no. 3, of May 7, 2010, that deals with the Policy for Attention to Federal Public Worker Health and Work Safety (PASS) (Brazil, Planning Ministry, 2010). The institutions of the Federal Administration Civilian Personnel System are guided by Normative Ordinance no. 3, of March 25, 2013 in this WH policy’s implementation (Brazil, Planning Ministry, 2013). SIASS coordinates and integrates 3 groups of actions directed at WHP in the Brazilian public service: 1—healthare assistance, 2—official medical expertiness, 3—health promotion, prevention and monitoring, i.e., care actions aimed to the worker’s physical, mental and well-being (Brazil, Civil House 2009; UFBA, 2015; United Nations 2015; Pereira et al., 2020). Figure 1 shown the relationship between WHP actions. By aggregating knowledge from several disciplines and requiring constant dialogue between health professionals, work safety engineering, environment, epidemiology, among others, the field of WHP is favorable to interdisciplinarity (Viterbo et al., 2020). This practice brings professionals and patients closer due to the health team’s interactive collaboration, addition of shared knowledge, and contributions to the workers’ health and well-being (Viterbo et al., 2019). Fig. 1 Workplace health promotion actions through Federal Public Worker Health Care Integrated Subsystem
Health promotion, prevention and monitoring
Official medical expertiness Healthcare assistance
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The healthcare assistance group is responsible for prevention care, health problems’ early identification, and worker’s rehabilitation (UFBA, 2015). In this group are included the various medical specialties, occupational therapists and social workers. Periodically examining workers constitutes a qualification of the occupational health that makes it possible to preserve the health of these professionals and to assess the possible exposures’ consequences to hazard factors in the workplace (Viterbo et al., 2019). The medical specialists are responsible to assess the worker’s health (UFBA, 2015). The professionals working in this area must be specialized in occupational medicine or occupational dentistry (Brazil, Economy Ministry 2020). This group acts at the admission, periodically, accordingly to the activities performed by each worker, in case of accident with or without sequelae, redistribution to another institution, dismissal and retirement. When any worker illness process is identified, the health promotion, prevention and monitoring centre intervene at workplace’s individual or collective basis (UFBA, 2015). This intervention is a multidisciplinary group, where besides medical and occupational therapy professionals and social workers, there are also occupational safety professionals. With this structure, network health care and sustainability are established (Paletta & Bonoli, 2019) with Brazilian public service workers from admission to retirement (Brazil, Civil House, 2009). These are essential health services for physical and mental health care, which contribute to worker’s well-being (UFBA, 2015; United Nations 2015). Health care and job satisfaction (Koinig & Diehl, 2021; Meacham et al., 2021) results in work’s excellence to the institution and society (Greenberg et al., 2021).
3 Partnerships in Health Care Establishing partnerships, public, public–private and with civil society to share and disseminate knowledge, technologies, skills, and financial resources integrate the SDG 17 framework, regarding sustainability goals’ implementation adopted by the United Nations in the 2030 Agenda (United Nations 2015). In the universities’ context, partnerships add value and make it possible to achieve the SDGs, which positively impact the university community’ daily life (Paletta & Bonoli, 2019). This group synergy based on the contribution is necessary and should not lose sight of fundamental exchanges to compose the whole, which in this case is the SDGs achievement (Groulx et al., 2021). The cooperation among the institutions must adhere to the parity resources, responsibilities, risks and benefits’ principle, as well as information and experiences exchange (Kurowska-Pysz and Szczepa´nska-Woszczyna 2017). When establishing this cooperation network, it is important to keep in mind that in some cases it can be necessary to train and develop skills collaborated to it self’s sustainability (Hernández-Diaz et al., 2021). Partnerships are implemented when institutions cannot solve their own problems, this way being necessary to seek support from other
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organizations (Giesenbauer and Müller-Christ 2020). However, a proposal for cooperation for sustainability implies facing issues, such as financial resources, which requires seeking funding, that minimizes the negative impact on the parties. This knowledge can contribute to the partners’ choice based on strengths and weaknesses’ assessment, the specificity in which they can act, in short, with which resources the parts can cooperate to the group (Dawa et al., 2021; Maier et al., 2016). Perceived health as a social sustainability element means developing awareness at the governmental, institutional, and consumer level (Gorgenyi-Hegyes et al., 2021). Within the WH field, understanding the external factors to the work, such as personal and employees’ family issues and internal factors such workplaces, workforce, culture, and institutional policies, are fundamental to gather all players (Dawa et al., 2021; Meacham et al., 2021). It can also be the starting point for establishing partnerships aimed at SD (Leal Filho et al. 2021a). WH care presupposes a multidisciplinary team that provides the necessary support to promote safety and well-being at workplace (Jain et al. 2021). They are continuously challenged to contribute with new proposals that enable critical thinking in sustainability, including these concepts incorporation in the institution itself (Leal Filho et al. 2021a) In this regard, implementing WHP in an HEI, means more than promoting WH and well-being and improving workplace conditions, it means showing society a commitment toward SD (Gorgenyi-Hegyes et al., 2021) and must be included among successful economic and social policies (Jain et al. 2021). In the universities’ case, this contribution can go beyond inner boundaries, by demonstrating their relevance to the community and potential partners (Leal Filho et al. 2021b). To enable the implementation of partnerships in WHP, the Brazilian government established through Normative Ordinance no. 1397, of August 10, 2012, basic guidelines for federal public institutions to establish TCAs (Brazil, Civil House, 2009; Brazil, Planning Ministry, 2012). This cooperation’s agreements make it possible to strengthen the health actions developed, provide for the rational use of materials, equipment, workforce, and facilities, as well as allowing the budget resources’ optimization of the institutions involved in the partnership (Brazil, Planning Ministry, 2012). Technical cooperation under the conditions proposed by Brazilian Government (Brazil, Planning Ministry, 2012) is a strategy to achieve SDG 17 (United Nations 2015). It reinforces the visibility of the issues of human well-being and health, proposed by SDG 3 (Paletta & Bonoli, 2019; Giesenbauer and Müller-Christ 2020). Being the best structured for health care and multidisciplinary health team composition, Brazilian federal HEIs have become responsible, in many states of the federation, for discussing projects and implementing SIASS units (Krölls et al., 2021). This prominent position has given universities the responsibility (Kurowska-Pysz and Szczepa´nska-Woszczyna 2017) to search for partners who could contribute with material or human resources (Brazil, Planning Ministry, 2012).
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4 Method To discuss the TCA on the Brazilian federal public WH care and the relationship with SDGs 3 and 17, a qualitative, descriptive, exploratory research was conducted (Leal Filho et al. 2021a,b) based on the actions that were taken by UFBA to initiate a SIASS unit in the Bahia state, Brazil. The exploratory research allowed the visualization of the arrangements (Moya et al. 2017) made between Brazilian’s federal public institutions. The data was collected from the UFBA (UFBA, 2015) and SIASS (Brazil, Planning Ministry, 2014, 2015, 2016a,b) websites, and from the National Press’ Official Federal Gazzete (Brazil, Planning Ministry 2011). After being organized into tables, the data showed and synthesized the cooperating institutions’ profiles. The goal of the agreements established was the health’s promotion of Brazilian’s public worker and their care. The subject was discussed based on scientific literature available in the SciElo, Scopus and Web of Science databases. With such research, it is possible to identify sustainability practices followed by the University (Moura et al., 2019) accurately describe the situation under study and understand the role of management (Meacham et al., 2021) in conducting the WHP policy’s process.
5 Results and Discussion Before the Decree no. 6833, of April 29, 2009 (Brazil, Civil House, 2009), there was concern at UFBA with issues related to workers’ health and well-being. The official medical expertness exclusively attended UFBA employees and other public institutions, when requested or by judicial determination. The University Medical Service Rubens Brasil Soares was composed of professionals from various medical specialties, psychologists, social workers, dentists, official medical expertness, occupational therapists, physiotherapists, and occupational safety engineers. A multidisciplinary team in WHP that was adequate to the determination of the Brazilian government in the PASS and SIASS establishment (Brazil, Planning Ministry, 2012). With social responsibility in mind, and with the addition of competent professionals in WHP (Moura et al., 2019), they were able to act for the benefit of its own workers and other institutions (Sargent et al., 2018; Awuzie and Abuzeinab 2019; Gorgenyi-Hegyes et al., 2021), and creatively innovate to respond to SDG 3 and 17 (United Nations 2015; Yamane & Kaneko, 2022). UFBA has proven qualified to initiate the first SIASS unit in the state of Bahia, Brazil (UFBA, 2015). In 2011, the UFBA signed a TCA with the following objectives: disease prevention, promotion, and monitoring, performing actions and activities related to the public workers’ health, official medical and dental expertness and assistance to ensure the PASS (Brazil, Planning Ministry, 2010) with eight other federal government institutions located in the same region and the Planning Ministry, Budget and Management (Brazil, Planning Ministry, 2011). Figure 2 shows which federal public institutions joined UFBA SIASS formation in 2011.
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Education • Federal University of Bahia • Federal Education, Science and Technology's Institute of Bahia • Federal University of Recôncavo da Bahia Health • National Suplementary Health Agency • National Health Fundation Mines and energy • Mineral Production's National Department Transports • National Agency for Waterway Transport Environmental • Biodiversity Consservation's Chico Mendes Institute Financial • Finance Ministry's Superintendence of Administration Fig. 2 Institutions that joined the first Federal Public Worker’s Health Integrated Subsystem in the state of Bahia, Brazil
Several Brazilian federal public service institutions in the state of Bahia comprised the first Federal Public Worker’s Health Integrated Subsystem unit. In the education field, in addition to UFBA’s, the Federal Education, Science and Technology’s Institute of Bahia and Federal University of Recôncavo da Bahia are included. In the health field, the National Supplementary Health Agency, and National Health Foundation. The Mineral Production’s National Department is linked to mines and energy, and National Agency for Waterway Transport, to transports. In the environmental field, the Biodiversity Conservation’s Chico Mendes Institute and Finance Ministry’s Superintendency of Administration, in the financial field (Brazil, Planning Ministry, 2011). This partnership resulted from the institutions’ need to resolve issues related to the employees’ health and not having, by themselves, the necessary conditions to overcome this challenge (Maier et al., 2016; Strickland et al., 2019; Giesenbauer and Müller-Christ 2020). It contributes to WHP to promote the region and country development to which the institutions belong (Jain et al. 2021; Leal Filho et al. 2021a,b). The commitment made in the TCA expressed reciprocity exchange between the parties, demonstrates effectiveness in resolving individual and collective issues in the organizations, as well as contributes to improve the employee’s health and wellbeing and sustainability goals achievement (Leal Filho et al. 2020; Groulx et al., 2021; Hauser & Ryan, 2021). In addition to administrative issues, it was necessary for the responsible team to implement actions aimed at the workers’ health, to be aware of the work culture and practices that could interfere with workers’ health and well-being (Machín-Rincón et al., 2020; Hernández-Diaz et al., 2021; Leal Filho et al., 2021c).
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There are many benefits to implementing this partnership (Hauser & Ryan, 2021). The institutions were able to share office supplies, equipment, workplaces for the work teams, specialized workforce, and knowledge about worker’s health. With a complete team of engineering and occupational medicine professionals, the organizations’ employees have a more effective follow-up on health issues, with emphasis on WH. The interdisciplinary nature of the occupational health team is also a benefit to partners and employees, while knowledge is discussed and socialized, improving WHP policies (Viterbo et al., 2019, 2020). By demonstrating to the worker concern with the conditions under which tasks are performed by them, resulting in possible adverse health conditions, the SIASS partner institutions serve as a model for other public institutions seeking to implement a similar excellence system at WHP (Greenberg et al., 2021; Koinig & Diehl, 2021; Meacham et al., 2021). In this specific cooperation, UFBA contributed qualified professionals in WHP and workplace for the occupational health team. The other organizations provided equipment, office supplies, and workers for the administrative area (Dawa et al., 2021; Ludwig & Sassen, 2022). Thus, resources, knowledge, duties, and rights are shared (Kurowska-Pysz and Szczepa´nska-Woszczyna 2017; Raji & Hassan, 2021; Borges et al., 2022). It is a professional occupational safety’s attribution to investigate the workplaces’ conditions, performed tasks and protocols’ execution, constituting the initial process of identifying possible workers’ health problems. This knowledge is fundamental to the SD practices of each institution and to their set, represented by SIASS, according to SDGs 3 and 17 (United Nations 2015; Paletta & Bonoli, 2019; Dooris et al., 2021). At a given moment, these actions that made up the WHP promotion, prevention, and monitoring group, subsidized the decisions of official medical expertness and health assistance. However, it must be kept in mind that they are complementary actions, that is, the issues identified in a group, trigger the care to be implemented by the others (Brazil, Civil House, 2009). Because it is sustained in health care, official medical expertness, promotion, prevention, and monitoring employee’s health, the WHP coordinated by SIASS maintains constant dialogue with the management to seek solutions beneficial to all (Greenberg et al., 2021; Landstad et al., 2017). The partnerships established in the WHP have gone beyond being beneficial to employees (Meacham et al., 2021; Sargent et al., 2018). Stimulating in organizations the desire to build new partnerships around the same goal and expand agreements for employee wellness and health toward sustainability on the planet (United Nations Sustainable Development Goals Knowledge Platform, 2015; Dooris et al., 2021; Jain et al. 2021). This critical thinking in SD (Leal Filho et al. 2021a) directed to the health of Brazilian federal public workers contributed to the new SIASS units’ creation: Federal University of Recôncavo da Bahia, Federal Institute Baiano and the Health Ministry (Brazil, Planning Ministry 2014, 2015, 2016a). From this restructuring, the UFBA’s SIASS unit became SIASS—University Medical Service Rubens Brasil Soares adding new institutions (Brazil, Planning Ministry, 2016b), as it can be observed in Fig. 3.
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Education
Health
• Federal University of Bahia • Federal University Western of Bahia • Federal Institute Baiano • • • • • •
National Suplementary Health Agency National Health Foundation Oswaldo Cruz Foundation Health Vigilance National Agency National Institute of Social Security Jorge Duprat Figueiredo Foundation for Occupational Safety and Medicine
Mines and energy
• Mineral Production's National Department
Transports
• National Agency for Waterway Transport • Land Transportation National Agency
Environmental
Regulation
Statistics
Federal executive power
• Biodiversity Conservation's Chico Mendes Institute • Colonization and Agrarian Reform National Institute • Works Against Drought Department
• Telecommunications National Agency
• Brazilian Institute of Geography and Statistics Foundation
• Agriculture Ministry, Livestock and Supply • Economy Ministry
Fig. 3 Federal Public Worker’s Health Integrated Subsystem—University Medical Service Rubens Brasil Soares
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In this SIASS—University Medical Service Rubens Brasil Soares structure, UFBA, National Supplementary Health Agency and the National Health Foundation, Mineral Production’s National Department, National Agency for Waterway Transport and Biodiversity Conservation’s Chico Mendes Institute, remain. In education field, Federal University Western of Bahia, and Federal Institute Baiano, were added. Linked to the health field, the Oswaldo Cruz Foundation, National Health Surveillance Agency, National Institute of Social Security, Jorge Duprat Figueiredo Foundation for Occupational Safety and Medicine, signed the new agreement. The National Land Transport Agency has added efforts in the transport field. Related to the environment, the National Institute of Colonization and Agrarian Reform and the Department of Works Against Drought requested to participate in the cooperation. In regulation field, the National Telecommunications Agency joined the group. The Brazilian Institute of Geography and Statistics Foundation, in the field of statistics, was accepted into the TCA. Completing the group, the Agriculture Ministry, Livestock and Supply and the Economy Ministry of executive power, signed the agreement (Brazil, Planning Ministry, 2016b). The above SIASS—University Medical Service Rubens Brasil Unit’s composition shows the importance of the first TCA established by UFBA and other institutions in WHP actions. The knowledge produced stimulated to adjustments, new WH units’ creation and the existing unit expansion (Brazil, Planning Ministry, 2011, 2016b). It also makes it clear that the commitments made through technical partnerships, even with the challenges faced in team and resources building and managing, are fundamental to the success of the agreements (Hauser & Ryan, 2021). Empowered partners are key factors to WHP and essential to the health and wellness goals encouraged by 2030 Agenda, in particular SDGs 3 and 17 (United Nations 2015; United Nations Sustainable Development Goals Knowledge Platform, 2015; Meacham et al., 2021), addressed in the specific case of this chapter.
6 Conclusions TCAs in the Brazilian federal public service are instruments that formalize cooperation between institutions that seek best practices develop in WHP, for workers in their internal areas. It also contributes to sustainability through SDG 17, by establishing partnerships that seek the workers’ health and well-being as proposed by SDG 3. The structure for promoting WH at UFBA precedes the Policy for Attention to Health and Safety of the Federal Public Worker (PASS) and the Integrated Subsystem of Health of the Federal Public Worker (SIASS). Reference in occupational health for its employees, UFBA has the technical capacity to implement partnerships in this field. There are no publications on the terms of cooperation signed for the WHP between Brazilian federal public institutions. However, the most recent TCA established is available on the federal government’s SIASS website. In the state of Bahia, the TCA that aggregates the largest number of institutions gathers UFBA, Federal University
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Western of Bahia, Federal Institute Baiano, National Supplementary Health Agency, National Health Foundation, Oswaldo Cruz Foundation, Health Vigilance National Agency, National Institute of Social Security, Jorge Duprat Figueiredo Foundation for Occupational Safety and Medicine, Mineral Production’s National Department, National Agency for Waterway Transport, Land Transportation National Agency, Biodiversity Conservation’s Chico Mendes Institute, Colonization and Agrarian Reform National Institute, Works Against Drought Department, Telecommunications National Agency, Brazilian Institute of Geography and Statistics Foundation, Agriculture Ministry, Livestock and Supply and Economy Ministry. TCAs provided for WHP are divided in three groups: promotion, medical assistance, and medical expertness. Together, these groups constituted an elevation towards the improvement of the workers’ health conditions and well-being, which shows the institutions’ effort in line with SD, in this case, the SDG 3. The cooperation signed by the above organizations, besides contributing to the workers’ occupational health, should be seen as a favorable initiative to achieve the SDGs, because it strengthens the need to share financial and human resources among the participating institutions. These mobilized resources promote the development, transfer, dissemination, and diffusion of technologies and knowledge, increasing the implementation of policies for SD. Perseverance and hard work in establishing TCAs directed to WHP makes the SIASS—University Medical Service Rubens Brasil Soares unit at UFBA, a success in the field of occupational health and confirms to society the relevant role that HEIs occupy for SD effective achievement as thought in 2030 Agenda by the United Nations Assembly. Acknowledgements Maria Alzira Pimenta Dinis, and Nelson Barros would like to demonstrate their gratitude for the support of the Energy, Environment and Health Research Unit of FP-ENAS under the project UID/MULTI/0546/2019.
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UFBA. (2015). SIASS completa um ano em atividade na UFBA—Conquista [SIASS completes one year of activity at UFBA—Conquista]. Retrieved from http://www.ims.ufba.br/noticias/siasscompleta-um-ano-em-atividade-na-ufba-conquista. United Nations. (2015). Objetivos de Desenvolvimento Sustentável [Sustainable Development Goals]. Retrieved from https://unric.org/pt/objetivos-de-desenvolvimento-sustentavel/. United Nations Sustainable Development Goals Knowledge Platform. (2015). Transforming our world: the 2030 agenda for sustainable development. Retrieved from https://sustainabledevelop ment.un.org/post2015/transformingourworld. Viterbo, L. M. F., Dinis, M. A. P., Vidal, D. G., & Costa, A. S. (2019). Implementation of an interdisciplinary approach to promote workers global health status in the oil industry, Brazil (2006–2015). International Journal of Environmental Research and Public Health, 16, 2148. https://doi.org/10.3390/ijerph16122148. Viterbo, L. M. F., Costa, A. S., Vidal, D. G., & Dinis, M. A. P. (2020). Workers’ healthcare assistance model (WHAM): Development, validation, and assessment of sustainable return on investment (S-ROI). International Journal of Environmental Research and Public Health, 17, 3143. https:/ /doi.org/10.3390/ijerph17093143. Yamane, T., & Kaneko, S. (2022). The Sustainable Development Goals as new business norms: a survey experiment on stakeholder preferences. Ecological Economics, 191, 107236. https://doi. org/10.1016/j.ecolecon.2021.107236.
Rives Rocha Borges is PhD candidate at University Fernando Pessoa (UFP), Porto, Portugal. Graduated in Civil Engineering at Federal University of Bahia (UFBA), Bahia, Brazil. Graduated in Mathematics at Federal University of the São Francisco Valle (UNIVASF). Administration Specialist, Occupational Safety Engineering Specialist, Occupational Hygiene Specialist, MSc in Health, Environment and Work, and Civil Engineer at Federal University of Bahia, Bahia, Brazil. Math’s Teacher at State Public Network, Bahia, Brazil. Maria Alzira Pimenta Dinis PhD, MSc and Associate Professor at University Fernando Pessoa (UFP), Porto, Portugal. Researcher at FP-ENAS, UFP Energy, Environment and Health Research Unit, Porto, Portugal. Her specialised expertise includes CO2 geological storage, Reservoir modelling, environmental science, Environmental education, Environmental and Human Health, Waste management, Sustainability and others. Editorial Advisory Board Member in Energy Sources, Part A: Recovery, Utilization, and Environmental Effects, Taylor & Francis, Editorial Board Member in Rudarsko-geološko-naftni zbornik (The Mining-Geological-Petroleum Engineering Bulletin), Faculty of Mining, Geology and Petroleum Engineering, University of Zagreb, Guest Editor in Sustainability, MDPI AG, Environmental Institutional Awareness in the Context of Sustainable Development and PUBLONS Academic Advisor. Author of numerous publications and experienced reviewer. Nelson Barros is graduated in Environmental Engineering, MSc in Thermal Engineering an PhD in Environmental Sciences. Is member of the Editorial Board of the Journal of Ecological Engineering and member of the Reviewer Board of the MDPI journal Atmosphere. Currently, is Associate Professor at University Fernando Pessoa, coordinator of the PhD program in Ecology and Environmental Health and coordinator of the Laboratory of Research in Energy, Environment and Environmental Health (3ERL), a Research Group of the Fernando Pessoa Research Unit in Energy, Environment and Health (FP-ENAS).
Contribution to Social Sustainability and the Gender Equality at Public Universities: Women Empowerment in the Brazilian Context Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Barros
Abstract Organizations worldwide are facing challenges in order to achieve the Sustainable Development Goals (SDGs) integrating the 2030 Agenda, defined by the United Nations (UN). Among these goals, it is the SDG 5 on gender equity (GE), which addresses the need to increase the necessary skills for workers to achieve empowerment and leadership in management positions. Full and effective participation with equal opportunities to women to occupy leadership positions in all sectors of society must be guaranteed, reducing gender inequality, thus allowing social sustainability to be accomplished. Slowly but gradually, the understanding about the SDG 5 is gaining strength in the context of the Brazilian society. With the slogan “The woman’s place is wherever she wants!”, the Brazil’s women seek to guarantee equal rights and opportunities. With women representing 51.8% of the Brazilian population, the GE in Brazil is a significant daily achievement. An exploratory study was conducted to collect the data, through a quantitative and qualitative descriptive approach. This chapter will connect the women empowerment (WE) with the effective occupation of the top career positions at Federal University of Bahia (UFBA). This subject is an important issue in the social sustainability context in a public university in the north-eastern region of Brazil. The chapter will discuss the GE as proposed by the UN in SDG 5, based on the fact that 45.8% of high hierarchical positions at UFBA are occupied by women, therefore illustrating the WE as part of the social responsibility’s trajectory towards the full achievement of societal sustainable development. R. R. Borges (B) University Fernando Pessoa (UFP), Praça Nove de Abril, 349, 4249-004 Porto, Portugal e-mail: [email protected] M. A. P. Dinis Federal University of Bahia (UFBA), Rua Augusto Viana, s/n – Palácio da Reitoria, Canela, Bahia 41825-904, Brazil e-mail: [email protected] M. A. P. Dinis · N. Barros UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa (UFP), Praça Nove de Abril, 349, 4249-004 Porto, Portugal e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_2
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Keywords Gender equality (GE) · Women empowerment (WE) · Leadership position · Sustainable development goals (SDGs) · Social responsibility
1 Introduction Building sustainability through actions that generate stability and well-being for people is a significant challenge for society (Moya et al., 2017). In gender-related issues, the challenges are greater, as they involve access to basic rights and equal opportunities to ensure that women can occupy higher leadership positions in the nations’ economic, political, or public segments (Neary & Osborne, 2018; United Nations, 2015). Over the years, women have been disqualified in society. Usually, domestic work is associated with them, being considered a low-skilled intellectual activity. This lower social recognition is reflected in fewer job opportunities, lower salaries, and reduced opportunities to occupy strategic positions in the companies’ management (Leal Filho et al., 2020; Medupin, 2020). This situation requires cultural and structural changes that enable women to rise equally in the social, labour, or economic spheres (Moya et al., 2017). The critical and fundamental role that Higher Education Institutions (HEIs) play in promoting sustainability in accordance with 2030 Agenda by United Nations (UN) is key to ensure the Sustainability Development Goals’ (SDGs) success (United Nations Sustainable Development Goals Knowledge Platform, 2015; Leal Filho et al., 2021). Leaders in education, research and innovation, the universities are references to society in sustainable development and social sustainability fields, hence contributing to the improvement of organizational performance (Blasco et al., 2019, 2021; Sepasi et al., 2018). As thought makers, HEIs must embed in their own culture, effective policies that contribute to SDGs’ achievement, besides promoting sustainability throughout the knowledge production and its dissemination (Blasco et al., 2021; Borges et al., 2022). Changes that seek the institution’s readjustment toward a favourable sustainability management (Pedro et al., 2021), that it’s able to understand culturally diverse perspectives and practices to promote a fairer society for all, (Casarejos et al., 2017) are required. Based on these internal transformations, universities can contribute to SDG 5, gender equality (GE), advocating for equal opportunities to occupy top management positions (MP) and, as consequence, collaborating with women empowerment (WE) (Blasco et al., 2019, 2021; United Nations, 2015). Gender diversity in academia shows slow but steady growth. Even with the increasing in attendance numbers of women’s students in university courses, the numbers of females reaching higher hierarchy positions are still proportionally low (Sułkowski et al., 2019). In Brazil, where women represent 51.8% of the population (IBGE 2019), the achievement of SDG 5 (United Nations, 2015) is a daily effort that growths in strength, with the slogan: “The woman’s place is wherever she wants!” (UNICEF Brazil, 2019).
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The admission to the Brazilian civil service occurs through competitive examinations, according to the law and the regulations of the respective career plan (Brazil, Civil House, 1990), without gender distinction. The Federal University of Bahia (UFBA) workforce consists of teachers and administrative staff (UFBA, 2010). From this perspective, this chapter will discuss the GE at UFBA, through the women’s employment on the Institution’s highest hierarchy positions. The fact that 45.8% of the top career positions at a federal public university in north-eastern Brazil are held by women, reflects UFBA’s progress in implementing the SDGs proposed in the UN’s 2030 Agenda, especially the responsibility towards society and WE. Much remains to be done to fully achieve SDG 5, but the cultural barriers, where men’s power predominates, have been gradually overcome.
2 Gender Equality and Social Responsibility The millennium goal and commitment signed in the UN’s 2030 Agenda, with sustainability on the planet, brings in its framework, the human rights respect with emphasis on the GE (United Nations, 2015; United Nations Sustainable Development Goals Knowledge Platform, 2015) and WE (Moya et al., 2017), which are necessary parameters for stakeholders to evaluate the organizations’ social responsibility with SDG 5 (Ludwig & Sassen, 2022; Suárez-Cebador et al., 2018), i.e., with the gender inequalities’ reduction (Andrade Navia et al., 2019; Berchin et al., 2021; Caputo et al., 2021). From the sustainable development’s standpoint, interventions carried out by public or private organizations, that contributes to improving society’s quality of life, (Vallejo-Montoya et al., 2020) are understood as essential responsibility for society (Moya et al., 2017). Thus far, and regarding to stakeholders, Universities should devote more time and resources to compassion and to social relevant actions (Barbu et al., 2022; Khovrak, 2020) that mitigate the negative impacts on the environment and reduce civil problems, without affecting corporate gains (Dyck & Caza, 2022). Along with the importance in conducting research, producing knowledge, and innovating (Blasco et al., 2019; Borges et al., 2022), HEIs assume the developers’ position, as well as of institutions capable to initiating the implementation of these sustainability measures (Blasco et al., 2019, 2021; Sepasi et al., 2018). Closely linked to social responsibility, the GE is recognized as a fundamental right by most countries, with the expectation of collaborating with economic improvement, job creation, and poverty reduction (Diogo et al., 2021). In this context, by encouraging and promoting discussions on social sustainability in gender issues, organizations encourage equal rights among individuals, which play a fundamental role to guarantee women’s place on senior MP in these companies (Neary & Osborne, 2018; Leal Filho et al., 2021). The occupation of high hierarchical positions in companies, is a right not fully conquered by women, who are still, most of times, the only ones responsible for family’s care, regardless of their employment in formal work setting (Galletta et al., 2022).
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Gender inequality can result in injustice (Ramos et al., 2022), whereby in workplaces is expressed through limited opportunities, including the representation in top management in the organizations (Leal Filho et al., 2020; Medupin, 2020). The low representation of women in a company’s higher positions, is an indication that further discussion is necessary about inclusive policies that promote changes in a company’s culture (Daher et al., 2022; Moya et al., 2017) and that should guarantee the access of any individual to top management, without gender as a barrier (Xiao et al., 2020). At this juncture, HEIs must exercise the role they have been entrusted with, to the full realization of the SDGs (Blasco et al., 2019, 2021; Borges et al., 2022), i.e., to promote competencies for sustainability in areas within the campus and to serve as an example to society, in the specific case of the GE, of how to ensure women’s presence in strategic positions in the institutions’ management (Ferguson & Roofe, 2020). By ensuring women’s professional advancement, universities contribute to SDGs social focus (United Nations, 2015), institutional performance and the WE in workplaces (Blasco et al., 2019, 2021; Sepasi et al., 2018).
3 Women Empowerment The gender approach has been added to public policies to reduce inequality and supplant discriminatory behaviours (Daher et al., 2022). GE promotion success occurs slowly, however women continue to be disadvantaged in various society’s segments (Diogo et al., 2021; Sułkowski et al., 2019), including in the professional sphere (Machín-Rincón et al., 2020; Medupin, 2020; Sułkowski et al., 2019). This situation emphasizes the need to strengthen these policies in such a way that women can be effectively empowered (Blasco et al., 2019, 2021; United Nations, 2015). Gender inequality is a dynamic process, presenting constant advances in new spaces or new formats, which makes it difficult to identify and confront it to correct this matter (Diogo et al., 2021). Accordingly, State’s interventions should provide ways to subdue and overpower gender imbalance, as well as ways to structure the engagement against these inequalities (Daher et al., 2022). Organizations are culturally structured on unequal rights between men and women, where male control is predominant (Sułkowski et al., 2019). To rectify this situation, it is necessary the establishment of measures that promote women’s professional advancement (Casarejos et al., 2017). When it comes to highest leader positions, the women’s invisibility is more significant, because it reduces their insertion in the nation’s strategic areas, such as economy and politics (Neary & Osborne, 2018). From this point of view, the UN has included the GE among the 2030 Agenda’s goals for sustainability on the planet, stressing the need to the WE support in these goals achievement (Oppi et al., 2021). Through inclusive practices, for instance the GE, healthy companies seek to promote sustainable development and boost their own sustainability (Machín-Rincón et al., 2020). Practices that are associated with decision-making positions, awaken in women a sense of belonging and empowerment (Son-Turan, 2021).
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Not overlooking potentials between men and women, is a sustainability practice on the rise in HEIs worldwide, which present themselves as transformation’s agents capable of accelerating the SDGs’ implementation (Blasco et al., 2019, 2021; Borges et al., 2022). However, when looking at the growing numbers of female students and workers in universities, also comparing it to the amount of those in higher hierarchical positions in these same institutions, it is noticeable that improvement policies are needed to ensure these professionals greater access to higher placements (Sułkowski et al., 2019). This imbalance has awakened the academia for gender issues, since women comprise the workforce’s majority in several countries (Leal Filho et al., 2020). Also, it is a situation that generally reflects the institutional culture (Andrade Navia et al., 2019). Ensuring the women’s access to leadership positions in HEIs, means giving visibility to stakeholders and to society as a whole, in addition to actions carried out in internal areas that do not corroborate gender discrimination and subjugation (Barbu et al., 2022; Khovrak, 2020). The positive impacts resulted from these actions, demonstrate the University’s commitment and responsibility towards equality of rights on society (Dyck & Caza, 2022), as stated in SDG 5 (United Nations, 2015).
4 Method The goal of this chapter is to discuss GE at UFBA based on the SDG 5 delimitation of the UN 2030 Agenda. To demonstrate how a public federal university in Brazil’s north-eastern region seeks to achieve sustainability, with responsibility to society, by ensuring that women have space in the institution’s top management, an exploratory search (Andrade Navia et al., 2019) was conducted on the University’s website to collect data regarding the leadership positions. Including the hierarchical level, occupants’ gender, and possible access’ forms. An exploratory research consists of observing how a phenomenon occurs in the actors’ context involved in the process. It allows propositions’ elaboration from a set of results, however, it does not allow the statistics found to be generalized. (Moya et al., 2017). After data collection, a flowchart was generated with the possible positions at University’s top hierarchy and a comparative graph of its occupants, divided by gender. A quantitative and qualitative analysis was carried out from the data, and then distributed in the graph, to better understand how the GE occurs in the Institution. The analysis’ findings were arranged by establishing a relationship between study and available theoretical positions (Moya et al., 2017). The articles’ selection contemplated the keywords: “Sustainable Development Goals,” “sustainability,” “Work Health Promotion,” “Technical Cooperation Agreement,” “partnerships,” Federal Public Worker Health Care Integrated Subsystem.“ These results were discussed based on scientific articles available in SciELO, Scopus and Web of Science databases. While selecting the articles, the following keywords were used: “gender equality,” “women empowerment,” “United Nations 2030 Agenda,” “Sustainable Development Goals,” “social responsibility,” “Higher Education Institutions”.
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5 Results and Discussion UFBA, a Brazilian university founded in 1808, aggregated in its institutional objectives the social responsibility in favour of overall sustainability, promoting equity and fighting the discrimination arising from the gender distinction (UFBA, 2010), therefore aiming to ensure that women working at the University are better represented in the MPs. The public competitive examination is the way to access public service (Brazil, Civil House, 1990). Top of management hierarchy is held according to the specific rules of each institution, preferentially among public workers effectives (Brazil, Civil House, 1990; UFBA, 2010). UFBA’s workforce is made up of 5,822 workers, where 3,206 of these are women (UFBA, 2021). Figure 1 shows how managers can be defined at UFBA, without considering gender issues. According to the technical criteria, the management at UFBA is generally delegated to teachers or technical-administrative workers from the federal public administration. The highest MPs comprise Rector, Vice-Rector, Pro-Rectors, Special Advisors, Superintendents, Teaching Units Directors and Directors of other collegiate sectors. The Pedagogical Coordination is part of Course coordination’s commissioned functions. No specific qualifications are required for the Gratified functions. Teachers have the exclusive functions of Rector, Vice-Rector, Graduation’s Pro-Rectories, Ph.D. Pro-Rectories and Course Coordinator (UFBA, 2010, 2022). Federal workers
Management positions
Administrative technicians
Teachers
Course coordinations’ commissioned functions
Fig. 1 Leadership positions at UFBA
Gratified functions
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In addition to the production and dissemination of knowledge, HEIs have a social responsibility to act as a driving force to achieve the SDGs (Borges et al., 2022). From the planet’s sustainability segment, it is possible to identify the GE in the institution, through the occupation of women in top career positions and the possible ways of accessing these functions. At UFBA, managers are appointed according to the position’s expertise required. The exception is in the Rector, Vice-Rector and Teaching Units Directors positions, that are held by teachers who submit to a secret ballot (UFBA, 2010). As it can be observed in Fig. 2, UFBA has in its structure 671 senior position in leadership, where 116 are MPs, 189 are Course coordination’s commissioned functions and 366 are Gratified functions. In UFBA, women occupy, as in January of 2022, 307 of these positions, corresponding to a total of 45.8%. An analysis by segment shows that women’s leadership in 50 MPs (43.1%), 84 Course coordination’s commissioned functions (44.4%) and 173 Gratified functions (47.3%) (UFBA, 2022). The results presented in Fig. 2, show a general trend towards the balance in the top positions’ occupation at the University (UFBA, 2022), illustrating that efforts are being made to stimulate changes in society (Moya et al., 2017) on issues related to GE (Barbu et al., 2022; Khovrak, 2020) as suggested by the UN in 2030 Agenda’s to SDG 5 (Neary & Osborne, 2018; United Nations, 2015). UFBA demonstrated its active role as a key institution for sustainability (Borges et al., 2022; Leal Filho et al., 2021; United Nations Sustainable Development Goals Knowledge Platform, 2015), evidencing the women’s importance as managers in the most diverse Institution’s areas. Being the majority in the Brazilian population (IBGE, 2019) and in UFBA’s workforce (UFBA, 2021), women continuous to conquer GE in the Institution, by occupying University’s high positions management (UFBA, 2021). Still, changes are needed in UFBA’s organizational culture (Andrade Navia et al., 2019; Moya 250
Quantity (unit)
200
Men Women
150 100 50 0
Management positions Course coordination's Gratified functions commissioned functions Leardership positions
Fig. 2 Leadership positions occupants at UFBA by gender, January 2022
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et al., 2017; Sepasi et al., 2018), for this significant labour’s contingent (Leal Filho et al., 2020) to achieve greater representation at the top University’s management hierarchy. One can also infer from Fig. 2 the need to better explore the working women’s potential (Daher et al., 2022; Diogo et al., 2021), who continue to be in disadvantaged in most prominent positions (Machín-Rincón et al., 2020; Medupin, 2020; Sułkowski et al., 2019) at University’s structure (UFBA, 2022). Women have a greater placement in positions at third hierarchical management’s level (UFBA, 2022), which represents a greater advance at hierarchy’ basis than in highest positions. Because elections for these positions are not required in the context of this study, social responsibility exercised by the University in achieving SDG 5 is more evident, both in the WE (Moya et al., 2017; Oppi et al., 2021; Son-Turan, 2021; United Nations, 2015) and the Institution’s sustainability. UFBA has ensured women’s access to top positions in University’s hierarchy to compensate the inequality of gender (Leal Filho et al., 2020; Medupin, 2020; Ramos et al., 2022). The occupation of top career positions by women (Casarejos et al., 2017; Ferguson & Roofe, 2020) at UFBA, is a stimulus for this gender to ascend professionally at the University. An action that demonstrates the Institution’s responsibility with equal rights between genders (Vallejo-Dyck & Caza, 2022; Montoya et al., 2020; Xiao et al., 2020) and that provides opportunities for female workers to occupy any top leadership positions in the organizational structure of UFBA (Oppi et al., 2021; Son-Turan, 2021; UNICEF Brazil, 2019).
6 Conclusions Related to gender issues, women have been treated unfavorably throughout the years, in the most diverse society’s segments. This inequality has been perpetuated due to the culture, having their rights often ignored. Accordingly, UN 2030 Agenda’s proposal, in relation to GE, aims to implement actions that ensure women’s rights in all instances. Recognizing that this equality favors the economy, by stimulating the creation of new jobs and contributing to extreme poverty’s reduction. Specifically in HEIs, elevating women to leadership positions goes beyond recognizing the gender issues. It means providing fair work, that respects the individual’s qualifications, giving women the authority to respond to the institution’s issues, and serving as an example for other women to conquer more management spaces in whatever segment they are interested in. From this perspective, HEIs, as institutions capable to sustainable development driving, have the responsibility towards society as tool to ensure the female gender’s full access to university management hierarchy’s top positions, and as consequence, promoting WE. This study shows how UFBA, as the leader institution, is fundamental to sustainability achievement at this regard, ensuring the SDG’s 5 implementation, the GE, in its internal areas. Representing the UFBA’s workforce majority, women currently occupy almost half of the top management positions. The largest representation
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is found in Gratified functions and Course coordination’s commissioned functions, respectively. Where both are two of the lower classes at the Institution’s management hierarchy bottom. In the lowest position of the hierarchy, women are the majority, with positions being occupied by individuals indicated by the upper management. Female’s better placements in course coordination is also perceived, which can be explained by the fact that women make up UFBA’s teacher majority. At the top of the hierarchy, women are less represented, since most of these MP are occupied respecting the Rectors and Unit Director’s elections. Generally, this study presents the GE favorable conjuncture. For rights’ equality full achievement, the UFBA must implement or expand inclusive policies that ensure that more women are elevated to the highest university management positions. Perhaps following the quotas’ adoption for positions’ occupation that does not require election and proportionality of candidates, in cases where there is a choice by secret ballot. These measures would corroborate the UFBA’s social responsibility with gender inequality reduction and would ensure the WE, in accordance with the SDGs proposed by the United Nations. Acknowledgements Maria Alzira Pimenta Dinis, and Nelson Barros would like to demonstrate their gratitude for the support of the Energy, Environment and Health Research Unit of FP-ENAS under the project UID/MULTI/0546/2019.
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Rives Rocha Borges is Ph.D. candidate at University Fernando Pessoa (UFP), Porto, Portugal. Graduated in Civil Engineering at Federal University of Bahia (UFBA), Bahia, Brazil. Graduated in Mathematics at Federal University of the São Francisco Valle (UNIVASF). Administration Specialist, Occupational Safety Engineering Specialist, Occupational Hygiene Specialist, M.Sc. in Health, Environment and Work, and Civil Engineer at Federal University of Bahia, Bahia, Brazil. Math’s Teacher at State Public Network, Bahia, Brazil.
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Maria Alzira Pimenta Dinis , Ph.D., M.Sc. and Associate Professor at University Fernando Pessoa (UFP), Porto, Portugal. Researcher at FP-ENAS, UFP Energy, Environment and Health Research Unit, Porto, Portugal. Her specialised expertise includes CO2 geological storage, Reservoir modelling, environmental science, Environmental education, Environmental and Human Health, Waste management, Sustainability and others. Editorial Advisory Board Member in Energy Sources, Part A: Recovery, Utilization, and Environmental Effects, Taylor & Francis, Editorial Board Member in Rudarsko-geološko-naftni zbornik (The Mining-Geological-Petroleum Engineering Bulletin), Faculty of Mining, Geology and Petroleum Engineering, University of Zagreb, Guest Editor in Sustainability, MDPI AG, Environmental Institutional Awareness in the Context of Sustainable Development and PUBLONS Academic Advisor. Author of numerous publications and experienced reviewer. Nelson Barros is graduated in Environmental Engineering, M.Sc. in Thermal Engineering and Ph.D. in Environmental Sciences. Is member of the Editorial Board of the Journal of Ecological Engineering and member of the Reviewer Board of the MDPI journal Atmosphere. Currently, is Associate Professor at University Fernando Pessoa, coordinator of the Ph.D. program in Ecology and Environmental Health and coordinator of the Laboratory of Research in Energy, Environment and Environmental Health (3ERL), a Research Group of the Fernando Pessoa Research Unit in Energy, Environment and Health (FP-ENAS).
Pursuing 2030 Sustainable Development Agenda Through Gender Equality: Synergies of Gender Diversity and Financial Performance in Brazilian Publicly Traded Companies Adriana Cristina Ferreira Caldana, Denise Bonifácio, and Julia Vicente
Abstract Women represent only 17% of total seats in organizations’ boardrooms. This scenario can be even worse when analyzing countries individually, such as Brazil, where Boards of Directors (BDs) have only 8.6% female members. The negative implications of this scenario are largely known and go from less innovation and creativity to worse decision-making processes, consequently impacting corporate financial performance and value generation. This paper investigates whether gender diversity in Boards of Directors and the labor force of Brazilian publicly traded companies impacts their financial performance. A quantitative analysis comprised five years of data of 86 publicly traded companies in the Brazilian Stock Exchange (B3), performed multiple linear regressions, and nonparametric Mann–Whitney hypothesis tests. Tobin’s Q was used as a measure of company value, as well as diversity proxies and financial performance variables to determine the female influence on organizational performance. Finally, findings revealed a positive and significant relationship between financial performance and gender diversity variables, raising attention to the urgency of gender diversity in BDs as a significant variable impacting value generation to shareholders. This study also fosters the understanding of how companies could contribute to the 2030 sustainable agenda, revealing potential synergies between gender diversity and financial performance. Keywords Gender equality · Diversity · Financial performance · Sustainability · Board of directors
A. C. F. Caldana · D. Bonifácio (B) · J. Vicente School of Economics, Business Administration and Accounting at Ribeirão Preto, University of São Paulo (USP), Avenida dos Bandeirantes 3900, Ribeirão Preto, SP 14040-905, Brazil e-mail: [email protected] A. C. F. Caldana e-mail: [email protected] J. Vicente e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_3
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1 Introduction The social right to work, as an essential element for human dignity, acts as a tool for the realization of fundamental rights, ensuring the full recognition of personality, privacy, and intimacy right of the human being, in addition to preventing discriminatory practices in the scope of labor relations (Brazil, 1988). Since the changes in the US labor market in the early 1970s, researchers noticed an increase in women’s employment growth rate (Schereiber et al., 1993). However, the studies failed to show the same propensity of women‘s occupation in senior or high-level management positions. These findings compelled researchers to investigate the causes of female professional entry limited to management positions and Boards of Directors (BDs) (Madalozzo, 2011). The subtle obstacles and imperceptible impediments to women‘s career and professional opportunities are presented as “the glass ceiling effect”. The glass ceiling is an imaginary barrier that prevents women from having career and promotion opportunities in the same proportion as men (Powell & Butterfield, 2015). These barriers, which are obstacles that are often rooted in culture, society, and internalized psychological factors (Bolat et al., 2011), prevent women from advancing to senior management or other prominent positions (Powell & Butterfield, 2015). The topic relevance is reflected in the fifth Sustainable Development Goal (SDG), adopted by all member states of the United Nations (UN) in 2015, which deals with measures to achieve gender equality and empower all women and girls by 2030 (Instituto de Pesquisa Econômica Aplicada [IPEA], 2019). Such measures aim to establish goals for companies, in terms of diversity, and to guide policies that regulate women’s rights in society. In the context of Agency Theory (Paniagua et al., 2018), there is a need for control measures, through corporate governance, to protect organizations from various existing or potential transaction costs. One of the most important mechanisms of internal control that corporate governance uses to reduce agency problems in organizations is the Board of Directors (BD) (Stiles & Taylor, 2001). Organizations that apply the best corporate governance practices are considered to have the best performance and are better evaluated by the market in terms of their share price (Klapper & Love, 2004). The link between the gender diversity of BD and the companies‘ financial performance has attracted the attention of academics around the world (Carter et al., 2003). The issue of women in BD is a growing area of research. Academics (Adams & Ferreira, 2009; Brieger et al., 2017; Erhardt et al., 2003), professional consultancies (Deloitte, 2018; McKinsey & Company et al., 2018), and social pressure groups (Catalyst, 2007) contribute to research on the subject. Although the subject of several international research, this topic is not frequently addressed in Brazil (Costa et al., 2019), mainly relating diversity to financial performance (Martins et al., 2012). In the Brazilian labor market, there is a clear scenario of inequality between men and women. The female employment rate in 2018 was still more than 12% below that of Brazilian men. In addition, working women earn, on average, 20.5% less than men (Instituto Brasileiro de Geografia e Estatística [IBGE],
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2018). Moreover, it appears that the number of women in BD is still negligible, both in the international scenario (Ferreira, 2010) and in the domestic scenario (Lazzaretti et al., 2013). This study aims to understand whether gender diversity on Boards of Directors and in the workforce influences the financial performance of publicly traded Brazilian companies. The results contribute to the discussion that Brazilian companies have a low number of women in top management. This research implication can generate a debate on how female leadership brings substantial results to companies, even though women are underrepresented, favoring reflection on the barriers to female professional development.
2 Literature Review 2.1 Corporate Governance and Board of Directors The Agency Theory seeks to understand the divergence of interests of various agents participating in companies. An agency relationship is defined as a contract where a person—the principal—engages another person—the agent—to perform some tasks on their behalf, involving the delegation of decision-making authority by the agent (Paniagua et al., 2018). This generates a compensation system, which makes the latter act in the interests of the former. There are substantial costs to organizations related to agency issues, which correspond to conflicts of interest between those who have ownership and those who have control in the organization. Corporate Governance is based on Agency Theory to minimize these agency problems (Paniagua et al., 2018). Therefore, by reducing such costs, it can be concluded that the use of governance practices affects companies‘ financial performance. Corporate Governance emerged as a set of mechanisms by which resource providers guarantee that they will obtain a return on their investment (Shleifer & Vishny, 1997). With the purpose of control, on the part of investors, it is ensured that the managers of the organizations will carry out their activities following shareholders’ interests, besides preventing them from using the company’s resources for their benefit. Its goal is to provide a greater level of transparency and trust regarding publicly traded companies. Thus, adopting corporate governance practices has the main purpose of maximizing the value of the company by using mechanisms that make management more efficient and effective (Santos & Aragaki, 2015). The governance participation in Brazil has been greater in the last two decades and began to gain more space with the creation of the Brazilian Institute of Corporate Governance (IBGC) in 1995 (Santos & Aragaki, 2015). IBGC is a non-profit organization that contributes to the sustainable performance of organizations through the generation and dissemination of knowledge on corporate governance best practices (IBGC, 2015). Implemented in December 2000 by the Brazilian Stock Exchange, the Novo Mercado is a special listing segment that was developed aiming to provide a
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trading environment that stimulates, at the same time, investors‘ interest and the valuation of companies (Procianoy & Verdi, 2009). Companies listed in this segment offer their shareholders improvements in corporate governance practices, which expand the corporate rights of minority shareholders and increase the companies’ transparency, disclosing a greater volume and better quality of information, facilitating their performance monitoring. The basic premise is that the adoption of good corporate governance practices by companies gives greater credibility to the stock market and, consequently, increases investors’ confidence and willingness to acquire their shares and pay a better price for them (Procianoy & Verdi, 2009). The main component of the corporate governance system is the board of directors, through which the course of business is decided, aiming at the best interest of the organization (Ferreira, 2010). Boards of directors are the ones who have the power to hire, fire, and decide on the managers‘ remuneration, in addition to ratifying and controlling important decisions (Fama & Jensen, 1983). Diversity in the context of corporate governance is seen as the composition of the BD and the combination of different qualities, characteristics, and knowledge of individual members concerning decision-making (Walt & Ingley, 2003). In this sense, when dealing with board structuring, the Code of Best Practices of Corporate Governance, prepared by the IBGC, considers the issue of diversity in terms of knowledge, experiences, behaviors, but also gender (IBGC, 2015). The heterogeneity of BD, with an emphasis on the female presence, increases creativity, the quality of leadership and problem solving, and innovation and facilitates the relationship with the natural cultural diversity of global markets (Robinson & Dechant, 1997). Analyzing the connection between the presence of women at the top and (good) corporate governance, it is observable that a homogeneous group of directors does not accurately reflect the society in which it operates, and this is a symptom of weak governance and a missed opportunity (Brammer et al., 2009). In summary, corporate governance is the set of processes, customs, and laws that guide the way an organization is managed. To reduce the problems in the relationship between principal and agent, decreasing costs, this reduction makes the company increase its market value, becoming more attractive to investors (Jensen & Meckling, 1976). The board of directors controls governance and delimits its main actions (Ferreira, 2010). In this regard, different lines of reasoning and perspectives contribute to better decision-making.
2.2 Women in the Boardroom The lack of diversity is one of the biggest challenges inside companies‘ boards of directors. The female presence in boardrooms around the world is still in a slow process of progression occupying an average of only 16.9% of board seats. In Brazil, this rate is slightly higher than half of the international rate, totaling 8.6% (Deloitte, 2018). In 2018, the participation of women in the Brazilian labor market was 43.7% (IBGE, 2018). Therefore, it is perceivable the opportunities’ inequality that remains
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intrinsic in Brazilian society. Female inclusion and the barriers to gender diversity in companies‘ boardrooms are ongoing challenges. Between 2017 and 2018, the increase of board seats occupied by women in Brazil was minimal: 0.9% (Deloitte, 2018). The lack of qualifications argument does not fit here, as women have higher educational levels than men. The educational advantage is perceived with the highest female percentage in school attendance rates. In 2016, men maintained an average rate of 63.2%, while the rate for women was 73.5%. As a result of an unequal school trajectory, women reach a higher level of education, on average, than men. This is evidenced by the percentages of complete higher education, in which the male percentage is 15.6% and the female percentage reaches 21.5% (IBGE, 2018). In this scenario, some projects are being discussed by the United Nations (UN) and the Brazilian government so that female participation in boardrooms can be reinforced. The Bill n.7.179/2017 provides that 30% of the board of directors‘ seats in public companies and mixed capital companies will be held by women, until 2022. This proposal remains under discussion by the Brazilian Congress (Projeto de Lei n. 7179/2017). UN Women Brazil in alliance with the European Union and the International Labour Organization (ILO) carry out the Win–Win Program, where they seek to strengthen the role of women through the promotion of female economic empowerment and leadership as one of the pillars for a sustainable, inclusive, and equitable growth (ONU Mulheres, 2019). Another highlight is the 30% Club, launched in 2018 in Brazil. Its purpose is the commitment of public listed companies on the Brazilian stock exchange to allocate women in at least 30% of their executive directors’ positions until 2025 (30% Club, 2021). Even though there are still many inequalities in women’s roles in the labor market and boardrooms (Adams & Ferreira, 2009), there is evidence that gender heterogeneity is beneficial for organizations (Brammer et al., 2009; Burke & Mattis, 2010; Carter et al., 2003; Francoeur et al., 2007). Firstly, women exert a positive influence on the quality of board tasks, improving cohesion, monitoring management, and developing strategy (Adams & Ferreira, 2009). Increasing the presence of women on the board enriches the board’s information, perspectives, debates, and decisionmaking (Burke & Mattis, 2010). Finally, women occupying board seats can provide a valuable form of legitimacy in the eyes of current and potential employees. They also serve as role models, providing necessary guidance to younger and ambitious colleagues, and encouraging women to strive to achieve their career goals in the company (Brammer et al., 2009). In summary, there are significant benefits in terms of board improvement and, therefore, corporate effectiveness (Walt & Ingley, 2003), as diversity contributes to group discussion, exchange of ideas, and performance (Kang et al., 2007). Lack of diversity may be associated with a lack of critical thinking and innovation (Burke & Mattis, 2010), leading to negative performance, especially when boards are highly interconnected (Singh et al., 2001). Certainly, in today’s complex and rapidly changing business environment, when it comes to improving the quality of decision-making, the advantages related to knowledge, perspective, creativity, and judgment presented by heterogeneous groups are superior to less diverse groups of people (Francoeur et al., 2007). Thus, greater
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female participation in top management functions is a trend and a necessary condition for better economic and financial performance, beyond establishing greater gender equality (Brieger et al., 2017).
2.3 Diversity and Financial Performance The advantages of a diverse workforce are increasingly evident for organizations. Although equal justice of rights is the impetus behind these decisions, companies begin to perceive a motivation of competitive advantage with the insertion of diversity (Erhardt et al., 2003) and, more specifically, fundamental leverage for growth. In this context, the company’s financial performance is directly related to shareholder value creation. The better a firm’s performance, the greater the value creation tends to be for its investors (Martins et al., 2012). Empirical studies on female inclusion investigate the relationship between gender diversity in BD and the company’s financial performance. An analysis of the Fortune 500 list concluded that companies with greater diversity achieve better financial performance (Catalyst, 2007). In another survey of more than 1000 companies in 12 countries, it was shown that having women in leadership positions increases the chances of a company’s above-average financial performance by 21% (McKinsey & Company et al., 2018). A sample of Fortune 1000 companies in 1997 documents a positive relationship between board gender diversity and company performance, as a proxy for Tobin’s Q* (Carter et al., 2003). The financial performance of Dutch companies was also investigated, differentiating them by the presence or absence of women. As a result, it was found that companies with female participation in management positions presented higher financial performance (Lückerath-Rovers, 2011). On the other hand, some studies have shown contradictory results. No relationship was found between board diversity and Tobin’s Q for companies listed in Denmark (Rose, 2007). Also, an analysis of companies listed in France, from 2009 to 2011, obtained results of a negative and statistically significant relationship, concluding that increased female board participation can lead to poor financial performance (Boubaker et al., 2014). Research demonstrating different results on the subject, point out that factors can be discussed to verify the cause of divergent results. Some factors can be raised, such as time and critical mass (Ryan & Haslam, 2005). In investigations between diversity and financial performance, it has been reported that sometimes women are appointed to positions on BD when the company is facing a management crisis (Ryan & Haslam, 2005). Without knowing the circumstance that the company is in difficulties, it is possible to consider that women cause disadvantages for the company. The time issue shows that the effects cannot be measured in a short term, and this also applies to changes in the board composition (Lückerath-Rovers, 2011). Another variable when investigating the impact of diversity on a company‘s performance comes from critical mass theory. This theory suggests that only when a certain threshold is reached (a critical mass) does the impact of a subgroup (such as “Women on the board”) become
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more pronounced (Konrad et al., 2008). A board of directors with three or more women is more likely to experience positive effects and contributions to governance than a board with fewer women (Konrad et al., 2008).
3 Methodology 3.1 Data Collection and Analysis The research sample consisted of Brazilian companies in the Novo Mercado listing, traded by B3. Financial companies were excluded from the study, as they follow specific rules (Boubaker et al., 2014; Lückerath-Rovers, 2011). Sustainability reports and reference forms (FRE) of each company were analyzed, in addition to the information provided by the Brazilian stock exchange (B3) and by the Economática® database. The Reference Form (FRE) provides information regarding companies‘ BD composition. Classification regarding gender was made by the name of each board member. The annual sustainability form provides the total number of employees and the number of women in senior leadership (board, management, and coordination). B3 provides the name of the companies participating in the index that was studied. Data from 2016 to 2020 were extracted in the last month of the reference year. As the impact of strategic decision-making on organizational performance typically takes several years to observe, a five-year interval represents the possible contributions of directors in strategic decision-making (Erhardt et al., 2003) (Table 1). The first step of the analysis consisted of multiple linear regression. The objective was to use the independent variables, whose values are known to predict the dependent variable used in the study (Hair et al., 2019). Variables were collected and Table 1 Collection of variables Variable
Search location
Companies listed in the Novo Mercado segment
. Listing B3 and economática®
Number of women in BDs Total number of people in BDs
. Reference form (FRE)
Number of women in senior leadership Total number of employees in senior leadership positions Total number of employees in the analyzed companies Total number of women in the analyzed companies
. Annual sustainability report
Market Value Current Liabilities Current Assets Net Profit Net Worth
. Economática®
Source Prepared by the author
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A. C. F. Caldana et al.
tabulated using Microsoft Excel, then ran in the SPSS statistical software (Statistical Package for the Social Sciences). A 95% confidence level was followed, as it is important to indicate the margin of imprecision in the face of a calculation performed (Fávero & Belfiore, 2017). The second step was the nonparametric Mann–Whitney hypothesis test, as the research data did not follow a normal distribution. The test was used to compare two unpaired groups to verify whether they belong to the same population (Fávero & Belfiore, 2017). To understand whether significant changes occurred in the financial indicators, the following statistical hypotheses were established for Dummy 15% Variable and Dummy 30% Variable: . Null hypothesis (H0): There is no difference in the distribution of Tobin‘s Q variable between companies with less than 15% or 30% of women on the board of directors and companies with more than 15% or 30% of women on boards of directors. . Alternative hypothesis (H1): There is a difference in the distribution of Tobin‘s Q variable between companies with less than 15% or 30% of women on the board of directors and companies with more than 15% or 30% of women on boards of directors . The H0 rejects the existence of a difference between Tobin’s Q of companies with boards with more than 15% or 30% of women and companies with boards with less than 15% or 30% of women. In contrast, H1 infers that Tobin’s Q of companies with boards with more than 15% or 30% of women and companies with boards with less than 15% or 30% of women are different. . As a measure of company value, an approximation of Tobin’s Q was used. The value of Tobin’s Q is used as a dependent variable to find causal relationships between the value of companies and other variables (Campbell & Mínguez-Vera, 2007; Carter et al., 2003). Defined as the relationship between the company’s market value and the cost of replacing its assets (Chung & Pruitt, 1994), the first equation is presented (1): Q=
VM +VD AT
(1)
It was used as the market value (VM) of the company‘s shares (calculated by multiplying the number of common shares of the company by the quoted price on the last trading day of the year analyzed); VD is the company‘s debt book value and AT is the book value of the company’s total assets. The VD value is calculated according to the following Eq. (2). V D = PC − AC + V C DL P
(2)
In Eq. 2, PC is current liabilities, AC is current assets and VCDLP is the book value of long-term debt (Chung & Pruitt, 1994). Therefore, when Q equals more than 1, the company’s market value is greater than the asset’s replacement price, being able to create more value using available resources effectively. On the other hand,
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when the value is less than 1, it is associated with poor use of available resources (Lindenberg & Ross, 1981). As proxies of gender diversity in boards, two variables were obtained. The dummy variable, DWomenBoard, equals 1 when at least one woman is present on the council, and 0 otherwise (Adams & Ferreira, 2009; Campbell & Mínguez-Vera, 2007; Flabbi et al., 2019). The second variable is the percentage of women on the board, PWomenBoard, calculated as the number of female board members divided by the total number of board members (Adams & Ferreira, 2009; Campbell & Mínguez-Vera, 2007; Lückerath-Rovers, 2011). Lastly, the PWomenWorkforce was calculated as the total number of female employees divided by the total number of employees in the companies studied (Flabbi et al., 2019; Francoeur et al., 2007). Some companies did not present their staff composition. This was not excluded from the analysis, as the linear interpolation technique was used (Hair et al., 2019). Thinking about possible new analyses, two dummy variables were created, the Dummy_15% and Dummy_30%. In the first, all analyzed boards of directors with 15% or more female representation received number 1, otherwise zero. For the second variable, the same was applied, though considering at least 30% of females as board members.
4 Results This section of the paper presents and discusses the results obtained through the variables collected and analyses carried out, to achieve the intended objectives. The means, standard deviations, minimum, and maximum of the independent variable (Tobin’s Q) and the dependent variables PWomenBoard, PWomenWorkforce, and DummyWomenBoard are shown in Table 2. Table 2 shows that the dependent variable, Tobin’s Q, has an average of 1.26. This suggests that the average market value of the companies in the sample is greater than their average book value (Boubaker et al., 2014). Companies show high variability of their performance, with a minimum Tobin’s Q equal to 0.01, suggesting that there Table 2 Descriptive statistics of the companies analyzed Variable
Number of observations
Average
Standard deviation
Minimum
Maximum
Tobin’s Q
344
1,26
1,01
0,01
7,74
PWomenBoard
344
0,10
0,12
0,00
0,43
PWomenWorkforce
165
0,33
0,224
0,06
0,80
DummyWomenBoard
344
0,52
0,50
0
1
Source Prepared by the author
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A. C. F. Caldana et al.
are companies in which their assets are worth less than their replacement value, and a maximum of 7.74. The average of companies with at least one woman on the board is 52%. This alleges that 48% of companies have male-only BD. The average proportion of women on Brazilian boards (PWomenBoard) is 10%. The maximum percentage of women’s presence in BD was 43%. As for the percentage of female employees in companies, the female staff is on average 33%. The bottom value of 6% of women within staff was observed, as the top value was 80% (it was observed in only one company, Fleury, for 3 years in a row). Graph 1 shows the average annual growth in the participation of women on boards of directors. From 2016 to 2020 the increase was, on average, 5% more female seats on boards. In the five years sample, there was a 4% increase in female participation. The growth of female representation in Brazil shows slowness, increasing, on average, by 1% each year (Deloitte, 2018). Graph 2 reports the low growth in the number of women within the workforce. Graph 3 shows the number and percentage of companies that do not have women on their boards during the five years studied, which decreased by 13%. Results in Table 3 evidence the lowest values of Tobin’s Q mean are in companies that have no women or only one woman on BD. Additionally, the BD with up to 6 women refers to a company with 21 board seats, thus 21% female representation. To test the influence of explanatory variables on the companies’ performance, models were built and estimated using SPSS software. Thus, a linear regression model of the study was created, represented by the following Eq. (3).
Graph 1 Average Participation of Women on the Board of Directors. Source Prepared by the author
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Graph 2 Average Participation of Women in the studied Companies. Source Prepared by the author
Graph 3 Variation of companies without women on the boards. Source Prepared by the author Table 3 Women in BD and Tobin’s Q average
Number of women on the board
Number of observations
Tobin’s Q average
Percentage (%)
0
164
1,12
47,7
1
86
1,09
25
2
51
1,59
14,82
3
21
1,73
6,10
4
10
2,07
2,90
5
11
1,55
3,19
6
1
1,58
0,29
Source Prepared by the author
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A. C. F. Caldana et al.
Y = βo + β1.X 1 + ... + βn.X n + μ
(3)
where Y represents the dependent variable, βo represents a constant, βn is the coefficient of the independent variable, Xn is the dependent variable and μ is the error term (difference between the actual value of Tobin‘s Q and the predicted value of Tobin‘s Q through the model for each observation) (Fávero & Belfiore, 2017). After testing which variables would be inserted, removed, or insignificant, two variables were inserted into the model. They are %WomenWorkforce and %WomenBoard, which went on to analyze the relationship with the dependent variable Tobin‘s Q. An overview of variables is presented in Table 4. Table 5 demonstrates two possibilities of models. The first model exemplifies that the variable %WomenWorkforce explains Tobin‘s Q variable. The second model shows that the variables %WomenWorkforce and %WomenBoard define Tobin‘s Q variable. The second model was used for the study since its adjusted R2 is greater than the first model. The adjusted R square is equal to 0.357, indicating 35.7% of the variation of Tobin’s Q is explained by the toll variables of women on boards (%WomenBoard) and percentage of female employees (%WomenWorkforce). This means that the independent variables have a moderate explanatory power on the company’s performance (Fávero & Belfiore, 2017). Regarding independent variables in Table 6, they present a positive and significant relationship in the explanation of Tobin’s Q. A low significance value (< 0.01) for Table 4 Regression analysis of inserted and removed variables Variables inserted/removeda Model
Variables inserted
1
%WomenWorkforce
Stepwise (Criteria: Probability-of-F-to-enter < =, 0 50, Probability-of-F-to-remove > = ,100)
2
%WomenBoard
Stepwise (Criteria: Probability-of-F-to-enter < = , 050, Probability-of-F-to-remove > = , 100)
Variables removed
Method
a Dependent
Variable: Qtobin Source SPSS
Table 5 Summary of the model used Model summaryc Model
R
R square
Adjusted R square
Std. error of the estimate Durbin-watson
1
0,547a
0,299
0,295
0,821,488,113,237,938
2
0,604b
0,365
0,357
0,784,391,878,784,224
a Predictors:
(Constant), %WomenWorkforce b Predictors: (Constant), %WomenWorkforce, %WomenBoard c Dependent Variable: Qtobin Source SPSS
2,133
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an independent variable indicates that it will be a significant addition to the model (Fávero & Belfiore, 2017). Both variables with statistical significance refer to gender diversity issues. Using Eq. (3) and the coefficients from Table 6, we arrive at the regression equation of study (4). Every result of Tobin’s Q using the variables %WomenBoard and %WomenWorkforce can be explained by this function: Qtobin = 0, 391 + 0, 024.X 1 + 0, 02.X 2 + μ
(4)
In Eq. 4, the two independent variables are positively related to Tobin’s Q because of the plus signs. It is suggested that the percentage of female employees in the company and the percentage of women on boards have an impact on the company’s performance. Several studies find a positive and significant relationship between Tobin’s Q and the percentage of women on boards (Adams & Ferreira, 2009; Brammer et al., 2009; Campbell & Mínguez-Vera, 2007; Carter et al., 2003; Flabbi et al., 2019). The use of the non-parametric test was used to analyze whether the distribution of Tobin’s independent variable Q remained the same in companies with both at least 15% of women on the boards and with companies with less than 15% of women, as well as with companies with 30% or more of women on boards and with companies with less than 30%.Observing Table 6 on the results of the dummy Dummy_15%, for companies with 15% or more women on boards, we have a significance level lower than 0.001 (1%), with a confidence interval greater than 99%. This indicates that the decision is to reject the null hypothesis, which states that Tobin’s Q distribution for the two samples is the same (Fávero & Belfiore, 2017). This result shows that there is a statistical difference between the mean distribution of Tobin’s Q for the two samples (Table 7). Graph 4 evidence the difference in distribution between the companies studied with boards with 15% or more women presence and those with less than 15% of Table 6 Coefficient of variables Coefficientsa Model
Unstandardized coefficients B
1 2
Standardized coefficients Std. Error
(Constant)
0,580
0,120
%WomenWorkforce
0,025
0,003
(Constant)
0,391
0,123
t
Sig.
Beta
0,547
4,847
0,000
8,343
0,000
3,171
0,002
%WomenWorkforce
0,024
0,003
0,518
8,227
0,000
%WomenBoard
0,020
0,005
0,258
4,097
0,000
a Dependent
variable: Qtobin Source SPSS
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A. C. F. Caldana et al.
Table 7 Summary of the Dummy_15% hypothesis test Hypothesis test summary 1
Null hypothesis
Test
Sig
Decision
The distribution of Qtobin is the same across categories of Dummy_15%
Independent-Samples Mann–Whitney U Test
0,000
Reject the null hypothesis
Asymptotic significances are displayed. The significance level is,050 Source SPSS
women presence. On the X axis, column 0 represents Tobin’s Q values for companies with less than 15% of women on boards, and 1 represents Tobin’s Q values for companies with 15% or more women within the BD. Tobin’s Q value becomes higher when there are more women on BD, with a value above 1.5. With a smaller amount of diversity within BD, this number becomes closer to 1.0. To understand whether this line of reasoning is maintained, the Dummy_30% was used, analyzing whether more women in BD and consequently more diversity, increased Tobin’s Q value for this dummy. First, it was analyzed whether the Dummy_ 30% samples and companies with less than 30% of women on the boards had the same distribution of Tobin’s Q value, which would be H0. As demonstrated in Table 8, there is also a significance level below 0.001 (1%), with a confidence interval above 99%. Therefore, we reject the H0 (null hypothesis) also in this situation.
Graph 4 Tobin’s Q average to Dummy_15%. Source SPSS
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Table 8 Summary of the Dummy_30% hypothesis test Hypothesis test summary 1
Null hypothesis
Test
Sig
Decision
The distribution of Qtobin is the same across categories of Dummy_30%
Independent-Samples Mann–Whitney U Test
0,000
Reject the null hypothesis
Asymptotic significances are displayed. The significance level is,050 Source SPSS
With the null hypothesis rejected, the mean distribution of Tobin’s Q value between the two samples, companies with 30% or more of women in the BD (Dummy_30%) and companies with less than 30% of women in the BD is statistically different. This becomes evident when analyzing graph 5, which shows this difference in the distribution of Tobin’s Q in numbers. When analyzing the average values of the distribution in Graph 5, column 0, which would be companies with less than 30% of women on the Boards of Directors, remains close to the value of companies with less than 15% of women. When we look at the values in column 1, from companies with 30% or more women, the average Tobin’s Q value becomes even higher.
Graph 5 Tobin’s Q average to Dummy_30%. Source SPSS
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5 Discussion and Conclusion This study aims to verify whether there is a relationship between gender diversity and financial performance. It analyzed publicly traded Brazilian companies, listed on the Novo Mercado, a segment belonging to the Brazilian stock exchange (B3), from 2016 to 2020. The dependent variable of financial performance was adopted as Tobin’s Q, and for the independent and diversity variables, it was selected the percentage of women on the boards of directors (BD) and the percentage of women on the staff were used. These variables were used by several pieces of literature on which this study was based (Campbell & Mínguez-Vera, 2007; Carter et al., 2003). Multiple linear regressions were calculated to analyze whether there was a relationship between female presence and financial performance. In addition, descriptive statistics were used to analyze the collected database. Finally, hypothesis tests were performed to assess whether the mean distribution of Tobin’s Q was equal between more and less diverse companies. Analyzing the descriptive statistics, the average number of women on boards is only 10%, and 48% of the companies studied do not have any women at all on their boards. In addition, the average number of women in the workforce is 33%. These numbers are shocking and discriminating when we think about gender equality. It appears that the low female participation in BD may be related to cultural and social factors (Lazzaretti et al., 2013). It is noticeable that companies‘ BDs are still homogeneous, and male-dominated. Regression analyses indicate that, overall, there is a significant relationship between greater gender diversity and a company‘s performance value. Coefficients of the gender variables and the financial performance variable present a positive and significant relationship. Thus, companies with more diverse boards have a higher market value than those with less or no diverse boards. The results in Brazil are consistent with several international studies on diversity in BD, which also find a positive relationship between gender diversity and the financial performance of the companies studied (Adams & Ferreira, 2009; Brammer et al., 2009; Campbell & Mínguez-Vera, 2007; Carter et al., 2003; Flabbi et al., 2019). The results of the hypothesis tests confirm a statistical difference in the mean distribution of Tobin’s Q for companies with more than 15% and 30% of women on the boards, contributing to the argument that the higher this percentage, the better the financial performance. This reinforces the importance of laws and projects that seek to ensure that company boards have at least 30% women (30% Club, 2021; Projeto de Lei n. 7179/2017, 2017). Most of the data, mainly on diversity variables, were manually extracted from the FRE (Reference Forms) made available by the companies themselves, which limits this research. However, as an underexplored topic nationally, future research may expand the findings presented. First, it is possible to explore comparative analyses with other companies’ segments, aiming to understand whether the segment has an impact on the female presence on boards of directors and staff. Second, since
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the time variable is important to assess the effects of diversity on BD (LückerathRovers, 2011), different periods can be analyzed to verify variations in companies‘ performance. Additionally, qualitative research can contribute to the understanding of barriers to the occupation of women on BD, through interviews and questionnaires with companies’ employees. Finally, research on this topic is essential to demonstrate the importance of gender diversity within companies and the good results it brings. As the companies‘ focus is their market value and performance, heterogeneity contributes to their growth. In addition to the financial point, companies with gender diversity workforce make thoughts and ideas more creative, ensuring an increase in the wisdom base, promoting better decision-making processes, and more enriched and elaborated (Burke & Mattis, 2010; Carver, 2006). Preventing women from occupying representative and powerful positions is to exclude them from decision-making possibilities, waste their potential, and, at last, perpetuate a historical inequality.
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Impact of a Social Responsibility Program on Citizen Education Gisely Fernanda Rodrigues de Almeida, Alex Sandro Quadros Weymer, and Simone Cristina Ramos
Abstract In general, an education program focused on social responsibility enables organizations to interact with society through educational relationships based on cooperation, citizenship and entrepreneurship, constructing lasting knowledge with significant impacts on the participating communities. In this context, cooperatives play a prominent role, especially those operating in the financial sector, which need to balance economic and social objectives while remaining competitive. The aim of this study was to identify the impact of a credit union’s social responsibility program on citizen education. To achieve this goal, data were collected from 234 agents participating in the Union Means Life (A União Faz a Vida) program, from seventeen municipal schools in four municipalities in Paraná State, involving school managers and teachers. After an analysis of the statistically treated data, the Union Means Life Program was found to be directly related to the improvement of basic education development, the main parameter for measuring the quality of education, not only in Brazil, but also in more developed countries. The results also help to improve the quality of citizen education and community involvement in the drive for a society with ethical principles of cooperation and citizenship. Keywords Social responsibility · Cooperative education · Active methodology
G. F. R. de Almeida Sicredi, Porto Alegre, Brazil e-mail: [email protected] A. S. Q. Weymer (B) PPGCOOP, PUCPR, Curitiba, Brazil e-mail: [email protected] S. C. Ramos PPGOLD, UFPR, Curitiba, Brazil e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_4
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1 Introduction Data on the serious environmental, economic and social impacts associated with predatory organizational practices have led researchers to seek a better understanding of how organizations can aid the promotion of sustainability in these three dimensions. As sustainability and social responsibility (SR) are sister themes (Stahl et al., 2020), seeking to understand results associated with SR programs can help to build pathways and management models for organizations to promote sustainability in the communities in which they operate. Social responsibility (SR) in organizations can be understood as an innovative administrative method, as its results generate positive effects that are perceived by society and by those who are part of the company’s relationship network. It can be defined as a commitment or obligation of a moral nature, in addition to the guidelines already established by law, which companies must adhere to, in the societies in which they operate. This commitment should be consistent with their mission and organizational values and be expressed through attitudes that can have a positive effect on the community and effectively contribute to social development (Matten, 2006). Due to their great potential impact on social development, the promotion of SR programs with an emphasis on education processes is particularly interesting, since education can boost citizens’ intellectual and economic autonomy. In this scenario, the cooperative system can be understood as occupying a prominent place because, in the way it operates, it promotes the participation, co-responsibility and maturity of its members, as well as promoting education in its guiding principles. It could be said that cooperatives are among the organizations in the best position to address the complex demands associated with serving their stakeholders and, simultaneously, promoting sustainability (Aris et al., 2018). In light of this scenario, the aim of the present study is to identify the impacts of a SR program created by a credit cooperative on the education of citizens. The Union Means Life (União Faz a Vida) initiative is an education program developed in partnership with public and private schools, in which, through active methodologies, children and teenagers are monitored in cooperative learning processes. The program has been run by the Cooperative Credit System (SICREDI) since 1995 and operates in around half of the states in Brazil (12), reaching approximately 475 municipalities. Around three million children and teenagers have already taken part in the program, aided by over one hundred and fifty thousand educators. The present study makes theoretical and practical contributions to the field. From the perspective of academics involved in the subject, the work meets their already identified research needs, such as associating the results of SR practices with macro indicators in a developing country (Boubakri et al., 2021) and identifying how SR practices actually contribute to a more sustainable future (ElAlfy et al., 2020). From a practical or managerial viewpoint, the identification of impacts associated with the program can help to maintain, improve and disseminate it.
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2 Corporate Social Responsibility: From Paternalism to Competitive Advantage In the wake of global events such as corporate scandals, depletion of natural resources, climate change and precarious work, society, especially in the last two decades, has focused on issues associated with sustainability and CSR. However, considering the historical development of the field, the theme can be considered new. It was only around the 1970s that the SR of companies entered the debate on social situations such as poverty, unemployment, diversity, pollution and sustainability. To Bertoncello and Chang Junior (2007), as a result of this there was a new change in the social contract between business and society, which led to organizations becoming involved with environmental movements, concern over safety at work and government regulations. Melo Neto and Froes (2001) reported that SR became an exercise in corporate citizenship, and companies that wished to convey an ethical and moral image could benefit in future from their attitudes, such as practicing SR to add value to their products and services and social strategies for community development. These strategies enable the organization to be seen as an agent of local development by supporting community entities and the government itself (Levek et al., 2002). Along the same lines, Karkotli (2004) added that SR can be generated by raising the awareness of consumers who seek products and services that contribute to society and also appreciate the ethical values related to citizenship. The new mentality of managers values good business conduct culture, with efficiency and profit being combined with values of citizenship, environmental preservation and ethics in business (Levek et al., 2002). According to Fischer (2002), the maturity process of social movements added a new dimension to citizenship and included SR in business agendas, forcing institutions to make an effective commitment to society. Although there is no universal meaning of SR, the concept commonly refers to the transparency of business practices based on values, mainly ethical, legal and concerning respect for people, communities and the environment. A broader view proposed by Ashley (2005, p. 45) defines it as “each and every action that can contribute to improving society’s quality of life”. Different organizational results can be associated with their SR practices. The motivations for organizations to exercise SR practices may reflect an understanding of synergy between sustainable practices and favorable economic and financial results. To Coutinho (2011), the socially responsible performance of the business community is based on different motivations, such as to preserve its reputation or gain economic and financial advantages. According to Coelho (2004), these advantages include an improvement in the company’s image, indicators associated with workers, better relationships with suppliers, greater popularity of managers, easier access to finance, a positive influence on the production chain, and a better organizational climate. Some companies have changed their business relationships through their socially responsible performance, experiencing, for example, an increase in their bargaining power with suppliers who do not wish to stop having their brands linked to the brand
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of a company recognized as socially responsible by the market (Coutinho, 2011). Other evidence of positive results for organizations that invest in SR are greater profitability (Okafor et al., 2021; Shabbir & Wisdom, 2020), employee commitment (Kim et al., 2018), and lower turnover intention (Paruzel et al., 2021). Given what has been said, it can be concluded that SR practices by corporations and organizations have ceased to be optional or paternalistic and are now an important source of competitive advantage. However, the consolidation of this potentially positive role for organizations and the actual promotion of sustainability requires an understanding of the contribution of SR practices to the community in which the organization operates. To understand how the SR education program in question contributes to its community, the challenges for education in the context under study will be discussed below.
2.1 Education and Sustainability: Challenges and Possibilities for Interaction Education plays a fundamental role in the formation of citizens and, consequently, is equally important in the development of society. A well-developed society cannot be achieved except through investment and special attention. Paro (2001, p. 10) claimed that “[…] understood as the appropriation of historically produced knowledge, education is the resource that societies rely on so that the cultural production of humanity is not lost, passing from generation to generation”. This simple idea refers to the fact that education is a fundamental activity for the exercise of citizenship, the construction of critical thinking and for addressing complex problems. One of the teaching resources to promote inclusive and reflexive education to mitigate the risks of truancy and promote greater critical thinking is the use of active methodologies. Active methodologies are based on the ideas of Freire (1996), whose experiences with education showed that young people and adults mainly learn through overcoming challenges. Their educational potential is even more important if we think of using them in a cooperative education approach. Neta (2018) defined cooperative education (CE) as the basis for “[…] understanding a new economic model, based on solidarity, in mutual aid. And through it, people understand the true meaning of the word ‘cooperate’”. For the author in CE, cooperative principles, such as rights and duties, effective participation and belonging are strengthened through education, emphasizing cooperation in a venture. This type of education is associated with gains linked to cooperative learning processes, such as building critical and behavioral capacities necessary for the full exercise of citizenship in democratic societies (Jacobs & Renandya, 2019), enrichment of the role and development of teachers (Gravié & Spinos, 2013) and student motivation (Cañabate et al., 2020). Therefore, investing in educational development programs through active methodologies has the potential to aid social welfare and sustainability, characterizing an opportunity for establishing SR programs.
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3 Methodology This study is characterized as quantitative and descriptive. The case in question is an education program developed by means of the SR practices of a credit cooperative in the south of Brazil. The Union Means Life Program (PUFV) is a partnership between the Municipal Education Secretariats and the Sicredi Cooperative Union of Paraná and São Paulo State, headquartered in the city of Maringá in Paraná State, Brazil. The study was conducted using primary and secondary data. The primary data were collected from agents of the Union Means Life program in the municipalities of Atalaia, Ibiporã, Pitangueiras and São Jorge do Ivaí in Paraná State. The sample is non-probabilistic, by intentional choice criteria. The municipalities in question joined the program in 2014, with their entire networks of municipal schools participating in the program. The data collection instrument was a closed questionnaire comprising 22 questions on a five-point Likert scale. The questions were scripted based on the agents’ perceptions of the program and the goals of and scores achieved in the Basic Education Development Index (IDEB) assessments. The secondary data were collected from public data sources maintained by the Anísio Teixeira National Institute of Educational Studies and Research (INEP) regarding the municipalities’ scores in the evaluation of the Basic Education Development Index (IDEB). The IDEB was created in 2007 for the purpose of setting goals in order to improve education and measure the quality of national education (Brasil, 2020). Historically, it is part of the Goals Commitment Plan for Education (Decree No. 6.094/07), which is the legal provision that implements the twenty-eight actions proposed in the Education Development Plan (Brasil, 2020). Before participating in the study, the interviewees were given a clear explanation of the research goals and data collection process, aided by the coordinators of the Unions means Life Program in each municipality. They were also assured that the identity of the municipality and school would remain confidential. Furthermore, the survey was completed on a voluntary basis and was open to all 376 agents of the 17 schools in the four municipalities, 234 of whom completed the questionnaire. Descriptive statistical analysis, factor analysis and regression analysis were employed as data analysis methods.
4 Results and Discussion Although launched by another SICREDI unit in 1995, at the Sicredi Cooperative Union of Paraná and São Paulo State, the program was initiated in 2008 in the municipality of Nova Esperança in the interior of Paraná. In 2014, it spread to São Paulo State and is currently active in approximately 75 municipalities and 330 schools, involving five thousand teachers and thirty-two thousand students, with guidance from 25 professionals in the field of education (Sicredi União, 2020).
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The PUFV has its own methodology, based on active methodologies and cooperative and citizenship principles. The entire development process is based on projects divided into three pillars: Initial, Formative and Final Indices. The Initial Index values what the student already knows about a certain subject. In the Formative Index, students’ curiosity is surveyed along with their role in the learning and teaching process. Finally, in the Final Index there is an evaluation of the entire significant learning pathway that is followed (Programa, 2020). To be put into practice, the program has an extensive network. Sicredi’s managers carry out the initial actions by contacting the partner Education Secretariats, NGOs and other institutions that prepare territories for development. The protagonists of the entire process are the educators and children and adolescents who conduct and develop the projects at institutions. To provide educators with training and support throughout the development of projects, there are Pedagogical Advisors. Some actions also rely on the participation of supporters, who may be family members or even companies that provide financial support (Programa, 2020). The questionnaire on the impact of the Union Means Life program was completed by 43 school managers and 191 teachers who work at 17 municipal high schools in the municipalities of Atalaia, Ibiporã, Pitangueiras and São Jorge do Ivaí in the interior of Paraná State. The questionnaire surveyed the respondents’ perceptions of three dimensions of the impacts of the program: (i) teachers’ learning; (ii) students’ learning; and (iii) impact on IDEB scores. With regard to teachers’ learning, there was a strong perception that the program provided relevant experiences for those involved. A total of 87% of the respondents fully or partly agreed with the assertion that they were actively seeking new knowledge; 87.9% sought to link the content of their teaching to the actions developed in the program; 83% claimed they had stronger ties with their students; 88.2% understood that they had become mediators of the building of knowledge rather than holders of knowledge; 84.91% felt more motivated to meet challenges; 87.94% felt more motivated to tackle their work at the school; and 88.74% believed that they will feel the benefits of having participated in the program even after considerable time has elapsed. In the students’ learning dimension, most of the respondents fully or partly agreed with the statements that the students became more interested in school (87.07%); developed interests and knowledge that went beyond the curriculum (87.9%); began to ask more questions (83.26%); gained greater autonomy (88.27%); became more aware of their role as citizens (87.13%); began to show greater appreciation for the community in which they live (84.91); shared knowledge for the benefit of all (87.94%); and, finally, developed a more critical viewpoint through contact with other realities (88.74%). Regarding the perception of the program’s contribution to improving IDEB scores, over 80% of the respondents fully or partly agreed with 4 of the statements they were shown. These statements had to do with improving the results of evaluations (84.48%), the positive impact of the methodology on school attendance (80.17%), reduced fear of failure due to greater student safety (83.13%) and the personality of the mediating teacher resulting in a closer relationship with students and better
Impact of a Social Responsibility Program on Citizen Education Fig. 1 Factors extracted by varimax rotation
100.00%
57 90.49%
80.00% 60.00% 40.00% 20.00%
4.57%
0.00% F1
F2
performance in assessments (90,44%). Statements with total or partial agreement rates lower than 80%, included those regarding the impact of the program on student failure (71.3%), a lower number of dropouts (68.12%) and the program generally contributing to IDEB scores (72.29%). To debug the scale, a factor analysis was conducted in the matrix formed by the 22 variables, and the five proposed points presented better explanatory power regarding the three dimensions of SR. The extraction of the principal components involved using a specified proportion of the variance (λ > 0,7), and the explained variance of all the components was considered to be greater than 70%. Therefore, after the varimax rotation, two factors (dimensions) emerged, with the proportion of variance explained by the first factor of 90.49% and by the second factor of 4.57%, with a total explanation of variance of 95.06%, as shown in Fig. 1. Table 1 shows the factor loadings, commonality values and adjusted R2 values, with an average of 0.9477 for the 22 questions, meaning that the respondents were consistent with regard to the points on the Likert scale. The Cronbach Alpha results used to analyze the internal consistency of the data for each of the two dimensions were considered adequate: 0.9647 for Factor 1 and 0.9134 for Factor 2. Factor 1 had a greater concentration, with sixteen attributes, followed by Factor 2, with four attributes. The composite reliability values, which ranged from 0.5728 to 0.9629, were also considered satisfactory. It can be seen that the two dimensions represent a total of 20 questions and form a framework of reduced dimensions compared with the proposal of the questionnaire. The two dimensions that were found are associated with the teaching and learning process of students and teachers, which allows their content to be validated with regard to the impact on the IDEB. To facilitate a comparison, the questions related to the respective dimensions are shown in Table 2. Questions q1, q2, q3, q4, q5, q6, q7, q9, q10, q11, q12, q13, q14, q15, q18 and q21, which were originally distributed over the three dimensions (Blocks 1, 2 and 3), were placed in a single dimension called Active Learning Methodologies. Questions q16, q19, q20 and q22 were included only in the third dimension (Block 3) and constituted the Social Impact dimension. Therefore, the dimensions that were identified can be defined as follows: (a) Active Learning Methodologies: Active learning is generally defined as any instructional method that involves the student as a protagonist in the learning
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Table 1 Dimensions of questions related to SR Questions
Dimensions (Factors) Communalities 1
Adjusted R2
2
q1
0.8601
0.7396
0.9481
q2
0.8724
0.7612
0.9480
q3
0.9006
0.8110
0.9444
q4
0.8753
0.7661
0.9439
q5
0.8593
0.7384
0.9481
q6
0.8627
0.7442
0.9474
q7
0.8790
0.7725
0.9431
q9
0.8339
0.7000
0.9494
q10
0.8369
0.7003
0.9448
q11
0.7939
0.6302
0.9491
q12
0.7568
0.5728
0.9475
q13
0.8118
0.6591
0.9485
q14
0.7789
0.6067
0.9494
q15
0.7812
0.6103
0.9488
0.7357
0.9402
0.9418
0.7276
0.9479
q19
0.8992
0.9629
0.9333
q20
0.8941
0.9437
0.9227
0.6793
0.9496
0.8636
0.9607
0.9396
1.0043
% Variance accumulated Mean adjusted R2
q16 q18
q21
0.8530
0.8242
q22 Eigenvalue
19.9099
Total variance explained 90.4997% 4.5650% 95.0647% Table 2 Original and modified dimensions
Original dimensions (blocks)
Dimension (Factor) 1
Teacher learning
q1 q2 q3 q4 q5 q6 q7
Student learning
q9 q10 q11 q12 q13 q14 q15
Impact on the q18 q21 IDEB
0.9477
Dimension (Factor) 2
q16 q19 q20 q22
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process. In short, it requires students to undertake meaningful learning activities and reflect on what they do and learn. While this definition may include traditional activities such as homework, in practice, active learning refers to activities that should be conducted in the classroom. The results of this study allow us to broaden the traditional concept of active learning by discerning and including the learning dimensions of teachers who facilitate the learning process. (b) Social Impact: Results of social programs in the improvement of students’ results, family involvement and social and community cohesion. As shown, two dimensions emerged that were related to SR (active learning and social impact methodologies), logically associated with their respective questions, corroborating the need to pay attention to the specific details of each research situation or educational environment when analyzing it. This serves as evidence that the proper direction of a program, in this case, the Union Means Life Program, raises the quality of the educational learning process. At the end of the study, and with the two new dimensions, the hypothesis on the impact of the active learning methodologies dimension on the social impact dimension was tested. For this purpose, a regression analysis was performed on the constituent variables of Dimensions 1 and 2 and the adjusted R2 was extracted, as shown in Table 3. Using the hypothesis test, it was shown that the first dimension (Active Learning methodologies) had an impact of 81.83% on the second dimension (Social Impact). This means that the Union Means Life Program is directly and positively related to citizen education, contributing to the IDEB, which is the parameter that measures the quality of education, not only in Brazil, but also in more developed countries. The participating agents (teachers and school managers) had positive perceptions of the Union Means Life Program, with significant agreement regarding the program’s impact on the learning of teachers and students and the IDEB. The data were analyzed based on the scenario of the four municipalities, which have worked with the Union Means Life methodology since 2014 in their high schools, with goals and grades improving in the IDEB evaluations that have been conducted ever since. The results also demonstrated that the way the program is conducted allows it to achieve the potential benefits of the use of active methodologies, such as increasing student interest and motivation (Cañabate et al., 2020), the development of teaching skills (Gravié & Spinos, 2000) and students’ critical and behavioral (Neta, 2018). In this context, the program can be said to have attained its goal in these municipalities, Table 3 Regression analysis Dimensions
b*
Std. Err. of b*
b
Error of b
t(17)
p-value
1
−2.3391
1.1617
−0.2994
0.1487
−2.0135
0.040172
2
−1.7162
1.1617
−0.2484
0.1681
−1.4773
0.015788
Adjusted R2
0.8183
Note *Significant at 0.05
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with the promoting organization effectively contributing to the development of the community through its SR program.
5 Final Considerations The aim of the present study was to analyze the impact of a SR program on the learning process in citizen education. The agents’ views were investigated using a questionnaire, as they observed relevant issues in an analysis of the cooperative education program and its contribution to the learning process and social impact. It was found that the teachers who work directly with the program considered the aspects addressed in the dimensions positive both in terms of the methodology of the learning process and its contribution to the education development index. It was also found that the program was developed effectively, considering its purpose to execute actions in the four municipalities under study. In this respect, it achieves its goals, enabling participants to experience and strengthen attitudes and values of cooperation and citizenship through cooperative education, aiding the education of children and teenagers. This work makes theoretical and empirical contributions to the field. Evidence of the effective importance of theoretical discussions on SR to the community is provided. In the case under study, the program benefits participating students and teachers, helping to improve basic education assessment indices. Another theoretical contribution is that it describes evidence associated with the benefits of a cooperative education program, such as promoting greater student motivation and engagement, improving the learning of curricular content and developing the behavioral competencies of teachers and students. For the management of organizations, the transforming potential of SR programs focusing on education can be seen. The adoption of these programs is especially recommended for cooperatives, as they include cooperative principles, promoting education for cooperation and at the same time commitment to the community through sustainable development. The findings support recommendations for future studies. Multi-level research on the theme could enable a better understanding of the diverse stakeholders involved in SR programs. Qualitative research, supported by inductive logic, could clarify the role of resources and restrictions in Brazilian education regarding the results of SR programs in education. Finally, as the program in question operates in several Brazilian states, studies of a larger number of municipalities could help to understand the impacts of the local context on its results.
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References Aris, N. A., Marzuki, M. M., Othman, R., Rahman, S. A., & Ismail, N. H. (2018). Designing indicators for cooperative sustainability: The Malaysian perspective. Social Responsibility Journal, 14(1), 226–248. Ashley, P. (2005). Ética e responsabilidade social nos negócios (2nd ed.). São Paulo: Saraiva. Bertoncello, S. L. T., & Júnior, J. C. (2007). A importância da responsabilidade social corporativa como fator de diferenciação. FACOM, 17, 70–76. Boubakri, N., El Ghoul, S., Guedhami, O., & Wang, H. H. (2021). Corporate social responsibility in emerging market economies: Determinants, consequences, and future research directions. Emerging Markets Review, 46, 100758. Brasil. Instituto Nacional de Estudos e Pesquisas Educacionais Anísio Teixeira. Prova Brasil e Saeb. Histórico: história da Prova Brasil e do Saeb. C2011a. Retrieved June 04, 2020, from http://por tal.inep.gov.br/web/prova-brasil-e-saeb/historico. Cañabate, D., Garcia-Romeu, M. L., Menció, A., Nogué, L., Planas, M., & Solé-Pla, J. (2020). Crossdisciplinary analysis of cooperative learning dimensions based on higher education students’ perceptions. Sustainability, 12(19), 8156. Coelho, M. Q. (2004). Indicadores de performance para projetos sociais: A perspectiva dos stakeholders. Revista Alcance, 11(11), 423–444. Coutinho, R. B. G. (2011). Responsabilidade social corporativa no Brasil: O caso da DPaschoal Automotiva (Dissertação de Mestrado). Pontifícia Universidade Católica do Rio de Janeiro. ElAlfy, A., Palaschuk, N., El-Bassiouny, D., Wilson, J., & Weber, O. (2020). Scoping the evolution of corporate social responsibility (CSR) research in the sustainable development goals (SDGs) era. Sustainability, 12(14), 5544. Fischer, R. M. (2002). O desafio da colaboração: práticas de responsabilidade social entre empresas e terceiro setor. São Paulo: Gente. Freire, P. (1996). Pedagogia do oprimido. São Paulo: Paz e Terra. Gravié, R. F., & Espino, M. C. (2013). El ABC del aprendizaje cooperativo. México: Trillas. Jacobs, G. M., & Renandya, W. A. (2019). Student centered cooperative learning: Linking concepts in education to promote student learning. Singapore: Springer. Karkotli, G. R. (2004). Responsabilidade social: Uma estratégia empreendedora (Tese de Doutorado). Universidade Federal de Santa Catarina. Kim, B. J., Nurunnabi, M., Kim, T. H., & Jung, S. Y. (2018). The influence of corporate social responsibility on organizational commitment: The sequential mediating effect of meaningfulness of work and perceived organizational support. Sustainability, 10(7), 2208. Levek, A. R. H. C., Benazzi, A. C. M., Arnone, J. R. F., Seguin, J., & Gerhardt, M. T. A. (2002). Responsabilidade social e sua interface com o marketing social. Revista FAE, 05(02), 15–25. Matten, D. (2006). Why do companies engage in corporate social responsibility? Background, reasons and basic concepts. In J. Hennigfeld, M. Pohl, & N. Tolhurst (Eds.), The ICCA handbook on corporate social responsibility (Chapter 1, pp. 3–46). Wiley & Sons. Melo Neto, F. P., & Froes, C. (2001). Gestão da responsabilidade social corporativa: O caso brasileiro. Qualitymark. Neta, A. O. A. (2018). Uma análise da experiência da educação cooperativista em uma cooperativa de crédito (Trabalho de Conclusão de Curso). Universidade Federal do Recôncavo da Bahia. Okafor, A., Adeleye, B. N., & Adusei, M. (2021). Corporate social responsibility and financial performance: Evidence from US tech firms. Journal of Cleaner Production, 292, 126078. Paro, V. H. (2001). Escritos sobre educação. São Paulo: Xamã. Paruzel, A., Klug, H. J., & Maier, G. W. (2021). The relationship between perceived corporate social responsibility and employee-related outcomes: A meta-analysis. Frontiers in Psychology, 12, 607108. Programa. (2020). Princípios-Programa A União faz a Vida. Retrieved January 10, 2020, from http://www.auniaofazavida.com.br/oprograma_principios.
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Shabbir, M. S., & Wisdom, O. (2020). The relationship between corporate social responsibility, environmental investments and financial performance: Evidence from manufacturing companies. Environmental Science and Pollution Research, 27(32), 39946–39957. Stahl, G. K., Brewster, C. J., Collings, D. G., & Hajro, A. (2020). Enhancing the role of human resource management in corporate sustainability and social responsibility: A multi-stakeholder, multidimensional approach to HRM. Human Resource Management Review, 30(3), 100708. Sicredi União. (2020). Programa A União Faz a Vida. Retrieved June 20, 2020, from https://www. sicredi.com.br/html/conheca-o-sicredi/quem-somos/?utm_source=menu_topo&utm_medium= topo_site&utm_campaign=quem_som.
SDGs and Scientific Community: A Case Study of the University of Campinas (UNICAMP/Brazil) Thais Aparecida Dibbern
and Milena Pavan Serafim
Abstract The scientific community has a significant role in implementing the 2030 Agenda for Sustainable Development Goals (SDGs). At the theoretical level, several studies have been conducted on the relationship between this community and its role in the SDGs. Considering this context and aiming to contribute to recent debates about this relationship, this work aims to map how the University of Campinas (UNICAMP/Brazil) has been acting towards the incorporation of SDGs at the institutional level. Methodologically, this is a literature and documentary review, in addition to consulting and analyzing the institutional website of UNICAMP. The main results obtained are: I. UNICAMP, one of Brazil’s leading public higher education institutions, has a series of actions and practices that directly involve the 2030 Agenda, highlighting the incorporation of this topic in its Master Plan; II. in addition to producing scientific knowledge, UNICAMP has university engagement projects that have implementing this agenda as their strategy, as is the case of the International Hub for Sustainable Development; III. the institution integrates networks with other civil society actors, to implement the SDGs at the institutional level. Keyword Sustainable Development Goals · 2030 agenda · Scientific community · UNICAMP
1 Introduction The current global agenda for sustainable development shares an approach that depends on various actors to be, in fact, achievable. The scientific community is one of these actors, which, in turn, has been acting to legitimize the agenda of the T. A. Dibbern (B) Department of Science and Technology Policy, University of Campinas (UNICAMP), Campinas, Brazil e-mail: [email protected] M. P. Serafim School of Applied Sciences, University of Campinas (UNICAMP), Campinas, Brazil e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_5
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17 Sustainable Development Goals (SDGs) and incorporating it with its institutional and research activities. According to the German Committee Future Earth (2016), this community is called to contribute to the development of new ideas and information in the context of solving global problems, being necessary and beneficial to establish new scientific cooperation. Regarding the promotion and production of new research, the SDGs demand the following: SDG 2.a, 3.b, 7.a, and 12.a indicate the need for the development of research and scientific contributions on sustainable agriculture, vaccine development, and sustainable production and consumption; SDGs 14.3, 14.4, 14.5, and 14.a, indicate the need for new scientific contributions to address fisheries management and ocean treatment; SDG 9.5 demands the improvement of scientific research to update the technological capabilities of several industrial sectors in the world especially in developing countries; SDG 9.b demands support for the development of research and innovation in developing countries providing an environment favorable to industrial diversification and adding value to commodities; other SDGs also stand out such as SDG 17.6, which refers to the establishment of regional and international cooperation in the scope of access to science, technology and innovation; and SDG 17.8 that aimed to operationalize “the Technology Bank and the training mechanism in science, technology and innovation for the least developed countries by 2017, and to increase the use of training technologies” (United Nations, 2016). In general, the literature shows a series of studies about the performance of this community before such an agenda (Leal Filho et al., 2021; Dibbern and Serafim (2021, 2022); Leal Filho, 2020). Higher Education Institutions (HEI) stand out in this regard, especially in the context of the Global North (Aras et al., 2021; Hueske et al., 2021; López, 2022; Nogueiro et al., 2022). This paper aims to present how the University of Campinas (UNICAMP), a Latin American public university, has been adopting the Sustainable Development Goals with its institutional performance. The guiding question is: how has the UNICAMP adopted this agenda at the institutional level? And, by extension and considering its particularities, what other initiatives and projects are being developed on this topic? Methodologically, the study was carried out with literature review activities and access to official documents of the chosen educational institution. Institutional activities were identified by using keywords in the institution’s official website: “SDG,” “Sustainable Development Goals,” “Global Goals,” in Portuguese and English. In general, the study has an exploratory approach and is organized in two parts, in addition to this introduction and final considerations. The first part deals with Higher Education Institutions adopting this agenda. The second part deals with the case of UNICAMP, presenting its particularities and characteristics as an institutional strategic objective. The end of the paper contains a series of questions to guide future research on the subject, considering the Latin America.
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2 The Global Sustainable Development Agenda and the Scientific Community The SDGs, launched in September 2015 by the United Nations heads of state, take a more holistic approach than the Millennium Development Goals (MDGs), resulting in clearer implementation guidelines for the goals and targets of the agenda, and these are applicable in low-, middle-, and high-income countries. By having a broader scope, the SDGs incorporate four core dimensions of sustainable development: environmental, economic, social, and institutional. These dimensions include issues related to environmental sustainability, industrialization process, protection of land and marine ecosystems, sustainable production and consumption, topics related to peace and justice, and issues related to poverty and different types of inequalities. Due to its broader scope, the agenda depends on several actors to be, in fact, implemented and achieved by 2030. Among the actors that can contribute to its implementation are national states, the private sector, the scientific community, and civil society organizations. Regarding the scientific community—represented by HEI, research centers/ laboratories, research funding agencies, scientific associations, and epistemic communities—one can observe a great performance and mobilization regarding the SDGs. This performance has been studied and mapped in several studies and stands out in the works by Dibbern and Serafim (2021), Laurett et al. (2022), and Gamage et al. (2022), among others. How this community contributes has also been explored, and can be categorized in five dimensions: the first refers to the dimension of knowledge production, considering all areas of knowledge and the demands of the agenda regarding the production and diffusion/sharing of knowledge, data, and technologies; the second concerns expertise, considering the role of this community in providing guidelines and directives to formulate public policies; the third deals with scientific communication and its dissemination, both for the community itself and for society in general; the fourth dimension refers to education, considering adopting the SDGs as an interdisciplinary content that permeates all levels of education; finally, the last dimension refers to the institutional, with the incorporation of this agenda at the strategic level of institutions, research agendas, and funding lines (Dibbern and Serafim 2022). Reaffirming these elements, Owens (2017) adds about two main areas in which this community can work alongside governments and other HEIs and agencies that promote research and development, they are: via public funding of research and development, and via the establishment of new collaborative and coordinated partnerships between such actors. These areas, in turn, can be implemented with regional cooperation, since “regional networks help governments to understand how other countries in a similar situation have responded and to guide them in their next steps” (Owens, 2017, p. 418), which can be a starting point for public policy makers (ICSU, 2017). Other studies also address how specific institutions have incorporated the SDGs, seeking to map the actions and activities developed. Most of these studies deal with
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the incorporation of “education for sustainable development” at the higher education level, experiences and specific projects that adopt the SDGs as a strategic compass, and the establishment of partnerships and collaborations between universities and other actors to achieve these goals. In other words, it concerns “a common agenda [which] opens the door to more partnerships and different points of view on education and training,” illustrating the growing influence of international organizations in the scope of national public policies on education and other areas of knowledge (Akkari, 2017, p. 941). In the scope of international scientific associations, a series of studies and publications have been developed, aiming to encourage HEIs and research funding agencies to adopt these goals at the institutional level. As an example, we can cite the case of the Global University Network for Innovation (GUNi Network), which is one of the main references in terms of production of knowledge and expertise regarding the adoption of the SDGs by the scientific community (Vilalta et al., 2018, 2020). Therefore, it can be said that the scientific community is called upon to be involved with the 2030 Agenda at different levels of action: by identifying of what the university and research centers and, by extension, the funding agencies have been developing to contribute to the SDGs; by recognizing the importance and usefulness of the SDGs in conducting teaching, research, governance, and extension activities as a general strategy to be incorporated; and by integrating the SDGs into institutional governance structures (SDSN Australia/Pacific 2017). As such, this community has the role of assisting in translating such a global agenda into practical agendas to be implemented at national and local levels (Salvia et al., 2019). Note that the idea of the SDGs gained rapid worldwide relevance due to the growing urgency for sustainable development and, although the definitions of this term still vary in the academic sphere, it encompasses a triple approach to human well-being that the 193 UN Nation-States aim to focus on (Sachs, 2012). However, even though lots of stakeholders are committed to reaching them (United Nations, 2016) and the SDGs share a global approach and dimension, the political strategy for their implementation has national emphasis, and each country must determine its priorities, forms of financing, evaluation, and monitoring of results. Then, “by not presenting strong global governance and financing proposals that effectively support national governments, Agenda 2030 deals with the risk that the SDGs will be unevenly met throughout the world, with some not even achieving partial results”. De Menezes (2020) highlights the fragile aspects of some goals and targets of the agenda, as is the case of knowledge and technology transfer, especially those listed in SDG 17. The author considers that such goals are “exhortatory, which proclaim, in a generic way, the need to foster international cooperation” (De Menezes, 2020, p. 12, own translation). Such transfers, however, should be analyzed with caution, considering the “miracles” promised from a linear view of scientific progress. This linear view must be deconstructed regarding the Social Studies of Science and Technology (Conde and Araújo-Jorge, 2003; Dagnino et al., 1996). Despite the strong criticisms found in the literature, several HEIs around the world have been dedicating themselves to achieving these goals. This work specifically aims to address the case study of the University of Campinas (UNICAMP), one of
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the leading public universities in Latin America. Therefore, the next section deals with the case study chosen, considering its particularities and forms of action.
3 The Case of University of Campinas (UNICAMP): Identifying Strategic Actions Officially founded on October 5th, 1966, the University of Campinas (UNICAMP) is in the city of Campinas, São Paulo State, Brazil. Despite its youth, the university has a strong tradition in teaching, research, and extension activities, and is internationally recognized for training human resources and producing knowledge in all areas. UNICAMP is recognized as one of the three best Higher Education Institutions in Latin America, being the leading university in number of patents granted and one of the one hundred best universities in countries with emerging economies, according to the Times Higher Education – THE and QS World University Ranking 2021 (UNICAMP, 2022). The University has a total of 34,652 students enrolled in 66 undergraduate courses and 153 graduate programs, offered at the Campinas, Limeira, and Piracicaba campuses. Furthermore, in five decades, 65,000 professionals graduated its undergraduate programs and, each year, 800 PhDs graduate (UNICAMP, 2022). Regarding its performance on the Sustainable Development Goals, it shows a series of projects and activities: in addition to incorporating these goals in its Master Plan, UNICAMP is part of the Network of Universities for Sustainable Development; it is part of the Center for Sustainable Development Goals for Latin America and the Caribbean; and, it has projects that dialogue directly with these goals, such as the International Hub for Sustainable Development (HIDS). Specifically regarding its Master Plan (2021–2031), the university is committed to achieving the SDGs by aligning its activities with the UN’s Agenda 2030. In this sense, it shares the mission of “integrating the management of UNICAMP as a sustainable university to the planning of its use and occupation” and the vision of “being the Brazilian university with the lowest environmental impact by 2030” (UNICAMP, 2021a, p. 7, own translation). The Master Plan, organized in eleven sections, shares the vision of the university as a social agent capable of responding to problems and establishing mechanisms and guidelines aimed at sustainability, having as values the “sustainability, integration, innovation, collectivity, and transparency” (UNICAMP, 2021a, p. 7). As areas covered by the Plan, the University indicates the following: urban use and heritage, environment, urban infrastructure, mobility and accessibility, social integration, and university-society relationship. For each area and dimension, a series of actions are planned (Fig. 1). The University itself classifies the SDGs, and the following can be observed: I. all SDGs are covered by the Master Plan; II. The more present SDGs are SDG 13 (Climate Action), SDG 3 (Good health and well-being), SDG 5 (Gender equality),
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Planning Area
Related SDGs
Dimension
Urban use and patrimony
SDG 5. Gender equality SDG 10. Reduced inequalities SDG 11. Sustainable cities and communities SDG 13. Climate action
Urban use and land occupation Cultural and built patrimony Vocations
Environment
SDG 3. Good health and well-being SDG 13. Climate action SDG 14. Life below water SDG 15. Life on land
Watersheds Preservation and conservation areas Fauna
Urban Infrastructure
SDG 6. Clean water and sanitation SDG 7. Affordable and clean energy SDG 9. Industry, innovation, and infrastructure SDG 13. Climate action
Sanitation and drainage Energy Information Waste
Mobility and accessibility
Social Integration
University-Society
SDG 3. Good health and well-being SDG 5. Gender equality SDG 11. Sustainable cities and communities SDG 13. Climate action SDG 3. Good health and well-being SDG 4. Quality education SDG 5. Gender equality SDG 10. Reduced inequalities SDG 16. Peace, justice, and strong institutions SDG 17. Partnerships for the goals SDG 1. No poverty SDG 2. Zero hunger SDG 8. Decent work and economic growth SDG 11. Sustainable cities and communities SDG 12. Responsible consumption and production
Urban mobility Accessibility Social areas Diversity
University-Society Integration Community services
Fig. 1 UNICAMP Master Plan planning areas. Source Author’s elaboration according to UNICAMP (2021a)
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and SDG 11 (Sustainable cities and communities), respectively; III. the plan is guided by the concept of urban sustainability, being developed with urban planning areas that relate directly to the SDGs. In addition to the Master Plan, the university has integrated, since February 2019, the Center for Sustainable Development Goals for Latin America and the Caribbean. This Center is the result of an initiative of the United Nations Sustainable Development Solutions Network, aiming to “consolidate an alliance that allows to articulate efforts that contribute to fulfill the 17 UN Sustainable Development Goals (SDGs)” (UNICAMP, 2019, p. 1, own translation). Among the activities to be developed, meetings and work groups will be held, focusing on planning research, teaching, extension projects (community engagement projects), and entrepreneurship actions related to the theme of sustainability. One of its main initiatives is the website “Agenda 2030 in Latin America and the Caribbean: Regional Knowledge Platform,” developed with the support of the Economic Commission for Latin America and the Caribbean (ECLAC). This online platform shows a series of information and indicators for monitoring the SDGs in Latin America, and discloses events, publications, and news about the SDGs in the region (CEPAL-Nações Unidas, 2022). Additionally, the University has been a member of the Network of Universities for Sustainable Development since July 2021, an initiative of the United Nations Institute for Training and Research (UNITAR/UN). This network comprises representatives from 79 countries and is an interactive platform that aims to stimulate learning, exchange, and the establishment of partnerships among universities in Latin America and the Caribbean (UNICAMP, 2021b). With this Network, participating universities can establish partnerships with UNITAR and other actors that integrate it. In addition, they can access documentation and resources produced by the UN on SDGs and sustainable development (UNICAMP, 2022). Other initiatives can also be observed, such as the project entitled International Hub for Sustainable Development (HIDS). This project, in specific, has as its proposal: Contribute to the process of sustainable development by aggregating national and international efforts to produce knowledge, innovative technologies, and education for future generations, mitigating and overcoming the social, economic, and environmental weaknesses of contemporary society (HIDS, 2019, p. 6, own translation).
In other words, it aims to contribute to sustainable development by establishing national and international partnerships, focused on generating new knowledge and technologies. It is, therefore, an initiative that involves a series of players from the scientific community and organized civil society, among companies and governments. Therefore, since it is a recent initiative, it is still being planned and implemented, being the object of study of several works (Celani et al., 2021; UNICAMP, 2021). These initiatives developed by the University of Campinas demonstrate its commitment to the global agenda of sustainable development, being aligned with what has been developed in other Latin American Higher Education Institutions
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Category
Initiative
Description
University Mission
Education
Subjects related to sustainability and sustainable development. Undergraduate and graduate levels
Research
Research related to sustainability and sustainable development. Among theses and dissertations, scientific initiations, and course completion papers
Outreach
Outreach projects related to sustainability and sustainable development, for example, International Hub for Sustainable Development (HIDS)
Institutional Level
University Master Plan
Guided by the Sustainable Development Goals
Cooperation
Center for Sustainable
Establishment of alliances and cooperation among actors
Networks
Development Goals for Latin America and the Caribbean
from the scientific and external communities (national and international), focused on achieving the Sustainable Development Goals
Network of Universities for Sustainable Development
Fig. 2 UNICAMP initiatives towards the SDGs Source Author’s elaboration
(Didriksson, 2019; Lima et al., 2022) and other regions of the world (Ruiz-Mallén and Heras 2020; Ferguson and Roofe 2020; Chaleta et al., 2021; Alm et al., 2021). As a general overview, we draw the way UNICAMP acts regarding the SDGs, considering the identified initiatives (Fig. 2).
4 Final Considerations Several actions towards the Sustainable Development Goals can be observed within Higher Education Institutions and the scientific community in general. In the case of the UNICAMP, for example, such actions stand out at the institutional and strategic levels, being directly related to the university’s achievement of the SDGs goals and targets. Although recent, these actions signal the commitment assumed by the institution’s managers regarding the theme of sustainable development, as has been happening in other institutions around the world. Since this is an exploratory study, it is limited, above all, by its scope. Furthermore, it is an overview of how this particular University has been addressing the SDGs. Thus, it poses a series of questions as a future research agenda: I. what motivates the adoption of this global development agenda at the institutional level; II. in what way has this agenda become the institution’s strategic agenda; III. in what way these actions and initiatives dialogue with what has been done in other Latin American Higher Education Institutions and other regions of the world; IV. in what way these
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actions and initiatives differ from one another, among others. Such questions can guide research on UNICAMP and other HEIs that have been acting towards the SDGs. Acknowledgements Acknowledgements to CAPES for the financial support for the doctoral research of Thais A. Dibbern under the supervision of Prof. Dr. Milena Pavan Serafim at University of Campinas (Grant – 88887.339816/2019-00).
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Ferguson, T., & Roofe, C. G. (2020). SDG 4 in higher education: Challenges and opportunities. International Journal of Sustainability in Higher Education. https://doi.org/10.1108/IJSHE-122019-0353 Gamage, K. A., Munguia, N., & Velazquez, L. (2022). Happy sustainability: A future quest for more sustainable universities. Social Sciences, 11(1), 24. https://doi.org/10.3390/socsci11010024 Griebeler, J. S., Brandli, L. L., Salvia, A. L., Leal Filho, W., & Reginatto, G. (2021). Sustainable development goals: A framework for deploying indicators for higher education institutions. International Journal of Sustainability in Higher Education. https://doi.org/10.1108/IJSHE-032021-0088 HIDS. (2019). Artigo Conceitual: Hub Internacional para o Desenvolvimento Sustentável – HIDS. Available at: http://www.hids.unicamp.br/wp-content/uploads/2019/03/HUB-Concep tual-Paper-Portuguese-V16.pdf. Hueske, A. K., Pontoppidan, C. A., & Iosif-Lazar, L. C. (2021). Sustainable development in higher education in Nordic countries: Exploring E-Learning mechanisms and SDG coverage in MOOCs. International Journal of Sustainability in Higher Education. https://doi.org/10.1108/ IJSHE-07-2020-0276 ICSU. (2017). A Guide to SDG Interactions: from Science to Implementation. International Council for Science (ICSU), Paris. Available at: https://www.icsu.org/cms/2017/05/SDGs-Guide-to-Int eractions.pdf. Laurett, R., Paço, A., & Mainardes, E. W. (2022). Sustainability in higher education institutions: a case study of project FUCAPE 120% sustainable. International Journal of Sustainability in Higher Education, (ahead-of-print). doi: https://doi.org/10.1108/IJSHE-02-2021-0053. Leal Filho, W. (2020). Accelerating the implementation of the SDGs. International Journal of Sustainability in Higher Education. https://doi.org/10.1108/IJSHE-01-2020-0011 Leal Filho, W., Frankenberger, F., Salvia, A. L., Azeiteiro, U., Alves, F., Castro, P., & Ávila, L. V. (2021). A framework for the implementation of the Sustainable Development Goals in university programmes. Journal of Cleaner Production, 299, 126915. https://doi.org/10.1016/j. jclepro.2021.126915 Lima, C. L., Kieling, D. L., Ávila, L. V., Paço, A., & da Silva Zonatto, V. C. (2022). Towards sustainable development: A systematic review of the past decade’s literature on the social, environment and governance and universities in Latin America. International Journal of Sustainability in Higher Education. https://doi.org/10.1108/IJSHE-09-2021-0394 López, B. (2022). How higher education promotes the integration of sustainable development goals—An experience in the postgraduate curricula. Sustainability, 14(4), 2271. https://doi. org/10.3390/su14042271 Moreira, M. R., Kastrup, É., Ribeiro, J. M., Carvalho, A. I. D., & Braga, A. P. (2020). O Brasil rumo a 2030? Percepções de especialistas brasileiros (as) em saúde sobre o potencial de o País cumprir os ODS Brazil heading to 2030. Saúde Em Debate, 43, 22–35. Nogueiro, T., Saraiva, M., Jorge, F., & Chaleta, E. (2022). The Erasmus+ programme and sustainable development goals—Contribution of mobility actions in higher education. Sustainability, 14(3), 1628. https://doi.org/10.3390/su14031628 Owens, T. L. (2017). Higher education in the sustainable development goals framework. European Journal of Education, 52(4), 414–420. https://doi.org/10.1111/ejed.12237 Ruiz-Mallén, I., & Heras, M. (2020). What sustainability? Higher education institutions’ pathways to reach the Agenda 2030 goals. Sustainability, 12(4), 1290. https://doi.org/10.3390/su12041290 Sachs, J. D. (2012). From millennium development goals to sustainable development goals. The Lancet, 379(9832), 2206–2211. Salvia, A. L., Leal Filho, W., Brandli, L. L., & Griebeler, J. S. (2019). Assessing research trends related to Sustainable Development Goals: Local and global issues. Journal of Cleaner Production, 208, 841–849. https://doi.org/10.1016/j.jclepro.2018.09.242 SDSN Australia/Pacific. (2017). Getting started with the SDGs in universities: A guide for universities, higher education institutions, and the academic sector. Australia, New Zealand and Pacific Edition.
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Unicamp. (2019). Unicamp compõe Centro dos Objetivos de Desenvolvimento Sustentável para América Latina e Caribe. Available at: https://www.unicamp.br/unicamp/noticias/2019/02/25/ unicamp-compoe-centro-dos-objetivos-de-desenvolvimento-sustentavel-para-america. Unicamp. (2021a). Plano Diretor Integrado. Available at: https://www.depi.unicamp.br/plano-dir etor/. Unicamp. (2021b). Unicamp passa a fazer parte da Rede de Universidades para o Desenvolvimento Sustentável. Available at: https://www.unicamp.br/unicamp/noticias/2021b/07/06/ unicamp-passa-fazer-parte-da-rede-de-universidades-para-o-desenvolvimento. Unicamp. (2021). Campus sustentável: Um modelo de inovação em gestão energética para a América Latina e o Caribe. Synergia. Unicamp. (2022). About Unicamp. Available at: https://www.unicamp.br/unicamp/english. UNITAR. (2022). University Network for Sustainable Development. Available at: https://unitar.org/ ny/universities. United Nations. (2016). The Sustainable Development Goals Report. New York, NY. Vilalta, J. M., Betts, A., Gómez, V. & Cayetano, M. (2018). Approaches to SDG 17 Partnerships for the Sustainable Development Goals (SDGs). A Publication by the GUNi Group of Experts in SDGs and Higher Education. Barcelona. Vilalta, J. M., Jové, N., Gómez, V., & Cayetano, M. (2020). 2nd GUNi international conference on SDGs: Higher education & science take action. Barcelona.
Thais Aparecida Dibbern is a PhD in Science and Technology Policy at the Department of Science and Technology Policy, University of Campinas (UNICAMP). Master’s degree in Applied Humanities and Social Sciences (2019) and Bachelor’s degree in Public Policy Management (2016), both from UNICAMP. Researcher at the Laboratory for Public Sector Studies (LESP/ UNICAMP) and at the Innovation Policy Analysis Group (GAPI/UNICAMP). Milena Pavan Serafim is a Public Administrator graduated from UNESP (2001), with a Master’s and Doctorate in Science and Technology Policy from UNICAMP (2008 and 2011). Full Professor of Public Administration at the School of Applied Sciences of UNICAMP and of the Graduate Programs in Human and Social Sciences and in Scientific and Technological Policy, both at the University of Campinas (UNICAMP).
Teaching Strategies for Sustainability in Creative Disciplines Ana Elena Builes-Vélez , Juliana Restrepo Jaramillo, Natalia Pérez-Orrego , and Lina María Suárez-Vásquez
Abstract Higher education institutions play an important role in the quest for a sustainable future. The link to sustainability offers new perspectives for the understanding of wicked problems and socioenvironmental issues; however, few universities in the world have a strong emphasis on education for sustainability (EfS). Consequently, many institutions in Latin America are missing the many opportunities offered by teaching and researching on issues related to sustainable development (SD), and from which it becomes urgent to address before they follow in the footsteps of first-world economies and consumption systems. This article focuses on the current treatment and inclusion creative disciplines have made of the concept of sustainability in higher education, since these disciplines are design-led, allow students to engage and interact with problems and stakeholders, prototype everyday life artefacts of to affect behavioral transformation, and structure creative solutions to foster interconnectedness with life. This study analyzes and exposes the different strategies and pedagogical tools addressed in the curricula of design education and architecture to integrate the Sustainable Development Goals (SDGs) at three universities in Medellin city, Colombia, recognizing the need to strengthen them. Keywords Curricula · Sustainability · Design · Architecture · Education · SDGs
A. E. Builes-Vélez (B) · J. R. Jaramillo School of Architecture and Design, Universidad Pontificia Bolivariana, Medellín, Colombia e-mail: [email protected] N. Pérez-Orrego Faculty of Design, Universidad de Medellín, Medellín, Colombia L. M. Suárez-Vásquez Faculty of Production and Design, Institución Universitaria Pascual Bravo, Medellín, Colombia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_6
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1 Introduction In 1987, the United Nations (UN) endorsed sustainable development as a solution to global environmental problems and recognized education as a key aspect to purse this difficult task. Education is one of the primary spots for social change and the preparation for professionals and decision-makers in higher education. The UN introduced the concept of “sustainability to universities through the International Environmental Education Programme” (1975–1995), and this resulted in a series of commitments and declarations around the world that aim to introduce education for sustainability in universities and centers of non-professional education around the world. Those declarations and commitments turn into the UN’s Decade for Education for Sustainable Development (DESD) (2005–2014) (UNESCO, 2005) stating that education for sustainability (EfS) should be included in every classroom of all universities around the globe, not only as an elective or specialized subject, but also new courses and programs addressing possible solutions to social and environmental problems through design and creativity. According to Belinda Christie et al. (2013): Many governments have shown their support through producing or starting policies in line with the UNs DESD (UNESCO 2005, 2009). [...] the Higher Education Funding Council for England’s action plan Sustainable development in higher education (HEFCE 2005) and the UK Government report, Securing the future: delivering the UK sustainable development strategy (HM Government 2005), Japan’s 2006 National DESD Implementation Plan (Nomura and Abe 2010) and the Australian Government’s Living Sustainably: The Australian Governments National Action Plan for Education for Sustainability (Commonwealth of Australia 2009). (Christie, B. A, et al. 2013)
These public policies and agreements of different governments with university leaders and educators prove a firm commitment to pursuing environmental and social sustainability. Depending on each country’s historical background and educational perspectives, various approaches or strategies have existed around the world to integrate EfS into formal education. Approaches fluctuate from more conventional (i.e. conforming to existing systems and structures) to more innovative (deconstructing the existing systems and structures), as described below. Applying strategies and methodologies for sustainable education in creative disciplines requires implementing unconventional approaches to the learning and teaching processes. Hays (2017) declares that continuing to use conventional approaches is counterproductive in a world that is in constant changing and challenging in every aspect. When training future designers and architects it requires thinking differently since current models of education are extremely difficult to keep pace with the disruptive nature of social, economic and technological changes (Fukuyama, 2017). Since design and architecture are disciplines that aim to solve social, environmental, technical and cultural issues transforming the way people interact with the territory they inhabit in, that is why we need to implement disruptive strategies and methodologies in and out of the classroom. As promoted by the Sustainable Development Goal 4 (UN, 2015) cultural and structural investments in high-quality education are important to ensure inclusive
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and fair quality teaching, and inspire lifelong learning opportunities for all, paying specific attention to Target 4.7, which encourages the education for Sustainable Development. The role of the Higher Education sector is paramount to feed students’ curiosity and empathy toward environmental, social, cultural and economic issues. Therefore, Design and Architecture Schools should foster a new design culture hinged on sustainability from the undergraduate level because these professionals produce a high percentage of the disposal material during the construction processes. Students trained in Design for Sustainability can benefit from a vast set of theoretical and design knowledge settled in the field since the 90 s in order to enhance the uses of better materials and practices of building. We, the researchers, know that the cultural transition toward sustainability requires systemic changes and original learning processes linking contextual values and students’ needs with strategic policies addressed by educational institutions. According to Builes-Vélez and Suárez -Vásquez (2021), “changing principals and paradigms through Sustainable Learning and Education implies introducing subjects like: Principals and Practices of Sustainability, Theory and Behavior of Complex Adaptative Systems, Wicked Problems, and Vicious Cycles” (p. 78), these modifications will promote different approaches in design and architecture education impacting the way future professionals of these creative disciplines get close to any design and architecture project with a greater understanding of the environmental and social impacts of their work. In this paper, we will present different strategies used in three different Architecture and Design Schools in Medellín, Colombia, to implement SDGs in the training of new professionals.
2 Literature Review 2.1 The Implementation of Concept of Sustainability in Design and Architecture Schools Multiple scholars (Kolko, 2012, Buchanan, 1989, Krippendorf 2006, Manzini 207, Charter & Tischner 2001) have confirmed the enormous responsibility of the creative disciplines in the current crisis the world and humanity are facing today. “We estimate that the product design and development phase carry approximately 80% or even more of the environmental and social effects of the product including the manufacturing, use and disposal phase” (Charter & Tischner, 2001, p. 120). We could observe different modalities of assuming this responsibility, starting from the global commitment to integrate elements of sustainability into education, and as proper emergencies and critical reflections from different Higher training programs. Scholars mentioned before agree on the importance of including SDG and sustainability in curricula through different strategies in Higher Education Institutions. European institutions have been thinking about these issues for more than a decade and
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have built a strong conceptual framework that would be useful to review and understand. Carolin Ermer (2018), from the University of Applied Sciences in Berlin, describe the research study proposal around four different learning fields, “that can be combined in a didactic-methodical model for implementation into practice, for a didactic methodical model: i. Ecological literacy & sustainable designenhancing professional competence and social skills. ii. Collaborative learning & social learning—enhancing social skills and self-competence. iii. Interdisciplinary & transdisciplinary learning—enhancing social skills and self-competence. iv. Critical thinking & mindfulness enhancing self-competence” (Ermer, 2018, pp.1/4- 2/4). This model addresses new understanding and perspectives of sustainable development issues that will allow students to design solutions with a more ethical approach. In Europe, The project FashionSEEDS (Fashion Societal, Economic & Environmental Design-led Sustainability) works as a network of fashion universities (University of the Arts London, Centre For Sustainable Fashion London College Of Fashion, Politecnico Di Milano, Estonian Academy Of Arts, Design School Kolding Denmark), aim to develop a holistic framework to embed sustainability into higher education fashion design, integrating skills, capabilities, and knowledge of fashion design for sustainability, for the curricula construction and the pedagogy practice. The project extends to course content, methodologies, learning environments, teaching materials, and sector engagement promoting sustainability capabilities. The pedagogies outlined in FashionSEEDS are derived from the Centre for Sustainable Fashion’s Pedagogic Principles (UAL), based on a participatory and constructivist approach that identifies fashion design for sustainability both ways, creation and problem solving. The first product of the project was The Benchmarking Report (2019), a mapping exercise that tracked good practices in fashion and sustainability across the European fashion education system. According to it, the Higher Education Institutions level of experience in the Fashion Design for Sustainability field shows multiple characteristics affecting the curricula in different ways. The researchers point out that a high percentage of the interviewees consider that: Sustainability is integrated into courses or modules within programmes, or interpreted as a transversal topic through projects at BA and MA levels. Of particular note, only one institution offers a specific PhD course on sustainability. (...) Relating to the description of the curriculum at HEIs, an innovative aspect emerges which is the personalisation by students of the academic path at MA level. This model offers an opportunity for HEIs to insert sustainability in their curriculum without redesigning academic structure, and to offer an adaptable curriculum (Fashions Seeds, 2019, pp.86–89).
It is evident then that the proposals to include sustainability in the curricula of educational institutions in Europe do not focus on the radical transformation of these, but rather on the inclusion of competencies, workshops and courses that allow addressing the basic concepts for a better understanding of what sustainable development implies. According to Ashour (2020), curricula should enable students to “explore sustainable problems, including critical exploration of social values and the involvement of all stakeholders in the design process which set the stage for a more thoughtful,
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more grounded, and more integrated subsequent design process” (2020, p.131). In the Teacher’s manual for SD integration in higher education (2017), authors recognize the importance to address sustainability related issues in the classrooms to student-activating methods. They outline different methods and strategies like videos, brainstorming, case studies, demonstrations, forms of dialogue, team work, jigsaw, assignments, problem-oriented education, oral presentations, project learning, small discussion groups, voting, and questions that, according to the researchers, will promote in students’ new ways of understanding and approaching wicked social and environmental problems and then design innovative and creative solutions. Walter Leal Filho on his paper Non-conventional learning on sustainable development: achieving the SDGs (2021) recognizes the importance of including different and innovative teaching methods and approaches since non-classroombased methods and strategies contribute to have a more active participation of students. On his paper, Leal Filho presents a series of non-conventional learning methods, approaches and environments and the usefulness of them for EfS. According to the author: Transformative learning is also substantial, especially in conditioning the mindsets of humans to promote sustainability in specific sectors as varied as:
a. economic aspects, b. social matters and c. environmental affairs. Truly transformative learning is also able to play a transformative role itself (…) to provide insights into knowledge for action that enable actors to be and remain capable of acting in the transformation process. (Leal Filho, p. 2)
In design and architecture, transformative learning is a teaching method that has been used to promote in students break barriers and think outside of the box, as we explore in Sect. 2.2. improving the solutions in matters mentioned before. Bakker and colleagues in their book About design thinking (2020) recognize the importance of it in the preparation of students for situations with unsustainable issues which are characterized by uncertainties and multiple possible solutions. Authors considered that the learning process should be mediated through “different models of thinking and understanding that promote associations between multiple variables that gather in the wicked problems” (Ashour, 2020, p.131) aiming to prepare them to the possible issues found in their professional life. Professors must teach students that sustainability and quality design and architecture go hand in hand, and that sustainability issues should be considered in the design process. Teachers need to connect theory-based teaching to practice-based in curricula, so that responsibility and sustainability would be an integrated part of all courses in the design and architecture curriculum. “To make this happen, a highly focused upgrading of knowledge and skills is urgently needed for all design educators” (Leerberg, M. et al., 2010). After reviewing different proposals for including sustainability in design and architecture curricula, it is possible to recognize the importance of including the
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learning of systemic thinking and handling of complexity; anticipatory thinking; critical thinking; acting fairly and ecologically; participation; empathy and change of perspective; interdisciplinary work; communication; planning innovative projects. All of these concepts are connected to the proposal that the SDGs, the EfS and education for SD have made for decades (Lozano, R., et al., 2017) with the intention of transforming all disciplines professionals’ performance. Design and architecture educators have acknowledged the importance of teaching ecological literacy and sustainable design-enhancing professional competences, as well as social skills, critical thinking, inter and transdisciplinary learning and collaborative learning, which enhance empathy social responsibility, and are key aspects in “education for sustainability, and will allow students’ approaches to design and architectural problems to take a more holistic approach to the three dimensions of sustainability. Scholars have expressed the need of increasing the ethical consciousness of design students” (Ashour, 2020, p.131). Consequently, future designers and architects will have a more critical, ethical and responsible way of acting in their professional life. The reason behind education in sustainable design and architecture has been discussed as preparing students for transitions toward sustainability, which involves a significant change in perception away from that of consumerism. Seixas, S. (2021) argues that Requirements for Design education for sustainability, should include critical thinking, learning, and questioning the world. Due to it, education must integrate the use of tools from Design Thinking Methods combined with sustainability concepts, enabling changes and improvements in the way of thinking and consequent projects of students. It is also fundamental to improve iterative, affirmative, reflexive, practical, and visionary skills, in order to improve the understanding of the relationship between producer and consumer, and technology and society, which is one of the paths to solve sustainability issues, sometimes complex, multifaceted, and unlimited issues. We have noticed that it has become relevant to rethink the curricula in creative disciplines, evidencing practices of social, environmental, and economic responsibility. Including courses that allow students to acquire skills on the importance of sustainability, cleaner production, social responsibility and circular economy in the design phase. For that to happen, there must be an interdisciplinary correlation to allow more holistic results, new strategies, and competencies, generating a change of attitude and mentality. The students need to acquire social skills that help them deal with the uncertainty of an unsustainable future. Feel socially and ecologically responsible to be able to translate values and knowledge into more environmentally friendly projects throughout the curricula modifications. In Latin America, the ICOGRADA (International Council of Graphic Design Associations) pointed out the importance of the evolution of education towards a clear sustainable stance in the meeting held in 2011. Scholars gather to discuss and propose a series of competencies they considered important for the education of graphic designers. Those competencies included a sensitive and critical attitude, the ability to adapt and evolve, cross-cultural and interdisciplinary communication, the practice of quantitative and qualitative research methods, intellectual curiosity
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and self-learning (Rogel, E. et al., 2015). They, at the end, will prepare students for technological, environmental, cultural, social and economic continuous change. They also agreed on the importance of involving self-learning and adaptive competencies for permanent updating to respond to changes in a future that is difficult to define and that requires students to have a strong sense of personal responsibility towards the environmental and social impact of their practice. The practical characterization of education for sustainability is unthinkable without a reintegration with theory, since education requires the exercise of a reflective knowledge to do, but also a reflective doing to know. One of the biggest problems faced by students in the design and architecture areas is not understanding why they are learning what they are being given, few are the occasions in which they are taken to the point of knowing what is the purpose of each exercise, reading, participation, reflection or project, in which they are constantly immersed. (Rogel, E. et al., 2015). On the other hand, in Colombia, a group of researchers from the Universidad de Investigación y Desarrollo in partnership with LENS (Learning Network on Sustainability) recognize that design education based on sustainability demands changes in academic paradigms beyond the implementation of isolated eco-design courses in curricula, courses that in some cases are the result of curricular transformations in other countries. In the book Contribuciones académicas a los Diseños y Sostenibilidades en Colombia. DSxC (2020), the authors propose a pedagogical model for SD that must permeate the curricular processes and administrative management. It also requires discussion spaces where problems are raised and addressed in a critical, democratic and multidisciplinary way. Intending to rethink the methods according to the context and the impact generated from its application. The proposal formulates three strategies for this: Information Strategy, Creative Strategy, Execution Strategy, all developed in three phases: Preliminary, Focusing and Implementation, articulating notions of the Colombian context and Ecoliteracy. Puentes-Bedoya (2020) in her general review of the notions of sustainable development for design education, states that: It is necessary for the discipline of design to assume responsibility and build a space of design for sustainability, which permeates the educational scenarios in Latin America -founded on outdated and outmoded environments- where components, forms and functions are generated from industrial production based on traditional economies that favor the oil industries with the supply of crude oil as raw material for decades (Puentes-Bedoya, 2020).
The author understands the importance of including the concept of sustainability and the different approaches of it, but points out the relevance of reviewing these aspects in a contextual way. This to ensure that the students comprehend them in the context and territory in which they project. This is a brief literature review that shows some efforts from multiple institutions, schools and researchers from creative disciplines, to introduce the concept of Sustainability in higher education. It is interesting to see that many of the proposals formulate strategies that include critical thinking, collaborative learning, interdisciplinarity and Ecoliteracy. The following section will explore the concepts of transformation and transition in design and architecture.
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2.2 Transformation and Transition in Design and Architecture As seen in the literature reviewed, practices and notions of sustainability in education for design and architecture have been transformed and conceptualized over the last three decades, highlighting creative disciplines as enablers of the multiple experiences of meaning we hold with the world (Buchanan, 1989, 1995). So then, clothing, graphics, objects and spaces are artificial mediations that shape the behavior or social interaction with which a human relationship arranged the context. Therefore, those study fields intervene the phenomena inscribed in the systems of signification (Barthes, 1993; Baudrillard, 2003), and shapes the cultural language (PérezOrrego, 2013) through the construction and reconstruction of value and significance of artificial life (Krippendorff, 2006). As design project is one of the main ways in which a wide range of products, services and interactions are materialized, it is impossible to think that its interests are focused on both, the efficient development and the production of meaning of the activity itself. However, the most distinctive and enlightening feature of design is not only to provide a poetic or technical solution to a defined and structured problem; rather to reflect and generate possible answers to what Rittel and Webber (1973) called wicked problems: problems that are essentially unique or indeterminate and, paradoxically, formulable once they are solved. They involve different actors, clients and decision makers from social systems, in a complicated web of value and ethical linked significance. Likewise, Richard Buchanan in his text Rhetoric, Humanism and Design (1995), argues that, for problem solving, design must comply in a previous way to a rhetorical planning of the products where they “[…] come to be as vehicles of argument and persuasion about the desirable qualities of private and public life” (p. 26); and in order to build the poetic conception of the products. Thus, design as a rhetorical project is a process of discursive inventiveness with solutions to the dynamic nature of wicked problems are experimented and in which the designer establishes himself as an influencer for the development of present and future life.
2.3 Designer as Problematizer The problem from which the design project starts is the object of study outlined by observation and analysis of the context, as well as research of primary and secondary sources. Since Schön (1998) referenced the designer as a reflective practitioner, s/he is naturally characterized as a knowledge producer by prototyping and experimentation, in which he/she engages in critical decision-making. In that sense, the reflective process turns into an essential activity that requires interwoven different points of view of the problem, and a complex system analysis.
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Despite the designer’s ability has historically been guided by conceptual inspiration and technical efficiency, which is still necessary, today it requires the ability to observe, listen and synthesize the perceptions of the multiple stakeholders involved in the problem, as well as the ability to work with multiple disciplines. Understanding the problem today from a complex and systemic perspective requires another understanding of what distinguishes knowledge in design and how the designer approaches it. The Complex systems and environments design order [1] is the most recent design field of knowledge and action (Buchanan, 2001). Research in design is crucial to get into a broader critical view of the problem that allows the opportunity to choose among the emerging research approach driven by design: Speculative and critical design, Participatory design, Human-centered design, Generative design research; among others (Sanders, 2008). Design research has pursued new understandings of human interactions from the study of the political, economic, social and technological factors involved in the situation, which intrinsically turns the designer into a reflective and problematic professional for the twenty-first century, and with analytical domain to propose SDGs solutions. The most relevant approach that complex or wicked problems require for sustainability is to decentralize the human being from the solution. Sustainability starts by having an eco-systemic understanding of environmental stability, and not by one focused on the benefit of human consumption that maintains a limited extractive and polluting relationship with the ecosystem. This is a relevant change to the design that since the late nineteenth century has been focused on the benefit of the user-consumer and industry-economy relationship. It ends up splashing what, in order to transform these relationships, came to be called human-centered design since the late twentieth century. However, in its linguistic reference, continues to centralize the design in the human and not in the problematic ecosystem of the situation. It would seem that we are calling for a simple nominal change, but in reality, we are calling for a rhetorical change that will lead to the transformation of the discipline of design and of human interactions with the planet. This is what Terry Irwin, Gideon Kossoff & Cameron Tonkinwise called Transition Design as: “[…] where speculative, long-term visions of sustainable lifestyles challenge existing paradigms and inspire and inform the design of short- and mid-term solutions” (2015, p. 231). Under this perspective, the rhetorical transformation is in four areas of the transition design framework: (1) A vision for transition that requires new knowledge about natural, social, and designed systems. (2) Theories of Change, that will reshape designers´ temperaments, mind sets and postures. (3) Mindset/posture openness, that will rise alternative design approaches. (4) new ways of designing, that will identify the vision but will also change/develop it (Irwin, 2015).1 Transitional design and the designer’s ability as problematizers are an opportunity to plan future sustainability solutions using the reflective, experimental and rhetorical thought process of the creative disciplines in pursuit of social transformation: “Good designs become our habitats and habits that can determine future pathways for our 1
For specific details on transition design framework, see Fig. 2. at p. 232 (Irwin, 2015).
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societies. All this implies that design can play a more central role in the discourse of transition”. (Irwin et al., 2021, p. 32). After reviewing the literature and understanding the need for transition in design and architecture, we found four concepts that must be considered in the construction of pedagogical tools and curricula. Those concepts are: ecological literacy, collaborative learning and social learning, interdisciplinary and transdisciplinary learning, and critical thinking. In the following section we present the strategies and pedagogical tools that teachers have been using in the three institutions.
3 Methods and Literature The study objects of this paper are Curricula and SDGs in Colombia, specially Medellín in 3 design faculties at Universidad Pontificia Bolivariana, Institución Universitaria Pascual Bravo and Universidad de Medellin. The reviewed programs were Graphic, Industrial and Clothing Design, and Architecture (12 programs revolving around creative disciplines). Relevant papers published in Scopus and Web of Science were reviewed. The search string was intentionally designed to provide reasonable coverage of the diverse research that exists on Curricula, creative disciplines, Education for Sustainability and SDGS, specifically SDG 4. Therefore, we consider that a qualitative interpretative approach on an intentioned and reduced sample of professional training programs. As well as, qualitative tools such as bibliographic analysis, semi-structured interviews, and participatory observation suited the goals of this study. On the 18th of September 2021, an online questionnaire was sent to approximately 700 creative discipline students asking them if they saw topics related to the SDGs in their courses and if professors used different strategies to recognize the environmental, social and economic impacts of design and architecture projects. Additionally, 15 semi-structured interviews were conducted with 5 faculty professors of each university. Researchers question teachers on how do they incorporate the SDGs and apply them in their courses. What strategies, teaching resources and classroom exercises do they use in their courses to teach sustainable development issues. And, what strategies do they apply to implement a culture of sustainability in students. Answers provided a “snapshot” of current teaching and Education for Sustainability practices across creative disciplines.
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4 Results and Analysis 4.1 Survey Results We applied the survey to 658 students from the 3 universities and 12 academic programs related to creative disciplines. The 42.7% declared that they were in the middle of their professional curriculum, 31.5% students are just starting and 25.8% are finishing. Some of the most significant data obtained are: The 12% of the students identify as SUFFICIENT the knowledge they have regarding “ancestral, indigenous or native knowledge related to the diversity, care, protection and opportunities of natural resources”. Only 16.6% of the students indicate that they have received SUFFICIENT information on “regional, national and international laws, agreements and/or policies related to sustainability”. Finally, 30.5% students agree that the information they have on the “local or regional situation linked to consumption and/or environmental protection” is SUFFICIENT. Regarding the topics that they could be in SUFFICIENT capacity to argue, only 13.4% of the students consider that they would know “who to turn to make informed decisions about the impact of their projects on the environment.“ Only 13.8% can comment on the “participation alternatives to which they are entitled” and 24.2% on the interdependence between people and the environment.
4.2 Strategies and Pedagogical Tools for Sustainability in the Curricula of the Creative Disciplines Sustainability can have multiple interpretations in the creative disciplines, therefore, it was important to determine the key variables that would be evaluated in the curricula for this investigation. First, we adhere to the approach of UNESCO which defines sustainable as “[…] development that satisfies the needs of the present generations without compromising the capacity of the future generations of satisfying their own needs” (1987). Within this frame, we recognize that the direct addressing of this subject directly is difficult on behalf of its broadness. Our guess is that sustainability is an emergent state of equilibrium that can be favored by contextual conditions, some of them identified by UNESCO (2010). Using this proposal as a basis, we interpreted these contextual elements as variables that could be tracked in the higher education context, as listed: 1. Curricular and/or technological resources used to teach sustainability. 2. Information and/or training on local, national and international laws, agreements and policies to reduce the impact of products and processes on the environment. 3. Information or knowledge about the local or regional situation linked to consumption and/or environmental protection.
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4. Knowledge of the best business or social practices in terms of sustainable development. Social challenges linked to sustainable development. 5. Culture of sustainability: Ancestral, indigenous or native knowledge related to the diversity, care, protection and opportunities of natural resources. Frequent prejudices and misunderstandings about sustainable development. 6. Integration of policies for ESD at the institutional level. As mentioned in this same document, there are already some instruments to diagnose the quality of training processes, coverage, infrastructure, etc. It is important to clarify that these variables could be tracked at different levels of development in higher education. In the Colombian context, competences are assumed to have different levels of development (Tobón, 2018). In order to recognize the strategies and pedagogical tools used for teaching sustainability in the creative disciplines’ context, the planning of all courses in 12 programs was reviewed, searching for keywords linked to the variables referred earlier in this text. From this search, a first recognition of the strategies was conducted. However, it soon became clear that many of the efforts to include sustainability in such courses were part of a “hidden curriculum”, not included in the official documents but that teachers include on their own. This motivated the development of a series of interviews with key teachers that allowed the understanding of some classroom practices that were not recorded in the official documents. Although the reviewed programs were graphic, industrial and clothing design, and architecture; most of the curricular experiences in sustainability were found in programs linked to the textile industry, most likely because this is one of the most polluting on the planet. Some of these strategies are outlined below: 1. Creation of a textile from recycled raw materials or organic fibers. This exercise begins with the understanding of what a textile is and where raw materials for the textile industry normally come from. Students carry out inquiries, presentations and readings, from which they develop a critical vision. Through techniques such as Design Thinking, they project a new material that considers its application, consumer needs and the industry that will provide the raw material (Unibio -Rincón, 2022). 2. Identification of contemporary tensions: students identify design problems in their environment and place them within the goals of sustainable development. They use online queries to find out about the subject until they visualize its complexity and recognize them as “wicked problems” (Kolko, 2012, Buchanan, 1989). In parallel, they study macro trends through micro-sociology methodologies that reveal tensions between the cultural; the economic, the social and the political. Once this analysis is done, students are motivated to recognize the relationship between the global problems they have analyzed and some fashion trends. This reflection also serves as a personal evaluation criterion for their own design exercises in this and in other courses (Vélez-Granda, 2021). 3. Ecodesign and sustainability workshop: it begins with the presentation of concepts on sustainability by the teacher. The workshop starts with the review of theory about the SDGs. This information is presented and discussed among
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all participants. Next, a life cycle analysis of a garment is carried out, and the effects of each stage of production are reviewed (Merizalde-Toledo, 2021). Collecting for recycling or reuse: another strategy is the collection of garments or materials that are not in use. The reasons a person discards an object are analyzed, also the utility that these materials may or may not have for another person, and if it is possible to integrate them into a recycling or reuse process (Merizalde-Toledo, 2021). Case study: business cases are analyzed, presented by the teacher or by the students, having the sustainable development goals as a starting point for understanding the relevance of business models or value propositions and how these make up value for the company (Baena-Restrepo, 2022). Weekly carbon footprint measurement: students are asked to measure their carbon footprint weekly, and then monthly, during the course. This exercise serves to question the impact they have as individuals on the environment and to visualize how they can reduce these indicators by controlling consumption or how to replace the energy they spend (Baena-Restrepo, 2022). Percentage of “Sustainable Wardrobe”: students are asked to count the number of garments they have in their wardrobe (Baena-Restrepo, 2022). Specialized tools for materials selection and analysis: students are encouraged to use tools such as Ashby CES EduPack that help select materials with the variable of sustainability. Another tool is also used to measure the sustainability of the product and the life cycle, is AITEX, from the Center for Textile Measurement, which has a specific seal for the product (Baena-Restrepo, 2022). Project and domesticity workshop: develop projects for sustainable communities and resolving inequalities. The exercise integrates companies that generate leftover waste that can be transformed into sustainable products (Gil-Londoño, 2022). Strategic interchange platform: this strategy is based on the dynamics of the emerging solidarity exchange models, the SDGs, and the local dynamics of the western region of Antioquia, from which students are motivated to design a strategic exchange platform based on self-managed productive units that is desirable, workable and adaptable, and that response to the problems of sustainability of the territory contributing to local development (Gil-Londoño, 2022). Documentary video analysis: documentary videos are frequently reviewed. This information is well documented and generates an impact on students, since it shows the abuses of large companies on nature and those who manufacture (Zapata-Rios, 2021). Rhetoric and pragmatics of the image: rhetoric and pragmatic courses analyze graphic design and the production and dissemination of messages from a political point of view, and designers as actors in social change (RodriguezVelasquez, 2022).
Tracking these various strategies used today for teaching sustainability, in design and architecture curricula, it reveals a great disparity as they are not governed by a curricular system. Some serve only for the recognition of the basic concepts of
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sustainable development, others have a technical focus, for example, in the selection of materials and use of sustainability assessment tools in products and processes, and others reach a strategic level, that sees sustainability as a permanent perspective throughout the design process linked to the ethics of professional practice. The foregoing reveals a latent need for the configuration of curricular systems that order and systematize these experiences according to their complexity so that there is a coherent and scaled development of competence and, on the other hand, the need for spaces for disciplinary debate on how the professional practices experiences for sustainability should be transformed.
5 Conclusion The overall analysis of the information reviewed until now provided results that the research group was not expecting. In the three institutions, pedagogical strategies with an emphasis on formal and non-formal methods are used to improve the appropriation of sustainability and sustainable development in classrooms. These strategies, in some cases, are designed by teachers and tutors using as a reference multiple SDG, SLE and EfS documents that indicate which strategies and tools should be used for the best approach to sustainability. One of the most important findings of this phase of the research is related to the fact that many teachers apply tools and methodologies based on concepts of sustainable design and architecture and the SDGs, but few of them state this in their curricula, nor present it to students in this way. This is evidence of a kind of hidden curriculum in the programs analyzed. As we state in the paper, these disciplines are design-led research. It allows students to engage and interact with problems and stakeholders, prototype products of everyday life to impact behavioral transformation. Aim to structure creative solutions that foster interconnectedness with life, as required by sustainability. The analysis of the syllabus, the curricula and the interviews with teachers, showed the way in which teachers include a series of competencies in order to transform student’s way of approaching to design and architecture problems. Then, analyzing all the strategies found in the literature review and the answers provided by the professors interviewed, shows as common denominator that in the moment students enter in conversations through their projects, with real issues in living and not simulated contexts. They compromise with their projects in terms of doing the best they can, do less the worst (in terms of sustainability and impacts of their proposals). The evidence that emerges is that beyond a specific pedagogical strategy, it is required that from each subject or in the set of them, the student has a holistic and systemic approach to the different types of problems or requirements that their formation program by competencies demands. From what concerns creative discipline, students are directed to the analysis of contextualized wicked problems and focused on nearby communities in the territory, for which design strategies such as Human Centered Design (HCD), the choice of suitable materials with sustainability variables and awareness of the life cycle of
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products are addressed. The critical formulation of the problem from essays and manifestos declare a position of designers as actors in social change. However, these strategies remain under the expertise of the teacher on duty and are not declared as a disciplinary strategy in any of the programs studied. This is why it is an appropriate moment for the formulation of a central strategy in the pedagogy of the creative disciplines, given the need to train the following competencies previously stated: a reflective designer in the face of wicked problems, designers as problematizers, with context awareness, and an agent of change and transformation. About open spaces and questions that arise through this first stage of the research project. They emerge the reasons why it has been difficult to change or integrate a sustainable axis in the programs studied, what kind of strategies or pedagogical devices would work better in the development of competencies that specifically integrate sustainability within the curriculum, without losing sight of the context of training in creative disciplines in a country like Colombia; what could be the treatment in programs not directly related to textiles, in order to integrate adequate pedagogical strategies or devices that allow students to recognize and learn sustainable competences in their specific field duties. For a next stage of the project, it is necessary to review the reasons why the intellectual production on sustainability, of the research groups associated with these programs, do not achieve to impact the curricula or the students’ profiles to a greater extent. [1] The Four orders of Design are: (1) Graphic design/visual communication; (2) Industrial design/Product; and, for the twenty-first century, (3) Interaction design/ action; (4) Environmental Design/Thought for Complex Systems. For more details, see (Buchanan, 2001).
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Sustainable Development in Latin American Higher Education Institutions Gricelda Herrera-Franco, Carlos Mora-Frank, and Paúl Carrión-Mero
Abstract Sustainable development is a crucial challenge in the twenty-first century, and Higher Education Institutions (HEIs) can strengthen this concept. In Latin America, HEIs must integrate sustainable development into socio-economic growth projects making a case for environmental sustainability through the solution to current problems. The study aims to analyse sustainability strategies, implemented in Latin American HEIs through a bibliographic search in the Scopus database, and gain knowledge about their application to face environmental problems. The methodology focuses on (i) keywords definition and information downloading; (ii) bibliometric interaction graphs; (iii) analysis of results. The results indicate that HEIs in Latin America integrate limited sustainable development strategies in various academic areas. This recent intellectual growth links topics that promote sustainable development like Student, Engineering, Planning, and Innovation, mainly disseminated by Brazil, Mexico, and Colombia. Furthermore, the literature shows the importance of starting with focus groups like students, teaching, research, community outreach projects, and international strategies. Therefore, HEIs are the intellectual basis for achieving the development of a sustainable future, and it is essential to work in conjunction with socio-economic and environmental strategies.
G. Herrera-Franco (B) Facultad de Ciencias de la Ingeniería, Universidad Estatal Península de Santa Elena, La Libertad, Ecuador e-mail: [email protected] Centro de Investigación de Geociencias (CIGEO), Universidad Estatal Península de Santa Elena, La Libertad, Ecuador P. Carrión-Mero Facultad de Ingeniería en Ciencias de la Tierra, ESPOL Polytechnic University, Campus Gustavo Galindo, Guayaquil, Ecuador e-mail: [email protected] C. Mora-Frank · P. Carrión-Mero Centro de Investigación y Proyectos Aplicados a las Ciencias de la Tierra (CIPAT), ESPOL Polytechnic University, Guayaquil, Ecuador e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_7
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Keywords Sustainability · Strategies · Higher education institutions · Bibliometric · Review
1 Introduction Issues related to climate change generate environmental concerns about preserving ecological balance and rational use of natural resources (Rosenbaum, 2019). A significant factor is an economic system that depends on industrial trade and, subsequently, on population consumption, to meet the needs of modern society. Socio-economic progress led to over-consumption of resources and deprived people of their basic needs (Poornananda, 2022). Therefore, there has been an interest regarding these issues in scientists and environmentalists in the last decades. However, there is a limited understanding in countries worldwide on the relationship between economic growth and environmental protection, being indispensable to include the concept of sustainable development (Forslid et al., 2018; Stern, 2018). Sustainable development is an approach that integrates economic activity, environmental protection, and social concerns (Perdan, 2010; Ruggerio, 2021). The concept of sustainable development appeared in 1987 through the Brundtland report (OnuoraOguno et al., 2018, p. 61; WCED, 1987, p. 41), like “development that meets the needs of the present generation without compromising the needs of future generations.” Since then, scientific society has been involved in environmental concerns and global society’s development (Alvarado-Herrera et al., 2017; Carrión-Mero & Morante-Carballo, 2020). Thus, the concept arises from the accumulation of environmental impacts generally related to economic growth, like the agricultural revolution (Carson, 1962), industrial pollution (Harada, 1995) and urban growth (Briones et al., 2019; Meadows & Randers, 2012). Therefore, article 4 of the United Nations declares that the right to development is related to economic, social, cultural and welfare growth (United Nations, 1986). Education is an indispensable socio-cultural right that guarantees the human rights of a population, and HEIs have a fundamental role in strengthening sustainable environmental and social rights (Herrera-Franco et al., 2018). Hence, HEIs have a higher level of accountability and the commitment to the 2030 Agenda for sustainable development and its 17 Sustainable Development Goals (SDGs). HEIs must promote the sustainable development concept to the academia stakeholders and embed the 2030 agenda in their institutions (Omazic & Zunk, 2021). However, the fields and issues that HEIs should address are still not entirely clear, and there is no reference on this topic in the literature (Fischer et al., 2015; Hoover & Harder, 2015). Moreover, scientists affirm that Latin American HEIs barely focus on the sustainable development concept , which is necessary to control environmental problems (Filho et al., 2021). The importance of including the concept arises from the environmental problems of the region’s natural diversity like the ecosystems degradation due to deforestation and the toxic gases emission from the industrial activity (Furley et al., 2018; Nathaniel et al., 2021).
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Although Latin American HEIs have made efforts to participate in international sustainable development fora, there is limited information on addressing the issue in education systems. Some reports highlight the gaps and difficulties in Latin America to include the sustainability concept in the HEIs’ structures (e.g., teaching, administrators and their link with the social system) (Amaro, 2018). The strategies implemented by HEIs in Latin America do not have a structure that ensures the change in the higher education system; that is, few models point to a specific framework for sustainable development (Hernandez et al., 2018). In addition, organisations in the region have argued for declarations to strengthen the relationship of the HEIs and sustainable development, like the Regional Conference about Higher Education in Latin America and Caribbean Area-CRES, which considers higher education as a relevant element that favours cooperation among institutions at a national and international level (Henríquez, 2018, p. 117). The inclusion of the sustainable development concept in Latin American HEIs highlights the growth of this scientific field through a bibliometric analysis with strategic criteria. These analyses allows the visualization of trends and lines of research in a scientific field, which is a practical approach to explore sustainable development trajectory (Yu et al., 2020; Zhou et al., 2019). The bibliometric analysis has been widely used in economic management (Yu et al., 2019), environmental science (Carrión-Mero et al., 2021a, 2021b), medicine (Tran et al., 2019) and industry (Mei et al., 2021). In addition, bibliometrics use information indexed in databases such as Dimensions, Scopus, and Web of Science (WoS). The databases cover scientific disciplines, accessibility and visualisation of scientists published records worldwide (Archambault et al., 2009; Baas et al., 2020; del Río-Rama et al., 2020). Therefore, the following research questions arise: How has the scientific production on establishing sustainable development in Latin American HEIs grown? What are the thematic areas that strengthen the education system in the sustainable development framework identified by scientists? Which Latin American nations are most relevant to this research topic? What strategies have been implemented by Latin American HEIs? The present study aims to analyse the information on sustainable development in Latin American HEIs s through a bibliographic search in the Scopus database to gain knowledge of sustainable research strategies in the face of environmental problems.
2 Methodology The proposed methodology comprises three phases to respond to the research objective (Fig. 1): (i) defining keyword search strategies and downloading the information in the established formats; (ii) elaboration of bibliometric interaction graphs using Bibliometrix and VOSviewer software; (iii) analysis of results.
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Fig. 1 Research development structure
2.1 Information Search and Download This paper analyses sustainability in Latin American HEIs through records published by regional and intercontinental scientists from the Scopus database. This database allows collecting information from a broad coverage of scientific disciplines, accessibility and visualisation (Baas et al., 2020; del Río-Rama et al., 2020), as well as a variety of bibliometric studies (Abad-Segura et al., 2020; Pico-Saltos et al., 2021).
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The search criteria used terms related to sustainability, like “sustainable development”, “sustainable”, and “sustainability”, and the academic institution, like “higher education institution”, “higher education”, and “university”. This search strategy is analysed in an environmental framework to understand sustainable research strategies. Subsequently, the study considers including publications from Latin American countries, like Brazil, Mexico, Colombia, Chile, Ecuador, Peru, Cuba, Costa Rica, Venezuela, Uruguay, Guatemala, El Salvador, Bolivia, Panama, Nicaragua, and Haiti. Moreover, the researchers excluded publications from 2022 (the current year) and obtained 683 documents in this scientific field. These data were downloaded in CSV and Bibtex formats and used in the programmed software.
2.2 Graphics Generation Software Scientific field analysis. Bibliometrix is an RStudio package that allows data processing through an open-source tool for generating production graphs, authors, author keywords, countries and institution contributions (Aria & Cuccurullo, 2017; Herrera-Franco et al., 2022a, 2022b). Furthermore, VOSviewer is an available, free, and easy-to-use programme with several tools that allow editing, adjusting and conditioning graphs like connecting nodes of authors, keywords, countries and journals (van Eck & Waltman, 2010, 2013).
2.3 Data Analysis The graphs considered in this study are analysed according to the intellectual approach, and the related research (Herrera-Franco et al., 2021a, 2021b). The analyses addressed the target response scientific production, thematic mapping, and keyword frequency. Subsequently, a topic analysis related to sustainable development in Latin American HEIs was performed using the author keywords network to identify the strategies of the academic system that promote sustainability concept.
3 Results 3.1 Scientific Production Figure 2 shows that sustainability in Latin American HEI systems is growing steadily, and it has an exponential development. This scientific interest results from interregional practices and events that promote innovation and sustainable activities in
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Fig. 2 Scientific development of the sustainability concept in HEIs
the HEIs. For example, in the 1990s, the United Nations Conference on Environment and Development, also known as the “Earth Summit” and the “Rio Summit”, fostered a reflection on a new general vision of sustainable development (CEPAL, 2002). Another example is Brazil’s National Environmental Education Policy, which mandated the promotion of environmental education in that nation (Sinay et al., 2013). These events generated multiple conferences that encouraged the implementation of the sustainability concept in Latin American HEIs. Therefore, since 2011, a significant growth in publications regarding sustainability have performed several collective analysis based on the Latin American Forums of Universities and Sustainability (Sáenz, 2015). Recently, the growth in publications related to sustainable development in HEIs is about 58%.
3.2 Development and Evolution of the Scientific Field In Latin America, the sustainable development concept was not prominent from 1990 to 2010, since the education system focused on human health and ecosystems problems due to the effects of climate change (e.g., environmental health, conservation, industrial ecology) (Fig. 3b). However, poor waste management and agriculture led to performing relevant analyses on sustainable practices by the educational institutions of the region (Fig. 3a). As a result, studies on socio-economic development, public/private policy, technological innovation, and sustainability were highlighted from 2016 to 2018. This scientific interest has led the HEIs’ education system to include sustainability and sustainable development in their study programmes (Fig. 3a, b), provoking a new paradigm designed to help teachers, students, and
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(a)
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Fig. 3 a Development and b Evolution of the sustainable development research line
society. In addition, HEIs in Latin America encourage sustainable methods in graduation projects, research, and forums, such as the green campus, renewable energy, and Sustainable Development Goals (SDGs). In general, the HEIs are interested in significantly advancing the sustainable development concept through the government contribution and educational/social responsibility entities. Hence, the inclusion of currently growing topics, like the education for sustainable development, environmental knowledge, and pro-environmental behaviour and environmental education is essential.
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Fig. 4 Author keywords network
3.3 General Structure of the Scientific Field The analysis in Fig. 4 shows the strategies implemented by Latin American HEIs based on the keywords. The data processing in VOSviewer generates a network of 25 keywords and five clusters on the research topic, focusing on sustainability, sustainable development and higher education. This information shows an important intersection of keywords that demonstrate the involvement of the sustainable development and sustainability concept in the activities of the academic system in Latin America (blue, green, purple, and yellow clusters). Also, the figure displays the implementation of strategies that drive new decision-making challenges, like recycling, waste management, renewable energy, agroecology, and Sustainable Development Goals (SDGs). In addition, the institutions have considered that student participation is crucial to change the academic system since the new generations have a drive for innovation and a greener environment for a safe and sustainable future.
3.4 Academic Campus Strategies in Latin America The results of the author keywords network allow identifying the relevant topics in the research field. Based on this information, Table 1 shows the keywords related to academic management and strategies implemented by academics in the region to strengthen the sustainable development concept in education.
x x x
Government/business: intellectual and financial contribution
Institutional entrepreneurs
Waste governance and management
x x x
Changes in the social system
x
Nature conservation
x
Student contribution environmental and non-environmental majors
x
x
x
Formal and informal sustainability education
x
New curriculum and environmental management system
x
Sustainable development goals (SDGs)
x x
x
Status of sustainable activities and designs
x
x
x
Life Cycle Assessment (LCA)
x
Sustainable theoretical/methodological framework
x
x
x x
x
Sustainable technology systems
x
x
Policy redesign/planning
x
x
x
x
x
x
Sustainable energy methods
Environmental education
Research, education and sustainable ethics
Sustainable university x
Sustainable campus
x
Environmental management
Main author keywords
Graduation programmes and projects which include the sustainability concept
Strategies
Table 1 Strategies for developing HEIs in sustainability
x
x
x
University students
x
x
x
x
Engineering education
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(a) (b) (c) (d) (e)
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environmental management; sustainable campus; sustainable university; environmental education and university student; and engineering education.
(a) Environmental management Universities in Latin America have applied mental models of sustainable development in the academic system, while others transmit skills or knowledge to industry and governments. However, the focus on sustainable development in graduate programmes or projects is significant and essential to entities and HEIs in applying sustainability as a concept (Lozano et al., 2013). A study by Chiappetta (2010) indicates that an evolutionary scale of the education system could be useful to assess variables that develop sustainability concept, such as the creation, diffusion and knowledge acquisition. The intellectual contribution of external professionals (i.e., global organisations) allows the development of new environmental management lessons in the education system (Jabbour et al., 2013). Furthermore, HEIs can generate formal or informal initiatives that reduce waste and promote reuse, donation or recycling (Ribeiro et al., 2016). In addition, sustainable technological innovation improves the environmental performance in the university system and implements the strategy of renewable energy knowledge in the academic field and the community (Mas et al., 2012; Nahui-Ortiz et al., 2021). (b) Sustainable campus HEIs in Latin America also focus on sustainable activities in the campus as part of innovation and environmental protection. For example, energy efficiency defines actions that contribute to the energy consumption reduction on campuses and the correct use of electrical equipment, including its costs, consumption and measurement (Salvia et al., 2018). Other HEIs consider relevant principles for improving access to information, cooperation, accountability, transparency, prevention and precaution (Lemos et al., 2018). Moreover, the remediation methods with innovative technologies promote sustainable practices on university campuses (Bueno et al., 2017). However, the financial contribution is crucial to achieving an environmentally sustainable campus, and implementing financing projects is strategic (Allevato & Ribeiro, 2017). Furthermore, analysing the current state of the HEI teacher training system helps to strengthen institutional communication, sustainable entrepreneurship, and training environment (Sandoval et al., 2017) including the SDGs in management actions (Brandli et al., 2020). (c) Sustainable university Although HEIs show interest in changing the sustainable development education system, internal actions are the basis for sharing academic ethics. A study by Barros et al. (2018) identifies that teachers using cars generate high CO2 emissions. Hence,
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reducing environmental impacts is strategic. There are also reflective and analytical methods on how greening negatively impacts the environment, and Life Cycle Assessment (LCA) provides alternative solutions (Barros et al., 2020). The education system can contribute with ideas for innovation and sustainable development through policy redesign and planning. Furthermore, the implementation of green methods such as LCA, renewable energy (Vázquez et al., 2019) dissemination, design, research, education, experiences and institutional framework are part of the initiative (Bizerril, 2018). (d) Environmental education and university student Education shapes teaching, professional practice, reflection, and ethical behaviour attitudes within the HEI’s staff, faculty, and students (Chuvieco et al., 2018). For example, raising awareness of food waste in canteens improves consumer behaviour, increasing the institution’s sustainability (Pinto et al., 2018). It is also essential that students in non-environmental careers contribute to a positive environmental attitude, strengthening the behaviour of the education system (Heyl et al., 2014) and sustainable graduation programmes (Bursztyn & Drummond, 2014). According to Salas and Cardona (2020), knowledge, attitudes, and practices “demonstrated excellent psychometric properties and is apt for evaluating knowledge, attitudes and practices in university students” (p. 1). Furthermore, the environmental conservation concept, interdisciplinary programmes and activities concerning sustainable development are fundamental (Herrera-Franco et al., 2021a, 2021b; Heyl et al., 2014). However, waste management related to the industry, commerce and social participation, like has been lost in the HEIs (Vega et al., 2003). (e) Engineering education Engineering contributes to technological innovation and scientific development in the academic and social community (e.g., Carrión-Mero et al., 2021a, 2021b). Engineering students prioritize financial aspects, productivity, social contribution, ethics, corporate governance involvement, environmental and sustainable aspects, and customers over developing new products and services. According to Rampasso et al., (2019a, 2019b), innovation strategies that include the concept of sustainable development through courses and conferences generate didactic activities in educators. Engineering programmes in Latin America slightly address the sustainable development concept, while other programmes are not directly related or indicate themes of this concept (Colombo & Alves, 2017). Therefore, Rampasso et al. (2019a, 2019b) consider that disseminating these initiatives stimulates teachers and researchers to strengthen the academic debate on the insertion of sustainability in engineering lectures or training.
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4 Discussion This study explored the application of sustainability-related concepts in Latin American HEIs using a search strategy in the Scopus database. Data cleaning was necessary to avoid inconsistencies duplication, and empty records. Some studies have also implemented this cleaning, either manually (Excel search) (Meseguer-Sánchez et al., 2020) or automatically (coding with RStudio) (Herrera-Franco et al., 2022a, 2022b). This process has generated reliable data integrating records closely related to the study topic. The analysis revealed a recent interest in the concept of sustainable development in the Latin American HEIs (Fig. 2). Some countries such as Brazil, Ecuador, Chile, and Colombia aim to offer quality education that integrates sustainable development. Peñaloza-Farfán & Paucar-Cáceres (2018) consider that HEIs in the region should set their criteria for sustainable development action, considering the particularity, challenges and characteristics of the region’s HEIs. Our study identified that graduation programmes, research, teaching, ethics, sustainable technology systems, government/business contribution and personal empowerment (workers, teachers, and students) implemented the sustainable development concept in Latin American HEIs (Table 1). However, academics argued that economic and social obstacles impede the achievement of an academic system with sustainability criteria (Rieckmann et al., 2021). Furthermore, this study found key terms that enable the inclusion of the sustainable concept in HEIs such as “environmental education” and “education for sustainable development” (Fig. 3a). Acosta et al. (2020a, 2020b) state that these criteria are tools that strengthen the concept of environmental sustainability. In addition, “education for sustainable development” has been considered a current concept of significant interest to students (Acosta Castellanos et al., 2020a, 2020b). Although the reflection of Latin American HEIs in the 90s introduced the sustainable development concept to strengthen the conservation of natural ecosystems due to the region’s natural diversity (Furley et al., 2018), environmental management problems are frequent in Latin America. Therefore, r an education system that involves the creation, dissemination and adoption of sustainable development knowledge is necessary (Chiappetta Jabbour, 2010). In addition, technological innovation (Mas et al., 2012; Nahui-Ortiz et al., 2021), energy consumption reduction (Salvia et al., 2018), environmental remediation practices (Bueno et al., 2017), SDGs (Brandli et al., 2020), LCA (Vázquez et al., 2019) and waste management (Vega et al., 2003) are crucial to raise awareness of the sustainable development concept.
5 Conclusion The scientific production analysis on the integration of sustainable development in Latin American HEIs shows an evolution of 28 years, indicating that topics related to sustainability started in 1993. Subsequently, there has been an exponential interest in
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these concepts since 2011, focusing on research lines like sustainable development, sustainability, education, and environmental management. Current trends are focused on educational innovation, education for sustainable development, SDGs, and environmental sustainability. Therefore, one of the issues in recent years is strengthening sustainability in educational, social, and economic progress activities. This scientific interest is frequently promoted by Brazil and Mexico, which contribute to national and international organisations to broaden knowledge in the education system. Latin American HEIs have different criteria for the scientific promotion of sustainability and sustainable development in terms of strategies. The implementation of scientific articles, graduate projects and interdisciplinary integrity provide a sustainable framework to strengthen the academic system of a developing country. In addition, government collaboration, ethics and policy reform are key strategies that benefit decision-makers in intervening with social and industrial linkages. These criteria foster further reflection on environmental protection for future generations and the scientific-academic community. This study has been limited to generating an analysis that integrates sustainable development indicators, like environmental, economic and social aspects. Therefore, in future studies, it is advisable to implement a socioeconomic and environmental protection strategy design to measure the environmental damage caused by anthropogenic activities. In addition, a study provides a world ranking analysis of universities that integrate sustainable development, identifying a basic configuration for the academic system of HEIs in Latin America (e.g., projects, articles, theses). Acknowledgements This work was carried out with the collaboration of the “Peninsula Santa Elena Geopark Project” with code no. 91870000.0000.381017, and “Factores Geoambientales de los pozos petroleros y su incidencia en el desarrollo territorial en los cantones Salinas y La Libertad de la provincia de Santa Elena”, with code no: 91870000.0000.385428, of the UPSE University project (Universidad Estatal Península de Santa Elena). Furthermore, support for the academic research project “Registry of geological and mining heritage and its impact on the defense and preservation of geodiversity in Ecuador” by ESPOL University is gratefully acknowledged. CIPAT-01-2018.
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Greening the University?: Assessing the Impact of Sustainability and SDGs in Universities’ Values and Strategies Evandro Coggo Cristofoletti and Rómulo Pinheiro
Abstract Universities are value-laden organisations composed of multiple cultural norms, values and identities, associated with a wide range of sub-cultures and missions. One of the key challenges for university leadership and management is to find a balance between internal values and demands from those of external stakeholders. Thus, one imperative, in the context of ‘societal impact’ or relevance, pertains to the role of universities in help tackling the grand challenges, such as to address the UN’s Sustainable Development Goals (SDGs). In view of this, the aim of the study is to assess the incorporation of the SDGs into the strategic planning of two large comprehensive universities from different contexts—the UK’s University of Manchester and Brazil’s University of Campinas. In doing so, we intend to answer the following question: to what extent does the sustainability agenda and the SDG’s affect university values and strategic plans? Methodologically, based on document analysis, the study adopts a strand of institutional theory known as ‘institutional work’ and ‘social-symbolic work’ to analyze the data regarding the incorporation of the SDGs agenda. Keyword Sustainable development goals · University · Social symbolic work · Strategic planning
E. C. Cristofoletti (B) Department of Scientific and Technological Policy, University of Campinas (Unicamp), Campinas, Brazil e-mail: [email protected] R. Pinheiro Department of Political Science and Management, University of Agder, Kristiansand, Norway e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_8
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1 Introduction Adopted in 2015, The 17 United Nations (UN) Sustainable Development Goals (SDGs) encompass a wide range of ambitious goals across numerous policy domains ranging from health to education to natural resources to inequality to strong institutions (UN, 2015). Nevertheless, the SDGs have become a relevant issue for universities and the scientific community over the past few years (Dibbern & Serafim, 2022; Chankseliani & McCowan, 2021), placed in a context in which sustainability has appeared as a salient feature for public and private sector organisations since the 1990s (Williams et al., 2017). At the same time, as public organisations, universities and other types of higher education institutions (HEIs) have been observing internal and external pressures to adapt their structure and core missions to act more proactively in facing contemporary societal challenges. This goal is part and parcel of a much larger higher education (HE) responsibility agenda centred on the manyfold societal impacts— cultural, economic, social, etc.—resulting from academic activities within teaching, research, and engagement (Sørensen et al., 2019; Powell & Dayson, 2013). In this sense, the SDGs has become a key framework to HEIs in order to attempting to enact social-responsible agendas across the board (cf. Chankseliani & McCowan, 2021; El-Jardali et al., 2018; Blasco et al., 2020; Pollet & Huyse, 2019). One could argue that, theoretically, universities are ideally placed to act in the 17 SDGs, being complex and multifaceted institutions (Clark, 1972; Karlsen & Pinheiro, 2022; Pinheiro & Stensaker, 2019). However, earlier studies show that there is still a gap in understanding how the SDGs affect the internal structures, goals, and activities of HEIs, and that there is “a number of unanswered questions in terms of the institutional forms and practices that can best support the SDGs, and the influences of local and national contexts” (Chankseliani & McCowan, 2021, p. 2). In this sense, SDGs can also be a source of tension and trade-offs. Considering this, a challenge for leadership and managers is to articulate a set of overarching (shared) values that reflect the traditions and aspirations of multiple internal constituencies and external stakeholders (Benneworth & Jongbloed, 2010; Dill, 1982). One of the many ways of nurturing HEIs’ internal values and norms is through strategic plans, frequently used as objects of analysis in studies of structural and cultural change within HEIs (Fumasoli et al., 2015). In this regard, the aim of the paper is to identify and analyse how the SDGs appear in the strategic planning of two major research universities, particularly by looking at the role of the SDGs in helping nurturing cultural norms, values, and identities within. The two universities are: The University of Manchester (TUM) from the United Kingdom and University of Campinas (Unicamp) from Brazil. Both are research-intensive and comprehensive universities with a prominent role in the local/regional, national and international context. Methodologically, the study was based on a documentary research approach (Mogalakwe, 2006; Gorsky & Mold, 2020). The main documentary sources for the research were the TUM and Unicamp strategic plans documents, as interesting
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textual sources for accessing the ‘official language’ of an institution (Gorsky & Mold, 2020). It was considered that such documents synthesize, to some extent, the university’s values, strategies and long-term objectives of the universities. As support, other diverse sources were used, such as the information contained in the institutional website and the university’s social networks. To unpack the role of SDGs in the strategic plans, it was mobilized a theoretical approach derived from institutional theory, namely, ‘institutional work’ within the ‘social-symbolic work’ related (Lawrence et al., 2009; Lawrence & Phillips, 2019). Institutional work involves actors purposefully engaging with their institutional contexts to create, modify, or disrupt institutions—broadly conceived as encompassing formal and informal rules (North, 1990; Selznick, 1996; Pinheiro et al., 2016). In this case, the focus of the analysis is on the latter, namely; norms, values and identities shaping the behaviour of social actors at the local level in order to produce change (Stensaker et al, 2012). At the heart of the institutional work perspective is the notion that social agents resort to social symbolic practices and objects—‘the social symbolic work’ (SSW)—whilst pursuing their strategic intentions (p. 24), mobilizing three core dimensions/mechanisms (Lawrence et al., 2009): discursive (texts and narratives); relational (interpersonal relations or networks); and material (interplay between the physical and the social worlds). At the heart of SSW is the concept of ‘social-symbolic objects’ (SSOs), referring to the “combination of discursive, relational and material elements that constitute a meaningful pattern in a social system” (p. 24). To these three dimensions, we added an additional metaelement (cutting across the 3 dimensions), pertaining to the importance attributed to temporality (interplay between past, present and future) in the context of valueinduced organisational change and adaptation to emerging circumstances (Frigotto et al., 2022). Thus, we considered the plans as SSOs and sought to identify the four dimensions (SSW) related to SDGs and universities social engagement.
2 The University of Manchester The University of Manchester was created in 2004 from the merger of two universities, Victoria University of Manchester and University of Manchester Institute of Science and Technology (UMIST). Nowadays (2021), TUM has 12,920 staff and 40,485 students (undergraduate, master’s, research), and can be considered a large research-intensive and comprehensive university that conducts teaching, research and engagement. Officially, TUM is an exempt educational charity institution (UK’s Charities Act 2011), whose defined objective is “to advance education, knowledge and wisdom by research, scholarship, learning and teaching, for the benefit of individuals and society at large”. It is worth noting that TUM’s resources come from various sources, notably from the UK research councils, Research England funding and UK charities—in 2018/2019, the institution has achieved a total of £391 million in external research funding. The university charges annual tuition fees for undergraduate and postgraduate students.
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In terms of the organization of the knowledge production, TUM has three faculties and, within them, a number of schools and sub-divisions (Faculty of Biology, Medicine and Health, Faculty of Science and Engineering and Faculty of Humanities). The university also has cross disciplinary research/projects, composed with a series of research institutes, centres, platforms and research beacons. It is also worth noting that the university is one of 24 members of what is called ‘The Russell Group’, a set of universities that seeks to exert socio-economic impact and influence policy across the UK and abroad. Historically, TUM argues to be the first ‘civic university’ in the UK, having close links with the development of the city of Manchester itself, exerting a prominent role in the city and region (Powel & Dayson, 2013; Goddard, 2018; Vallance, 2016; Sumner, 2013; Pullann & Abendstern 2000, 2018). Besides research and teaching, the university also has several engagement and innovation initiatives, addressing cultural/civic/policy engagement, innovation, sustainability, among others. It is important to note that TUM has listed ‘Social Responsibility’ as a ‘core mission’, placed as a transversal to the other academic missions (teaching and research). TUM has placed institutionally the SDGs within the branches of ‘Social Responsibility’ and ‘Research Impact’ activities. In fact, the university has been addressing some of its research and engagement activities towards the 17 SDGs, undertaking and/or classifying actions on teaching, research, engagement and campus operation across them, appearing prominently in social impact rankings (such as ranked first in the world in the Times Higher Education University Impact Rankings in 2021).
2.1 TUM’s Strategic Plan and the SDGs The analysis of the SDGs considered two materials: the ‘Strategic Plan’ document and mainly the ‘Social Responsibility Plan’ (SRP) document, which was established for the period 2020–2025. TUM’s Strategic Plan is named ‘Our Future’ and established the main purpose of the university as “To advance education, knowledge and wisdom for the good of society”. This purpose presents some similarities with the objective of the TUM Royal Charter awarded in 2004, indicating a discursive and relational effort to connect past (trajectory) and future. In the Strategic Plan’s introductory text, this discursive and temporal element is signified, positing that the Plan “will take us into our third century. It builds on a rich heritage of discovery, social change and pioneering spirit that is at the heart of our University and our city region”. Furthermore, the Plan highlights the ‘vision’ of being “recognised globally for the excellence of our people, research, learning and innovation, and for the benefits we bring to society and the environment”, alongside a set of values such as knowledge, wisdom, humanity, academic freedom, courage and pioneering spirit. Therefore, another hallmark of the plan is the discursive and relational effort to align excellence (research and teaching) with social impact. Such alignment also presents a temporal dimension that connects TUM’s trajectory (past) with the vision of the future—and
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the change mechanisms set out in the document lies more in the idea of continuity and improvement: The strategic plan reinforces what already makes The University of Manchester distinctive: our excellence, openness and inclusivity, our longstanding commitment to social responsibility [...] Universities such as ours are ideally positioned to help address many of the world’s major challenges, finding new means to deliver environmental sustainability, close the gap in social inequalities, improve health, inform and empower citizens, and create the leaders of the future (The University of Manchester, 2019a, p. 1)
The quoted passage exemplifies a feature of the plan as a whole: the presence of ideas and concepts such as ‘grand challenges’ and ‘sustainability’, coupled with the idea of excellence. More than that, the plan has an orientation to place TUM as a leading and pioneering institution in promoting social change through their academic missions and people. Another important discursive element is the scale of social impact. The plan presents a discursive line that seeks to deliver social impact at city (local), country (national) and global levels. Also, the Strategic Plan sets specific goals for the three core missions, namely “Research and discovery”, “Teaching and learning” and “Social responsibility”. The SDGs are only explicitly mentioned in the core mission ‘Teaching and Learning’ (apart from Social Responsibility, covered later). In this core mission (Teaching and Learning), the SDGs is placed as a priority along with the idea of ‘global leadership’, evoking the discursive elements of creativity/entrepreneurship and inclusion (targeting especially its students), as well as mentioning some existing arrangements and programs to concretize the narrative elements. However, the SDGs appear in the Social Responsibility Plan (SRP) as a ‘keypriority. The SRP is organized into three key-priorities: ‘Environmental Sustainability’, ‘Sustainable Development Goals’ and ‘Engagement, involvement and inspiration’. Within the latter, are three priority themes, namely ‘Social Inclusion’, ‘Better health’ and ‘Cultural engagement’. As it is possible to notice, the SDGs are given the hierarchy of a key-priority, in which there are specific objectives and actions (apart from being a key-priority, the ‘SDGs’ only is addressed directly in the priority theme “Better Health”, SDG 3). Going towards the key-priority “Sustainable Development Goals”: The Sustainable Development Goals (SDGs) are the world’s blueprint to achieving a more sustainable future for our people and planet. We will focus and align a wide range of our research, teaching and learning, public engagement and campus operations to these global goals
As it can be noted, the plan places the SDGs as the cross-cutting issue within the core missions—but, as we have seen, it is hardly mentioned directly in the Strategic Plan. In addition, there is the mobilization of the idea of ‘sustainable future’ and ‘great challenges’. The following table specifies the dimensions next to the specific SDGs proposed actions: Table 1 shows actions at the level of communication and research, as well as integration with certain existing formal arrangements to include and promote the SDGs. In this sense, the relational, material, and temporal dimensions are observed in all the
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Table 1 SSW and SDGs key-priority Actions proposed by the plan
SSW dimensions related
Communicating the SDGs
– Development of a new SDG microsite (2022)
– Relational (new arrangements) – Material (new virtual space) – Temporal (2022)
Research for sustainable development
– Secure that the research beacons identify at least one SDG as their focus (2022)
– Relational (TUM’s existing formal arrangement) – Material (research beacon structures) – Temporal (2022)
SDGs in – Improvement of student engagement with teaching, learning the SDGs; – Mobilization of Stellify and University and the student College for Interdisciplinary Learning experience initiatives; – Development of online action platform (2020–2025); – Revisiting a set of graduate attributes for all undergraduate and postgraduate taught programmes (2022)
– Relational (students as internal stakeholder; formal existing arrangements) – Material (structure of Stellify and University College for Interdisciplinary Learning; online platform) – Temporal (2022, 2020–2025)
Equity and merit
– Mobilization of the international Equity and Merit programme to offer education for professional from Global South (Ethiopia, Rwanda, Tanzania and Uganda), also addressing the SDGs (2021)
– Relational (existing formal arrangement; Global South) – Material (Equity and Merit programme structure, presential and online) – Temporal (2021)
Metrics
“Annual growth in student engagement through participation in Stellify and University College for Interdisciplinary Learning units (2020–2025)”
– Relational and Material (existing formal arrangement and structure) – Temporal (2020–2025)
Source Author’s own
listed actions (underlined). In fact, SRP mobilizes a number of existing relational and material arrangements, as well as the creation of new ones, especially through virtual spaces for learning, communication and interaction., in order to address the SDGs. The research beacons could be highlighted as a significant relational and material SSW connected to the SDGs, since they play an important role on cross-cutting and social impact research at TUM. The plan refers to a number of external and internal stakeholders as a focus on improving and mobilizing existing projects and initiatives.
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2.2 The University of Campinas The University of Campinas (Unicamp) is a research-comprehensive Brazilian university, founded in October 1966 in the city of Campinas. The institution is a ‘public autarchy’ (public institution directly linked to the administrative body, but with political/didactic/scientific autonomy), linked to the government of the State of São Paulo. Most of its resources come from government funding, in addition to research funding, resources from health policy and to a lesser extent external fundraising—in the year 2021, its total budget was 668,375,901 dollars (AEPLAN, 2021). Unicamp is a public institution that does not charge tuition fees from its students. Following the profile of public universities in Brazil, Unicamp has three core academic missions: teaching, research and university extension (engagement mission). It is organized by institutes (originally connected to basic research) and faculties (applied research), totalizing 24 unities in all areas of knowledge. The university also has 21 research centers and 2 colleges. Unicamp has a counting staff of 8,958 and 37,824 students (AEPLAN, 2021). It is possible to say that the university enjoys a self-defined degree of autonomy from the government. Furthermore, it is important to understand two contextual issues. Unicamp is considered the second largest Brazilian university and one of the most prominent universities in Latin America. In this sense, it does not escape internal and external pressures for inclusion, democratization, access and social relevance—within a constant political contestation of its public status along with neoliberalism in the country (Almeida-Filho, 2021). Another important issue is its trajectory: Unicamp was born in 1966 in one of the most economically developed regions of Brazil, in an effort to merge the Humboldt model with the North-American model (Castilho & de Soares, 2008). Over time, this profile has changed, yet the connections with its surrounding region remain an important feature (Cristofoletti & Serafim, 2019; Cristofoletti et al., 2020).
2.3 Unicamp’s Strategic Plan and the SDGs The analysis focuses on Unicamp’s 5-year Strategic Plan (‘PLANES 2021–2025’). This document is directly related to an institutional effort dating back to 2004 in constituting a unified methodology for the plans, a goal only achieved in the previous strategic plan (2016–2020). In this sense, it is important to note that the current planning aims at a fostering a momemtum of continuity, aiming to improve what was implemented in the previous cycle. PLANES 2021–2025 is a document that dedicates its first 20 pages to explain the methodology used in the process, showing great concern to justifying its own existence—and the SDGs also plays a discursive role in this. Besides that, the plan is organized to present the vision, mission, values
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and no less than 13 strategic goals, broken down into specific objectives within several metrics. In the elaboration process of PLANES 2021–2025, the SDGs were placed as an important guiding value for the 13 Strategic Goals: Following the practice of the best universities, the Strategic Planning 2021–2025 considers that Unicamp is a complex, plural university, which permanently seeks excellence in all areas of operation (…) As part of the commitment to excellence, the Planes-2021–2025, makes explicit the institutional commitment to Sustainable Development defined by the United Nations through the 17 Goals (PLANES 2021–2025, 2020, p. 7)
Like TUM, the plan discursively relates the SDGs to excellence and social relevance. It highlights that: “The University must continue its efforts to become increasingly adherent to the SDGs” (p. 17), as the previous plan already placed the SDGs as important values. In general, it is noted the mobilization of issues such as inclusion and equity, democratization, relationship with society, engagement, and the promotion of sustainable development as strong ideas cutting across the vision, mission and values. It is noticed that the SDGs, thus, are configured as discursive elements to access such values. The SDGs are centrally related to the 13 Strategic Goals. Such Goals are organized along three key dimensions, namely; ‘Results for Society’, ‘Excellence in Teaching’, ‘Research and Extension’ and ‘Excellence in Management’. The link with each Goal with the related SDGs is justified by the Plan: “thus demonstrating the unequivocal institutional commitment to sustainable development” (p. 32). In this sense, it was noted that the SDGs are used as a discursive and relational tool in order to package the idea of ‘sustainable development’. Overall, the SDGs listed throughout the 13 Goals present the following count: SDG 4 (9 occurrences), SDG 9 and 16 (4), SDG 8 (2), SDG 3, 5 and 10 (1). Such distribution is related to the large number of objectives aimed at education and training, as well as arrangements to improve internal (institutes, colleges, research groups) and external (government, companies, community) partnerships. Table 2 shows the Goals related to engagement and SDGs: Table 2 demonstrates three institutional efforts (noted by the discursive, relational and material dimensions): connecting research, teaching and extension; communicating more with society; and especially establishing partnerships with external stakeholders—all of them relate to the notion of connecting scientific impact and relevance. Inclusion and access are also present. Again, the SDGs are used for producing meanings and connections within these efforts in all the dimensions composing the SSW—for example, Goals 2 and 7.
2.4 Conclusive Discussion The application of the SSW framework to the selected case universities has allowed us to identify—as a preliminary line of inquiry—that the SDGs are used as a bridging tool, able to evoke discursive, relational, material, and temporal dimensions. Table 3 provides a synthesis of these key findings for each of the case universities.
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Table 2 SSW and SDGs within PLANES strategic objectives Dimension
Strategic goal
SDGs
SSW
Results for society
1. Broaden the access and diversity of the university community and the inclusion, permanence, and academic support policies
3, 4, 5, 16
Discursive Inclusion, permanence, diversity, well-being Relational and material Students and staff Institutional student service programs Health services Scholarships and resources for permanence
2. Promote innovation, culture, and knowledge transfer, intensifying dialogic cooperation with public authorities and society, in line with the Sustainable Development Goals
4, 8, 9, 10
Discursive Innovation, cooperation and knowledge transfer Relational and Material Patents, university-business partnership Joint projects with the community Partnerships with public sector) Cultural events Extension courses Health services
4. Broaden and strengthen effective communication with the various sectors of society, seeking to give visibility to our activities and their impacts
4, 9
Discursive Communication (with society) Visibility Relational and Material Digital communication platforms targeting external actors Institutional observatory (institutional project) (continued)
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Table 2 (continued) Dimension
Strategic goal
SDGs
SSW
Excellence within teaching, research and extension
6. Up-to-date, flexible, student-centred curriculum that uses technological resources and incorporate extracurricular, co-curricular and extension activities at all levels of education
4,13
Discursive Flexibility Extension Relational and Material Technology Students Curriculum
7. Promote integrated research to assume a leading role in the challenges of contemporary society
9
Discursive Research in partnership Protagonism Societal challenges Scientific Impact Societal Impact Relational and Material Increase in research (scientific impact) Research agreements and partnerships (with external stakeholders)
8. Recognize and value extension activities in 4 the teaching career and in the students’ academic environment
Discursive Valuation of extension (academic mission) Relational and Material Resources for extension Students, researcher, professors Student organizations
9. Intensify partnerships with different sectors 4, 9 of society as a way of diversifying the sources of national and international funding for research
Discursive Partnership with society Increase (financial) resources Relational and Material Companies, governmental bodies, national and international organizations, third sector (continued)
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Table 2 (continued) Dimension
Strategic goal
Excellence in 13. Establish a sustainable financial and management administrative management model for the health area
SDGs
SSW
16
Discursive Health and well-being Material and Relational Investment in health Health Infrastructure National public health system
Source Athors’ own
As can be seen, the strategic plans of the two case universities have clear similarities in term of the strategic usages of SDGs, namely: (a) insofar strategic efforts to connect scientific/educational excellence and social relevance; and (b) as a strategic tool to organize, classify and create meaning for the existing/future activities of the university. The major difference noticed is that TUM’s Plan is more precise and moderate in the use of the SDGs, while Unicamp uses SDGs in larger quantity and as a general guide for all its strategic goals (being less precise). Another notable difference is that, in the case of TUM, the SDGs are more strongly related to a temporal dimension, while in the case of Unicamp the strategic issue of partnerships with external stakeholders appears more tightly connected to the SDGs. Finally, going forward, the findings of this study are expected to support a deeper analysis of the planning process within the case universities, especially by investigating its context and the actors involved. In this respect, it is worth noting that both the relational and material dimensions need to be further specified and empirically explored in more detail, e.g. by resorting to triangulation methods. Despite these limitations, the study was able to highlight SDGs’ roles along with the strategic planning of the universities, mainly as tools used to access and solve possible tensions (e. g. between engagement and scientific impact), as well as to create meanings in academic production/actions in view of internal and external legitimization. Future studies, could shed further light on some of these aspects alongside the importance associated with discourse, relational, material and temporal dimensions within social symbolic work.
TUM
The SDGs are discursively related to the idea of excellence, leadership and societal impact. In this sense, they are used as strategic tools to leverage both recognition and legitimacy, internally and externally alike (Suchman, 1995). Considering relational and material dimensions, the SDGs are used to engage the internal and external community (especially city and region) in a series of existing or new institutional arrangements that are aimed at reducing or handing emerging risks (Fumasoli et al., 2015)
Bridging excellence, leadership and social relevance
(continued)
Organizing and communicating knowledge, arrangements and people The SDGs appear as a discursive, relational and material tool to organize, communicate and make sense of TUM’s initiatives. The SDGs mobilize existing formal arrangements within the core academic missions to create meaning for internal and external stakeholders through the classification of university’s initiatives/knowledge production accordingly to SDGs
The SDGs are mobilized within a narrative of continuity and advancement in TUM’s trajectory of engagement and social impact. In this sense, it performs a function of temporality as it discursively seeks to connect the pre-existing (past) trajectory of engagement with the university’s future aim of tackling the ‘great societal challenges’. The geographical scale element (as part of the material and relational dimensions) also plays a role, as the SDGs are used to access mainly the ‘glonacal’ dimension (Marginson & Rhoades, 2002)
Bridging past and future
SDGs as a “bridging tool’
Table 3 SDGs and SSW
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The SDGs are mobilized as a discursive tool to connect the excellence in research, social relevance and commitment, legitimizing the existence of the plan itself and Unicamp’s Strategic Goals. The latter are used to produce meaning/guiding values along the objectives of the plan, accommodating their propositions. The SDGs act as broad guiding values to the strategic plan; however, they are used in a more vague or wide manner, which allows for local translations (Sahlin & Wedlin, 2008) and a degree of elasticity in terms of making them operational (linking them to the core activities of teaching, research and engagement). In other words, processes of (global) adoption and local (adaptation) seem to be at play (Beerkens, 2010)
Bridging internal and external stakeholders
The SDGs seems to be mobilized (discursive, relational and material) to both justify (legitimacy) and empower (co-production and co-creation) the strategic partnerships with multiple external stakeholders; government, firms, community, etc. (Benneworth & Jongbloed, 2010; Brandsen et al., 2018)
Organizing and communicating knowledge, arrangements and people The SDGs appear as a way of strategically organize, communicate and make sense of Unicamp’s past actions and future directions. In doing so, the SDGs mobilize existing formal arrangements and programs (relational and material) along its core missions in order to advance improvements (exploitation) and foster novel innovations (exploration) across the board (March, 1991)
Unicamp Bridging excellence and social relevance and commitment
SDGs as a “bridging tool’
Table 3 (continued)
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Practical Initiatives
Gardening as a Roadmap for Sustainability in the Francophone Caribbean Chiara Lanza
Abstract Can gardening become a practice of cultural and ecological resistance, as well as a road map for sustainable ways of dwelling in and co-inhabiting the Earth with other species? The Caribbean islands represent a fertile soil to ponder such questions, and literature and the arts are an essential tool to understand and engage with nature and notions of sustainability. This paper presents a critical reading of Maryse Condé’s 2010 novel En Attendant la Montée des Eaux, with a particular focus on the character of Movar, a young Haitian man who makes people’s lives more bearable by recreating beauty around them, and by giving order to their unruly surroundings. His peculiar relationship with gardens is a storyline which is secondary to the novel’s main plot, but which could offer precious insights if examined in detail. A particular emphasis is given to the Caribbean context, which allows for the words of Maryse Condé to be read as a paradigm for finding rootedness and balance in a politically, socially, and ecologically suffering world. Finally, Movar’s personal story is extracted from the specificity of its local reality to be translated on a global scale, as an effective model of social sustainability and responsibility. Keywords Gardening · The Caribbean · Francophone literature · Sustainability
1 Introduction Literature and poetry are full of different varieties of plants and gardens, from botanical gardens to vegetable patches, from well-tended backyards to farmer’s fields, each with its own connotations and historical resonances. The very language of gardening has often been used metaphorically and, today more than ever, pervades speeches and publications on topics such as sustainability and social responsibility, C. Lanza (B) Sustainable Development and Climate Change, University School for Advanced Studies Pavia, Pavia, Italy e-mail: [email protected] University of Ferrara, Ferrara, Italy © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_9
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to the point that Earth has been compared to a Planet Garden that we are collectively called to tend (Rodrigues, 2019, p. 96). “Only if humans embed gardeners’ attitude in their actions”, Rodrigues claims, “can we reverse the destructive path in which we have placed the planet and ourselves” (p. 98). How can the two spheres—literature and sustainability—meet and benefit from each other through gardens? The aim of the present paper is that of exploring, through the lenses of literature, gardens and the gardener’s attitude, in order to highlight the possible ramifications in our age of precarious dwelling on planet Earth. In particular, the analysis will focus on a specific character in Maryse Condé’s 2010 novel En Attendant La Montée des Eaux, a Haitian young man called Movar. In spite of being a child of violence, dispossessed and abandoned, he manages to recover a sense of belonging and purpose by reconnecting with nature in the garden space. His character, secondary to the novel’s main plot, has not been explored yet in terms of ecological and ethical dwelling on Earth; hence, by drawing from scholarly articles and books, as well as from other Caribbean novelists and poets, the current paper examines both the general context and the specificities of Movar’s choice, and their implications in terms of sustainability, biodiversity, and kin-making.
2 (Hi)stories and Geographies of the Caribbean Gardens pervade literature and the arts: they feature as fictional refuges and sites of resistance in post-apocalyptic scenarios, such as the rooftop garden in Margaret Atwood’s MaddAddam trilogy (2014), or as physical spaces of inspiration and meditation, as in Marlene Create’s Boreal Poetry Garden (2010), where a patch of Boreal forest becomes a garden through its encounter with the poet, who plants poems instead of seeds.1 The examples are many, especially considering that the symbolic nature of gardens is all but recent, dating back to different origin myths, from the Christo-Judean Garden of Eden, to the Haudenosaunee creation story, which sees Skywoman falling from the Skyworld, with seeds and plants that she uses to recreate a garden on Earth. This range of representations reflects their contradictory character: positioned outside houses but within fences, their proximity to people’s most intimate spaces makes them liminal entities, extensions of human will, yet more-than-human and uncontrollable in their very nature. As sites of encounter between nature and culture, where “art meets nature” (Rodrigues, 2019, p. 97), gardens occupy a privileged position in different traditions across the globe. However, especially during postcolonial transitions and processes of decolonialisation, some authors rejected gardens as literary tropes, associated as they were to an aestheticised and Europecentred worldview promoted by imperialism and symbolising white privilege and dominion. In spite of that, the practices of growing one’s food, tending to one’s flowers, and exchanging seeds have also been represented as acts of resistance, both 1
Marlene Creates’ virtual walk in the Boreal Poetry Garden can be enjoyed at http://marlenecr eates.ca/virtualwalk/.
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physical and ideological, and not only in speculative fiction. Especially in colonies, vegetable patches and house yards were used as spaces of “regenerative resistance” (Knepper, 2011, p. 40), often in contrast to a slave-economy based on single-crop plantations. The Caribbean islands, in particular, constitute a case in point, one which will be more thoroughly analysed in the following paragraphs. First of all, some geographical and historical considerations. The Caribbean islands immediately stand out on any map for their peculiar configuration, a chainlike archipelago jutting out into the ocean and “cast outwards” as if trying to “escape the pull of gravity” (Higman, 2011, p. 1). Exposed on both sides to external influences, their first inhabitants probably migrated from Central and South America in different ages, and developed distinct traditions and customs. However, only few survived the contact with Europeans, who arrived in 1492 guided by Columbus, and who exterminated most of the native population. Thus, the islands served as a pathway for European imperialism into the mainland, while also becoming sites for economic exploitation thanks to their favourable topography and location. In order to exploit the newly discovered, enormous agricultural wealth, plantation systems were introduced, especially for the cultivation of sugarcane. The labour force required for an extensive production of sugar was immense; as a consequence, the Caribbean islands quickly became a major port of disembarkation in the triangular slave trade. In Cuba alone, between 1512 and 1763, approximately 60,000 African slaves were registered entering the country, while many more were smuggled in (Franco, 1979, p. 89). Most slaves were exploited in the fields, while some were forced to work in copper mines. The history of these islands is therefore scarred by successive waves of invasion and acts of violence, which rendered the landscape, in Wilson Harris’ words, “saturated by traumas of conquest” (1962, p. 8). These traumas marked the process of identity building in the Caribbean as well as the subsequent development of broken relationships between humans and landscapes at large. Many works of literature have been written on the Middle Passage and on slavery in the Caribbean, and James Berry’s depiction of exploitation in two Jamaican estates could constitute a fitting example. In his novella titled Ajeemah and his Son (1992), the Jamaican-born poet tells of life in the sugarcane fields at the beginning of the nineteenth century from the perspective of a Ghanian father and his son, who are both kidnapped and shipped to Jamaica, where they are forced to work in two different estates. Not only does Berry’s short story give precious insights on the hard life and destiny of slave workers, but it also offers an account of devastating land management and environmental destruction, engendered by a pervasive fever of “seed-cane planting” (Berry, 1992, p. 38). The estates are described as big factories in which the natural element disappears amidst roaring furnaces: [...] smoke kept rising up from them toward both the daylight and the night sky. The estates kept up the loudest and most urgent combined noises on the tropical landscape [...] Wheels of cane-laden wagons churned up their field tracks, up to the work yard, where the sugarmaking furnaces roared. And piled-up barrels of sugar [...] were rolled out and taken away to the wharves. And all this was the tune of big profits. (Berry, 1992, p. 44)
Almost nothing natural is left as described in this passage: the tropical landscape is completely obliterated by endless fields of sugarcane monocultures, which in
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turn seem to dissolve under the noise of wagons and the smoke of furnaces. It is important to notice that, in addition to a despoliation of the environment and the traffic of enslaved men, women and children from Africa, Imperialism also caused a radical alteration of the local flora and fauna, by inducing and promoting transoceanic exchanges of seeds, plants, and animals. Thus, the islands’ territory was marked by simultaneous and overlapping experiences of diaspora and displacement, of humans as well as of plants, a connection also detectable in the etymological root of the word “diaspora”, that is “seed”, as DeLoughrey et al. (2005, p. 18) point out. The awareness of these complex processes of adaptation, assimilation, and resistance, which originated in a colonial past but also evolved independently of it, underlies many of the works of the Antiguan-American novelist Jamaica Kincaid. In her book, My Garden (Book): (1999), the author re-imagines the Caribbean landscape, and the home garden in particular, as a place to reclaim her identity and culture. This text provides a good starting point for some considerations on the role of nature and on the relationship between nature and the colonial past in such hybrid geographies. As DeLoughrey, Cosson, and Handley remind readers in their introduction to Caribbean Literature and Environment (2005), indigenous and slave resistance to plantocracy flourished in “mountain ranges, mangrove swamps, provision grounds” (p. 3), all spaces of regeneration and re-assertion of the self in relationship with the land. There, the landscape stopped being a tool for commercial gain or a merely decorative setting for European colonists, and became a “full character” (Glissant, 1989, p. 105) playing an essential part in the process of recovering agency for both human and more-than-human entities. Dispossession and transplantation thus became the very grounds upon which to build identities. As Stuart Hall argues in his essay on Negotiating Caribbean Identities (2001), the rich and complex traditions which developed as a consequence of diasporic traumas and disconnections are undeniably rooted in the past and in distant cultures, but have also developed into something new and totally different. The interplay between all these elements emerges in My Garden (Book): as problematic, but also as thought-provoking and as capable of creating “new horizons for spatial relations in a global context” (Knepper, 2011, p. 40). Kincaid particularly reflects on botany and on the ways in which imperial practices of transplantation and removal shaped local flora and fauna and drew distant spatialities closer, imbuing them with ambivalent meanings and historical connotations that need to be re-negotiated in the present via the garden itself. Botany and colonial conquest are in fact strictly related: from the last decades of the eighteenth century and throughout the nineteenth century, the expansion of the French and British empires was accompanied by the creation of large botanical gardens, in a race to gather specimens from across the globe (Thieme, 2016, pp. 57–58). Amongst the most quoted episodes of Kincaid’s book, there is her encounter in London’s Kew Gardens with the Gossypium, which she exchanges for a hollyhock, but which is actually the flower of cotton. The discovery sends her “whole being a-whirl” at the thought of the “tormented, malevolent role [cotton] has played in my ancestral history” (p. 150), yet she cannot but pause to marvel at the beauty of the flower itself. My Garden (Book): is full of such moments of wonder, discovery, and re-negotiation of meanings, names, and identities that bear strong associations with a troubled past.
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However, there is another element that needs to be stressed and that goes beyond the symbolic importance of gardens as objects of colonial desire, that is, the idea of gardens as spaces of regeneration and resistance. The fact that Kincaid presents her backyard as “a place where she might critique imperialism(s) and seed new relations to the world” (Knepper, 2011, p. 40) derives from the twofold centrality of gardens in the history of slavery and indentured servitude. First of all, some slaves were given small plots of land,2 the so-called provision grounds, often far from the plantations and of poor quality. These spaces developed in opposition to the far-reaching, neat rows of monoculture plantations, as they abunded in their “diverse intercropping of indigenous and African cultivars” (DeLoughrey, 2011, p. 58). The cultivation of yam, a starchy tuber from West Africa, was particularly relevant in provision grounds, because it contributed to giving a literal and symbolic sense of rootedness to slaves: it provided them with basic subsistence, with a way to recover their connection with the natural world, and with a material link to the “primary roots culture of West Africa” (DeLoughrey, 2011, p. 61). Secondly, after emancipation, many ex-slaves turned to agriculture as smallholders to eke out a living (Thieme, 2016, p. 52), thus re-asserting their identity through land, in contrast to the exploitative attitude towards nature of their previous owners.
3 Movar and the Homo Hortensis’ Attitude As it clearly emerges from this short overview, the history of gardens in the Caribbean is an essential starting point for understanding the implications of gardening in the present context of the region. The following sections of the present paper focus on horticulture as a practice of sustainability through a reading of Maryse Condé’s 2010 novel En Attendant la Montée des Eaux. This novel, first published by Éditions JeanClaude Lattès, was translated into English in 2021 by Richard Philcox, with the title Waiting for the Waters to Rise. Its author, born in Guadeloupe in 1937, has been awarded many respected literary prizes, including the Alternative Nobel Prize for Literature in 2018. En Attendant la Montée des Eaux narrates a quite complex story that moves across a wide range of spatialities and time frames, which render the narrative dynamic and multi-layered. Even if there seems to be a protagonist, called Babakar, whose journey and life constitute the thread linking a variety of episodes together, the main storyline is often interrupted to give voice to characters from the past or from the narrative present, who relate in turn their own story. Not only do these characters have varied social and economic backgrounds, but they also come from very different parts of the world: readers get to travel from Mali to Guadeloupe, from Guadeloupe to Haiti, and from Haiti to Palestine and Lebanon. However, most of the events take place from the 1990s to 2010 between Guadeloupe and Haiti, and it is in the former that Babakar, an obstetrician from Mali, first meets Movar, a Haitian 2
In James’s Berry’s Ajeemah and his Son, the main characters are also given “a plot to grow [their] own food” (p. 31).
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clandestine. The circumstances that bring them together mirror the complexities and entanglements of life: during a stormy night, Babakar is awakened by an urgent call to help Reinette, a woman in labour. The messenger is Movar, who appears at the doctor’s doorstep with a desperate plea to save the woman he loves: Un homme se tenait derrière la grille, s’abritant d’une feuille de bananier. Il était jeune. Beau. L’air craintif. Noir. Très noir. Habillé de hardes, curieusement chaussé de converses rouges qui prenaient l’eau de toutes parts. Il s’agissait visiblement d’un Haïtien, innombrables dans la région malgré les arrestations et les reconduites aux frontières de plus en plus féroces de la police. (Condé, 2010, p. 12)
Later in the novel, it is Movar himself who tells of his journey to Guadeloupe, and of the reasons for escaping from his native islands. Growing up in the 90s in Haiti, he experienced years of tumult and violence that deeply affected him as a child: both his parents disappeared in search of a better life, leaving him and his two sisters to cater for themselves. The last decade of the twentieth century was for Haiti a period full of unresolved conflicts and misdirected rage, as the country was just emerging from a long period of Duvalierism, which Michael Dash defined as “one of the most vicious manifestations of the Haitian state and eighteen years of civil strife and political machinations” (2004, p. 8). Lavalas’ party, with its “unrestrained wielding of state power” and president Aristide’s “attempt to mobilize the masses behind a patrimonial leader” (Dash, 2004, p. 8) turned out to be the cause of further bloodshed. It is in this context that Movar, first working as an escort for Aristride’s militiamen and then as a watchman in a depot of illegal firearms, resolves to run away, and arrives in Guadeloupe. During his journey, he meets Reinette, another Haitian escapee, and later starts working with her at the Ferme Modèle, a farm which welcomes immigrants. After Reinette dies in childbirth, and Babakar chooses to keep her daughter with him, Movar’s house goes up in flames, and he seeks help from Babakar, who offers his own home as a shelter. Starting from this moment in the story, Movar’s path evolves into a unique one. In spite of the fact that he is a secondary character, his actions and lifestyle emerge as distinctive and strikingly in contrast to both his previous life and to the precariousness of his current one. In his free time he becomes a gardener, or, in A. Schwartz’s words, a homo hortensis: he is “the one who belongs to the garden [and who] cultivates its environment in terms of a garden” (Schwartz, 2019, p. 113). His intimacy and expertise with gardening practices are not the result of transmitted knowledge, but rather of intuition and of a newly-found penchant for the patient work of the homo hortensis. While still with Reinette, he discovers a kinship with nature and starts building a mutual relationship with the elements surrounding him: Surtout, je travaillais dans le jardin. C’est là que j’ai découvert que j’aime les arbres, les lianes, les plantes, les fleurs. J’aurais dû naître dans un autre pays et pas dans un bidonville en tôles et en planches. Avec cette pluie qui n’en finissait pas de tomber, j’avais beaucoup à faire. En deux jours, si je ne faisais pas attention, les herbes nous encerclaient. (Condé, 2010, p. 56)
His work in the house garden makes him realise that he belongs to nature, more than to the broken world of suffering from whence he came. The idea of kinship
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here plays an important part, and cannot but evoke Donna Haraway’s words on the “need to make kin sym-chthonically, sym-poetically” (2016, p. 102), meaning that we are involved (and need to be involved) in a process of co-creation with our biotic and abiotic collaborators, in a constant movement of making with, becoming with, and composing with more-than-humans. Movar’s kin-making thus develops in contrast to (or because of) his previous experience of solitude and dispossession: as soon as he establishes meaningful interhuman connections, with Reinette first and Babakar later, he also makes kin with and in the garden, thus substantiating Haraway’s claim that “kin generate kin” (2016, p. 103). In particular, the humanplants encounter in the enclosed garden space brings into being a Wilsonian biophilia for the different species that Movar starts growing and taking care of. The practice of care becomes an essential trait of his life, and exemplifies one of the virtues of the homo hortensis. As Schwartz writes, garden practices are “loaded with values like care and responsibility” (2019, p. 112) and are able to induce rules and habits based on “modesty and humility […] self-mastery […] and respect” (2019, p. 117). As a consequence, gardening transforms Movar’s life as much as he transforms the environment by recreating beauty around all the other characters of the novel. It is a dynamic process of giving and taking, which he applies to human–human relationships too: in return for his hospitality and concern, Movar thanks Babakar by tending to his neglected backyard and transforming it into a real “jardin d’Allah”: Movar prouva bientôt qu’il n’était pas un ingrat. Il se mit à l’œuvre et transforma un périmètre où poussaient librement chiendent et herbes de Guinée en un véritable Jardin d’Allah. Les gens sortirent d’aussi loin que Vieux-Habitants pour venir admirer ses orchidées. En outre, il aménagea un potager et récolta des tomates, des jiromons, des carottes et des aubergines aussi lourdes que des seins de femmes. (Condé, 2010, pp. 77–78)
The expression “the garden of Allah” might resonate for some readers with memories of a couple of American romantic drama movies released in the first half of the twentieth century, or of their literary predecessor, Robert Hichens’ 1904 novel of the same title. Nevertheless, in the passage quoted above, the expression could be more easily associated with images of the biblical Garden of Eden, where beauty and abundance meet, or with depictions of Paradise from both the Bible and the Quran. In particular, the paradise described in the Quran is “primarily conceived of as a garden, or a set of gardens”, and the basic word used to describe it is indeed “janna”, meaning garden (Hämeen-Anttila, 2017, p. 136). In Surah Al-Waqiah 56:27–33, as translated by Dr. M. Khattab, it is said that in paradise “the people of the right—how blessed will they be! They will be amid thornless lote trees, clusters of bananas, extended shade, flowing water, abundant fruit—never out of season nor forbidden” (n.d.). In addition, both the Bible and the Quran are rich in imagery and metaphors taken from the natural world, as Musselman shows in his book titled Figs, Dates, Laurel, and Myrrh: Plants of the Bible and the Quran (2007), where one hundred plants and flowers from both holy texts are enumerated and described. In Movar’s garden, the association between abundance and fertility is also reinforced by the depiction of vegetables as heavy as women’s breasts, and is enriched by the presence of beauty. The reason for that lies in the fact that his horticultural practice is not limited to food
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provision alone, but is at the same time an aesthetic engagement with the natural world, capable of attracting visitors as if it were an oasis in the midst of perturbation. The diversity and richness of Babakar’s thriving backyard provides an example of coexistence and symbiosis which, however, is not equally applied to all human dynamics in the novel. People see with suspicion Babakar and Movar because their shared life under the same roof is perceived as sinful; moreover, their taking care of a little girl, whose mother died in childbirth, seems to go beyond social acceptability. This and other aspects determine Babakar’s decision to move to Haiti, and look for Reinette’s surviving family. Gardening and gardens also enable the “recovery of place in the wake of displacement”, and the “recovery of other modes of being-in-the-world” that Moslund talks about in Literature’s Sensuous Geographies (2015, p. 184). In Chap. 10 of his book, he comments on the centrality of place and place-thought in the Caribbean experience, embedded as it is in a “history of thought that has denied its subjects their human presence” (p. 184). With reference to the character of Movar, his path of personal growth and his reconnection with nature through horticulture might indeed be read as a recovery of place: his place is the garden space, wherever that may be. Consequently, after Babakar and he move to Haiti, he is not deterred by the sense of precariousness, solitude and danger that had pushed him to leave some years before. Instead, as soon as he settles, he recreates his place in the world: Movar, quant à lui, se retrouva dans son élément. Il accomplissait le travail qu’il aimait, redevenu un “Gouverneur de la rosée”. Il déblaya les terres environnantes et fit surgir les cours enfoui d’une ravine. Lui qui n’avait aucune notion de génie civil, il avait réalisé un système d’irrigation. Désormais, la terre donnait outre des tomates, de la salade, des aubergines, des poivrons, toutes sortes de pois, car affirmait-il avec le plus grand sérieux: pa gen mon manjé, si pa gen diri ac pwa kolé.3 (Condé, 2010, p. 202)
Hence, in opposition to plantations and industrial monocultures, which engender alienation, gardens are sites of “collective belonging” (Bourg Hacker, 2019, p. 4) in which Glissant’s Poetics of Relation comes into being: through exchanges, contacts and instances of co-dwelling with the Other (and, in this particular context, with the more-than-human-Other) identities are built and a rhizomatic kind of rooting takes place (1997, p. 11). Still affected by poverty and torn by violence, Haiti’s seemingly hostile environment does not prevent Movar from taking root and from appreciating and cultivating beauty. He recognises beauty as an essential trait of nature, in spite of the devastation brought about by the irresponsible exploitation of natural resources throughout the island. Instead of accusing political parties or foreign powers, his thoughts go to the possible ways in which he could find a cure for the suffering earth: “Pourquoi tant de misère dans tant de beauté, se demandait-il? Qui en était responsable? Comment y remédier?” (Condé, 2010, p. 264). Nonetheless, Maryse Condé’s references to Movar as “Gouverneur de la rosée” and to his garden as “jardin d’Allah” raise some questions on the matter of possession 3
This sentence in créole could be translated as “Les gens n’ont pas (vraiment) à manger s’ils ne peuvent pas se faire du riz aux pois collés”, meaning that people do not really have something to eat unless they can make some sticky-pea rice ( which is a reference to the varieties of peas Movar grows).
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and dominion. If he creates Allah’s garden, does that imply that he positions himself as a god-like figure? In Among Flowers, Jamaica Kincaid writes that: A gardener is a person who at least once in the gardening year feels the urge to possess at least one plant. [...] You can hear this form of possession in the voice of someone who will utter a sentence like this: “I saw some Codonopsis growing up there, couldn’t tell which one it was but I took the seeds anyway.” That is no ordinary sentence said in an ordinary voice. The person who says such a sentence is in a complicated state of craving [...] they feel godlike, as if they had invented Codonopsis. (2005, p. 32)
Undeniably, there is an element of dominion in Movar’s acts of gardening, in his taking possession of neglected backyards to control and organise space. However, one might ask how much his experiences are the result of a vision of human superiority rather than one of multispecies interaction and collaboration generating mutual advantages, the give-and-take approach previously mentioned in this paper. Gardens cannot be considered as products fostering consumeristic or exclusively anthropocentric views, because their existence is not fixed in time but regulated by ongoing processes and cycles, often unpredictable in their many variables, dependent as they are on soil health, weather patterns, the presence of microfauna, and on the attitude of the homo hortensis, just to name a few. In particular, it is through the human-plant exchange, which involves constant maintenance and care, that gardens can thrive and support the biodiversity that Movar is proud of. Furthermore, most gardens are not for the benefit of the gardener alone, especially when they are also vegetable patches: fruits and vegetables are shared or traded, flowers are admired and their presence beautifies and transcends the space enclosed by fences, a space that is both material and psychological. As botanist Robin Wall Kimmerer writes, “we too are part of the reciprocity. [Plants] can’t meet their responsibilities unless we meet ours” (2013, p. 140)”, and adds that gardens are a “simultaneously material and spiritual undertaking” (p. 123) that eclipses a more traditionalistic nature-culture rhetoric. Movar’s horticulture is indeed an act of kin-making on multiple scales: with plants, with humans, and with non-human animals. His creation of “place in the wake of displacement” (Moslund, 2015, p. 184) is therefore open to multispecies encounters, such as that of colibris fluttering around the flowers he planted (Condé, 2010, p. 145).
4 Sustainable Cultivations, or the Cultivation of Sustainability Some final considerations must be made on the role of gardening as a sustainable practice fostering biodiversity. A 2017 study, conducted by Briana N. Berkowitz and Kimberly E. Medley on the island of St. Eustatius, indicates how “plants growing around a home contribute to ecological and ethnobotanical measures of plant diversity” (p. 1) and promote the wellbeing of residents. Thanks to field surveys, interviews, qualitative and quantitative measurements, carried out from June to mid-July 2016, Berkowitz and Medley were able to examine a variety of factors characterising
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gardenscapes. Their research builds on an already existing bibliography of gardening studies, which identifies gardens in the Caribbean as “places where human ecological management creates high levels of plant diversity, helps preserve indigenous knowledge and culture, and provides direct benefits to gardeners such as food, medicine, and income” (p. 4). Apart from corroborating previous studies, Berkowitz and Medley examine how a meaningful sense of place is constructed through engagement with the garden space, which, in turn, fosters connections within the gardening community and among residents (p. 15). Moreover, animal species such as the endangered Iguana delicatissima, bees and hummingbirds find refuge in home gardens, thus increasing their overall diversity and richness (p. 13). Interviewed gardeners also express personal satisfaction in their work and one woman even refers to plant growth as a practice of “beauty” (p. 13). With reference to Haiti, the importance of individual acts of gardening, and therefore of soil restoration, becomes crucial in light of the impacts of soil erosion and declining fertility on habitability and poverty, phenomena linked in turn to uncontrolled deforestation and to overpopulation. Deforestation in particular has been affecting the island for centuries, starting from the clearing of land in the colonial period to plant crops such as tobacco, sugar and cotton, to the 20thcentury exploitation of natural resources for charcoal production. From the 1950s onwards, the remaining available land area was used either for infrastructure or for livestock and crops (Tarter et al., 2016, pp. 17–20). In such a scenario, dominated by degraded soil and little accessible space, small-scale practices of sustainability have the potential to restore health and biodiversity, and promote more sustainable lifestyles. Movar’s story constitutes a case in point, as his discovery of gardening transforms both him and the patches of land he starts taking care of: through reciprocity, he establishes a healthy, almost therapeutic connection with nature, which could be read as a road map for meeting the challenges of climate change. His “jardin d’Allah” is more than an enclosed space where nature and culture meet: it is a site of encounters, mutual nourishment, and blurred boundaries, allowing for values such as care and responsibility to flourish and for a gardening ethos to root and evolve.
5 Conclusion In the Anthropocene, the act of growing or cultivating one’s garden becomes, from a metaphor of dis-engagement and detachment from reality, a form of caring and dwelling sustainably on our planet. Especially when framed on a larger scale, the gardener’s attitude paves the way for different and more just modes of behaving and relating to both other humans and more-than-humans. The present article explores gardening through the lenses of literature, with a specific focus on the character of Movar in Maryse Condé’s En Attendant la Montée des Eaux. Set in Guadeloupe and Haiti, this sub-plot in the novel can be inscribed into a wider history of displacement and transplantation of both people and plants in the Caribbean, starting with colonial conquest and continuing with slavery and unrestrained soil exploitation throughout the centuries. Movar’s character mirrors a long-standing and pervasive
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need to connect with place and to recover other modes of being-in-the-world as opposed to a history of thought that denied humans and more-than-humans their right to root and connect. He is described as a young boy growing up in the violent context of the Haiti of the 1990s, where political strife and criminality constantly threatened his life, and obliged him to seek refuge in Guadeloupe. There he manages to establish a healing relationship with his surroundings: he removes debris from backyards, creates irrigation systems, and finally plants flowers and vegetables, thus creating a real “jardin d’Allah” that people come to admire from other neighbourhoods. His activity is not an expression of man’s dominion over nature, but rather an exploration of values such as care and responsibility, and of the different forms reciprocity can take on: he transforms and beautifies the environment in the same way as the contact with nature transforms him and his perception of the world. Thus, Movar sets an example of sustainable living in times of crises: by reconnecting with nature and nurturing biodiversity, we could unearth modes of dwelling that are both sustainable and respectful of the planet and of all its other more-than-human inhabitants.
References Berkowitz, B. N., & Medley, K. E. (2017). Home gardenscapes as sustainable landscape management on St. Eustatius, Dutch Caribbean. Sustainability, 9(1310), 1–20. https://doi.org/10.3390/ su9081310 Berry, J. (1992). Ajeemah and his Son. HarperCollins Children’s Books. Bourg Hacker, D. (2019). Acts of gardening: imagining the environment and plotting community in contemporary decolonial South Africa and Caribbean fiction (Publication No. 13901007) [Doctoral dissertation, University of Wisconsin, Madison]. ProQuest Dissertations Publishing. Condé, M. (2010). En Attendant la Montée des Eaux. JC Lattès. Dash, J. M. (2004). The disappearing island: Haiti, history, and the hemisphere. CERLAC Colloquia Paper. DeLoughrey, E. M., Cosson, R. K., & Handley, G. B. (2005). Introduction. In E. M. DeLoughrey, R. K. Cosson, & G. B. Handley (Eds.), Caribbean Literature and the environment: Between nature and culture (pp. 1–30). University of Virginia Press. DeLoughrey, E. M. (2011). Yam, roots, and rot: Allegories of the provision grounds. Small Axe, 34, 58–75. https://doi.org/10.1215/07990537-1189530 Franco, J. L. (1979). The slave trade in the Caribbean and Latin America. In The African slave trade from the fifteenth to the nineteenth century (pp. 88–100). UNESCO. Glissant, E. (1989). Caribbean discourse: Selected Essays (J. M. Dash, Trans.). University Press of Virginia. Glissant, E. (1997). Poetics of relation (Betsy Wing, Trans.). The University of Michigan Press. Hall, S. (2011). Negotiating Caribbean identities. In B. Meeks & F. Lindahl (Eds.), New Caribbean thought (pp. 24–39). University of the West Indies Press. Hämeen-Anttila, J. (2017). Paradise and nature in the quran and pre-islamic poetry. In S. Günther & T. Lawson (Eds.), Roads to paradise: Eschatology and concepts of the hereafter in Islam (Vol. 2, pp. 136–161). Brill. https://doi.org/10.1163/9789004333154_008 Haraway, D. (2016). Staying with the trouble. Duke University Press. Harris, W. (1962). The whole armour. Faber. Higman, B. W. (2011). A concise history of the Caribbean. Cambridge University Press.
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Khattab, M. (n.d.). Al-Waqi’ah. Quran.com. https://quran.com/al-waqiah Kincaid, J. (1999). My Garden (Book). Farrar Straus & Giroux. Kincaid, J. (2005). Among flowers: A walk in the Himalaya. National Geographic Society. Knepper, W. (2011). How does your garden grow? or Jamaica Kincaid’s spatial praxis in My Garden (Book): And among flowers: A walk in the Himalaya. In A. Teverson & S. Upstone (Eds.), Postcolonial spaces: The politics of place in contemporary culture (pp. 40–56). Palgrave Macmillan. Moslund, S. P. (2015). Literature’s sensuous geographies : Postcolonial matters of place. Palgrave Macmillan Musselman, L. J. (2007). Figs, dates, laurel, and myrrh: Plants of the bible and the quran. Timber Pr. Rodrigues, A. D. (2019). From Pairidaeza to Planet Garden: The homo-gardinus against desertification. In M. P. Diogo, A. Simoes, A. D. Rodrigues, & D. Scarso (Eds.), Gardens and human agency in the anthropocene (pp. 95–111). Routledge. Schwartz, A. (2019). From Homo faber to Homo hortensis: Gardening techniques in the Anthropocene. In M. P. Diogo, A. Simoes, A. D. Rodrigues, & D. Scarso (Eds.), Gardens and human agency in the anthropocene (pp. 112–123). Routledge. Tarter, A. M., Freeman, K. K., & Sander, K. (2016). A history of landscape-level land management efforts in Haiti: Lessons learned from case studies spanning eight decades. World Bank. https:/ /doi.org/10.1596/25764 Thieme, J. (2016). Postcolonial literary geographies: Out of place. Palgrave Macmillan. Wall Kimmerer, R. (2013). Braiding sweetgrass: Indigenous wisdom, scientific knowledge and the teachings of plants. Penguins.
Mapping Sustainability Impacts on the Performance Assessment of Software Development Distributed Teams Maiara Cristina Feliceti, Edson Pinheiro de Lima, and Sergio E. Gouvea da Costa
Abstract Technological evolution has made it possible for software companies to adopt the work model of distributed teams, which allows them to hire people from multiple countries, eliminating the need for physical displacement in the office and also optimizing working hours. Thus, the goal of this study is to identify the sustainable factors that interfere with the performance of distributed software development teams. For that, a Bibliographic Portfolio analysis related to the theme in question was elaborated, and a questionnaire was applied to distributed teams’ specialists in order to validate the points identified in the literature. As a result, sustainable aspects were mapped in the literature, categorizing them into environmental, social, and economic factors, and, based on the impacts found, their correlation was made with the Sustainable Development Goals, verifying that they are linked to the context of distributed teams. In the questionnaires applied to the specialists, it was concluded that the sustainable factors directly influence the performance of the teams. The research contributions consist of highlighting each aspect in the current scenario and expressing that organizations should invest in sustainable development to achieve more assertiveness in the distributed teams’ performance. Keywords Distributed teams · Sustainability · Performance assessment · Software development
M. C. Feliceti (B) · E. P. de Lima · S. E. G. da Costa Industrial and Systems Engineering, Pontifícia Universidade Católica do Paraná e Industrial and Systems Engineering, Universidade Tecnológica Federal do Paraná, Via do Conhecimento km 01, Pato Branco 85503-390, Brazil e-mail: [email protected] E. P. de Lima e-mail: [email protected] S. E. G. da Costa e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_10
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1 Introduction Changes in organizations occur for a variety of reasons, including recession, budget cuts, market pressure, or advances in Information and Communication Technology (ICT), altering social interactions, business environments, and corporate culture (Davidaviˇcien˙e et al., 2020; Okoshi et al., 2019). Recent economic, social, and environmental factors, such as globalization and the increase in information technology dependence, have contributed to the growth in the adoption of distributed teams (Striukova & Rayna, 2008). A virtual or distributed team is a geographically dispersed group of individuals who collaborate to achieve a common goal. The use of distributed teams is becoming increasingly common in organizations for a variety of reasons, including reduced travel costs, organizational benefits of using top talent regardless of location, and greater availability of sophisticated technology (Fuller et al., 2006; Massey et al., 2003). Much of the research on virtual work points to the challenges that the teams face, or mentions that geographic distance between team members can be detrimental to group performance. Common challenges identified include communication, team participation, work coordination, and trust-building, in addition to complexity as team members may reside in different countries, with different cultural backgrounds, and often have a different mother tongue (Rosen et al., 2006). The diversity of the team can represent a difficulty in creating opportunities. Many of the empirical studies done on the effects of diversity on team performance have found that it can create added value and deliver superior performance compared to homogeneous teams. The reason given is that diversity brings with it a confined area of knowledge. Therefore, distributed teams need to be managed in a way that diversity is an inclusion generating positive points for performance (Davidaviˇcien˙e et al., 2020; Ferreira et al., 2012). On the other hand, research reveals benefits of forming virtual teams, such as greater rigor in processes and improved performance, with most qualitative studies conducted with a small number of teams. Furthermore, the term “virtual” has been used monolithically to describe the different conditions under which these teams are working, for example, teams where members may be in different geographic locations, and teams that may or may not have team members from different countries. While team methods have often been scrutinized in-depth, the lack of measures of virtuality and team effectiveness means that the virtual teams’ costs and benefits have not been weighed against each other (Striukova & Rayna, 2008). Understanding the factors that affect the distributed teams’ performance is becoming increasingly important, especially given the increased adoption in face of the Covid-19 pandemic. Several performance measures for virtual teams can be identified from Information Systems (IS), such as the effectiveness of action, leadership, and team performance. It is believed that the great contribution of IS to the area is to identify the factors that influence the team’s performance, analyze the management that involves the team member’s collective effectiveness beliefs, and the belief
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in the ability to perform a certain behavior (Montoya-Weiss et al., 2001; Sarker & Sahay, 2003). For this research, the vision of Donnelly and Johns (2021) is considered, imposing that distributed teams benefit from the continuous advances of digital technology, which are producing widespread changes in work and its management, especially when work is carried out remotely. The authors conclude that while these changes may offer remote workers greater temporal and locational flexibility, there is growing concern that their work is being insidiously commodified in line with work process theory to improve the position of organizations in Global Supply Chains of Value. In this way, the research identifies the environmental, social, and economic factors on the growth of remote working, contributing to the creation of global value. In this sense, the goal of this research is to identify the sustainable factors that impact or interfere with the performance of distributed software development teams. As a methodology, a bibliographic portfolio was selected and analyzed, using Proknow-C as an intervention instrument, resulting in a mapping of the factors that impact the performance of the distributed teams. Subsequently, a questionnaire was applied to specialists to ascertain if the factors identified in theory can be seen in practice inside the organizations.
2 Methodology The research methodology consisted of selecting and analyzing a bibliographic portfolio of articles in the literature and complementing this analysis through questionnaires applied to software development specialists with experience in distributed teams. For the systematic review of the literature, Proknow-C (Knowledge Development Process-Constructivist) was used, which consists of a structured process that systematizes the search strategy in scientific databases, obtaining, as a result, a set of articles, which represents a fragment of the relevant scientific literature on the researched topic (Dutra et al., 2015). The article search process consisted of defining research axes, selecting keywords relevant to the topic, and choosing the databases to search (Scopus, Web of Science, IEEE Xplore, and Taylor and Francis). After applying the keywords in the databases, the articles were filtered for duplicity, exclusion by titles, scientific recognition analysis, exclusion by reading abstracts, and full reading of articles. In classifying the theme, the research topics were defined as follows: Distributed Teams, Software Development and Sustainability. The initial search in the databases resulted in 2,916 raw articles in the portfolio and, using the Mendeley tool for bibliographic management, duplicate articles were excluded, resulting in 2,618 articles for filtering. The titles were read, eliminating 1,602 files, and leaving 282 articles for scientific validation analysis. We sought to determine, from Google Scholar, the number of citations of each article to assess scientific relevance. Considering the representativeness from 92.20% of the total citations in the portfolio, 130 articles
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were obtained with scientific validity proven by citations, and 152 articles for potential reanalysis. Reading the abstracts resulted in 88 studies chosen for a full reading. The final portfolio, after reading the articles in full, consisted of 27 articles. The article portfolio having been formed, a content analysis was carried out, which resulted in the creation of a map of the role of the Sustainable Development Goal in the Distributed Teams scenario. Content analysis is a research method that provides a systematic and objective approach to making valid verbal, visual, or written inferences from data to describe and quantify specific phenomena (Rossi et al., 2014). With the content analysis of the articles, we sought to identify sustainable impacts on the performance of distributed software teams, mapping and categorizing factors to relate them to the SDGs for better performance, based on the study by Clark et al. (2019). In order to validate the studies identified in the literature with the software development companies’ practice, a questionnaire was applied to 76 people working in the distributed team’s context, obtaining 39 valid responses. The questions were focused on confirming the factors mentioned in the literature. The questionnaire was divided into environmental aspects aiming at points related to the environment and resources made available by it; social-focused on human needs, such as quality of life and economic related to the performance of operations, which are, resource productivity, efficiency, cost, quality, time and others. In addition to the division, in the questionnaire’s construction, the Likert scale was used to identify opinions and confirmations regarding each existing factor in the scenario of distributed teams.
3 Results and Analysis The research results, from the perspective of content analysis and application of the questionnaire, are presented in the following topics. The results are directly related to the research choices, carried out using the ProKnow-C tool.
3.1 Content Analysis The content analysis aimed to identify the impacts mentioned in the articles and relate them to the environmental, social, and economic aspects that influence the performance of the distributed teams. Regarding the screening of impacts, the requirements were classified to maximize the assertiveness of the selection, in environmental, social, and economic aspects. In the mapping, it was possible to observe the predominant factors, such as communication, cooperation, capacity, culture, trust, and team climate. Distributed teams are culturally different depending on the ways in which the location is divided and diversified, so organizations face many complexities in using technology for
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communication. In addition to the technical challenges, there are also social challenges and psychological factors to consider, given that distributed teams focus on knowledge-intensive tasks that involve sharing and exchanging information and expertise. Currently, a company’s competitiveness mainly derives from its intangible assets rather than its tangible assets, for example, knowledge and the knowledge transfer process (Davidaviˇcien˙e et al., 2020). Through the adopted categorization process, it was identified that most of the sustainable aspects are related to social factors. Social interaction is often organized by status, being the prestige, esteem, value, or position of an individual or group (Gibbs et al., 2021). In addition, having a diverse set of friends can contribute to more productive collaborations, performance in work environments, and greater economic development in communities (Dong et al. 2016). However, the development of trusting relationships has been considered an important social-environmental factor (McMullin & Dilger, 2021). Extrinsic motivation is related to economic and social rewards. Reciprocal benefits and financial rewards are extrinsic, and team members who perceive the reciprocal benefits of knowledge sharing are more likely to engage in the sharing process (Zhang et al., 2014). To relate the identified factors with the Sustainable Development Goals, Image 1 illustrates the relationships identified from the literature. Sustainable Development is a scientific field that has been developed and labored on in several aspects, characterized as multidisciplinary and multifaceted. Sustainability indicators are essential tools in the attempt to measure it, driven by the desire to achieve the SDGs (De Menêzes & De Fátima Martins, 2021). Considering the arguments above and the relationship between the impact factors and the SDGs, it is possible to identify that there are many points aligned with sustainable development in the distributed teams’ scenario. By means of this, the manifestation of impacts must be framed within sustainable development, as each improved progress will directly influence the distributed teams’ performance. In this way, the research intensified for the application of a questionnaire, in order to validate the information found in a real context, as will be explored in the subsequent section.
3.2 Questionnaire Result As mentioned in the methodological topic, the present research aimed to apply a questionnaire in a qualitative way to obtain and confirm information from the different mechanisms in relation to sustainable influences in the context of distributed teams. The questionnaire was divided into three subtopics; the first being directed to questions about environmental impacts, the second related to social impacts, and the third pertinent to economic aspects. Regarding the first approach of the questionnaire, it was directed to the resources and influences involved in the environmental aspects. It became possible to identify
Image 1 List of sustainable development goals in the scenario of distributed teams. Source Authors
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Image 2 Environmental factors in the distributed team scenario. Source Authors
how factors related to climate, infrastructure resources, energy, and ergonomics intervene in the teams’ scenario. Image 2 presents some of the main statements regarding environmental factors. The results provided relevant information to analyze how much the factors have an impact on productivity; it is noted that the first question focused on the issue of noise, climate, and lighting, and most of the answers made it evident that these factors really influence work. The second question shows how well-established resources and infrastructure emphasize better productivity. The third option of the questionnaire sought to assess how much more optimizable the use of energy in the home-office model becomes, and the result proved to be very diversified in energy consumption. The fourth question showed that the climate is a very intense factor in the well-being of healthy and productive work. With these insights regarding environmental aspects, it is possible to determine that greater attention should be paid to the work environment, where adverse factors such as noise, climate, and lighting are minimized. The available resources and infrastructure achieve greater availability and quality. Energy use is optimized to help global warming; after all, people must be comfortable to improve productivity. It is
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important that all distributed organizations focus on raising awareness and improving these points to achieve better performance. Then, in the application of the questionnaire, the next subtopic focused on social aspects, such as factors associated with communication, knowledge sharing, different cultures, and well-being at work. Image 3 demonstrates the main questions regarding social factors. The first question investigated the opinions regarding the distance between team members. It can be noted that in addition to the discrepancy in the result, most responses partially agreed that there is a distance between team members. The second question referred to communication, being able to identify the results, which is a very important item for productivity. Another question sought to observe the fact of opportunities, of how members feel about the opportunities in this model. And the last question addressed how members perceive the evolution of sustainability in the organization. Above all questions pertaining to social aspects, the value of an information cluster is identified. It can be seen that distance is a significant factor between a team; this point needs greater attention by organizations, identifying ways that can bring members together in a sociable and collaborative environment, intervening in
Image 3 Social factors in the distributed team scenario. Source Authors
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a favorable production and higher performance. The communication factor between team members, and even the project teams, is definitely a point of analysis that should always invest in processes and tools to obtain quality communication between the members involved; communication interferes in numerous items of these teams’ production progress. In addition to these factors, the matter of opportunity is also associated with performance, and individuals are motivated to obtain the same recognition as those in person. In addition, the fourth question highlighted how members see the adherence and sustainable evolution of the organization, given that sustainability is increasingly present in organizations, influencing the production of the product/service provided. In this way, the research showed some social factors addressed in the questionnaire; through this information it is possible to make a general analysis, that all the items mentioned are related to the performance of the distributed teams, all factors must be monitored and continuously improved so that the teams are able to improve production performance. The third subtopic of the questionnaire emphasized analyzing the economic aspects. Economic development focused on distributed teams directly intervenes in the cost and performance view of operations, involving resource productivity, efficiency, cost, quality, time, deadlines, flexibility, and innovation. In Image 4 some questions are presented and addressed in the questionnaire applied. The economic factors are linked to the objectives and goals of the teams’ deliveries. With the result, the factory values these points, and with the definition of objectives and goals; the teams are able to focus and maintain a valuable purpose in each product delivery. The second question is related to cost reduction, emphasizing the displacement of work, considering that most of the answers see the economy in the use of transport. Relatively, the question about resources for studies, is consistent with the investment of knowledge of the team, making an important point for quality and productivity. Through the last question about the generation of value in global value chains, the vast majority of the answers identify the generation of value in unit of work performed. Contemplating the results of the questionnaire referring to the economic aspects, some key points were formed, highlighting factors related to the efficient use of resources, costs, as well as transport, paperless work, and energy, where most of the answers favored cost reduction in several aspects, innovation in business solutions, recognition of work and value creation for Global Supply Chains. Establishing a final analysis of this aspect, according to the United Nations (2016), this factor is related to productivity, production growth (economic growth), and usually results from the accumulation of input factors (generally capital and labor) in the production process. Ultimately, forming an analogy on the aspects of sustainability, the environmental factors directed to physical space, facilities, lighting, thermal comfort, resources, efficiency and productivity in the use of resources, reduction of waste and pollution, and the social aspects, linked to the quality of life, labor, labor market, intellectual capital, diversity, distance, emotional, health, and economic aspects in the view of operations performance, such as resource productivity, efficiency, cost, quality, time, deadlines, innovation. All these factors are related to sustainable development in
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Image 4 Economic factors in the distributed team scenario. Source Authors
the context of distributed teams, considering that the research has the main goal of relating existing factors to the Sustainable Development Goals, noting that the more organizations invest in sustainable development, the better the potential performance to achieve in the scenario of distributed teams.
4 Conclusion This study aimed to identify the sustainable factors that impact or interfere with the performance of distributed software development teams through the process of selection and analysis of a bibliographic portfolio on the subject and the application of a questionnaire to software development specialists with experience in distributed teams. Proknow-C was used as an intervention instrument for the selection, filtering, and analysis of the bibliographic portfolio. The selection and filtering process resulted in 27 articles, which presented different impacts concerning sustainable aspects,
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allowing the elaboration of a conceptual map regarding the factors that interfere in the sustainable performance of distributed teams. Based on the knowledge obtained in the literature, it was possible to develop and apply a questionnaire to validate the real context with experts. The conclusions obtained from the application of the questionnaire led to a view that the factors linked to sustainability influence differently in the daily life of the distributed teams, interconnecting to the production performance involving productivity and quality. The most cited environmental factors centered on climate, lighting, physical space, electricity, paperless, communication, and digitalization channels, the social factors manifested in communication, culture, emotional, opportunities, team synergy, the balance between work and life, and the economic, directed to consumption, innovation, time, quality, resource availability and the value chain. Considering that each Sustainable Development Goal has a meaning, an analysis of the factors found was used and related to the respective sustainable goals, dividing it into environmental, social, and economic aspects. Topic 3 presents the figure with the final result, between the mapping and the association of factors and objectives. Based on this, the results showed that it is possible to improve performance following the implementation and continuous improvement of the Sustainable Development Goals agenda, impacting a greater performance capability of the teams distributed in Software Development. Finally, it is concluded that this work contributes to existing research for presenting a view that it is possible to have a better performance by identifying impact factors related to sustainability. That is, the more organizations invest in sustainable development, the more productivity will consistently increase and will positively impact the production quality of distributed teams. The research also proposes the relationship between impacts and the Sustainable Development Goals (SDGs), as they provide a critical entry point for strengthening and evolving productivity. For future work, the construction of a sustainable evaluation model for the distributed teams’ work model in software development is indicated.
References Clark, D. A. G., Marnewick, A. L., & Marnewick, C. (2019). Virtual team performance factors: Asystematic literature review. In 2019 IEEE International Conference on Industrial Engineering, Engineering Management (IEEM) (pp. 40–44). IEEE. Davidaviˇcien˙e, V., Al Majzoub, K., & Meidute-Kavaliauskiene, I. (2020). Factors affecting knowledge sharing in virtual teams. Sustainability, 12(17), 6917. De Menêzes, A. K. M., & de Fátima Martins, M. (2021). Conexões entre as temáticas Objetivos de Desenvolvimento Sustentável (ODS), Indicadores de Sustentabilidade and Gestão Municipal Sustentável: Uma revisão sistemática da literatura contemporânea. Research, Society and Development, 10(5), e57810515309. Donnelly, R., & Johns, J. (2021). Recontextualising remote working and its HRM in the digital economy: An integrated framework for theory and practice. The International Journal of Human Resource Management, 32(1), 84–105.
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Dong, W., Ehrlich, K., Macy, M. M., & Muller, M. (2016). Embracing cultural diversity: Online social ties in distributed workgroups. In Proceedings of the 19th ACM Conference on ComputerSupported Cooperative Work & Social Computing (pp. 274–287). Dutra, A., Ripoll-Feliu, V. M., Fillol, A. G., Ensslin, S. R., & Ensslin, L. (2015). The construction of knowledge from the scientific literature about the theme seaport performance evaluation. International Journal of Productivity and Performance Management, 64(2), 243–269. Ferreira, P. G. S., Pinheiro de Lima, E., & Gouvea da Costa, S. E. (2012). Perception of virtual team’s performance: A multinational exercise. International Journal of Production Economics, 140(1), 416–430. Fuller, M. A., Hardin, A. M., & Davison, R. M. (2006). Efficacy in technology-mediated distributed teams. Journal of Management Information Systems, 23(3), 209–235. Gibbs, J. L., Gibson, C. B., Grushina, S. V., & Dunlop, P. D. (2021). Understanding orientations to participation: Overcoming status differences to foster engagement in global teams. European Journal of Work and Organizational Psychology, 30(5), 653–671. Massey, A. P., Montoya-Weiss, M. M., & Hung, Y. T. (2003). Because time matters: Temporal coordination in global virtual project teams. Journal of Management Information Systems, 19(4), 129–155. McMullin, M., & Dilger, B. (2021). Constructive distributed work: An integrated approach to sustainable collaboration and research for distributed teams. Journal of Business and Technical Communication, 35(4), 469–495. Montoya-Weiss, M. M., Massey, A. P., & Song, M. (2001). Getting it together: Temporal coordination and conflict management in global virtual teams. Academy of Management Journal, 44(6), 1251–1262. Okoshi, C. Y., Pinheiro de Lima, E., & Gouvea da Costa, S. E. (2019). Performance cause and effect studies: Analyzing high performance manufacturing companies. International Journal of Production Economics, 210, 27–41. Rosen, B., Furst, S., & Blackburn, R. (2006). Training for virtual teams: An investigation of current practices and future needs. Human Resource Management., 45(2), 229–247. Rossi, G. B., Serralvo, F. A., & João, B. N. (2014). Análise de conteúdo. Revista Brasileira De Marketing, 13(4), 39–48. Sarker, S., & Sahay, S. (2003). Understanding virtual team development: An interpretive study. Journal of the Association for Information Systems, 4(1), 1. Striukova, L., & Rayna, T. (2008). The role of social capital in virtual teams and organisations: Corporate value creation. International Journal of Networking and Virtual Organisations, 5(1), 103–119. United Nations. (2016). Economic and Social Survey of Asia and the Pacific 2016: Nurturing productivity for inclusive growth and sustainable development. Retrieved from: https://www.une scap.org/sites/default/files/Economic%20and%20Social%20Survey%20of%20Asia%20and% 20the%20Pacific%202016_0.pdf. Accessed 4 April 2022. Zhang, X. D., Pablos, P. O., & Xu, Q. (2014). Culture effects on the knowledge sharing in multinational virtual classes: A mixed method. Computers in Human Behavior, 31, 491–498.
The Importance of Knowing What Your Customers Know to Drive Ecologically and Economically Effective Circular Design: A Case Study in Sports Asia Guerreschi and Mateusz Wieloposki
Abstract Circular Economy, as the counterargument to the ‘make-take-dispose’ linear model, is an approach that includes a variety of schools of thoughts looking at environmental, economic, and social sustainability. This, in turn, leads to a variety of strategies and often confusion when it comes to choosing the right strategy to make a circular transition as effective as possible. Due to the close interplay of circular product design, business model and social responsibility, companies often struggle to develop strategies that comply with all three triple-bottom-line criteria. Hence, to transition to circularity effectively, product design approaches must become more inclusive. Starting with a case study conducted with the University of Bayreuth and ISPO focusing on the sports industry, the authors correlated aspects of material choice in product design, labelling and technological innovation with customer preferences and education about specific material and technology features that could be used for multiple sectors. The study revealed those attributes of the consumers’ environmental awareness that directly translate into an increase of purchase power— primarily connected with individual preferences regarding the sport activity and technical knowledge. Based on this outcome, the authors constituted a product development approach that incorporates the consumers’ individual preferences towards sustainable product features as well as their awareness about materials and technology. It allows deploying targeted customer education campaigns to enhance the acceptance and raise the willingness to pay circular products. Therefore, the authors in view of the latter are looking in this paper to build a questionnaire that takes into consideration a corporates’ awareness of circular design and of external stakeholder relationship, such as consumer awareness of the product. The outcome is a scoring system, which provides guidance for material and technology choices for circular product design, while considering business model and communication strategy to the attentive customers. By including this knowledge about the customer and complying A. Guerreschi (B) Candidate in Sustainability and Wellbeing, University of Ferrara, Ferrara, Italy e-mail: [email protected] M. Wieloposki ÆVOLUTION®—Circular Materials Innovation, Bayreuth, Germany e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_11
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with corresponding labels, companies can develop more effective circular design strategies, while simultaneously increasing customers’ trust and loyalty. Keywords Circular economy · Sports · Awareness · Willingness to pay · Circular design · Sustainability
1 Introduction Attention to sustainability has increased as manufacturing companies are under pressure to sustain the environment in which they operate (Bour et al., 2019). In parallel, it has also been identified that sustainability practices result in significant positive margins with respect to company revenues. Furthermore, regulatory bodies and governments push towards sustainable business practices through regulations, leading a need to rethink how we design and manufacture products. (IPCC) In fact, on an environmental standpoint reducing the negative impact of consumption is key to comply with international standards (OECD, 2002, 2004; UNEP, 2007). The EU, for example, is working to comply to these standards by focusing on efficient sustainability reporting connected to management reporting systems that improve sustainability performance. In particular, larger companies (>500 employees) should comply to European directives, such as the Directive 2014/95/EU, which dictates they should publish information on matters, such as, environmental impact, social matters and treatment of employees, respect for human beings, anti-corruption and bribery, and diversity on company boards (European Commission, 2020b, 2021). Compliance to ISO standards has increased and demonstrated that certified companies to environmental ISO standards as ISO 14001 were able against noncertified companies to improve their performance (Hojnik & Ruzzier, 2017; Neves et al., 2017; Treacy et al., 2019). In consequence, there is an increased awareness and pressure from multiple stakeholders to pursue more sustainable practices towards environmental benefits. (Li et al., 2019) Therefore, companies have no other choice than transitioning towards higher sustainable standards for their products, services, and/or processes (Brömer et al., 2019). Simultaneously, they still need to remain profitable and for this design their offerings in such a way that they resonate with the consumers’ demand for sustainability, which is reflected in their willingness to pay (WTP) for those offerings. Since the WTP is connected to personal attitudes, preferences and level of understanding for sustainability, investigating these motivations allows to deduce practical guidelines for the design and development of successful products and services. As demonstrated by Echeverrìa et al. (2022) when adding a social, and sustainable, dimension the mean WTP was 7.5% higher than a standard price. Zander & Feucht, on the other hand, demonstrated that among different Members States of the European Union (EU) consumers were willing to pay for more sustainable products, especially when the applied trusted standards were well communicated. This holds also when applying circular economy (CE) strategies, where the WTP was higher for products
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where the circular economy strategies applied were correctly communicated to the consumer. As the relationship between consumer and industries strengthens and becomes more crucial in order to implement CE strategies, it is necessary to comprehend how the transition is observed by the consumers themselves who are also placed in the forefront to sustainable development (Buerke et al., 2016). In fact, this is observed in the case study from which this paper has originated where studying consumers in the sports sector demonstrated that they are WTP more for sustainable products in relations to other factors, such as price and product material. The aim of this publication is therefore to correlate corporates’ attitudes and awareness of circularity and sustainability with circular product design strategies, in addition to subjective awareness of circularity. Based on this, we create a product development approach that incorporates the corporates’ individual preferences towards circular product features as well as their awareness about materials and technology. The latter approach allows deploying targeted customer education campaigns to raise the WTP for circularity. The next step is implementing the customer preference and education analysis into a circularity assessment tool, in a form of questionnaire, that considers inherent company assets as well as subjective parameters, such as customer awareness. The outcome is a scoring awareness system, which provides guidance for material and technology choices for circular product design, while considering business model and corporates’ communication ability to the attentive customers. While the attention originated from the sports industry looking at the chosen case study, the objective was to produce a scoring system that could be used for respondents from multiple sectors.
2 Literature Review Generating an understanding of consumer awareness and circular design, requires an overview of the current result discovered in literature. Initial research on Google Scholar with the key words “circular economy” + “sports” + “willingness to pay” yielded about 430 results. These could identify that the WTP for CE products for the sports industry requires further attention. Especially, since literature highlights that CE, and sustainability, are gaining more attention at the policy level (Brennan et al., 2015; Geissdoerfer et al., 2017). It is particular evident with the European Circular Economy package (European Commission (EC), 2015, 2020a) and the Chinese Circular Economy Promotion Law (Lieder & Rashid, 2016). Companies are also understanding the benefits from applying CE (EMF, 2013).
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2.1 Circular Economy and Consumer Awareness CE strategies are being applied as way to close the loop and reduce environmental impact. Both terms are gaining traction in various sectors, such as academia and among policymakers (Geissdoerfer et al., 2017). In recent years, CE has been promoted to minimize burden on the environment, while stimulating the economy. Defined as an umbrella concept CE is a method to promote the responsible and closed-loop use of resources. However, as the same authors identify and highlight, the exact definition is ambiguous, and the attempt of a single definition is merely unachievable. Furthermore, these various definitions and approaches to CE have not been challenged. The objective of CE is to lower material input and reduce waste production (EEA, 2016) which involves strategies that help preserving products, their parts, the used materials (Ghisellini et al, 2016) but also promoting ways that can go beyond product preservation with direct and indirect impact on the economy (European Environment Agency, 2017). As identified by Boyer et al. (2021) it should be the researchers, policymakers, and other involved stakeholders’ responsibility to provide the infrastructure to facilitate the transition to effective circular business by using realistic CE labelling systems, which, as seen above, affects the consumers’ WTP. The same study highlighted that while labelling products as more circular can impact consumer’s WTP, it should not be confused with products who have undergone only partial CE strategies. One example are products that are labelled circular when the only strategy applied is to integrate a certain percentage of recycled material. Attention therefore should be placed on terminology and possible misuse by companies, also widely referred to as green washing (Kärnä et al., 2001; Self et al., 2010; Schmuck et al., 2018). A CE system makes sure that there is as little, or none, waste or pollution produced as a “…framework for an economy that is restorative and regenerative by design” (Moreno et al., 2016; Morseletto, 2020). In fact, the EC considers achieving its goals by a series of principles to regulate the amount of waste and pollution produced. Those goals are improving the durability of the products, increasing recycled content, enabling product remanufacturing, restricting single-use, introducing bans on unsold durable goods, incentivizing product-as-a-service, increasing digitalization, and providing reward based on sustainability performances. While it works to include effective policies, the EC also reviews different areas where work should be carried out to achieve effective results. Most importantly, it wants to empower consumers and public buyers to provide them with cost-saving products that can be sustainable. Data collected in the report highlights the public’s purchasing power represents 14% of the EU GDP and it can also serve as a powerful driver for demand. Companies must take part in this environmental shift and the EC adds in its plan the importance of the circularity in production processes that can generate extra value and unlock economic opportunities. A successful implementation of CE could be beneficial not only the global environment, but also the global economy due to
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CE’s aim is to retain the economic value of products and materials. According to Korhonen et al. CE could generate annually 1 trillion USD versus linear economy. Hence, in this research, we focus on that part of the value that can be generated by efficiently moving consumers towards a higher WTP for circular products. Recently, Boyer et al. (2021), who analyzed consumers’ WTP with products that were labelled circular, demonstrated that CE represents a major shift away from the assumptions of the traditional linear production model, where costs of transitioning to CE can be partially offset by customers’ WTP for circular products. Furthermore, as results also identified that customers may exhibit a lower WTP for certain circular products of even 75% due to the stigma that products made of recycled products has lower quality, the educational level plays a crucial role to encourage customers to purchase products with higher circularity scores (Diddi & Yan, 2019). This makes it clear that education and awareness about CE principles play an important role in the acceptance and purchase decisions for circular products. To this point, research demonstrates that while consumers do not have a clear understanding of the term CE their intentions and demand already point in that direction (Sijtsema et al., 2019) and therefore it is crucial to integrate the knowledge about the consumers into the product development processes. As previously mentioned, consumers’ attitudes, motives, and barriers can influence their impression towards circularity. The same authors underline that if consumer improve their understanding of CE they can decide how to personally get involved, hence also how willing they are to pay for a product or service. If a company cannot clearly communicate how they their products are approaching circularity, then it is highly challenging for the consumer to know what they are buying and if they are willing to pay for it due to its additional CE qualities and trust the company selling it. An existing overview of the literature (Camacho-Otero, et al., 2018) already identified by analyzing a specific set of papers that, “…consumption in the circular economy is anonymous, connected, political, uncertain, and based on multiple values, not only utility.” It is further highlighted that WTP is based on values and can vary from consumer to company, as well as between countries. Research on the various stakeholder’s awareness when it comes to CE—with focus on the fashion industry—appears to be carried out for internal stakeholders, but not external. (Ki et al., 2020) Alongside the research by Kirchherr et al. (2017) who noticed a general research gap in addressing the consumer perspective towards CE, we identify that it is quite essential to investigate consumer awareness and knowledge of circularity and sustainable features of products. Due to its representative role in the manufacturing sector and close relationships of brands and customers, we focused our research on the sports sector and investigate how to drive ecologically and economically effective circular design by assessing the consumers’ awareness of CE and matching it with the one of the companies.
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2.2 Sustainability in the Sports Sector How do “green” consumers differentiate sustainability-related features in sporting goods is a question that not only brands have to ask when bringing new sustainable products to the market but also something that needs to be clarified at the early stages of product design. Thereby, the sports industry serves as a representative field of study because of environmentally conscious consumer groups, who are aware of the negative environmental impacts caused by materials and manufacturing of performance sporting goods. Assessing this awareness becomes therefore key for choosing those environmentally friendly product concepts that resonate with the customers’ education regarding material choices and drive their WTP for “greener” products. When it comes to measure WTP in sports, Thornmann and Wicker (2021)’s research highlighted that WTP was positively determined by environmental consciousness and educational level.
2.2.1
Sustainability in the Sports Industry Driven by Customer Awareness
In their study, Fehrer & Gerke discuss that as CE must apply a triple-bottom-line value system (Geissdoerfer et al., 2017; Ghisellini et al., 2016; Kirchherr et al., 2017; Murray et al. 2017) that includes economic, environmental and social sustainability, there is a demonstrated interest of sports companies to shift to sustainable solutions and CE models can be achieved through: optimizing material-technical loops, transforming product ownership into services, sharing resources, and shaping symbiotic ecosystems. However, despite how conclusive this research is, it highlights that there is a concerning switch not only by companies, but also researchers overall in the terms “circular economy” and “sustainable”. A sustainable strategy is not necessarily circular; hence this latter study identifies that as companies, such as Patagonia are trying to move towards circularity their business model remains within the sustainability arena, which frequently holds an unclear terminology. Rattalino (2017) in their research of Patagonia’s business model in connection with circularity advantage explored ways in which the pursue of economic, social, and environmental objectives can embrace circularity. An example of a circular model applied by a sports industry is the Cyclon shoes made from castor beans that can be rented by paying a monthly fee and once it ends “its life cycle” of about 600 km. The consumer can then notify the company which collects the old pair and ships a new pair (Cyclon, 2021). While not all the parts of the shoe can be recycled it avoids further waste reaching the landfill and helps the company keep track of the product they make. (Cyclon, 2021).
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3 Case Study: Consumers Pay More for Sustainable Products Our case study conducted with the University of Bayreuth and the world’s largest trade fair for sporting goods and sportswear (ISPO) revealed those attributes of the consumers’ environmental awareness that directly translate into an increase of purchase power - primarily connected with individual preferences regarding the sport activity and technical knowledge. The quantitative study was implemented with the help of a choice-based conjoint analysis. In the first step, participants could choose between skis, snowboards, and surfboards as generally high-priced sports products with comparable features. Subsequently, questions were made regarding specific product features in comparison to megatrends such as customization and digitization in the sporting goods industry, while applying a monetary value that the respondents would pay for these same features. Hence, it was possible to distinguish correlate the value of the benefits resulting from sustainable product features with the value of customization and digitization options based on the WTP of the respondents. The result was a significantly higher WTP for the sustainable feature, which was driven by personal preferences and the knowledge of the customers about sustainable materials. In particular considering how behavioural economics identifies people are not always rational and can make random decisions (Thaler and Sustain, 2008) and currently persuasive communication is the most ideal for circular economy practices, especially for behavioral changes (Muranko et al., 2019). Based on this outcome, we constituted a product development approach that incorporates the companies’ individual preferences towards sustainable product features as well as their awareness about CE enabling materials and technologies. This follows the argumentation of Barros et al., 2021, which confirms the importance of internalizing circularity principles horizontally across all company divisions to maximize the efficiency of circular product design practices in terms of environmental and economic benefits.
4 Measuring Circularity Awareness To approach the measurement of circularity awareness and develop a corresponding quantitative approach first a literature review was carried out in conjunction with direct open-question interviews (n = 33) lasted for six months about the application, understanding, and measurement of CE within companies from different industries, such as textile, technology and electronics, construction, and research. Questions raised during these latter interviews were in relations to those present in Annex 1. This gathered the opportunity for secondary trial runs, which then resulted in the first set of answers (n = 15) from the official questionnaire (Annex 1) collected in a month (Fig. 1) from various industries. As explained in the limitation section these are too few observations, yet this paper’s objective was to provid a methodology
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Fig. 1 Investigated circularity aspects within the set of questions in the questionnaire (authors’ image)
behind a circular design perception and awareness questionnaire. Further research can provide discussion regarding prospective results collected from the latter. Thereby, the following key challenges have been identified from these interviews: . A large quantity of information on CE application and strategies exists online but it lacks a systematic strategical focus on the various types of industries; . A general interest in the topic is found among all sectors, but awareness on the true potential and applicable strategies is missing at all corporate levels. Generally, the interest is focusing on specific departments (e.g., sustainability experts, CSR, etc.); . The general consumer trend towards CE is overall acknowledged but systematic quantification is restricted to various independent sustainability aspects not integrally correlated with CE; . Many who already have acquired some kind of sustainability certifications do not actively involved in measuring further indicators for CE due to a lack of clear standards and frameworks; . Finally, a plethora of accredited sustainability assessment tools are available, which address specific products and sectors. CE labelling or measuring, on the other hand, is very fragmented as are the methodologies.
4.1 Importance of Companies’ and Consumers’ Awareness As shown above, to effectively realize circularity in product design, it is necessary to internalize the CE principles within the company and the consumers. In order to do so, the first step is to assess the level of knowledge and awareness. Therefore, we
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decided to develop a quantitative scoring system that measures the companies’ as well as consumers’ awareness of circularity along the different CE aspects. The aim was to deliver a qualitative indicator that allows companies to identify the internal knowledge gaps on CE as well as their customer perception to develop targeted communication strategies needed to create a common understanding both internally and on the customer side. In response to the results acquired from the case study by ISPO, the authors constructed a questionnaire/survey (over 43 questions, Annex I) that can be distributed to companies across multiple sectors as well as any employees regardless of their department to identify the gaps in circularity awareness. Those questions about personal circular economy perception and product information communication to consumers derive from van Langen et al. (2021) and Chamberlin and Boks (2018) respectively. Others chosen looking at the perception of the company’s environment and social impact and governance role are constructed by the author resulting from knowledge of circular design as developed in academic literature. The questionnaire structured for a qualitative analysis, tries to study awareness and perception of circular economy and design within a company from production, internal corporate choices, and disposal of the produced waste. It is important to highlight that the goal is to turn individual knowledge into organizational intelligence, which can determine a company’s innovative spirit and help to design more effective circular products (Castaneda & Cuellar, 2020). Currently the empirical knowledge is little and requires further analysis (Liakos et al., 2019). The purpose of this circularity assessment is to provide an evaluation with shortand long-term perspectives to assist product developers, and/or decision-makers within companies with an overview of which actions should be taken to create circular product concepts that resonate with the customers. Like this, we were able to scrutinize if companies were able to understand how well they were performing in CE strategies, which in turn affect their customers WTP once such strategies were employed in the final product design. As previous research of sustainable product features demonstrated, the higher the consumers’ awareness and company’s product transparency, the higher the probability that consumers develop a high WTP. Hence, our goal was to transfer these outcomes on circular product design and implement customer preference as well as education analysis into a circularity assessment tool that considers inherent company assets as well as subjective parameters like awareness. The outcome is a scoring system, which provides guidance for companies on the areas of improvement for internalizing CE principles and by this determine more effective material and technology choices, while considering business model and communication strategy to the attentive customers in the sports industry.
4.1.1
Consumer Awareness
The growing awareness about CE significantly increases the interconnection between industry and the general public, because efficient circular design heavily involves the
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consumer side (Garbie, 2015). In view of the latter, the authors began firstly to constitute a questionnaire with the objective to identify awareness gaps within a company regarding user and company approach and understanding towards circularity. This was drawn by the study conducted by Hörisch et al. (2019) who identified that knowledge on factors that can support the increase of corporate sustainability action is of crucial importance. Especially, as they looked at the influence of feedback and awareness of consequences on the development of corporate sustainability action. Therefore, identifying those awareness gaps in corporations becomes also essential for circularity (Talbot et al., 2020). In consideration of the many sustainability and CE assessing tools there is need to distillate and communicate the sustainability results to the public. This tends to occur when reporting Life Cycle Assessment (LCA) results, which should be avoided with CE. A study on the awareness of sustainability in corporate organizations conducted by Garbie (2015) looked at how corporations were aware of sustainability in general, environmentally, socially, and economically. It states that yet the concepts are not fully understood by all stakeholders. Therefore, if it is understood that clearer communication to the public is not only needed, but crucial for CE development, then the first step must come from the industry that should be aware of CE aspects and how those can be realized in product design. This awareness is necessary for a clear communication of the CE aspects to the consumers in order to promote a higher WTP. As another study suggested, CE is driven by economic not environmental considerations, and the application of practices remains within a firm rather than across the supply chain. This means that maximizing the economic benefits through for example an increasing WTP on the consumer side, is equally important to drive CE as it is when optimizing supply chains. We integrate those findings in the development of the questionnaire, which provides twenty-seven closed questions, looking at the user’s role in the company, age, educational level, and daily sustainability behavioral actions. We also investigate the user’s awareness of the company’s actions regarding how transparent the company is towards other stakeholders, and its sustainability and CE strategies during its supply chain and at the product’s end-of-life. We used “level of awareness” as the measured variable and the confounding variable being the user’s age, gender, role in the company, and personal belief and actions of sustainability (Haan et al., 2018). We question if a higher awareness of sustainability, and CE, can translate into a more effective implementation of circular design. Hence, our goal was to construct a practical questionnaire that could be completed in a short amount of time, using the rule of thumb that respondents approximately answer 4–6 items per min (Callegaro et al., 2015). Every answer was given a score between 0–3 and the result observes which answer was provided more frequently defining the level of awareness based on how confidently also the user was responding. For example, definitely yes and no answers were given the highest score (3) since the user is clearly sure of that particular answer. It looks to tackle data that is not numerical and can identify and highlight gaps within the corporate mindset of circularity (Maranesi & De Giovanni, 2020).
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The assumptions are that this method does not currently provide an overall awareness level and, being in its introductory phase, it is not directly looking at the company’s circularity performance itself, rather the impressions and awareness about it. The reasoning is to observe the company’s communication with the various stakeholders, acknowledging that it is key towards applying efficient sustainable circularity. One of the current limitations is that the user filling out the questionnaire is not aware of the circularity actions and could be misinformed or biased. To be representative for a specific sports’ sector, further responses are needed. Finally, companies may be unwilling to critique themselves and social desirability bias may be evident. Further analysis and study of this questionnaire is required. However, to our knowledge no other study provides a quantified correlation between WTP and CE awareness and application.
4.1.2
Corporate Awareness Questionnaire
An initial analysis of the results collected highlighted (Fig. 1 and Table 1) some gaps that further research should tackle. The outcome, which resonated the most, was that while the majority declared that the company, they worked for did not provide any educational opportunity to learn more about CE, CE was “definitely” part of the company’s agenda. Furthermore, respondents were also “definitely” aware the company is taking steps to measure their environmental and social impact. The most visible change is that “definitely not” is generally an answer not provided, it appears “I do not know (IDK)” is chosen. This change of answers can possibly be impacted by the way a company communicates CE to its employees. When asked about feedback opportunities and transparency, the answers were quite balanced, hence showing that it varies among companies, yet that the same could have a positive impact if it were properly transparent. Furthermore, when it comes to the application of these CE strategies, most respondents found that it was risky, but necessary, in view that they also thought that the consumer would probably choose a sustainable product over not which is not. The results provided from this questionnaire highlights that further attention should be brought to the relationship that companies have with their stakeholders, employees, and consumers. Thus, it also confirms the potential that education and knowledge can bring into effective CE application. In an analysis of innovation with circular economy and sustainability business models highlighted that there is a general negligence of human-behaviour aspects. Thus, great attention to the latter can reinforce the application of circular design to drive not only ecologically, but economically efficient circular business models (Pieroni et al., 2019).
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Table 1 List of questions provided in Fig. 2 coded by number from 1 to 12 Question
Number related to question provided in Fig. 2
Sustainability is central in the company’s agenda
1
Is the company taking any steps to measure the environmental impact caused by the product/service?
2
Is the company taking any steps to measure the social impact caused by the product/service? Social impact is intended as a process of identifying the future consequences of the current or proposed action, which are related to individuals, organizations, and social macrosystems
3
Is the company engaging with clear, and communicated, social activities, such as nonprofit organizations? e.g. through community involvement, community development, and/or measures to reduce negative impacts on local communities
4
Your company is taking steps to reduce any negative environmental impact
5
Your company selects material that is more environmentally conscious for its product
6
Your company provides remanufacturing opportunities
7
Your company provides recycling opportunities for the product
8
Employees are informed of the production process
9
Internal stakeholders are informed of the production process
10
Stakeholders (e.g., suppliers) are included in the production process
11
When looking at the company’s social inclusion and employer-to-employee 12 relationship, the company provides a platform and/or opportunity for feedback
Fig. 2 Results’ partial representation showing the percentage (%) of answers. It highlights the change of provided answers as more details are requested by the user. The exact questions relate to Table 1 listed from 1 to 12. (authors’ image)
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5 Relevance The relevance of the tool in the context of the circular design process in the sports sector comes from the understanding that effective circular design derives from not only efficient business models that take into consideration additional services (e.g., take back) but also consumers’ awareness about CE principles. For example, as demonstrated by Elzinga et al., (2020) there is a clear preference for takeback management models over leasing. Additionally, habits and consumer opinion regarding payment structures have a large influence on which circular business model to choose. However, if the company is unaware of its circularity limitations it cannot tackle improvements within the design of their products that lead to a holistic approach of circular design in sports. Companies must take into consideration consumer preferences to create complete business models for CE. (Ölander & ThØgersen, 1995, Rexfelt and Hiort af Ornäs, 2009, Lewandowski, 2016, Kirchherr et al., 2017). In particular, as our case study presented, consumers are being drawn more frequently to products that take CE and sustainability into consideration, when they are aware of the distinct CE strategies and then exhibit a higher WTP. The objective of this paper was to provide a tentative structure of awareness and CE assessment that could identify that corporations should take consumers into their model strategies. In particular when it comes to the sports sector, it appears, to the author’s knowledge, that there is little about the sports sector and the implementation circular design strategies. Therefore, if we also consider that sports goods manufacturers play an important role in regional economic development, and yet cause environmental pollution (Huang & Chen, 2022), circular design could be a solution to reduce this number and its secondary inevitable effect on the environment (Nandy et al., 2022). Therefore, companies in the sports sector, and not only, should choose effective CE strategies by being transparent, educate, and communicate with all its stakeholders, including consumers who not only are at the forefront of sustainability development, but also WTP more for products designed with circular strategies.
6 Limitations and Further Research The first limitation is that research for this paper was mainly carried out looking specifically at CE and while the review highlights that there is a connection between awareness, WTP, and knowledge to drive effective circularity, lesser attention was given to specific industries or specific CE strategies. The second limitation has to do with one point raised during interviews regarding assessment tools that can be cumbersome, and that for companies it is not always easy to collect information about consumers and other stakeholders. Therefore, the authors of this paper identify the challenges that come with identifying the main efficient applications for sustainable CE. Due to this limitation, the scoring system could not take into
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consideration other methods if the company was able to collect all the required data, making it more cumbersome, yet extensive. How can a company effectively choose a circular design, based on data from consumers? How do norms and national regulations impact these changes? Consumer behavior is also unpredictable, as the report by the European Environment Agency (2017) identifies. To this point, this paper looks mainly at the connection between efficient CE application and awareness on consumer WTP specifically. One suggested further research input would be to identify the best solutions available to counteract these challenges by companies and consumers towards effective CE in relations to communication and behavioral economic strategies. Furthermore, the scoring system presented in this paper does not want to become an absolute key for awareness measurement, rather the step to identify a company’s gaps in various categories and act on it, to gather further awareness on consumers to drive environmental and ecological changes on circular design. In addition to already existing tools as the one presented by Sacco et al. (2021).
7 Conclusion The literature review and case study presented in this paper identify that in the sports sector, and not only, consumers are WTP more for circular products when companies effectively communicate the CE strategies applied for the product sold. What the questionnaire raises in this primary phase is that within companies, employees and other stakeholders are not informed nor educated on CE strategies. This could create a gap between company departments, as well as other stakeholders, including consumers, and slow down the process towards efficient circular design. Knowledge on designing CE business models is needed to enhance implementation of the effective circular product design strategies. Consumers can play a crucial role in this by choosing to purchase, and pay more, for a product that is designed according to CE strategies. Consumers can also be at the forefront of sustainable development when effectively involved in the design process for circular product concepts. To measure their involvement and effectively drive the awareness about CE strategies for the deployment of circular products, we develop a method that assesses circularity awareness and measures it by a scoring system. This scoring system is implemented in a questionnaire that is discussed in this paper. The questionnaire contributes to the guidance of companies through the areas of improvement for internalizing CE principles and by this determine more effective material and technology choices, while considering business model and communication strategy to the attentive customers in the sports industry. The outcome helps to gain information about the consumer and the level of circularity awareness on the organizational level, which in turn would lead to a stronger understanding of consumers. If efficient communication is directed towards consumers on implemented circular design strategies for the product they are buying, this in turn can result in a higher WTP. Hence, the questionnaire helps to internalize CE concepts and translate them into
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effective circular product design that the consumer understands and is willing to pay for loyalty. Acknowledgements The authors declare there are no conflict of interest.
Annex I: Questionnaire Introduction Discover your and your company’s circularity awareness level! Why? In order to embrace circularity within your sustainability strategy more effectively. This questionnaire has been designed to categorize various aspects of circularity based on your awareness as an individual, but also organization’s awareness as a whole. Dependent on your responses, you will receive a score that indicates, where awareness needs to be improved in order to create a more effective circular innovation ecosystem for product development and new business value creation. By taking part in the survey, you will learn and quantify which aspects of circular economy (technological, social or economic) to focus on in your communication strategy within and outside the organization. The survey will take a maximum of 15–20 min. Please reply as honestly as possible.
Consent By ticking this box you consent to your data being collected. All information collected is anonymous and stored securely by ÆVOLUTION® complying with EU GDPR Regulations. The kind of personal information collected is structured to avoid anyone being traced or identified. Data will be only shared with partners for research purposes solely with the objective to understand companies’ awareness and application of circular economy and sustainability values. It will not be used for marketing purposes or sold.
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You can ask to delete your data or request more information to ÆVOLUTION®: [email protected]
o Consent (1) Age What is your age?
o Under 24 (1) o 25 - 30 (2) o 31 - 35 (3) o 36 - 40 (4) o 41 - 45 (5) o 45 - 50 (6) o 51 - 55 (7) o 56 - 60 (8) o Over 60 (9)
Gender Which of the following best describes you?
o Female (1) o Male (2) o Other (3) ________________________________________________ o Rather not say (4)
Country In which country are you currently residing? ________________________________________________________________
The Importance of Knowing What Your Customers Know to Drive … Company Is the country the company operates in the same to where you live?
o Yes (4) o No (If not, please specify in which country does the company perform in) (5) ________________________________________________ Education Please select your highest level of education achieved
o Less than high school (1) o High school graduate (2) o Some college (3) o 2 year degree (4) o 4 year degree (5) o Professional degree (6) o Post Graduate (8) o Doctorate (7) Department Which department do you work in?
o Administration (4) o Research and Development (5) o Sustainability (6) o Accounting (7) o Human Resources (8) o Maintenance (9) o Production (10) o Other (11) ________________________________________________
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Expertise Please tell us your field of expertise? (e.g., management, communication, marketing, chemistry, engineering, sales...)
Your role Which role do you hold in the department?
o CEO (1) o Director (2) o Manager (3) o Assistant (4) o Coordinator (5) o Responsable/Representative (6) o Other (7) ________________________________________________ Development What does Sustainable Development mean, for you?
o Economic, social, environmental equilibrium (1) o Meet the needs of the present without compromising the well-being of future generations (11) o Meet environmental integrity requirements (12) o Other meanings (please indicate some) (13) ________________________________________________ o I don't know (14)
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Circular Economy What does Circular Economy mean, for you?
o A zero waste economy (1) o An economy able to regenerate itself (14) o Reduce, recycle, reuse (15) o A more sustainable way to produce and consume (16) o Other (please, suggest...) (17) ________________________________________________ o I don't know (18)
Terms Rate how much you think these terms have to do with circular economy Definitely not (10) Material Choice (1) Refuse (2)
Rethink (3)
Reduce (17)
Reuse (4)
Repair (18)
Refurbish (19) Remanufacture (5) Repurpose (11)
Recycle (12)
Recover (13)
o o o o o o o o o o o
Probably not (11)
o o o o o o o o o o o
I don't know (12)
o o o o o o o o o o o
Probably yes (13)
o o o o o o o o o o o
Definitely yes (14)
o o o o o o o o o o o
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CE Actions Which aspect in your opinion is more important in Circular Economy? New product design (1) Eco-industrial parks and Smart cities (20) Sustainable supply chain/Reverse logistic (21) Recycling phase (22) New business models (23) Other (please, suggest…) (24) ________________________________________________
Information Please rate how informed you think you are on these topics Definitely not (10) Circular Economy (1) Sustainability (2) Climate Change & Climate Science (3)
Probably not (11)
I don't know (12)
Probably yes (13)
Definitely yes (14)
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Source Information Please select those sources where you gather information about sustainability/circular economy Podcast (2) Online Sources (3) Company Website (6) Company reports on sustainability and/or circular economy (7) Books (8) Newspaper (9) Word of mouth (10) Other (please specify other) (11) ________________________________________________
Knowledge Does your company offer training opportunities (internal and/or external) to increase knowledge on circular economy?
o Yes (specify internal/external) (40) ________________________________________________ o No (41) o I don't know (42)
Display This Question: If Does your company offer training opportunities (internal and/or external) to increase knowledge o... = Yes (specify internal/external)
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Level of Training Please describe the level of training, educational, and/or advancement opportunities your company provides on circular economy
o Far below average (32) o Somewhat below average (33) o Average (34) o Somewhat above average (35) o Far above average (36)
Knowledge Does your company offer training opportunities (external and/or internal) to increase knowledge on sustainability?
o Yes (specify internal/external) (40) ________________________________________________ o No (41) o I don't know (42)
Display This Question: If Does your company offer training opportunities (external and/or internal) to increase knowledge o... = Yes (specify internal/external)
Level of Training Please describe the level of training, educational, and/or advancement opportunities your company provides on sustainability
o Far below average (32) o Somewhat below average (33) o Average (34) o Somewhat above average (35) o Far above average (36)
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Personal Belief Is sustainability central to your life?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) Definintely yes (5)
Display This Question: If Is sustainability central to your life? = Definintely yes
Daily Sustainability Select all that qualify among the provided answers, regarding your steps taken to be sustainable in your everyday life. If not listed, tell us another example. Save energy (e.g. LED light bulbs, solar panels) (1) Eat less meat (2) Use alternatives (e.g. reusable container for your to-go coffee) (3) Recycle (4) Reuse (5) Buy second hand clothes (6) Avoid using the car (e.g. public transportation, bike, or by foot) (7) Take short showers (8) Use/buy sustainable products (e.g. ecofriendly detergent) (9) I do not take any for various reasons (10) Other (11) ________________________________________________
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Circular Belief Is circular economy central to your life?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definintely yes (5) Sustainability Please rate the following statements regarding sustainability Definitely not (33)
Probably not (34)
I don't know (35)
Probably yes (36)
Definitely yes (37)
Sustainability is central in the company's agenda (1)
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Sustainability is part of the company's mission statement (3)
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Sustainability is clearly mentioned as one of the objectives (4)
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The company has a clearly known office to manage, control, and measure the company's sustainability standards (5)
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The company has a clearly known team/individual to manage, control, and measure the company's sustainability standards (6)
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Circular Economy Please rate the following statements regarding circular economy Definitely not (33)
Probably not (34)
I don't know (35)
Probably yes (36)
Definitely yes (37)
circular economy is central in the company's agenda (1)
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circular economy is part of the company's mission statement (3)
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circular economy is clearly mentioned as one of the objectives (4)
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The company has a clearly known office to manage, control, and measure the company's circular economy standards (5)
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The company has a clearly known team/individual to manage, control, and measure the company's circular economy standards (6)
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Certification Does the company hold any environmental certification?
o Definitely not (11) o Probably not (12) o I don't know (13) o Probably yes (14) o Definitely yes (15)
Environmental Impact Is the company taking any steps to measure the environmental impact caused by the product/service?
o Definitely not (11) o Probably not (12) o I don't know (13) o Probably yes (14) o Definitely yes (15)
Social Impact Is the company taking any steps to measure the social impact caused by the product/service? Social impact is intended as a process of identifying the future consequences of the current or proposed action, which are related to individuals, organizations, and social macrosystems.
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5)
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Acting Social Impact Is the company engaging with clear, and communicated, social activities, such as nonprofit organizations? e.g. through community involvement, community development, and/or measures to reduce negative impacts on local communities.
o Definitely not (6) o Probably not (7) o I don't know (8) o Probably yes (9) o Definitely yes (10) Social Corp Resp Does your company work to implement a social corporate responsibility for its workers to ensure fair wages and safe workspaces throughout the entire supply chain? e.g. if the product is manufactured abroad in a developing country. The company looks to know if it is ensured all workers are paid farily and the workplace complies with safety regulations.
o Definitely not (6) o Probably not (7) o I don't know (8) o Probably yes (9) o Definitely yes (10)
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Social Resp Does your company implement social responsibility strategies towards users, by ensuring safe products, and inclusive communication? e.g. ensuring that strategies and decisions applied to the product will not impact the user's health or wellbeing. This can include inclusive language in the marketing strategy or/and providing safe products that will not be damaging to the consumer in any way, such as production and use of products do not discharge hazardous substances into the environment.
o Definitely not (6) o Probably not (7) o I don't know (8) o Probably yes (9) o Definitely yes (10)
Display This Question: If Is the company engaging with clear, and communicated, social activities, such as nonprofit organi... = Definitely yes
Social Impact Please tell us briefly what kind of social activities does the company engage in. (e.g. Nonprofit activities, specific mobilization activities reserved for employees around a good cause, team building, or similar)
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Transparency Is the company transparent in its production processes? Product processes describe the steps needed to take a product from initial concept to final market launch Transparency is intended as operating in such a way that it is easy for others to see and know what actions are performed
o Definitely not (13) o Probably not (14) o I don't know (15) o Probably yes (16) o Definitely yes (17)
Display This Question: If Is the company transparent in its production processes?Product processes describe the steps neede... = Definitely yes
Transparency Please tell us briefly what kind of actions are taken by the company to remain transparent with the customers Some information on the website (1) Reports with data are created (2) Webinar (3) Dedicated page online (4) Dedicated Social Media Campaign (5) None (6) Other (7) ________________________________________________ I don't know (8)
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Production Processes Please rate your agreement with these statements about your company's product Definitely not (66)
Probably not (67)
I don't know (68)
Probably yes (69)
Definitely yes (70)
N/A (71)
Your company is taking steps to reduce any negative environmental impact (1)
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Your company selects material that is more environmentally conscious for its product (3)
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Your company provides remanufacturing opportunities (2)
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Your company provides recycling opportunities for the product (4)
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Your company is clearly (internal/external) communicating any step is working to be more circular (6)
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Your company is measuring environmental impact (8)
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Your company provides take back opportunities (e.g., collecting used material) (9)
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Your company traces the product's life from its manufacturing to the consumer (10)
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Production Process Please rate your answers on employee and stakeholder relationships with the company. By 'informed' it means that the employee and/or stakeholder has, "...a lot of knowledge or information about something." (Cambridge Dictionary) By 'included' it means that the employee and/or stakeholder are part in some way (more or less) in the production process. Definitely not (10)
Probably not (11)
I don't know (12)
Probably yes (13)
Definitely yes (14)
Employees are informed of the production process (1)
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Internal stakeholders are informed of the production process (2)
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Stakeholders (e.g., suppliers) are included in the production process (3)
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Data is easily gathered by stakeholders (e.g., suppliers) to cooperate on the production process (10)
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Feedback When looking at the company's social inclusion and employer-to-employee relationship, the company provides a platform and/or opportunity for feedback.
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5) Q43 Timing First Click (1) Last Click (2) Page Submit (3) Click Count (4)
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EOF Please rate your level of agreement for these statements about the company's waste management Definitely not (26)
Probably not (27)
I don't know (28)
Probably yes (29)
Definitely yes (30)
The current waste management system used by the company operates to reduce some environmental impact (1)
o
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The company provides recycling opportunities for material to be reused during product development (2)
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The company is aware of the end-of-life opportunities for a product (3)
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The company could dispose of general waste better (4)
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The company operates to recycle as much as possible during the production process (21)
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The company operates to recycle as much as possible at all levels (not only in the production process but also offices) (22)
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Display This Question: If Please rate your level of agreement for these statements about the company's waste management [ Definitely yes] (Count) > 80%
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EOF Select all those steps you think your company should take to manage waste more sustainably. If not listed, tell us another example. Waste should be collected to be reused (1) Less paper used at the offices (2) Reduce plastic (3) Should recycle (more) (4) Provide more recycling collecting points at the offices (5) I don't know (6) Other (7) ________________________________________________
Financial Viability Do you think that transitioning to a more sustainable (or circular) business model is expensive?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5) Circular vs Sustain When choosing a set of strategies, which do you think between circular economy and sustainable is cheapest for the company?
o Sustainability (1) o Circular Economy (2)
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Circular vs Sustain When choosing a set of strategies, which do you think between circular economy and sustainable is more feasible for the company?
o Sustainability (1) o Circular Economy (2)
Worth Do you think that there are more benefits than risks by transitioning to a more sustainable (or circular) business model?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5) Expectations Which are the most important expectations from Circular Economy?
o Economic benefits (4) o Environmental benefits (5) o Employment opportunities (6) o New business opportunities (7)
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CE Future In general, how far are we from Circular Economy implementation, in your opinion?
o It is still far from the goal (1) o We are almost close to the goal (2) o We are half the way to the goal (3) o Circular economy will always coexist with linear economy (4) CE Company Future How far is the company from Circular Economy implementation, in your opinion?
o It is still far from the goal (1) o We are almost close to the goal (2) o We are half the way to the goal (3) o Circular economy will always coexist with linear economy (4)
Q56 What are possible obstacles from engaging in Circular Economy?
o Unfavourable prices (1) o Lack of networks (2) o Low awareness and know-how (3) o Lack of innovation/disrupting technology (4) o Lack of infrastructure (5) o Resistance to change (6) o Lack of policies/regulations (7) o Current linear design of products (8)
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Q46 Timing First Click (1) Last Click (2) Page Submit (3) Click Count (4)
Display This Question: If Do you think that there are more benefits than risks by transitioning to a more sustainable (or c... = Definitely yes
Personal Value Since you selected 'definitely yes' can you briefly tells why you think there are more benefits than risks? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
Display This Question: If Do you think that there are more benefits than risks by transitioning to a more sustainable (or c... = Definitely not
Personal Value Since you selected 'definitely not' can you briefly tell why there are more risks than benefits? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
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Q45 Timing First Click (1) Last Click (2) Page Submit (3) Click Count (4)
Consumer Know-How Does your company collect data about consumers' perceptions of the product?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5) Consumer Choice Do you think that consumers would be more interested in products or services if they were more sustainable?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5)
Display This Question: If Do you think that consumers would be more interested in products or services if they were more su... = Definitely not
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Consumer Choice Since you selected 'definitely not' can you briefly tell why you think consumers would not be interested in more sustainable products/services? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
Display This Question: If Do you think that consumers would be more interested in products or services if they were more su... = Definitely yes
Consumer Choice Since you selected 'definitely yes' can you briefly tell why you think consumers would be interested in more sustainable products/services? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
Circularity Do you think that consumers would be more interested in products or services that are more circular?
o Definitely not (1) o Probably not (2) o I don't know (3) o Probably yes (4) o Definitely yes (5)
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Display This Question: If Do you think that consumers would be more interested in products or services that are more circular? = Definitely not
Interest NO Since you selected 'definitely not' can you briefly tell why you think consumers would not be interested in more circular products/services? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
Display This Question: If Do you think that consumers would be more interested in products or services that are more circular? = Definitely yes
Interest YES Since you selected 'definitely yes' can you briefly tell why you think consumers would be interested in more circular products/services? ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________ ________________________________________________________________
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Type Of Communication Which of the following communication strategies does the company use for the product? Contamination/disgust/newness: Importance, playfulness, rephrasing and renaming, emotional engagement, empathy, personality, framing, choice editing Convenience/availability: Encouragement, direction, simplicity, assuaging guilt, worry resolution Ownership: Meaning, anchoring Cost/financial incentive/tangible value: Encouragement, rewards, importance, first one free, scarcity, framing Environmental impact: Transparency, simplicity, empathy, obtrusiveness, meaning, framing, emotional engagement, importance, assuaging guilt, direction Brand image/design/intangible value: Meaning, storytelling, empathy, mood, color associations, importance, emotional engagement, scarcity, prominence, obtrusiveness, expert choice, social proof. Quality/performance: provoke empathy, meaning, storytelling, personality, importance, scarcity, expert choice, direction, emotional engagement, worry resolution Customer service/supportive relationships: Encouragement, tailoring, transparency, emotional engagement, metaphors, provoke empathy, assuage guilt, reciprocation, importance Warranty: reciprocation, assuaging guilt, worry resolution, obtrusiveness, metaphor, importance Peer testimonials/reviews: social proof, storytelling, provoke empathy, expert choice, importance, worry resolution
Contamination/disgust/newness (1) Convenience/availability (2) Ownership (3) Cost/financial incentive/tangible value (4) Environmental impact (5) Brand image/design/intangible value (6) Quality/performance (7) Customer service/supportive relationships (8) Warranty (9) Peer testimonials/reviews (10)
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Preliminary Construct of Sustainable Product Development with a Focus on the Brazilian Reality: A Review and Bibliometric Analysis Franciele Lourenço, Elpidio Oscar Benitez Nara, Marcelo Carneiro Gonçalves, and Osiris Canciglieri Junior
Abstract The present study seeks to identify high impact articles and citations involving the Product Life Cycle and Triple Bottom Line areas: social, environmental and economic dimensions; in order to propose a product life cycle management construct capable of integrating social, environmental and economic dimensions. To achieve the objective, a systematic literature review (RSL) was first performed using the Biblioshiny and Bibliometrix tool. The sample consisted of 57 scientific articles. An analysis of descriptive statistics of the main bibliographic metrics was presented. A Sankey Diagram was generated relating different bibliographic factors (countries, journal and keywords). In addition, clustering methods were proposed, through analysis of bibliographic coupling, co-citation and scientific collaboration using Louvain’s algorithm. Then, the factor analysis methods were used to propose a conceptual structure map. Finally, an analysis was carried out on the sample of 57 scientific articles to identify the relationship between the themes of the product life cycle, and the dimensions: social, environmental and economic. As a result, in addition to RSL, it was possible to propose a construct for product life cycle management capable of integrating the Triple Bottom Line. Keywords Triple bottom line · Sustainable development · Product lifecycle management · Economic dimension · Environmental dimension · Social dimension
F. Lourenço · E. O. B. Nara · M. C. Gonçalves (B) · O. Canciglieri Junior Pontifical Catholic University of Paraná – PUCPR, Industrial and Systems Engineering Graduate Program—PPGEPS, Curitiba, Paraná, Brazil e-mail: [email protected] F. Lourenço e-mail: [email protected] E. O. B. Nara e-mail: [email protected] O. Canciglieri Junior e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_12
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1 Introduction The new forms of production and their adaptations have been molding themselves from the tripod of corporate sustainability, producing results in the following dimensions: social, environmental and economic; each one conceptualized in its own way, these dimensions have been changing and producing different fruits and outcomes in business decision-making, in the face of difficulty in survival, competition, new technologies, exhaustion of non-renewable resources, among others. According to Sancha et al. (2015), when we talk about the environmental dimension, it is generally related to the reduction of pollution, waste, emissions, energy efficiency, etc. Therefore, every action to conserve the environment, directed towards a good solution for use, with the objective of guaranteeing its sustainable use for future generations, must be considered in this environmental dimension. Chang et al. (2018), adds that the environmental dimension refers to the conditions that involve human life. Also, according to Sancha et al. (2015) when it comes to social, it refers to equal opportunities, that is, it encourages diversity, and promotes connection within and outside any community. The economic dimension is perhaps one of the most prominent points, since most companies give greater importance to profit, without measuring the consequences in relation to environmental and/or social damage. However, what has been perceived is a reconfiguration of interests, taking into account that the tripod of sustainability, sustainable development, sustainability and corporate social responsibility are themes that are constantly growing in current discourses, making new goals and strategies for the achievement of multiple objectives, but involving only one main target, environmental sustainability, counting on the engagement of those involved and focusing on the three dimensions. Product Lifecycle Management (PLM) is an approach that aggregates all the business processes related to products and allows companies to control all the information of their products throughout the lifecycle, from initial conception. until discard. (Grieves, 2006 and Stark, 2006). For Canciglieri Junior et al., (2021:2), Product lifecycle management (PLM) is an integrated approach to managing data throughout the lifecycle of a product: from specification, design, manufacture, distribution, maintenance to recycling. By allowing the optimization and integration of processes and cost reduction: “PLM is able to manage the data relating to a product and all the internal and external factors involved in the development of this product […] it is seen as a system that supports the evolution and change of data during the life cycle of the product. product” (Canciglieri Junior et al., 2021:1). In this context, the present study seeks to identify high impact articles and citations involving the product life cycle and the Triple Bottom Line areas: social, environmental and economic dimension in order to propose a life cycle management model/construct product capable of integrating social, environmental and economic dimensions.
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Table 1 Research questions Number Research questions 01
What is the existing relationship between the main countries, journals and keywords in the analysed sample using the Sankey diagram?
02
Is it possible to perform clustering by bibliographic coupling, bibliographic co-citation, scientific collaboration in the analysed sample?
03
Is it possible to use the Factor Analysis method to generate a Conceptual Structure Map in the analysed sample?
04
Is there a product lifecycle management model in the literature that considers the Triple Bottom Line? How to propose a Construct that integrates these specifics areas?
05
Is it possible to determine the ranking of research in Brazil on the topic addressed?
Source Authors (2022)
This study seeks to answer the following questions as depicted in Table 1. Therefore, the rest of the article is organized as follows: Sect. 2, defines the methodology; Sect. 3 presents the results; Sect. 4 presents the analysis of the results obtained; Sect. 5 the modelling of constructs and; session 6 conclusion and proposals for future studies.
2 Research Methodology The survey gathered 116 documents over the years from 2012 to 2022 in the Scopus database. The foundation of Scopus is a peer-reviewed, reference database for bibliometric studies of research publications in the fields of science, engineering, arts, social sciences, medicine, technology and humanities. So, the search equation was formulated according to Scopus’ logical research. The terms selected for the search equation were keywords related to the product life cycle and the triple bottom line in its three dimensions. Choosing all types of documents, in any language and in all areas of knowledge as summarized in Table 2 using Scopus database. The search initially resulted in 116 documents, 77 articles, 22 conference articles, 8 books, 8 Book Series and 1 Trade Journal. With this, it was possible to observe that the highest concentration of articles that address the concepts of research interest is between the years 2012 and 2022, which represent 96 document articles. The search Table 2 Search Term (ST) Index
Timespan
Search
Results Search Date
Scopus 2012–2022 Sustainability AND environmental AND social AND 116 economic AND “product life cycle” Source Authors (2022)
Jul, 13 h , 2022
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restricted the search to only documents in article format. Thus, the final sample was equal to 57 articles. To perform the bibliometric analysis, the Bibliometrix tool, version 2022.02.3, developed by Aria & Cuccullo (2017) was used. The Bibliometrix is an open source tool, developed in R. This package includes the main methods of bibliometric analysis, namely: co-citation, coupling, and scientific collaboration analysis. The package allows you to import bibliographic data from the main databases, namely: Scopus, WoS, PubMed, or Cochrane, among others. It is possible to perform data analysis entirely through the R Studio interface, just using the bibliometric analysis functions present in the bibliometrix library, or, another alternative would be using the Biblioshiny() function, which allows the user to interact with the data by through a website through the internet browser itself. So, the Bibliometrix has recently been used frequently by researchers in various research fields of knowledge due to the potential for bibliometric analysis.
3 Results 3.1 Main Results (Sample) In Table 3, it is possible to identify that the database has 57 articles, distributed among 38 peer-reviewed journals. All articles were published with more than one author. The sample had a total of 190 authors, which generates an index of authors per article of 3.33, obtained by dividing the number of authors (190) by the total number of articles in the sample (57). As for the index of co-authors per article, it is 3.54, calculated by dividing the number of appearances by the author (202) by the number of articles (57). So, the collaboration index was equal to 3.33, which represents the ratio of the number of multi-authored documents (190) to the number of documents written by several authors (57 articles—Table 4), it was observed that the index is similar to the author index by articles, since all documents had more than one author in their composition. The 57 selected articles (sample) are.
3.2 Sankey’s Diagram The Sankey diagram should present the proportion of topics analysed between three fields for bibliometric studies (Riehmann et al., 2005). From this diagram, a 3-field graph was generated among the 10 most important countries, 10 most important journals and 10 most important keywords as can be seen in the graph of Fig. 1. The figure illustrates that the United States has the largest proportion of publications on the theme “sustainability”, with 8 works published in the sample. While Brazil, also
Preliminary Construct of Sustainable Product Development … Table 3 Main information about the sample
Description
201
Results
Main data information Period
2012:2022
Sources
38
Documents
57
Annual average of publication
3,77
Average citation per document
19,51
Average annual citation per document
3,719
References
3062
Document contents Global keywords
515
Authors’ keywords
227
Authors Authors
190
Author appearances
202
Authors of single-authored documents
0
Authors of multi-authored documents
190
Authors collaboration Documents by a single author
0
Documents by author
0,3
Author per document
3,33
Co-authors per document
3,54
Collaboration Index
3,33
Source Authors (2022)
has participation with published works on the same topic, with 4 works. The theme “sustainability” was cited most in the magazine “Sustainability (Switzerland)”.
3.3 Clustering by Bibliographic Coupling Two articles can be considered bibliographically coupled if at least one cited source appears in the bibliography or reference list of both articles (Kessler, 1963). The coupling strength of two articles is defined by the number of references that the articles have in common (Aria; Cuccurullo, 2017). Different research themes can be identified using a co-word analysis (Callon et al., 1983). The grouping of keywords to themes should be performed using a simple centrality algorithm. This algorithm must search for the location of subgroups of keywords with strong links and that correspond to research interests of great relevance in academia (Coulter et al., 1998).
202
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Table 4 The 57 selected articles (sample) Authors
Title
Journal
Year
Abedini, A; Li, W; Badurdeen, F; Jawahir, I S
A metric-based framework for sustainable production scheduling
Journal of Manufacturing Systems
2020
Ahmed, S M;Karmaker, C L; Doss, D A; Khan, AH
Modeling the barriers in managing closed loop supply chains of automotive industries in Bangladesh
International Journal of 2020 Supply and Operations Management
Alsaffar, A J; Raoufi, K; Kim, K.-Y.; Kremer, G E O; Haapala, K R
Simultaneous consideration of unit manufacturing processes and supply chain activities for reduction of product environmental and social impacts
Journal of 2016 Manufacturing Science and Engineering, Transactions of the ASME
Bom, S; MRibeiro, H M; Marto, J
Sustainability calculator: A tool to assess sustainability in cosmetic products
Sustainability (Switzerland)
2020
Carvalho, R; da Silva, A R
Sustainability requirements of digital twin-based systems: A meta systematic literature review
Applied Sciences (Switzerland)
2021
Chigada, P I; Wale, O; Hancox, C; Vandaele, K; Breeze, B; Mottram, A; Roberts, A J
Comparative life cycle assessment of Johnson Matthey lithium-ion capacitors production from primary Technology Review ore and recycled minerals using lca to balance environmental, economic and social performance in early phase research and development
2021
Collier, Z A; Connelly, E B; Polmateer, T L; Lambert, J H
Value chain for next-generation biofuels: resilience and sustainability of the product life cycle
Environment Systems and Decisions
2017
de Carvalho, A P; Barbieri, J C
Innovation and sustainability in the supply chain of a cosmetics company: A case study
Journal of Technology Management and Innovation
2012
Djatna, T; Prasetyo, D
Integration of sustainable value stream mapping International Journal (Sus. VSM) and life-cycle assessment (LCA) to on Advanced Science, improve sustainability performance Engineering and Information Technology
2019
Djuric Ilic, D; Eriksson, O; Ödlund (former Trygg), L; Åberg, M
No zero burden assumption in a circular economy
Journal of Cleaner Production
2018
Resources, Conservation and Recycling
2020
Esmaeilian, B; Blockchain for the future of sustainable supply Sarkis, J; Lewis, K; chain management in Industry 4.0 Behdad, S
(continued)
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Table 4 (continued) Journal
Year
Ferrero, V; Raman, Validating the sustainability of eco-labeled A S; Haapala, K R; products using a triple-bottom-line analysis DuPont, B
Smart and Sustainable Manufacturing Systems
2019
Furxhi, I; Perucca, M; Blosi, M; de Ipiña, J; Oliveira, J; Murphy, F; Costa, AL
ASINA Project: Towards a Methodological Data-Driven Sustainable and Safe-by-Design Approach for the Development of Nanomaterials
Frontiers in Bioengineering and Biotechnology
2022
Gbededo, M A; Liyanage, K
Descriptive framework for simulation-aided sustainability decision-making: A Delphi study
Sustainable Production 2020 and Consumption
Hankammer, S; Jiang, R; Kleer, R; Schymanietz, M
Are modular and customizable smartphones the CIRP Journal of 2018 future, or doomed to fail? A case study on the Manufacturing Science introduction of sustainable consumer and Technology electronics
Hapuwatte, B M; Jawahir, I S
Closed-loop sustainable product design for circular economy
Authors
Title
Hashemi Sohi, F S; Multi-objective optimization for selecting Mansour, S; sustainable materials with simultaneous Dehghanian, A consideration of several components in a product
Journal of Industrial Ecology
2021
International Journal of Sustainable Engineering
2022
Hede, S; Nunes, M Incorporating sustainability in decision-making Technology in Society J L; Ferreira, P F V; for medical device development Rocha, L A
2013
Hosseinijou, S A; Mansour, S; Shirazi, M A
Social life cycle assessment for material selection: A case study of building materials
International Journal of 2014 Life Cycle Assessment
How, B S; Yeoh, T T; Tan, T K; Chong, K H; Ganga, D; Lam, H L
Debottlenecking of sustainability performance for integrated biomass supply chain: P-graph approach
Journal of Cleaner Production
2018
Islam, M; Hossain, A T; Mia, L
Role of strategic alliance and innovation on organizational sustainability
Benchmarking
2018
Karakoyun, F; Kiritsis, D; Martinsen, K
Holistic life cycle approach for lightweight automotive components
Metallurgical Research 2014 and Technology
Kim, S J; Kara, S; Kayis, B
Analysis of the impact of technology changes on the economic and environmental influence of product life-cycle design
International Journal 2014 of Computer Integrated Manufacturing
Krysovatyy, A; Zvarych, R; Zvarych, I; Krysovatyy, I; Krysovata, K
Methodological architectonics of inclusive circular economy for eco-security of society under pandemic
Economic Annals-XXI 2020
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Table 4 (continued) Journal
Year
Laso, J; Margallo, Waste management under a life cycle approach M; Celaya, J; as a tool for a circular economy in the canned Fullana, P; Bala, A; anchovy industry Gazulla, C; Irabien, A; Aldaco, R
Waste Management and Research
2016
Lenzo, P; Traverso, Sustainability performance of an italian textile M; Mondello, G; product Salomone, R; Ioppolo, G
Economies
2018
Li, X; Cao, J; Liu, Z; Luo, X
Sustainability (Switzerland)
2020
Lin, C J; Belis, T T; Ergonomics-based factors or criteria for the Sustainability Kuo, T C evaluation of sustainable product manufacturing (Switzerland)
2019
Lukas, P; Artelt, C
Sustainable product portfolio evaluation methodology for sustainability reporting in the cement and concrete industry
European Journal of Sustainable Development
2020
Lukman, R K; Omahne, V; Krajnc, D
Sustainability assessment with integrated circular economy principles: A toy case study
Sustainability (Switzerland)
2021
Luthe, T; Kägi, T; Reger, J
A systems approach to sustainable technical product design: Combining life cycle assessment and virtual development in the case of skis
Journal of Industrial Ecology
2013
Ma, J; Harstvedt, J D; Dunaway, D; Bian, L; Jaradat, R
An exploratory investigation of Additively Manufactured Product life cycle sustainability assessment
Journal of Cleaner Production
2018
Authors
Title
Sustainable business model based on digital twin platform network: The inspiration from haier’s case study in China
Ma, J; Kremer, G E A sustainable modular product design approach International Journal O with key components and uncertain end-of-life of Advanced strategy consideration Manufacturing Technology
2016
Ma, J; Okudan Kremer, G E
A fuzzy logic-based approach to determine product component end-of-life option from the views of sustainability and designer’s perception
Journal of Cleaner Production
2015
Mahmood, S; Hemdi, A R; Saman, M Z M; Yusof, N M
Graphical user interface for assessing sustainability by using fuzzy logic: A case study on hollow fiber membrane module
Jurnal Teknologi
2015
Mahmood, S; Saman, M Z M; Hemdi, A R; Zakuan, N
Potential impacts for monitoring sustainability: Case study of hollow fiber membrane
Journal of Engineering 2017 and Applied Sciences
(continued)
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Table 4 (continued) Authors
Title
Journal
Year
Marques, A D; Marques, A; Ferreira, F
Homo Sustentabilis: circular economy and new business models in fashion industry
SN Applied Sciences
2020
Martín Gómez, A Smart eco-industrial parks: A circular economy Resources, M; Aguayo implementation based on industrial metabolism Conservation and González, F; Recycling Marcos Bárcena, M Melo, A C S; Braga A.E., Jr.; Leite, C D P; Bastos, L S L; Nunes, D R L
Frameworks for reverse logistics and sustainable design integration under a sustainability perspective: a systematic literature review
2018
Research in Engineering Design
2021
Omidzadeh, D; A sustainability approach to vehicle modular Sajadi, S M; platform design: A mathematical model Bozorgi-Amiri, A; Movahedi Sobhani, F
Proceedings of the 2022 Institution of Mechanical Engineers, Part E: Journal of Process Mechanical Engineering
Parent, J; Cucuzzella, C; Revéret, J.-P
Revisiting the role of LCA and SLCA in the transition towards sustainable production and consumption
International Journal of 2013 Life Cycle Assessment
Peralta, M E; Alcalá, N; Soltero, VM
Weighting with life cycle assessment and cradle Applied Sciences to cradle: A methodology for global (Switzerland) sustainability design
2021
Russo, D; Serafini, M; Rizzi, C
TRIZ based computer aided LCA for Ecodesign Computer-Aided Design and Applications
2016
Salari, M; Bhuiyan, A new model of sustainable product N development process for making trade-offs
International Journal of Advanced Manufacturing Technology
2018
2019
Sangwan, K S; Bhakar, V; Digalwar, A K
A sustainability assessment framework for cement industry – a case study
Benchmarking
Simsek, E; Ozdemir, Z; Satoglu, S I
Sustainable Planning of Precious and Rare Elements’ Recycling from Waste Electronic Products: a Multi-objective Model and Application
Process Integration and 2022 Optimization for Sustainability
Solaimani, S; Parandian, A; Nabiollahi, N
A holistic view on sustainability in additive and Sustainability subtractive manufacturing: A comparative (Switzerland) empirical study of eyewear production systems
Steen, B; Palander, S
A selection of safeguard subjects and state indicators for sustainability assessments
2021
International Journal of 2016 Life Cycle Assessment (continued)
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Table 4 (continued) Authors
Title
Subramanian, K; Yung, W K C
Modeling Social Life Cycle Assessment Journal of Cleaner framework for an electronic screen product—A Production case study of an integrated desktop computer
Journal
2018
Thomé, A M T; Scavarda, A
A systematic literature review of design-manufacturing integration for sustainable products
Chemical Engineering Transactions
2015
Thomé, A M T; Scavarda, A; Ceryno, P S; Remmen, A
Sustainable new product development: a longitudinal review
Clean Technologies and Environmental Policy
2016
Tomov, M; Velkoska, C
Contribution of the quality costs to sustainable development
Production Engineering Archives
2022
Van Schoubroeck, Sustainability indicators for biobased S; Springael, J; Van chemicals: A Delphi study using Multi-Criteria Dael, M; Malina, Decision Analysis R; Van Passel, S
Resources, Conservation and Recycling
2019
Wang, S; Su, D; Ma, M; Kuang, W
Sustainable product development and service approach for application in industrial lighting products
Sustainable Production 2021 and Consumption
Yokokawa, N; Masuda, Y; Amasawa, E; Sugiyama, H; Hirao, M
Systematic packaging design tools integrating functional and environmental consequences on product life cycle: Case studies on laundry detergent and milk
Packaging Technology and Science
2020
Zaabar, I; Arango-Miranda, R; Beauregard, Y; Paquet, M
A sustainable multicriteria decision framework for obsolescence resolution strategy selection
Sustainability (Switzerland)
2021
Journal of Cleaner Production
2015
Zhang, H; Haapala, Integrating sustainable manufacturing KR assessment into decision making for a production work cell
Year
Source Authors (2022)
In this way, the similarity between the keywords can be measured by the equivalence index according to the equation (Callom et al., 1991), where ei j is the post count where two keywords occur simultaneously, c_i represents the post count in theme i and c_j the post count in theme j. ei j =
ei2j ci c j
Bibliographic coupling analysis is performed on a 2-dimensional diagram. The X axis of the diagram represents the centrality index proposed by Callon et al. (1991). It measures the degree of interaction between networks through keywords.
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Fig. 1 Sankey diagram (left side: country; centre: journals; left side: keyword). Source Authors (2022)
The equation used is the following: c = 10
n
ekh
1
where k represents a keyword belonging to one theme and there is a keyword belonging to another theme, and n represents the nth network. The Y axis of the diagram represents the cluster’s impact by the Global Mean Normalized Score (MNGCS). It is calculated by dividing the actual global citation item count (total citations a document received considering its entire bibliographic base) by the expected citation rate for documents with the same year of publication. The internal strength of the network can be measured by the density of Callon et al. (1991) using the following equation: n d = 100
1 ei j
w
where i and j represent the analyzed topics and w is the keyword count on the topic. From the X and Y axes, it is possible to obtain a graph, where each quadrant can be interpreted as follows (Callon et al., 1991): (i) First quadrant—represents the motor and important themes to structure a research field;
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(ii) Second quadrant—represents the themes that are transversal and basic. They are important, but they are not developed; (iii) Third quadrant—represents underdeveloped and marginal themes. They are emerging or disappearing themes; (iv) Fourth quadrant—represents themes of marginal importance with welldeveloped internal links (local citations), but with external links (global citations) without much importance. Figure 2 presents the bibliographic coupling, organizing the clusters by articles, where the coupling was measured by the references that the articles had in common, and to label the clusters, the terms present in the titles of the articles with the presence of 3 words were selected. From these attributes, a bibliographic coupling was obtained with 6 clusters, identified by different colours and labels. The cluster with the highest frequency of articles was the “Life Cycle Assessment”, where it obtained 20 articles, followed by the “biomass supply chain” cluster, with 8 articles. However, the cluster with the greatest impact was the “Circular Economy Implementation” cluster with an impact of 3.48. The impact value represents the density strength of the coupling and as it is in the first quadrant, this theme refers to a motor theme and important to structure a research field. The themes that are classified as underdeveloped and marginal are located in the third quadrant, which, in the case of the analysed sample, represented the theme “Combining Life Cycle”.
Fig. 2 Bibliographic coupling. Source Authors (2022)
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Fig. 3 Co-citation Network. Source Authors (2022)
3.4 Clustering by Bibliographic Co-Citation The existence of co-citation of 2 articles occurs when these 2 articles are cited in a third one (Aria; Cuccurullo, 2017). In Fig. 3 it is possible to observe the clusters identified by different colours. Each cluster was composed of groups of articles. The selected layout was Multi-Dimensional Scaling, that is, the larger the dimension of the circle, the greater the frequency of co-cited articles. Louvain’s heuristic algorithm was used to make the grouping seeking to maximize the modularity in the network. This clustering method is agglomerative in nature, if the input is a weighted network with n vertices (Aires; Nakamura, 2017). Also, only 40 nodes were imposed for easy viewing. In the figure, it is possible to notice the existence of 4 Clusters, where the cluster with the highest frequency of co-cited articles is the cluster identified by the blue colour (upper right side), composed of 11 articles, followed by the green cluster (upper left side), with 10 articles. The smallest cluster has only 3 items, indicated in purple (bottom left).
3.5 Clustering by Scientific Collaboration The scientific collaboration network is a network where the nodes represent the authors and the edges are the co-authorships, as the latter is one of the best documented forms of scientific collaboration (Glanzel, 2004). Clusters were created by author groupings. The layout selected was the Circle type. The algorithm was Louvain, the normalization method was association type and the number of nodes allowed was equal to 20 nodes.
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Fig. 4 Scientific Collaboration Network. Source Authors (2022)
From the attributes, the scientific collaboration network was obtained in Fig. 4, which presents 20 authors in the network circle format. Note that only 2 clusters were identified. The first cluster was between the authors Hemdi A.R, Mahmood S., and Saman M. Z.M in the papers Mahmood et al. (2015) and Mahmood et al. (2017); the second cluster was between the authors Scavarda A. and Thomé A. M. T. in the papers Thomé et al. (2016) and Thomé and Scavarda (2015). The other nodes presented are presented separately.
3.6 Conceptual Structure Map Via Factor Analysis The objective of co-word analysis is to map the conceptual structure of a construct using the co-occurrences of words in the analysed sample. The analysis can be performed using dimensionality reduction techniques such as Multidimensional Scaling (MDS), Correspondence Analysis (CA) or Multiple Correspondence Analysis (MCA). Conceptual structure analysis includes natural language processing (NLP) routines to extract terms from titles and abstracts. In addition, it implements Porter’s stemming algorithm to reduce inflected (or sometimes derived) words to their stem, base, or word stem. To generate the conceptual structure map, the field of terms extracted was from the abstract, with the presence of 2 words, by the MCA method, with a maximum of 30 terms. In Fig. 5, it is possible to observe the presence of the 2 clusters, the smallest cluster being specific to deal with the theme of the economic environment and Triple Bottom Line.
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Fig. 5 Conceptual Structure Map by the Multiple Correspondence Analysis (MCA) method. Source Authors (2022)
A dendrogram is used to visualize how clusters are formed at each step and to assess the levels of similarity (or distance) of clusters that are formed. The dendrogram to obtain the clusters of the conceptual structure map of the analysed sample is presented in Fig. 6, where it is possible to observe the existence of 2 groups of clusters highlighted by the colours blue and red (Fig. 6).
3.7 Analysis of the Relationship Between the Topics Covered in the Sample A content analysis was performed on the sample of scientific articles in order to verify the predominant relationship between the areas of research interest (Sustainability, Environmental Dimension, Social Dimension, Economic Dimension and Product Life Cycle). The term “Constructs” was added to verify the existence of research and scientific documents that addressed product lifecycle management from the 3 dimensions using constructs for conceptual modelling. Table 5 summarizes the relationship found in the sample (57 articles listed on Table 4), where the search was performed by titles, abstracts and keywords. In the table, it is possible to observe that the predominance of scientific articles focused on works that related the theme of sustainability with the product life cycle and the environmental dimension with the product life cycle. It is also noted that in the analysed sample, no article was
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Fig. 6 Dendrogram. Source Authors (2022)
Fig. 7 Research Construct Proposal. Source Authors (2022)
obtained that addresses the environmental, social and economic dimensions for the management of the life cycle of products using the technique of constructs.
4 Analysis of Results Obtained The research carried out allowed us to discover the following insights based on the questions presented in Table 1.
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Table 5 Analysis of the list of topics covered in the sample (57 articles) Sustainability
Environmental
Social
Economic
Product Life Cycle
Constructs
Sustainability
1
0
0
2
7
0
Environmental
0
1
2
3
7
0
Social
0
0
1
1
1
0
Economic
2
3
1
1
3
0
Product Life Cycle
7
7
1
3
1
0
Constructs
0
0
0
0
0
1
Source Authors (2022)
4.1 Research Question 01—What is the Relationship Via the Sankey Diagram Between the Main Countries, Journals and Keywords in the Analysed Sample? The Sankey diagram was constructed with the aim of simultaneously analysing 3 fields of bibliometric studies. Any fields could have been chosen for analysis. In the search, the fields journals, countries and keywords were selected. Only the top 5 from each field were selected to perform the relationship between them. As a result, it was found that the journal with the greatest publication relevance was sustainability (Switzerland), with the highest proportion of scientific papers published in the sample. The theme that predominated in the magazine was about sustainability and the main countries that had the participation of authors in the magazine were: Canada and Portugal.
4.2 Research Question 02—Is It Possible to Perform Clustering by Bibliographic Coupling, Co-Citation, Scientific Collaboration of the Analysed Sample? The answer is that it is possible. In the research, clusters were performed via bibliographic coupling, co-citation, collaboration and co-occurrence of keywords. Bibliographic Coupling Clustering was used to verify the coupling strength when at least one bibliographic source appears in the bibliography between articles. The bibliographic coupling was organized by articles, where the coupling was measured by the references that the articles had in common, and to label the clusters, the terms present in the titles of the articles with the presence of 3 words were selected. 6 clusters were built. The cluster with the highest frequency of articles (20 documents) was
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the “Life Cycle Assessment” and the cluster with the greatest impact was the “Circular Economy Implementation” cluster with an impact of 3.48, where the impact value represents the density strength of the coupling, classifying the theme as a motor theme and important to structure a field of research, since it was located in the first quadrant of the bibliographic coupling diagram. The Clustering by Bibliographic Co-citation was generated from the existence of two articles when they are cited by a third. The clusters were also grouped by articles, and it was possible to generate 4 clusters that performed co-citation within the sample. In the Scientific Collaboration Clustering, it was possible to identify only 2 clusters composed by the papers: Mahmood et al. (2015) and Mahmood et al. (2017) and Thomé et al. (2016) and Thomé and Scavarda (2015).
4.3 Research Question 03—It is Possible to Use the Factor Analysis Method to Generate a Conceptual Structure Map in the Analysed Sample? The answer is yes, it is possible. The conceptual structure map was generated using the co-occurrences of keywords in the analysed sample. The Multiple Correspondence Analysis (MCA) technique was selected to build the construct. It was possible to observe the generation of 2 clusters, the smallest cluster being specific to deal with the theme of the economic dimension and Triple Bottom Line.
4.4 Research Question 04—Is There an Efficient Product Lifecycle Management Model in the Literature that Considers the Triple Bottom Line? How to Build a Construct that Integrates These Areas? Through the analysis of the relevant content in the analysed sample (Table 4), it was possible to verify that there is no product life cycle management model, which uses construct techniques, which simultaneously considers the dimensions of the Triple Bottom Line. In this context, construct techniques were used to preliminarily analyse this gap found in the literature.
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4.5 Research Question 05—Is It Possible to Determine the Ranking of the Research in Brazil on the Topic Addressed? Yes, it is possible. The Brazil is ranked in eighth position considering the ranking of the top 10 countries in the sample. It is important to emphasize that this ranking was obtained by the analysis using the Sankey diagram, which allowed the analysis of the relationship between the 3 bibliographic factors simultaneously. Despite the aforementioned position for Brazil, the themes that were developed fit in the ranking of the most developed themes worldwide (sustainability).
5 Construct Modelling Constructs represent the operationalization of abstractions used by researchers to empirically explore a theoretical concept in relation to the real world based on observable and measurable variables and phenomena. Therefore, it is necessary to identify these variables that can represent the counterpoints of the theoretical variables (Abbagnano, 1970). From the bibliometric analysis and content analysis performed, it was possible to obtain insight for the preliminary development of a construct for the research. The initial proposal presents the Product Life Cycle construct as a dependent variable (variable to be explained), and the sustainability construct as independent variables (explanatory variables). Each construct has a set of different variables related to it. These variables will be obtained through an econometric analysis that will be the continuation of this study.
6 Final Considerations From this study, it was possible to understand more clearly how to create or develop a construct on product life cycle management that could integrate the social, environmental and economic dimensions. A bibliometric analysis was performed using the Bibliometrix tool. Analyses on descriptive statistics of the sample, Sankey diagram, methods of clustering by bibliographic coupling, clustering by bibliographic cocitation, clustering by scientific collaboration, map of conceptual structure via factor analysis and analysis of the relationship between the topics covered in the sample were prepared. From the analysis of the themes, it was possible to determine a gap in the literature regarding the use of a life cycle management model that was able to integrate with the Triple Bottom Line using construct techniques. In this context, an initial construct approach was proposed to analyse the themes.
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As a proposal for future studies, there is the continuity of step 2 research that is committed to identifying the independent variables related to each dimension of the Triple Bottom Line in the form of a Conceptual Framework, In addition to identifying the dependence and independence relationships of the variables, the generated effects, and application of the model in a real case study.
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An Initial Exploration of Lean and Sustainable Development with a Focus on Service Daniela dos Santos Beckert, Matheus Beltrame Canciglieri, Ubiratã Tortato, and Osiris Canciglieri Junior
Abstract The practices that produce economic befits and at the same time contribute to sustainability are an increasing market need, especially for the Service sector that is close to consumers more and more aware of their social and environmental responsibility. Companies in the Service sector have been encouraged to implement Lean and Sustainable Development approaches to meet consumer demand through process optimisation, cost reduction, and in particular, waste reduction and the balance of sustainability pillars. However, there are still few studies related to Lean Philosophy focused on Service that contributes to Sustainable Development. The article’s objective is to present a preliminary investigation on Lean and Sustainable Development in Service, exploring and discussing issues related to their applications. Literature Review and Qualitative Analysis were used as the technical research procedures. The research showed that Lean tools associated with Sustainable Development could bring important results to the Service industry since they have points of convergence related to organisational aspects and similarities in their strategic management. In addition, the implementation of the two approaches individually or conjointly and their interaction in the Service area still need to be better studied and understood. Keywords Lean · Service · Sustainable development · Sustainability · Service
D. dos Santos Beckert (B) · M. B. Canciglieri · O. C. Junior Industrial and Systems Engineering Graduate Program, Pontifícia Universidade Católica do Paraná, Curitiba, Paraná, Brazil e-mail: [email protected] M. B. Canciglieri e-mail: [email protected] O. C. Junior e-mail: [email protected] U. Tortato Business School, Pontifícia Universidade Católica do Paraná, Curitiba, Paraná, Brazil e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_13
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1 Introduction The use of Lean Philosophy and tools that contribute to Sustainable Development have intensified in recent years. These practices have promising results, but there are few studies concerning Lean Philosophy and Sustainable Development to support the improvement of sustainable practices in the Service sector. According to Hadid (2019), the Lean system is still expanding and is an important tool in companies that adopt these practices, but the author highlights the need for understanding how Lean Philosophy works concerning other organisational factors. The Lean Philosophy applied in Service focuses on bringing value to the customer, and its tools have their basic principles aiming at value specification, value stream mapping, flow optimisation, pull production system and perfection. The focus is to meet consumer demand through process optimisation, cost reduction, and waste reduction. From this perspective, Lean Service can become an important ally of Sustainable Development since reducing waste contributes directly to preserving primary resources. According to Caiado et al. (2018), Sustainable Development is increasing its importance for the Service area, thus generating the need for integration between practices to balance operational efficiency with environmental commitment. Feil and Schreiber (2017) point out that Sustainable Development has as its objective a new vision concerning economic growth, which stands out as one of the fundamental factors for human survival. Sustainable Development started to include economic and social context besides the environment as market characteristics transformed to meet the demand of increasingly conscious consumers. In this scenario, the pillars of Sustainable Development called the Triple Bottom Line (TBL) emerge, establishing the importance of cooperative work on environmental, social, and economic aspects for current and future environmental needs. One of the leading creators of the TBL concept Elkington (2012) considers that the three pillars are not static and are in constant flux due to social, economic, political, and environmental needs. He also states that the challenge is the development of a sustainable global economy so that it can be supported indefinitely by the planet. Mattioda et al. (2013) stated that TBL is a tool that integrates sustainability concerns into a business model, seeking to balance economic goals with social and environmental objectives, thus creating a dimension of corporate performance. Based on this context, this article aims to present a preliminary investigation of Lean Philosophy and Sustainable Development, exploring and discussing issues related to their application in Service.
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Fig. 1 Research technical procedures. Source The Author
2 Materials and Methods This research is considered applied nature with a qualitative approach and exploratory scientific objectives. The technical procedures are the Literature Review and Qualitative Analysis, using the scientific database of Coordination for the Improvement of Higher Education Personnel in Brazil/Brazilian Ministry of Culture and Education (CAPES/MEC) that aggregates around 532 national and international databases. The addressed topics were Lean and Sustainable Development with application in Service. Figure 1 shows the Technical Procedures of the Research. The articles selected in the Literature Review (Detail “A” of Fig. 1) were submitted to a Qualitative Analysis presented in this article as Discussion (Detail “B” of Fig. 1), which explored issues related to the application of Lean and Sustainable Development in Service.
3 Literature Review 3.1 Lean in Service The Lean Philosophy implementation progress in the industrial and commercial sectors is widely known. Hadid and Mansouri (2014) stated that despite the effectiveness of Lean practices remaining inconclusive, service organisations have been increasingly encouraged to use them. The service companies that implemented Lean tools quickly controlled key processes regarding customer service, helping to reduce ambiguities and rework. Lean practices permit professionals to have a vision of the
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whole and not just on their part, starting to better understand the relationship between flexibility versus efficiency (Abdi et al., 2006; Caiado et al., 2018). In an analysis of medium and large service companies, Hadid et al. (2016) identified that aspects inherent to Lean had, in most cases, a positive impact on the operational performance of process control focused on the value perceived by the customer and the prevention of errors. However, these aspects had no effect on the companies’ financial performance. On the other hand, the motivation factor had a positive association with operational and financial performance within the social aspect. The authors also point out that the interaction between these sociotechnical factors brought more benefits to the operational and financial performance of the analysed companies. Lean and the Service Sector focus on the customer experience, creating one of the important characteristics of the implementation of Lean practices in Service, which is the capacity for innovation, as Lean is a philosophy that offers tools that aid in the value generation in the service. Additionally, Lean Service innovation identifies key customer values with business potential and uses latent customer needs for service innovation (Ojasalo, 2011). Although Lean practices present relevant results, their applications in Service still have limitations and need further studies (Caiado et al., 2018). Few systematised studies have been conducted to identify the fundamental factors between Sustainable and Lean Development to obtain a robust analysis between the success and failure of their implementation (Zhan et al., 2018). Further, service processes are more variable as they are more concentrated in the workforce, and humans’ performance is less predictable than those of machines. Work intensity can increase the resistance to changes when Lean Philosophy is introduced into the work environment (Antony et al., 2007; Hadid et al., 2016; Mefford, 1993). Another limiting factor is the cost of Lean practices implementation in Service, which tends to be more expensive as employees should be trained, and it can be an inhibitor (Hadid et al., 2016; Staats et al., 2011).
3.2 Sustainable Development in Service Sustainable Development is in constant debate due to concern about the current and future scenarios relating to environmental responsibility. Environmental issues have become increasingly significant topics for organizations, making relevant the need for a balance between sustainability and economic formation as companies face regulatory, competitive and community pressures (Bai et al., 2015; Zhan et al., 2018). Over the years, the industry has met and fulfilled the market demand for products and services, causing environmental impacts. These impacts can be related to the consumption of energy, resources, and materials, but also the consequences caused by human activity in the environment, such as damage, diseases, destruction of biodiversity, depletion of natural resources, and change in ecosystems, among others (Peralta Alvarez et al., 2017).
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However, social and economic factors ought to be considered. In this way, the industry’s evolution occurs to the structure of a triadic solution of the sustainability dimensions of economic, environmental and social or Triple Bottom Line (TBL), which provides support for the management of sustainable projects. Its main objective is to work simultaneously on economic, environmental, and social performances, contributing to the reinsertion of the Technosphere and natural ecosystems (Elkington, 2012; Peralta Alvarez et al., 2017). Furthermore, the Triple Bottom Line requires organisations to evaluate their performance with a more holistic sustainability perspective. Therefore, for the organisation to be successful, profitable and create value for shareholders, it is necessary to maintain its management process based on the pillars of sustainability (Mattioda et al., 2013). Liu et al. (2017) state that Sustainable Development becomes inevitable for the development of human society, and unlike the manufacturing supply chain, some features such as immeasurableness and intense work in the Service sector affect the implementation of the Triple Bottom Line. In addition, companies need to evaluate the scenarios that require changes within their strategic policies even with some difficulties in implementing green solutions. Organisations have been driven to meet environmental regulations and work on more sustainable strategies due to the continued degradation of the environment and its natural resources, increased customer demand for environmentally friendly products and services, and the growing demand of consumers for corporate social responsibility (Min & Kim, 2012; Goetshol et al., 2014; Evangelista et al., 2017). Nonetheless, implementing green practices has been challenging, especially in Service. In their research on companies in the service sector Lin and Ho (2008), Fürst and Oberhofer (2012) and Evangelista et al. (2017) point out that although this sector considers environmental sustainability as an opportunity to improve competitiveness and obtain economic benefits, there is still uncertainty about how to apply environmental strategies and how the efforts of these practices work. Barriers to adopting more sustainable management are created because most organisations see complexity in applying green practices. Evangelista et al. (2017) state that while environmental sustainability is important, medium-sized companies are not yet in green practices evidence, but companies are willing to invest in sustainable development tools, especially if these initiatives deliver perceptible benefits. When it comes to Sustainable Development in the Service sector, it is possible to highlight the main barriers: high cost, coordinated effort, complexity, and lack of communication between groups. Research is usually directed to a possible solution focused on investment in environmental management, but in Service it is necessary to consider an analysis of the sustainability pillars individually because of the sector’s wide range of different activities (Seuring & Müeller, 2008; Liu et al., 2017).
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3.3 Lean and Sustainable Development Lean practice is a management tool that aims to eliminate waste, and its interaction with Sustainable Development regarding the objectives, methods and tools seems natural, creating the need for a better understanding of both practices (Chauhan & Singh, 2012; Garza Reyes, 2015; Zhan et al., 2018). Furthermore, the increased competition encourages organisations to improve their organisational performance, and thereby research investigates Sustainable Development practices and Lean Philosophy in a variety of industries, including different aspects of environmental, operational, financial development and customer satisfaction (Dües et al., 2013; Viengarten et al., 2013; Zhan et al., 2018). Chugani et al. (2017) address the synergy between Lean and Green by comparing common points that the two terms advocate, such as waste elimination, unnecessary use of water and energy, and exploitation of resources. The authors also state that a thinking alignment from managers and leaders to their employees is necessary for both practices. Fercoq et al. (2016) point out that the key point between them is waste reduction and that both rely on the contribution of process management and human resources. However, both practices focus on improving business results in cost, market position, reputation, product design, and customer value. It collaborates is with suppliers and customers under an analysis of existing operations to identify opportunities to reduce waste efficiently that consequently contribute to the company’s profitability (Wiese et al., 2015). From the point of view of Caiado et al. (2018), based on Lean tools and green practices, the integration of both can be used to achieve Sustainable Development, but in order to achieve this goal, there must be strategic planning composed of high management and a culture of people committed to applying these changes. The authors also highlight the external point of view: the regulations and standards for these applications and the work to strengthen alliances with partners and stakeholders so that they think collaboratively and aligned. Although there are positive and similar points between them, it is necessary to analyse the convergences between practices. For Martinez and Calvo-Amodio (2017), the Lean Philosophy has its concern about people, including customers and employees, while sustainability expands its concern by seeking the well-being of all stakeholders. Furthermore, Lean focuses on eliminating waste, while Sustainable Development aims at the environmental performance of reducing the maximum environmental aggravating factors, reinforcing its concern with the future scenario (Caiado et al., 2018; Kumar et al., 2016).
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4 Discussion Sustainable awareness has intensified over the past few years, causing companies to seek solutions that address environmental, social, and economic issues while bringing profit and productivity benefits. The Lean Philosophy aims to reduce waste within the production process, whilst Sustainable Development endorses that environmental, social, and economic aspects move harmoniously to ensure the current and future environmental and socioeconomic balance. As shown by Mefford (1993), Antony et al. (2007), Staats et al. (2011), Hadid et al. (2016), the service area is comprehensive and complex because it depends on many stakeholders and outsourced companies, which is a barrier to Lean application in this area. Another point to be considered is the investment in training that tends to be high, but it compensates in the long term since the philosophy focuses on attributing value to the customer, reducing costs and making all people involved in delivering products or services work aligned with a common goal. Besides, Lean practices can be advantageous for the Service area as they can bring the differential that organisations seek and contribute to their front position in the existing market competitiveness. Lean tools intend to organise the process, identify failures, work with the pulled demand apply management with principles of integrating all involved sectors, making the process areas communicate clearly and objectively between them and have common purposes. In the perspective of Sustainable Development, Lin and Ho (2008), Fürst and Oberhofer (2012), Evangelista et al. (2017), Caiado et al. (2018) demonstrated in their research that the applications of Sustainable Development are not yet fully understood by companies and consequently, nor the benefits that can be obtained from its implementation. The analysis of the selected works, especially those focused on the Triple Bottom Line, reveals that the economic pillar has a more significant number of studies, and in fact, it is the aspect that attracts the most attention from the market. However, when observing how the pillars were constituted, it is necessary to emphasise the three elements to obtain a balance, both due to the need to conserve natural resources and socioeconomic sustainability. The adoption of Sustainable Development is more than an advantage for companies. It is a matter of necessity of change scenarios since the growth of sustainable consumer awareness increasingly forces the positioning of organisations for green practices. The lack of government support for the sustainable practice’s implementation can be an important factor why organisations do not have an actual perception of the subject’s relevance. In addition, many organisations still have difficulties applying green practices and perceiving positive results either for economic or environmental aspects. Figure 2 shows relevant issues found during the qualitative analysis, which hinder the application of Lean Philosophy and Sustainable Development approaches in Service. Detail “A” in Fig. 2 shows that the issues with the use of Lean Philosophy in Service are mainly due to its broad field of activity and the high value of the investment that Lean-based management imposes. Despite bringing benefits, the use of Lean
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Fig. 2 Issues of lean and sustainable development approaches related to service. Source The Author
Philosophy tools and practices in the Service sector finds difficulties in aligning all involved since it involves other factors in its process, such as stakeholders, service providers, contractors, and consumers, among others. The issues regarding the application of the Sustainable Development approach in Service are presented in Details “B”, “C”, and “D” of Fig. 2. Detail “B” shows the issues of the environmental aspect of the TBL associated with Service, which covers raw material, packaging, processes, and means of transport for delivery and correct disposal by the final consumer to pollutants such as gasoline, machinery, and excessive energy consumption. In Detail C, the issues are on the social aspect of the TBL that impacts the Service sector. The lack of employee training and knowledge related to green practices can be highlighted as significant factors for companies’ resistance to the SD implementation. Finally, in Detail “D” of Fig. 2, the issues related to the economic aspect of the TBL associated with Service are presented, highlighting the organisations’ insecurity regarding the implementation of green practices and the resistance to investing in training. The economic factor is the point that most discourages companies from following the complete Sustainable Development and Lean Philosophy approaches. In conjunction with Qualitative Analysis, the Literature Review showed that studies applying Lean and Sustainable Development approaches in Services are still embryonic. The need for more research addressing the implementation issues of these approaches in Services and/or their benefits showed to be a necessity and can effectively contribute to breaking the insecurity and resistance of organisations in adopting them as highlighted by Caiado et al. (2018). Lean tools in green practices can bring relevant results for companies, especially for the Services area, since they
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have points of convergence related to the organisational aspect, the concern with materials and waste and the strategic and responsible management. Therefore, the interaction of Lean Service and Sustainable Development presents itself as a potential response to current issues on implementing sustainable practices in the Service sector.
5 Conclusion This research preliminarily investigated the relationship between Lean and Sustainable Development within the context of Service. The Literature Review and Qualitative Analysis provided greater understanding and clarity of the addressed topics’ concepts, tools, and approaches. Lean applied in Service aims to bring solutions mainly in management so that the sectors expand their communication and work in an integrated way, providing the companies with a clearer view of the problems of the entire process. In addition, the company’s performance has a relevant improvement with the Lean implementation benefits such as cost reduction and identification of the primary sources of waste. Furthermore, Sustainable development contributes as it promotes the balance of socio-economic-environmental pillars; however, it was observed that the social and environmental aspects are still little applied by companies, either due to lack of interest or even lack of studies on the subject. This preliminary analysis showed that the implementation of the two approaches individually or cooperatively, as well as the interaction between them, still challenging Service companies, and due to sector growth in recent years, the change related to TBL becomes indispensable and urgent. Moreover, it was observed that the implementation of Lean Philosophy in Service focusing on Sustainable Development has relevance, and researchers started to explore it, and further research is necessary to better understand all aspects of it. However, studies addressing Lean and Sustainable Development themes have been timidly using the term “Lean Green”, which still needs to have its concepts structured. This research, although preliminary, pointed out that Lean and Sustainable Development approaches are increasingly relevant factors for the management and competitiveness of companies in the Service sector, which works very closely with consumers increasingly aware of the importance of environmental and socioeconomic balance. Thus, for the research’s continuity, the authors suggest a deep exploration of the addressed topics using a systematic literature review and content analysis and based on them, the proposal elaboration of a conceptual framework that promotes the interaction between Lean and Sustainable Development aiming at the improvement of green practices within Service context.
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Acknowledgements The authors especially thank the financial support of Pontifical Catholic University of Parana (PUCPR)—Polytechnic School—Industrial and Systems Engineering Graduate Program (PPGEPS), The Brazilian National Council for Scientific and Technological Development (CNPq) and the Coordination for the Improvement of Higher Education Personnel in Brazil (CAPES).
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Integrated Product Development Process and Green Supply Chain Management—Proposal for a Preliminary Model Alda Yoshi Uemura Reche, Osiris Canciglieri Junior, Marcelo Rudek, and Ubiratã Tortato
Abstract For the development of environmentally sustainable products, the activities of raw material selection, product design, production, packaging, and distribution must be considered, so that environmental limits are respected and the consumption of natural resources reduced. To meet these needs, companies have sought to create environmentally sustainable alternatives for products and processes, due to government, market, and regulatory pressures. Thus, the problem question of this study is: What is the relationship of the Integrated Product Development Process (IPDP) and Green Supply Chain Management (GSCM), to contribute to the reduction of the environmental impact? The general objective of this study is to present a preliminary model that relates the concepts of IPDP and GSCM from a theoretical discussion on the influence of the approach to the themes. As specific objectives, this study intends to present models previously published that have some relation to the IPDP related to green design, green purchase, green manufacturing, green distribution and reverse logistics, themes related to GSCM; and present guidelines to relate the stages of product development and GSCM to reduce the environmental impact. Keywords Green supply chain management · Integrated product development · Preliminary Framework
A. Y. U. Reche (B) · O. Canciglieri Junior · M. Rudek · U. Tortato Industrial and Systems Engineering Graduate Program (PPGEPS), Pontifícia Universidade Católica do Paraná Brazil—PUCPR, Paraná, Curitiba, Brazil e-mail: [email protected] O. Canciglieri Junior e-mail: [email protected] M. Rudek e-mail: [email protected] U. Tortato e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_14
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1 Introduction The world population increase brings as a consequence the demand increase for products by customers, thus putting pressure on companies to accelerate the industrialization processes. The results of this demand are initial symptoms of depletion of natural resources, significant climate change, generation of waste, and the emission of gases intensification into the atmosphere (Uemura Reche et al., 2022). Industries have been challenged in terms of innovation and timing, as product lifecycles have become shorter and shorter. In this way, the product development activity is also challenged to develop products in shorter terms, but they must comply with different demands, being these by society, company, and legislation (Uemura Reche et al., 2022). The list of keywords such as product development and issues related to sustainability and GSCM had the highest number of publications in the period from 2011 to 2018. Thus, showing the importance of addressing the topic in the last nine years (Uemura Reche et al., 2020). Although there are published studies that address the IPDP and GSCM theme, as well as an international standard that guides companies in the management of environmental aspects such as ISO 14001:2015 (ABNT, 2015), the importance of deepening the theme is highlighted since there are gaps in the literature concerning the IPDP and GSCM to integrate the “operations factor” (Uemura Reche et al., 2020a). The general aim of this study is to present a preliminary model that relates the concepts of IPDP and GSCM from a theoretical discussion on the influence of the approach to the themes. As specific aims, this study intends to present models previously published that have some relation to IPDP related to green design, green purchase, green manufacturing, green distribution, and reverse logistics, which are related to GSCM; and to present guidelines for relating the stages of product development and GSCM to reduce the environmental impact.
2 Methodology To understand what had been published so far in the literature on the relationship between IPDP and GSCM, a search was carried out on Capes Periodicals website of the Coordination for the Improvement of Higher Education Personnel (CAPES), with keywords that addressed the topic, these were: sustainability, product development, and green supply chain management (Uemura Reche et al., 2020a). Capes Periodicals Portal is a Brazilian CAPES database, subordinated to the Ministry of Education, which offers access to full texts available in more than 45,000 international and national periodicals and several databases. The database contains references and abstracts of academic and scientific works, technical standards, patents, theses, and dissertations, among other types of materials, covering
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all areas of knowledge. It also includes a selection of important sources of scientific and technological information freely accessible on the web (Portal de Periódicos CAPES/MEC, 2021). For systematic review, bibliometric and content analysis, after the database was selected, it was selected the journals and high-quality articles with affinity to the topic. First, the study selected only peer-reviewed articles, written in English, resulting in 9430 articles. These articles were reviewed as to their compliance with the intended topic and the quality of the journals in which they were published. From the selection of these journals, only those with high impact factor (SJR> 1; Q1) and Q1 quartile was selected, resulting in 744 articles (Uemura Reche et al., 2020a). Next, it was analyzed the journals where these articles were published, to understand where they were concentrated. It was selected the inclusion and exclusion criteria definition and was selected the most relevant articles through the reading of all titles and abstracts. The articles that had a relation with IPDP and GSCM topics and models were considered as inclusion criteria. The articles that had no relation with the topic were excluded from the sample found, resulting in 335 articles. These articles were subsequently checked regarding the adherence to the topic by analyzing their keywords (Uemura Reche et al., 2020a). The most representative studies were analyzed in terms of publication without limitation, regarding the publication period. It was selected the most relevant articles in the theme and for this selection, all studies were read and analyzed of the title, abstract, and introduction of the 335 articles, by classifying them with the following Likert Scale: very important (3), important (2) and only reference (1). From this analysis, only 33 articles were classified as very important and used for the content analysis. All the studies, models, frameworks found in the systematic and bibliometric review and content analysis, are based on this literature review (Uemura Reche et al., 2020). The first search was carried out in 2019, and to update articles, a new search was carried out in the Capes Journal Portal in 2020, to update the articles previously published (Uemura Reche et al., 2020).
3 Models, Frameworks and Researches that Relate IPDP and GSCM 3.1 GSCM and Environmental Sustainability Environmental issues related to energy, water, emissions, and compliance with legislation are areas that need to be constantly reviewed in terms of practices within companies in search of continuous improvements aimed at environmental responsibility. According to the Inter-governmental Panel for Climate Change (IPCC), greenhouse gas emissions from industrial and transport activities represent 21 and 14% respectively of global direct emissions of greenhouse gases (Wang et al., 2015).
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Concepts related to climate change, greenhouse gas emissions, and international trading of emissions (Emission Trading Systems—ETS) evidenced by scientific research and natural phenomena in the 21st century, made governments improve debates in favor of the theme (Zutshi, Creed, 2015). Thus, organizations around the world are adopting measures in manufacturing processes to reduce the impact on the environment, among these measures, are highlights the ISO 14001 environmental management systems and the Eco-Management and Audit Scheme (EMAS). EMAS is a management tool for companies and other organizations. It is used to assess, report, and improve environmental performance and can be adopted by any organization wishing to improve its environmental performance, covering all economic and service sectors, and is applicable worldwide. Since the revision of the annexes to the EMAS Regulation, it is easier for an organization that is already in compliance with an environmental management system such as ISO 14001 to move towards EMAS, which was developed by the European Commission (EMAS, 2021). ISO 14001 aims to provide organizations with a framework for protecting the environment, as well as enabling a response to changes in environmental conditions in balance with socio-economic needs. In the standard, requirements are specified that allow an organization to achieve the intended and defined results for the environmental management system (NBR ISO 14001, 2015). The intended results of an environmental management system consistent with the organization’s environmental policy include increased environmental performance; meeting legal and other requirements and achieving environmental objectives (ABNT, 2015). In addition to the actions already mentioned to achieve environmental sustainability, companies also adopt environmentally sustainable practices, which can be environmental management systems, green supply chain management, and an ecologically balanced scorecard strategy (Wang et al., 2015). In a scenario where there is a need for the development of environmental practices when developing a product, manufacturers must think about practices that reduce energy and material consumption. Reducing the environmental impact is the broadest challenge in environmental management as it encompasses the flow of waste. In this context, the authors Grutter and Egler (Grutter and Egler, 2004), present examples of facilitating mechanisms for sustainable production and consumption systems, the authors relate enabling mechanisms, such as: producing with less, green supply chains, codesign, manufacturer responsibility, services rather than sales, certification and seal, fair trade, market ethics, and responsible purchasing. In the present study, the authors highlight the relation between the green supply chain and suppliers performance. The green supply chains stand out, since companies with influence in a supply chain impose standards on suppliers to improve environmental performance. In this context, one of the challenges of a green supply chain is strict controls imposed on small manufacturers. The models to be presented next are related to the IPDP and GSCM theme, addressing different operational factors such as green design, green purchasing, green manufacturing, green distribution and reverse logistics.
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3.2 GSCM When the term GSCM is approached, this is adopted by companies as a strategy that, together with suppliers, aims to achieve a certain level of environmental performance, thus stimulating the operational cooperation of all members of the supply chain. Although it has the same essence as a typical Supply Chain Management (SCM), the GSCM aims to minimize the environmental impact of a given product. The activities related to GSCM are related to the supplier, manufacturing process, distribution, endcostumer use, collection / disposition, recycling, and distribution. All the activities are supported by concepts of supply chain management, end of product lifecycle, green design, and supplier selection (Villanueva-Ponce et al., 2015). In addition to reducing environmental and social impacts, the GSCM can also improve the operational effectiveness of activities, such as (Dadhich et al., 2015): i. Green design—product projects that aim to reduce the environmental impact throughout the life cycle, considering from the initial stage of the development of new products and production processes; ii. Green operations—related to aspects to make the product green, that is, it covers operations such as remanufacturing, handling, reuse, logistics, and waste management after the product design phase; iii. Green manufacturing—reduce environmental impact by selecting recycled or reused products or products that have been reconditioned/remanufactured; iv. Green packaging—with the use of less materials, it is possible to obtain smaller, less thick and lighter packaging as a result. The possibility of recycling the packaging should be considered, as well as the lesser use of space in storage and transport activities; v. Waste minimization—reduction of waste from production and operations. vi. Reverse logistics—involves the processes of planning, developing and controlling the flow of materials, products and information from the place of origin to the place of consumption. The companies involved in the process must manage and recover waste through its reintroduction into the supply chain, in a way that adds value to the operation, in cases where reintroduction is not possible, proper disposal must be provided. When studying a framework on green purchasing, the relationship with suppliers is highlighted, which focuses on analyzing whether companies are considering environmental aspects in the supplier selection process. The model presented was an adaptation of the study by Humphreys, Wong, Chan (2003), the research was carried out in Brazilian companies (Jabbour and Jabbour, 2009). Through an interview conducted in five different sectors, the existence or not of the relationship between maturity in environmental management and the inclusion of environmental criteria for the selection of suppliers was also analyzed. An important adaptation of a framework stands out, where the authors listed quantitative and qualitative environmental criteria for the selection of suppliers, criteria that supported the questionnaire applied to the companies (Jabbour and Jabbour, 2009).
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Regarding to Quantitative Environmental Criteria (Jabbour and Jabbour, 2009), the authors highlighted the Environmental costs (effects of pollution) (i), and Environmental costs (environmental improvement) (ii) containing the criteria: (i) Environmental costs (pollutant effects)—solid waste; chemical waste, pollutant gas emissions, water recovery, and energy. (ii) Environmental costs (improvement)—acquisition of environmental raw materials, acquisition of environmental technologies, projects for environmental products, and recycling.Regarding to Qualitative Environmental Criteria (Jabbour and Jabbour, 2009), the authors highlighted the management competencies (i), “green” image (ii), design for environment (iii), environmental management systems (iv), and environmental competencies (v), containing the criteria: (i) management competencies—top management, involvement of partners, exchange of information, and environmental training. (ii) “green” image—retention of green consumers, environmental market share, relations with stakeholders. (iii) design for environment—recycling, reuse and remanufacturing, reduction, disassembly, storage. (iv) environmental management systems—environmental policy, environmental planning, implementation and operation, ISO 14001 certification. (v) environmental competencies—competence for environmental technologies, use of environmental materials, capacity to reduce pollution, capacity to manage reverse flows; It is important to highlight that the quantitative and qualitative criteria used by authors will support this study to model development. These and other criteria used by other authors will be helpful to understand the relationship between IPDP and GSCM and how it can help companies to become process greener. The green purchasing process, green design, distribution, and sustainable processes in product distribution were represented through the conceptual model that provides a theoretical basis for corporate environmental strategy, competitiveness, and environmental collaboration in supply chains: environmental management strategy, strategies of green product, cost reduction related to environmental practices, differentiation, the environmental collaboration between suppliers and environmental collaboration with customers (Chen et al., 2015). Compliance with environmental requirements is key criteria for products and production in companies that seek to guarantee economic sustainability, competitiveness, and profitability. Thus, the implementation of sustainable initiatives in the supply chain can lead to the creation of value and competitive advantage when reverse logistics is adopted (Hsu et al., 2016). The green manufacturing process involves the environmentally responsible production of a product, aiming to minimize negative environmental impacts throughout its life cycle. In this context of manufacturing, aspects of recycling and reuse of products, minimization of the environmental impacts of manufacturing processes, minimization of waste, and reduction of environmental pollution should
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be considered. Green manufacturing can enable the company to reduce raw material costs and seek to obtain production efficiency, as well as have a positive impact on the corporate image (Hsu et al., 2016). One of the aspects to be considered in the distribution process is green packaging, as it aims to minimize environmental impacts since packaging directly contributes to the supply chain as it enables the efficient distribution of products. Factors such as size, shape, and materials have different impacts when related to environmental impacts as they are directly related to the distribution process, efficiency in load assembly, and handling and use of space. When dealing with green packaging, the following must be considered: cost (materials and shipping), performance (appropriate product protection), convenience (ease of use), compliance (legal requirements), and environmental impact. Packaging can also reduce reverse logistics costs through the implementation of sustainable initiatives (Hsu et al., 2016). Thus, several managerial implications contribute to sustainable initiatives and supply chains, the authors highlight benefits when addressing the topic of reverse logistics. Ecological requirements are key criteria for products and production in companies that seek to guarantee economic sustainability, competitiveness and profitability. The study presents evidence that the implementation of sustainable initiatives in the supply chain can lead to the creation of value and competitive advantage from the adoption of reverse logistics (Hsu et al., 2016). The study lists the terms strategic orientation, sustainable initiatives, and results in a supply chain, as well as the concepts of green design, green purchase, cleaner production, and reverse logistics (Hsu et al., 2016).
4 The IPDP and GSCM Preliminary Model From the models presented, added to the models that were in the systematic and bibliometric review and content analysis explained previously, a gap was observed when related to the IPDP theme and the GSCM process when addressing activities such as green design, green purchasing, green manufacturing, green distribution and reverse logistics. The themes IPDP and GSCM were associated, after reading and analyzing IPDP models. As a matter of preference of the authors, the “integrated product development model oriented to R&D projects in the Brazilian electricity sector” was chosen as the basis for the development of this model it was carried out extensive research on published product development model (Pereira and Canciglieri, 2014). The product development model was developed through 3 macro phases, 6 phases, and 14 steps. The macro phases considered were: Pre Development, Development e Post Development (Uemura Reche et al., 2022). In the macro phase Pre-Development (Table 1), there is the Initialization phase and step 1- State of Demand; as well as the Planning phase that includes the steps: 2—Scope Definition, 3—Project Planning (Uemura Reche et al., 2022).
2
Scope definition
Initialization
1
State of demand
Phases
Steps
Planning
Pre-development
Macro-phases
Project planning
3
Study of principles
4
Development
Development
Conceptaul design
5 Preliminary Design
6 Detailed Design
7
Table 1 Macro-phases: pre development, development and post development
Refinement of the Design
8 Manufacturing Process Design
9
Implementation
Manufacturing and Finishing PrProduct
10
Marketing Planning
11
Product Launch
12
Production
Review Post Launch
13
Discontineu Product
14
Maintenance
Post—development
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In the macro-phase Development (Table 1), the Design phase addresses the steps: 4—Study of Principles, 5—Conceptual Design, 6—Preliminary Design, 7—Detailed Design, 8—Refinement of the Design; as well as the Implementation phase, there are steps: 9—Manufacturing Process Design, 10—Manufacturing and Finishing Product and 11—Marketing Planning (Uemura Reche et al., 2022). In the macro-phase Post Development (Table 1), there is the Production phase, and as steps: 12—Product Launch; and Maintenance phase, with steps: 13—Review Post Launch, 14—Discontinued Produc (Uemura Reche et al., 2022). To compose the concept of GSCM, the following steps were classified: green design, green purchasing, green production, green manufacturing, green distribution, and reverse logistics, and subsequently, the GSCM steps were related to the macro phases, phases, and steps of the development of products (Fig. 1) (Uemura Reche et al., 2022). From the models previously discussed, we sought to understand the relationship between the macro phases, phases, and steps of IPDP and the operational factors of GSCM, being: green design, green purchasing, green production, green distributionreverse, and reverse logistics. Thus, it was found that the IPDP Initialization phase, step 1 State of Demand, in this stage the product to be developed is stipulated, will be carried out according to the needs of the customer, raw materials available in the market with a focus on environmentally sustainable products and knowledge about the development of previous products by the company. When relating to GSCM operational factors, it is associated with green design, green purchasing, and reverse logistics (Fig. 1) (Uemura Reche et al., 2022). The phase Planning, step 2 Scope Definition, in this step among the possible solutions for the product, the study of market needs and raw materials and technologies available on the market, strategies are selected that are suitable for the development of a product that meets the GSCM requirements. The related operational factors of GSCM were: green design and green purchasing (Fig. 1) (Uemura Reche et al., 2022). Still in phase Planning, step 3 Project Planning, in this step the project and product planning is prepared, through the pre-established scope. In this stage, the Project Plan is defined; and a schedule, contract with demand forecast, and product details will be made available. The related operational factor of GSCM is green purchasing (Fig. 1) (Uemura Reche et al., 2022). In macro-phase Development, and phase Development, step 4 Study of Principles is the beginning of the project execution. It is analyzed the project scope and it is investigated possible solutions for the product that will be developed. Project specifications are defined according to customer expectations, company strategies and market strategies, raw materials, and equipment available. The related operational factor of GSCM is green purchasing (Fig. 1) (Uemura Reche et al., 2022). The phase Development, step 5 Conceptual Design, according to the project specifications, suppliers are involved to bring solutions to customers together. It is established what will be used according to the product design, dimensions, materials, and equipment, as well as checking if the GSCM requirements and the customer’s needs
Fig. 1 IPDP and GSCM Preliminary Model (Uemura Reche et al., 2022)
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are being met. The related operational factor of GSCM was green production (Fig. 1) (Uemura Reche et al., 2022). In step 7 Detailed Design, from the prototype test and study of possible components to make the product environmentally sustainable, the planning of the final product is elaborated and is related to green design, green production, and green distribution as GSCM operational factor (Fig. 1) (Uemura Reche et al., 2022). In step 8 Refinement of the Design, corrections and changes are made to the project from the prototype tests. A prototype is built very close to the final project and the documents referring to the product design, calculations, material list, stages of the manufacturing process have been changed. The related operational factor of GSCM is green production (Fig. 1) (Uemura Reche et al., 2022). The phase Implementation, step 9 Manufacturing Process Design, the production process is planned, based on the prototype and project pre-established in the previous phases. The stages and sequence of the production process, machines and equipment to be used, quality standards and environmental standards are defined. The related operational factor of GSCM is green production and reverse logistics (Fig. 1) (Uemura Reche et al., 2022). Step 10 Manufacturing and Finishing Product, is related to the definition of the stages of the production process and suppliers involved, a pilot batch is produced to check production at scale, if necessary, changes are made to the product to adapt it to the production line. In this stage, the market insertion plans and marketing planning are also defined. The related operational factor of GSCM is green production (Fig. 1) (Uemura Reche et al., 2022). Step 11 Marketing Planning, is the stage of the product insertion in the market is defined based on the product scope. The product’s strengths, weaknesses, threats, and opportunities are listed (SWOT analysis). The related operational factor of GSCM are green design and green distribution (Fig. 1) (Uemura Reche et al., 2022). In the production phase, step 12 Product Launch, is the stage that the strategy for launching the product on the market is defined. The related operational factor of GSCM is green design (Fig. 1) (Uemura Reche et al., 2022). In the maintenance phase, step 13 Review Post Launch is based on data collected and systematized, changes and/or improvements to the production line are made. The related operational factor of GSCM is reverse logistics. And step 14 discontinue Product, is based on market monitoring, measures are taken to withdraw the product from the market and close production; as it is a product with an environmental appeal, the instructions for recycling, reuse, and reuse must be clear to the final consumers for the correct destination of the product. The related operational factor of GSCM is green design and reverse logistics (Fig. 1) (Uemura Reche et al., 2022).
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5 Conclusion Due to some criteria previously selected, it was possible to do the connections between IPDP and GSCM. These criteria were listed and linked to each phase, through the associations made, it was possible to elaborate and allowed the creation of the preliminary model. It is recommended in the future these criteria be published, which aims to complement this study, by details of how the IPDP criteria were related to the GSCM and which criteria will be addressed and applied in future research. It is highlighted the appliance of concurrent engineering environment through the integration of product development process and green supply chain management, to become all process greener. The importance of this concept for companies is that thinking about product development process since suppliers until reverse logistics, it is possible to reduce environmental impacts based on the greener decision-making process. Although there are important contributions in the literature, of great relevance that somehow relate to the IPDP and GSCM themes. From the preliminary model presented, the need to integrate the GSCM and IPDP approach is highlighted, in search of the development of environmentally sustainable products by the companies. As a limitation, the preliminary model was not applied in the industry to transform it into a definitive model, and understand about the model applied in different segments. As possibilities for future studies, the need to develop and improve models that relate to the IPDP and GSCM theme is highlighted.
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NBR ISO 14001. (2015). Sistemas de gestão ambiental – Requisitos com orientações para uso. Rio de Janeiro. ABNT. Pereira, J. A., & Canciglieri, O. (2014). Product development model oriented for the R&D projects of the Brazilian electricity sector. Applied Mechanics and Materials, 518, 366–373. https://doi. org/10.4028/www.scientific.net/amm.518.366 Portal de Periódicos CAPES/MEC. (2021). Retrieved 03 October, 2021, from https://wwwperiodicos-capes-gov-br.ezl.periodicos.capes.gov.br/index.php?option=com_pcollection&Ite mid=105. Uemura Reche, Alda Yoshi, Canciglieri Junior, Osiris, Szejka, Anderson Luis, & Rudek, Marcelo. (2022). Proposal for a preliminary model of integrated product development process oriented by green supply chain management. Sustainability, 14, 2190. https://doi.org/10.3390/su14042190. Uemura Reche, A. Y., Canciglieri, O., Estorilio, C. C. A., & Rudek, M. (2020b). Green supply chain management and the contribution to product development process. In: Walter Leal Filho, Paulo R. Borges de Brito, & Fernanda Frankenberger. (Org.). World Sustainability Series, pp. 781– 793. 1ed.: Springer International Publishing. doi: https://doi.org/10.1007/978-3-030-26759-9_ 46. Uemura Reche, A. Y., Canciglieri Junior, O., Estorilio, C. C. A., & Rudek, M. (2020a). Integrated product development process and green supply chain management: Contributions, limitations and applications. Journal of Cleaner Production, 249, 119429. https://doi.org/10.1016/j.jclepro. 2019.119429 Villanueva-Ponce, R., Avelar-Sosa, L., Alvarado-Iniesta, A., & Cruz-Sánchez, V. G. (2015). The green supplier selection as a key element in a supply chain: A review of cases studies. DYNA, 82(194), 36–45. https://doi.org/10.15446/dyna.v82n194.54466. Wang, Z., Subramanian, N., Gunasekaran, A., Abdulrahman, M. D., & Liu, C. (2015). Composite sustainable manufacturing practice and performance framework: Chinese auto-parts suppliers’ perspective. International Journal of Production Economics, 170, 219–233. https://doi.org/10. 1016/j.ijpe.2015.09.035 Zutshi, A., & Creed, A. (2015). An international review of environmental initiatives in the construction sector. Journal of Cleaner Production, 98, 92–106. https://doi.org/10.1016/j.jclepro.2014. 06.077
The 2030 Agenda in the Socio-Technical Transition Context in the City of Curitiba: Set of Public Policies Directed at the SDG-11—Sustainable Cities and Communities Sérgio Luis Dias Doliveira, Sieglinde Kindl da Cunha, and Flavia Massuga
Abstract This study aims to analyze the implementation initiatives of the SDG11—Sustainable cities and communities—of the UN’s 2030 Agenda through public policies, considering the context of sociotechnical transitions. The analysis focuses on the city of Curitiba-PR, known for developing sustainable practices in urban solutions that serve as models for several countries. The theoretical model discusses the Socio-technical Transitions to Sustainability, the SDG-11, and Transformative Innovation Policy (TIP). Methodologically, the study is descriptive and exploratory, featuring a document survey and semi-structured interviews applied to managers of Curitiba’s City Hall. The results present ongoing public policies and projects in the city that relate to sociotechnical transformations in energy sources, urban mobility, infrastructure, governance, and other change variables, and are linked to targets 11.2, 11.3 and 11.a of SDG-11. The case presented may serve as a model to other urban centers that seek sustainable development and contributes to the Sustainable Transition South Brazil Global Research Networks, which approach the transition process from several angles in the contemporary context. Keywords The 2030 Agenda · SDG-11 · Socio-technical Transitions to Sustainability · Transformative Innovation Policy
S. L. D. Doliveira (B) Universidade Estadual do Centro Oeste – UNICENTRO, Rua Professora Maria Roza Zanon de Almeida, Engenheiro Gutierrez, Irati, PR CEP: 84505-677, Brasil e-mail: [email protected] S. K. da Cunha Universidade Federal do Paraná – UFPR, Av. Lothario Meissner, 632, Jardim Botânico, Curitiba, PR CEP: 80210-170, Brasil F. Massuga Universidade Estadual do Centro Oeste – UNICENTRO, Rua Miguel Agulham Júnior, 180, Jardim Virgínia, Irati, PR CEP: 84507-208, Brasil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_15
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1 Introduction The context in which the concern about sustainability was raised has been measured and perceived in a more elaborate way. It can be observed that several indicators not resolved by contemporaneity, such as social inequalities and hunger, are still reflected in significant parts of the population (Food and Agriculture Organization of the United Nations, FAO, 2020). Other obstacles and civilizational situations such as large emissions of carbon dioxide (CO2 ) also remain (The World Bank, 2020a, 2020b). An urban population increase is also estimated from the current 4.4 billion to 6.7 billion people by 2050 (United Nations [UN], 2018). This denotes the importance of discussions and improvement of cities regarding the planning, construction and management of urban space in a sustainable way (Costa et al., 2018). In this sense, sustainability has become an area that integrates and proposes solutions that are relevant and that require transformative processes and socio-technical transitions. During the 1990s, the concept of transitions emerged in different spaces of the scientific community as a new concept to address large-scale social change. In this way, transitions to sustainability can be considered long-term, multidimensional and necessary transformation processes, through which established sociotechnical systems change to more sustainable modes of production and consumption (Loorbach, 2007; Loorbach et al., 2017). According to Schot et al. (2018) the Sustainable Development Goals (SDGs) are a tool of several dimensions that make the transformative process possible. The objectives and targets are composed of the social, environmental and economic dimensions, as well as political determinations and points of action, being an ambitious agenda for the transformations that the contemporary period must develop (Lundin & Serger, 2018). In this sense, it is highlighted that innovations, technological and scientific solutions, and a series of changes in infrastructure and production systems, for example, are fundamental aspects for sustainability transitions, especially with regard to changes to sustainable and smart cities, as recommended by SDG-11. Transformative Innovation Policies (TIP) are part of this context and provide a theoretical framework necessary to achieve broader goals, capable of creating sustainable societies, through so-called transformative change (Geels, 2020a; Silva, 2021). According to Lundin and Serger (2018) a TIP is strengthened from the 2030 Agenda, constituting a means of implementing policies that are legitimized by transformative changes oriented to innovation in practice. As the principles of TIP develop and consolidate, it becomes necessary to evaluate the different approaches that are applied in different contexts, as indicated by studies by Boni et al. (2021). In this sense, there is a need to verify the direction of the actions suggested by the 2030 Agenda, which need to be understood within the scope of the TIP, aimed at fulfilling the SDGs in a context of socio-technical transition. As pointed out by Costa et al. (2018), it is essential to specifically investigate the SDG-11, which deals with “Sustainable Cities and Communities”, in its practical developments, its goals and guidelines.
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The city of Curitiba is internationally recognized in the search for the construction of a sustainable and innovative city with projects in the areas of mobility, solid waste and urban design, for example, allocating investments to environmental, social and economic challenges. In 2019, it formally adopted the 2030 Agenda as a guideline for public policies, seeking urban solutions aligned with the SDGs (Organization for Economic Co-operation and Development [OECD], 2021). The central question that the research proposes to answer is: how are Transformative Innovation Policies developed, as a set of articulated actions, aimed at implementing in Curitiba the SDG 11, Sustainable Cities and Communities, of the UN 2030 Agenda, in a context of socio-technical transition? This study therefore seeks to understand the characteristics of TIP aimed at the SDGs in the context of socio-technical transformations in Curitiba, in the State of Paraná. The focus is on the Urban Hipervisor, Pinhão Valley Innovation and Inter 2 projects, presented in the city’s 2022–2025 Multi-Year Plan (PPA) (Curitiba, 2021a). The present study contributes to the Sustainable Transition South Brazil Global Research Networks, which approach the transition process from different angles in the contemporary context. In addition, the actions presented as research results can offer practical suggestions and serve as reference for other municipalities. Usually, practices that offer good results provide movements of mimetic isomorphism, which in turn lead to innovative solutions that are applied in different organizations (DiMagio & Powell, 1983). Next, the themes that make up the theoretical framework of the research, methodology, main results and discussions, and conclusions of the study are presented.
2 Socio-Technical Transitions of Sustainability Sustainability challenges related to the rapid depletion of natural resources, emission of greenhouse gases, pollution, extreme events, food security, and social inequalities are still evidenced and aggravated by the dependence on existing sectors and value chains, dominant political structures, regulations, and lifestyles. In this sense, sociotechnical systems are maintained and the transition to sustainability is necessary with radical transformations towards more sustainable modes of production and consumption (Köhler et al., 2019; Markard et al., 2012). The term transition can be defined as a change in the state of the system, through a period of non-gradual disruptive change. This change is due to the interaction of several changes at different levels and domains, which interact and reinforce each other to change a complex system (Loorbach, 2007; Loorbach et al., 2017). According to Köhler et al., (2019), transitions are processes that involve several elements, dimensions and actors with beliefs, strategies and interests, not constituting a linear process. Transitions are permeated by stability and change, represented by ingrained systems in society, and green innovations and practices, respectively. It is a long-term process due to the development of innovation and the need to overcome
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the resistance of existing socio-technical systems. Moreover, it is not possible to predict which initiatives and transition paths will come to fruition, which gives public policies room to impose normative statements about the outcomes that are sought to be achieved. Several approaches are used to study sustainability transitions, such as Strategic Niche Management, Technological Innovation System, and Transition Management (Wieczorek, 2018). The Multi-Level Perspective has been particularly influential in the literature, which visualizes transitions as composed of activities at niche, regime, and landscape scales (Geels, 2002, 2020a, 2020b). The regime refers to the dominant system that seeks to maintain its configuration and presents resistance to innovation and change. Niches are protected spaces where innovations arise in the opposite direction and exert pressure on the regime. In turn, the landscape refers to external factors at a macro level that cannot be changed by the actors, and slowly contribute to the trajectories that are being constituted (Geels, 2002; Wieczorek, 2018). For Markard et al. (2020), there are currently two stages of transition: emergence and acceleration. In the early stages of transition, innovations emerge at the local level, with the entry of new niche markets and business models. In the next stage, innovations accelerate and begin to expand their scope geographically and into other systems, as is currently the case with solar PV and electric vehicles. Cities present numerous fronts on which the need for the emergence and acceleration of sustainability transitions is identified, such as mobility, food, energy, health, water and communication (Grin et al., 2010; Schot & Steinmueller, 2016). In this sense, a comprehensive research area called urban sustainability transitions emerges (Ehnert et al., 2018; Frantzeskaki et al., 2017; Loorbach & Shiroyama, 2016). They are understood as long-term transformations focused on realigning cities’ technologies and infrastructure, culture, governance, and institutional structures. Examples include changes to urban agriculture, renewable energy systems, sustainable urban mobility, recycling and reuse, product sharing, and more sustainable lifestyles (Frantzerkaki et al., 2017; Ehnert et al., 2018). These large-scale transformations are responses to the social and environmental challenges that permeate society and aim to bring about radical and necessary changes in social and cultural systems. This aspect proves to be fundamental to the understanding of the changes proposed by SDG-11 and its ramifications. In addition, in this context, public policies are denoted as crucial elements in the innovation and destabilization of established regimes for transitions to take place (Edmondson et al., 2019; Markard, et al., 2020).
3 SDG-11 and Transformative Innovation Policy (TIP) The sustainability concerns evident at the beginning of the century and still present have stimulated global movements in order to build ways to effect transformations in society. One of these movements is the elaboration of the 2030 Agenda for Sustainable Development, in which State and Government representatives at the United
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Nations headquarters defined a set of 17 SDGs and 169 subsidiary targets to be achieved by 2030 (Ramirez et al., 2019). It was established that production would be greener and with greater social justice, thus resulting in sustainable consumption patterns and new ways of producing economic growth (Schot & Steinmueller, 2016, 2018). As highlighted by Abreu and Marchiori (2020), it is from the urban space that these concerns are consolidated and must be measured and understood. These aspects are strengthened and can be observed in the expansion of the urban population, with an estimated of 70% living in urban centers by 2050 (Marvuglia et al., 2020). In this sense, specifically the investigation of SDG-11 is important, which deals with “Sustainable cities and communities”, considering its developments, goals and guidelines (Costa et al., 2018). Seven targets are part of SDG-11, which are linked to issues such as housing, safe, sustainable and accessible public space and transport systems, inclusive and sustainable urbanization, and reduction of urban environmental impact (UN, 2015). In this sense, the SDGs, including SDG-11, are a tool of various dimensions that enable the transformative process (Schot et al., 2018). Numerous investigations deal with SDGs and, in particular, SDG-11 (Costa et al., 2018; Lundin & Serger, 2018; Marvuglia et al., 2020; Walsh et al., 2020). It is observed that the increase and advance of unplanned urbanization causes the destruction of natural ecosystems and may even alter water resources and reflect on other environmental and social problems. In this way, it is within cities that the movement of inclusion must occur, expressed by the provision of equitable conditions and access to urban infrastructure conditions such as mobility, basic sanitation, electricity, leisure equipment, culture, education and health (Costa et al., 2018). These considerations point out that traditional political guidelines should build and shape themselves to meet the SDGs, an aspect that becomes a basic assumption and that will guide society’s demands more and more clearly. In this sense, Transformative Innovation Policies (TIP) are identified as a key means to contribute to the change processes foreseen in the 2030 Agenda (Akon-Yamga et al., 2021). According to Schot and Steinmueller (2018) and Diercks et al. (2019), TIPs can be considered a paradigm shift in the making, as they arise from two previous innovation policy frameworks. The first consists of innovation for growth between the 1950s and 1980s, in which the innovation policy was oriented towards overcoming market failures, considering investments in Research and Development (R&D). The second framework emerged in the 1980s and it refers to the National Innovation System, whose emphasis lies on knowledge sharing and networking for innovation in a system. As a result of the deficiencies of the two previous ones, in not considering the impacts of innovation on society and the environment, the TIP approach arises, which addresses the need for transformative changes in the socio-technical system in order to cover not only economic issues, but also social and environmental issues (Akon-Yamga et al., 2021; Diercks, 2017; Haddad et al., 2022; Schot & Steinmueller, 2018). TIP should, therefore, be seen as a response to the demands of the contemporary world in transition and it is within this framework that the Sustainable Development Goals must be addressed (Schot & Steinmueller, 2018).
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As the principles of TIP develop and consolidate, it becomes necessary to evaluate the different approaches that are applied in different contexts (Boni et al., 2021). Thus, this study proposes, based on the analysis of public policies in the city of Curitiba-PR, to reduce the gap between the proposals of the 2030 Agenda, specifically SDG-11, and the TIP through transformative results in a context of socio-technical transformations.
4 Methodology This study is supported by the theories of Sustainability Transition (Geels, 2002, 2020a; Köhler et al., 2019; Loorbach et al., 2017; Markard et al., 2012), TIP (AkonYamga et al., 2021; Costa et al., 2018; Diercks et al., 2019; Lundin & Serger, 2018; Schot & Steinmueller, 2018) associated with the SDGs, specifically SDG-11 (UN, 2015). Methodologically, it is a descriptive research (Marconi & Lakatos, 2009), based on the proposal to describe how Public Policies, especially SDG-11 oriented TIPs, are implemented in the City of Curitiba, PR, in the context of socio-technical transformations. Curitiba’s experience is a learning opportunity and carries several elements that aid sustainable development, including innovations in the urban system. Curitiba is the capital city of the state of Paraná (Fig. 1) with an estimated population of 1,963,726 people. The economic activity is distributed in several sectors such as services, retail, commerce and industry, and its urban infrastructure is nationally recognized with 96.3% of households with adequate sanitary sewage, and 76.1% of households located on public roads with trees (Instituto Brasileiro de Geografia e Estatística [IBGE], 2022). Curitiba continually seeks to become a sustainable and innovative city. In 2019, the municipality became a signatory to the 2030 Agenda (OECD, 2021), according to Law No. 15.538/2019 which provides for the adoption of the 2030 Agenda for Sustainable Development as a guideline for Public Policies in the city of Curitiba (2019a). The perspective developed in this study is focused on the projects presented in the Multi-Year Plan (PPA for its Portuguese acronym) for the period of 2022 to 2025 (Curitiba, 2021a). There are several projects presented in urban planning in the areas of solidarity, ethics and sustainability. Specifically, the sustainability axis includes the programs Live a New Curitiba; Live a Technological Curitiba and Live a More Agile Curitiba, whose projects are oriented towards the preservation of natural resources, entrepreneurship and innovation, and access to an integrated system of sustainable urban mobility, respectively (Curitiba, 2021a). For this study, three specific projects were selected, namely the Urban Hipervisor Project, Pinhão Valley Innovation Project, and the Expansion and Electrification Project of Inter Line 2. The first two are linked to the Live a Technological Curitiba program, while the Inter 2 project is part of the Live a More Agile Curitiba program. The choice was made through the relationship of these projects with targets 11.2, 11.3 and 11.a of SDG-11, in addition to being good examples of transforming results of the TIPs.
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Fig. 1 Location of Curitiba, PR. Source Own elaboration
For operationalization, a qualitative study was carried out (Creswell, 2010), with data collection through semi-structured interviews with managers of Curitiba’s municipal agencies, seeking to understand, in depth, actions and projects developed and that will be implemented in the coming years. Secondary data research was also carried out with Curitiba’s Legislation, PPA 2022–2025, Master Plan, linked projects and programs. The interview script was built and applied to the coordinator of the Municipal Institute of Public Administration of Curitiba (IMAP for its Portuguese acronym), to the coordinators of Projects at the Institute of Research and Urban Planning of Curitiba (IPPUC for its Portuguese acronym), and to the coordinator of Curitiba’s Agency for Development and Innovation S.A., with the aim of characterizing the profile of the projects, as well as obtaining information regarding the effectiveness of the actions undertaken (see Table 1). The questions were sent and answered by e-mail during the months of March and April 2022. Throughout the process, the still persistent doubts were forwarded to the responsible public body. The data were analyzed using content analysis, aiming, through systematic procedures, to describe the content of certain messages and obtain knowledge related to them, considering 3 steps: pre-analysis, exploration of the material and treatment of results and interpretation (Bardin, 2011). Subsequently, the results are presented with the relation between municipal planning and the SDGs, and the description of the evaluated projects, followed by the analysis of the fulfillment of the SDGs and the transformative results in the context of socio-technical transitions.
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Table 1 Semi-structured interview script Thematic axes
Examples of questions
– Urban Hypervisor Project; – Pinhão Valley Innovation Project; – Inter 2 Project; – Integration of projects and SDGs
(1) Could you explain what the . Municipal Institute of Public Urban Hypervisor Project is? Administration of Curitiba (IMAP)—Coordinator (2) What is INOVA VP? (3) Does the Inter 2 project integrate . Institute of Research and Urban Planning of Curitiba which mobility concerns and which IPPUC—Technical Team aspects are being addressed? . Curitiba’s Agency for (4) How do projects and planning Development and Innovation actions articulate with the global S.A.—Coordinator initiatives of the 2030 Agenda?
Public bodies involved
Source Own elaboration
5 Results and Discussions In the present study, it was possible to observe several aspects that point to a concern in Curitiba to implement the SDGs and to present transformative results to the multiple aspects that involve the urban environment. The main externality focused on the present investigation concerning the resolution of problems related to the need for urban mobility and the implementation of support systems for the development of innovation and technology, as they are linked to targets 11.2, 11.3 and 11.a of SDG11. These concerns are present within the Programs that are part of the 2022–2025 Muti-Year Plan, specifically the Programs Live a Technological Curitiba, which aims to “stimulate local innovation and entrepreneurship, seeking sustainable, creative and connected solutions” (Curitiba, 2021a, p. 58); and Live a More Agile Curitiba, which aims to “improve public transport in Curitiba, with an integrated and intermodal system of sustainable metropolitan mobility” (Curitiba, 2021a, p. 79). In the sequence, the evaluated projects are described in greater depth.
5.1 Urban Hypervisor Project The Live a Technological Curitiba program is the responsibility of the Curitiba Agency for Development and Innovation, public–private enterprise that works to promote the economic and technological development of Curitiba with a focus on innovation and sustainability. According to the Agency’s Project Coordinator: The Live a Technological Curitiba program aims to prospect, develop and foster local innovations and entrepreneurship, aiming at sustainable, creative and connected solutions, with a metropolitan vision and focus on excellence in serving the population for the consolidation of a smart, resilient and humane city.
With technology applied to modernization, the Live a Technological Curitiba Program has as one of its pillars the implementation of the Urban Hypervisor Project,
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a tool that catalyzes and coordinates the integrated functioning of the information structure of Curitiba’s City Hall, and enables a complete smart city that should be implemented by 2024 (Curitiba, 2021a). The project is linked to the IPPUC and relies heavily on information from different sources, process structuring, knowledge generation, and continuous monitoring of the city. This project aims to integrate information from the public and private sectors in order to assist city planning and the management of public services, bringing together technological management tools on a single platform. According to the IPPUC technical team, the advancement of public administration, and changes in society in the process of digitization generate an increase in management complexity, requiring an exchange of information and efficient data collection and processing. In this sense, the Urban Hypervisor works as an integrating layer, above the various supervisory systems and operational control centers, and it can be summarized as an instrument for better data collection combined with better analysis and better dissemination of information. This project aims to provide the municipality, therefore, with the condition of a smart city supported by information, structuring of the process and the continuous monitoring, allowing quick decision-making and efficient integrated actions from the processing at high speed of large volumes of data (big data). These actions in the area of Information Technology, combined with their innovative use, provide several aspects that expand improvements to the population in line with SDG-11.3.
5.2 Pinhão Valley Innovation Project Also in Curitiba’s Technological Program, there is an emphasis on developing entrepreneurship and encouraging the creation of new innovative businesses. One of the linked projects is the Pinhão Valley Innovation Fund, or Inova VP, which aims to foster innovation, and scientific and technological research in the productive environment of Curitiba, promoting well-being and diversifying the region’s economy. This Fund allows the city to invest resources in the development of startups and social impact ventures, encouraging initiatives that expand the concept of smart city (Curitiba, 2021b). The project is linked to the Municipal Planning, Finance and Budget Department and to Curitiba’s Development and Innovation Agency. According to the Agency coordinator: Inova VP is the Pinhão Valley Innovation Fund, created by Law 15536/2019 with the objective of promoting innovation, and scientific and technological research in the productive environment of the city of Curitiba. Startups and entrepreneurs with innovations of social impact, technology, and smart cities will have priority in the release of resources.
The construction of this perspective involves a dialogue with the urban community, which takes place through the Ecosystem Governance Committee of the Pinhão Valley Innovation. This committee brings together the public and private sectors, universities, and institutions to plan the actions of the ecosystem and disseminate
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them in order to reach more people. The goal is to reach at least 50 startups benefiting from the incentive laws and acceleration programs by 2050 (Curitiba, 2021a). Curitiba is already recognized as one of the municipalities with a great environment for the development of innovative businesses (Curitiba, 2022). Currently the city has 3 unicorn ventures (companies valued at more than $1 billion) through the support of Startups (Curitiba, 2022). These connections strengthen the possibilities of building conditions for the implementation of Transforming Results, which can help in the contemporary socio-technical change. Furthermore, the desired results are in the direction of the SDGs, which seek to promote development-oriented policies that support productive activities, business generation, entrepreneurship and innovation, as pointed out by the coordinator of Curitiba’s Development and Innovation Agency.
5.3 Inter Line 2 Expansion and Electrification Project The Integrated Transport Network (RIT for its Portuguese acronym) of Curitiba is part of the public transport system that serves about 1.4 million people per day, including the metropolitan area, consisting of 342 boarding and disembarking stations. In 1979 the Interbairros Line 2 was created, and later, in 1992, the Inter 2 Direct Line was developed, which works on the same 38 km route, but the second one does not have stopping points along the way. The Inter Line 2 improved the integrated transport system, bringing agility to the displacements when carrying out the itinerary without passing through the central area of the city. Currently, the line carries around 155,000 people a day (Curitiba, 2019b). In 2019, a project was started that discusses the implementation of improvements in the Integrated Transport Network of the city of Curitiba, specifically considering the increase in the capacity and speed of the Inter Line 2. This project is linked to the Live a More Agile Curitiba program, and IPPUC is responsible for it. According to the IPPUC technical team: The Inter project is part of Curitiba’s Sustainable Mobility Program. This program has four macro strategies: decarbonize the public transport fleet; attract users to public transport; promote active mobility; and establish a culture of data management and innovation.
Specifically, for Inter 2, a 40% reduction in travel time is proposed, which currently, on average, correspond to 141 min for Interbairros Line 2 and 104.5 min for the Inter 2 Direct Line. This reduction is sought through the implementation of exclusive lanes, one-way lanes, and an increase in vehicle frequency. The planning also proposes the implementation of new stations with air conditioning that uses renewable energy, smart grid systems, access to Wi-fi, electronic ticketing, revitalization of sidewalks along the route, adoption of vehicles better adapted for people with special needs, improvement in the accessibility of terminals and an increase in passenger capacity by 16.7%. According to the IPPUC technical team:
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The Inter 2 project is one of the initial milestones in the expected transformation of urban mobility in Curitiba and consists of an expressive intervention with the renovation and modernization of terminals; the implementation of new stations - wider, more comfortable, intermodal, self-sustainable and connected in a micro smart grid system. The implementation of dedicated lanes, revitalization of sidewalks, gender-sensitive landscaping, and fleet renewal with the adoption of electric buses complete the planned interventions.
According to the IMAP Coordinator, interventions on the roads are also accompanied by lighting projects with the implementation of LED systems, which are more economical in financial and environmental terms. These interventions, in addition to contributing to the improvement of the quality of life, can stimulate the economy with easier access to employment, considering the connection, from the lines, to areas further away from downtown. The electrification of the grid is also being discussed, and should start in 2025. In this sense, a more sustainable and efficient system in operational terms is sought. According to IPPUC technical team, the insertion of electric buses can result in a 1.1% reduction in the MP2.5 concentration in the city, which represents gains in the population’s quality of life. In addition to this project, IPPUC has been participating in studies with companies in China to enable the development of engines with greater autonomy, whose batteries can be recharged while traveling. It should also be noted that the projects mentioned have the participation of the population through channels such as Curitiba Talk, social networks, public consultations, and specific committees such as the Ecosystem Governance Committee of the Pinhão Valley Innovation Program. In fact, in the 2022–2025 Multi-Year Plan there is the Curitiba Transparent Program, whose objective is to promote fiscal prudence, reduction of bureaucracy, transparent performance and quality in the use of public money (Curitiba, 2021a).
5.4 The 2030 Agenda and Transformative Results in the Context of Socio-Technical Transitions in Curitiba When analyzing the Urban Hipervisor, Inova VP and Inter 2 projects, a proximity to the SGD-11 was observed, while these initiatives guided growth and development without a decrease in people’s quality of life. It is also possible to denote that there are several aspects that are linked to the TIP, that is, they bring elements of changes and experiences that prioritize socio-environmental challenges, through transformations in the socio-technical system, in which there are important elements to the urban environment. Municipalities have been increasingly demonstrating what can be done in cities in pursuit of sustainable development and meeting the SDGs (Frantzeskaki et al., 2017). The Urban Hypervisor project, for example, with the processing and availability of information, becomes essential, not only for public management, but also for better meeting the demands of the population, integrating planning into the smart city concept (Abreu & Marchiori, 2020).
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This way of treating public services consistently meets SDG-11, target 3, which proposes to increase inclusive and sustainable urbanization, and capacities for planning and managing participatory, integrated and sustainable urban settlements (UN, 2015). By aiming at a sustainable city and community perspective, the technology, proposed in the Urban Hypervisor project, constitutes itself as an improvement tool (Lundin & Serger, 2018). By providing an opening for entrepreneurship with the promotion of innovation in the productive environment of Curitiba, the Inova VP project allows a context conducive to the development of companies that have the expectation of growth. In addition, it will promote the diversification of the region’s economy, and expand the concept of smart city and the social impact from startups and ventures aimed at this purpose. These initiatives connect to target “a” of SDG-11, which proposes to support positive economic, social and environmental linkages between urban, peri-urban and rural areas, strengthening national and regional development (UN, 2015). In turn, the Inter 2 Project intends to take Curitiba’s public transport to a new level, with an integrated and intermodal system of sustainable metropolitan mobility. This includes the modernization of transport axes, the electrification of the network, and the offering of more options for modes of travel, seeking greater convenience for users. The project, in this sense, meets target 2 of SDG-11, when it provides access to a safe, accessible and sustainable transport system with expansion of public transport, and develops quality, reliable and resilient infrastructure with equitable access and at affordable prices (UN, 2015). The table below summarizes the projects’ relationship with SDG-11, as well as the associated transformative outcomes (Table 2). Considering the TIPs, one can see in the nature of these initiatives an approximation with the guiding principles of transformative results (Grin et al., 2010; Schot & Steinmueller, 2016; Molas-Gallart et al., 2021). It should be noted that TIP is an emerging approach to understanding and practicing innovation policy in order to address social and environmental challenges, as presented by the SDGs (Akon-Yamga et al., 2021; Schot & Steinmueller, 2018). The Urban Hipervisor, Inova VP and Inter 2 projects are signs of initial changes resulting from the search of solutions for information access systems, space for new entrepreneurs, attendance to universal access to living conditions, and environmental systems of renewable energy, most of them suited to the context of cities with larger populations, which can be considered transformative results (Lundin & Serger, 2018; Ghosh et al., 2021; Molas-Gallart et al., 2021). Specifically, the Inter Line 2 electrification project involves a socio-technical shift from a currently consolidated regime based on fossil fuels to sustainable energy sources. The same can happen with the stimulation of enterprises with social impact, which can be constituted as niches developing innovation that, little by little, influence and transform the regimes for more sustainable modes of production and consumption (Geels, 2002, 2020a, 2020b; Loorbach et al., 2017). Technology and the notion of a smart city promoted by better collection, analysis and dissemination of information can contribute to this process of urban sustainability transitions, as well as the participation of the population, facilitated and stimulated through communication
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Table 2 List of analyzed projects with SDG-11 and transformative results Projects
Transformative results
Relation to SDG-11
Urban Hypervisor
Integration of information, generation of knowledge, improvement in decision-making, modernization of administrative processes, greater agility in service, and direction towards a smart city
SDG-11, target 3. The project increases the capacity for the planning and management of urban settlements based on technology
Pinhão Valley Innovation
Fostering innovation in the municipal productive environment, increasing well-being through social impact ventures, diversifying the region’s economy and expanding the smart city concept
SDG-11, target a. The project contributes by supporting economic, social and environmental linkages that contribute to the development of the region
Inter 2
Increase in line capacity, new self-sustaining stations powered by solar energy and smart energy grids, electrification of the grid with lower carbon emissions, access to Wi-Fi, electronic ticketing, revitalization of sidewalks, vehicles and terminals adapted to people with special needs, LED systems, and incentives to employment provided by the accessibility to areas further away from the center of the city
SDG-11, target 2. The project provides access to a safe, accessible and sustainable transport system, with a priority on clean energy-powered public transport
Source Own elaboration
channels and programs for this purpose (Diercks et al., 2019; Ehnert et al., 2018; Loorbach & Shiroyama, 2016). In view of these examples, it is necessary that policymakers also initiate the development of new practices to face social and environmental challenges, contributing to the emergence and acceleration of transitions to new socio-technical systems based on transformative results (Markard et al., 2020; Schot & Steinmueller, 2018).
6 Conclusion This study aimed to analyze the Transformative Innovation Policies, aimed at the implementation of SDG-11—sustainable cities and communities—of the UN 2030 Agenda in Curitiba, PR, in a context of socio-technical transitions. Objectively, it was sought to present the link between the Urban Hipervisor, Pinhão Valley Innovation and Inter 2 projects with targets 11.2, 11.3 and 11.a of the SDG-11, and transformative results.
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This model is an initial guide that allows us to verify how the Projects of Curitiba’s, 2022–2025 Multi-Year Plan add and position themselves in relation to the processes necessary for the socio-technical transformation, and the way in which they are being built or are starting to be implemented. The city of Curitiba adopted the SDGs from the 2030 Agenda as guidelines for political decisions, which involve long-term planning and the search for solutions that challenge the already consolidated techno-social structures. In this context, TIPs are a new way of reflecting and searching for solutions to different sustainability challenges. From the projects presented, it is observed that there is a predisposition of the city to propose solutions that are in line with SDG-11 and will bring benefits to the population’s quality of life. In this sense, the actions can be configured as transforming results with positive socio-environmental impacts, in addition to constituting an influence in the processes of socio-technical transitions from the development of niches that challenge the established regimes. It should, however, be considered that the study deals with a specific context approached from a qualitative perspective that makes a more rigorous generalization impossible. However, the examples listed here can serve as a model for other realities that are moving towards meeting contemporary demands on sustainability. Far from exhausting the topic, other studies can be developed considering different contexts, benefits obtained from TIP, and stages of the transition process, for example.
References Abreu, J. P. M., & Marchiori, F. F. (2020). Aprimoramentos sugeridos à ISO 37120 “Cidades e comunidades sustentáveis” advindos do conceito de cidades inteligentes. Ambiente Construído, 20(3), 527–539. Akon-Yamga, G., Daniels, C. U., Quaye, W., Ting, B. M., & Asante, A. A. (2021). Transformative innovation policy approach to e-waste management in Ghana: perspectives of actors on transformative changes. Science and Public Policy, 48(3), 387–397. Bardin, L. (2011). Análise de conteúdo. Tradução de Luís Antero Reto e Augusto Pinheiro (p. 70). Edições. Boni, A., Velasco, D., & Tau, M. (2021). The role of transformative innovation for SDGs localisation. Insights from the South-African “Living Catchments Project”. Journal Of Human Development and Capabilities, 22(4), 737–747. Costa, J. R., Costa, P., Almeida, J. S. S. E., & Hammes, V. S. (eds.) (2018). Cidades e comunidades sustentáveis: contribuições da EMBRAPA. Embrapa. Creswell, J. W. (2010). Projeto de Pesquisa - métodos qualitativo, quantitativo e misto, 3rd edn. Bookman/ARTMED. Curitiba. (2019a). Lei nº 15.538, de 07 de novembro de 2019a. Dispõe sobre a adoção da Agenda 2030 para o Desenvolvimento Sustentável da Organização das Nações Unidas - ONU como diretriz de Políticas Públicas no município de Curitiba. Diário Municipal Oficial. Curitiba, PR. Curitiba. (2019b). Ampliação da capacidade e velocidade da Linha Direta Inter 2. IPPUC. Retrieved March 26th 2022 from https://www.ippuc.org.br/visualizar.php?doc=https://admsit e2013.ippuc.org.br/arquivos/documentos/D327/D327_036_BR.pdf
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Sérgio Luis Dias Doliveira has a Ph.D. in Business Administration from the Universidade Federal do Paraná (2013). He is a professor at the Universidade Estadual do Centro Oeste (UNICENTRO), in the courses of Graduation in Business Administration and Master’s and Doctorate in Community Development. Sieglinde Kindl da Cunha holds a PhD in Economics in the area of innovation policies— from the Institute of Economics of the University of Campinas. She participates in the Research Networks: Sustainability Transition Reserch Network—STRN, Transition Global South and Sustainability Transition Brazil. Since 2020, she has been a volunteer professor at the Graduate
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Program in Administration at the Universidade Tecnológica Federal do Paraná PPGA/UTFPR and as a Senior Professor at the Graduate Program in Administration at the Universidade Federal do Paraná-PPGADM/UFPR. She has been a Research Productivity Scholar 2 by CNPq since 2014. Flavia Massuga holds a master’s degree in Community Development from the Universidade Estadual do Centro-Oeste (2020). She is currently a doctoral student at the Interdisciplinary Graduate Program in Community Development (PPGDC/UNICENTRO).
Environmental Conflict and Contingent Valuation Method: Setting Up a Pilot Study on Biogas Plants Acceptance in Emilia Romagna Dottor Edoardo Maria Benassai
Abstract Environmental conflict is growingly being integrated into the method of contingent assessment, especially in presence of non-use values. This work aims to investigate how environmental conflict influences environmental projects’ assessment. Using the theoretical backgrounds of the Prospect theory, that shows the formal inequality between Willingness to pay and Willingness to accept, we will set up a pilot study to investigate the biogas acceptance in Emilia Romagna region. The pilot survey is deployed with a referendum format, integrating negative WTP. The results show a widespread support for biogas in the region, nevertheless the spot ‘losers’ counterpart asks for an economic compensation. Finally, the conclusions of our study are reported, followed by some useful insights for further research. In the light of the information collected in the literature, it will be explained how to correctly scale a contingent assessment, based on the results of the pilot study. Keywords Biomass · Social acceptance · Local acceptance · Local public goods · Waste management · Renewable energy · Circularity
1 Introduction One of the main aims of the economic analysis is explaining and evaluating the meaning of market transactions. Notwithstanding, several public goods, such as environmental assets, lack of direct form of transaction, hence it is difficult to economically express which is their perceived value for a community, especially in situations in which non-use values are at stake. Examples of non-marketed commodities and services could be clean air, natural sites, wildlife areas, endangered species. Nevertheless, the aforementioned absence of a direct transaction does not imply the absence of value, as non-marketed goods are likely to have a high social value that enhances the people’s well-being (del Saz-Salazar, 2018). D. E. M. Benassai (B) Università degli Studi di Ferrara, Via Voltapaletto, 11, 44121 Ferrara, FE, Italy e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_16
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Against this background, this research will examine the importance of the environmental conflict as a socio-economic matter. By specifically focusing on the Emilia Romagna (ER) case, we will identify the drivers influencing the acceptance of biogas in ER. To this scope, we will, firstly, introduce what is environmental conflict and the main behavioural insights of the prospect theory, in order to explain why is there a substantial inequality between Willingness to Pay and the Willingness to Accept. Especially, we will highlight how environmental projects may be seen as positive for some agents and negative for others, depending on different reasons Our analysis of theoretical insights regarding environmental conflicts, winners and losers in environmental evaluation applied to Contingent valuation methodology, will be our theoretical foundation to set up a pilot study in order to identify an upper and a lower bond of the Willingness to pay with respect to biogas projects in the region. This last consists in an ad-hoc web-survey and it is aimed at investigating, in a small scale context, which variables may explain biogas acceptance. This paper is structured as follows: Sect. 2 presents the theoretical background, Sect. 3 describes the setting-up of the pilot study. Section 4 regards data and methodology. Section 5 presents the results of the pilot survey and Sect. 6 will lead the conclusions.
2 Theoretical Background 2.1 What Is Environmental Conflict Environmental conflicts manifest as political, social, economic, ethnic, religious, territorial based phenomenon characterised by some form of environmental degradation. We acknowledge from political geography literature that since the 1990s it was detected a strong relatedness between environmental degradation, renewables, resource scarcity and environmental conflict. After 2007 the main topic of contention for environmentalists, and in the wider sense the social concern, moved on climate change reflections and the related conflicts. This new environmentalism is rooted in the concept of environmental justice, which is simultaneously an interdisciplinary field of research, a political claim and a widespread international movement. In the idea of environmental justice, environmental risk factors are considered as elements of social justice, relevant and necessary for human rights (Centro Documentazioni dei Conflitti Ambientali, 2019). In the light of the above, environmental conflicts are characterized by the overexploitation of resources, typically in conditions where the environmental capacity is exceeded and the reproduction of life is threatened. Following the approach of CDCA, we can distinguish two typical aspects recurring in environmental conflicts: 1. “A qualitative or quantitative decrease in natural resources, or public goods in the specific territory (agricultural fields, water, biodiversity, flora and fauna, minerals ecc.)
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Fig. 1 A map of environmental conflicts in Italy. Source CDCA
2. The presence of contrasting/resistance activities enacted by the civil society (damaged communities, social organisations, social movements, active citizenship associations, stakeholders ecc.) which organise and mobilitate in order to protect the environment, the public goods and their rights on the territory1 (Fig. 1—CDCA, 2011, p. 12). Another category which is going to be deepened in this analysis relates to those situation in which the information of individuals regarding some environmental concern, makes the difference. For example, it may happen that some conflict disrupt because of the reaction of a community against a future project or policy. It is possible to see various forms of reaction before, during, and after the realisation of a project, which is perceived harmful or useless by a community. There are at least three relevant aspects pointed out by De Marchi et al. (2010) each of them regard specific situations in which environmental conflict emerges: 1. Civil society enacts a preventive reaction in order to prevent a damage that might result from a territorial modification. 2. Public institution is trying to spur environmental protection or restoration, in turn causing some form of limitation to socio-economic activities. 3. The conflict is caused by a project that provides something mainly positive for the environment, even though it has some negative externalities for some groups of the society. As in the case of renewable source power plants, concerns usually emerge in relation to aesthetic reasons. It is well known in the literature that these conflicts represent a large portion of overall environmental conflicts and we are going to deepen particularly the latter category. 1
Figure 1 highlights different kinds of environmental conflicts in Italy.
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It emerges that a broader definition of the environmental conflict’s concept should consider environmental contrasts as something that disrupts as a social willingness of active participation to establish changes, to take part to the development and the environmental decision making process. An interesting contribution brought by CDCA (2015) highlights the importance of looking at the conflict not just considering the ecosystem, but rather taking into account the very and specific territory, including territorial, labour and political consequences. Hence, environmental conflicts develop in time and result out of many, and sometimes opposite, territorial projects with a specific local connotation. We acknowledge that these kind of concerns changed in time also in terms of triggering causes and related reactions. If initially the reaction dimension was mainly based on catastrophes, we experienced growing concern towards sustainability issues for both policymakers and civil society. Nowadays the approach is not simply reactive but rather related to planning activities. This means that individuals are increasingly involved in the participatory process of decision making with respect to environmental goods and assets. On the one hand, the spread misinformation, does not allow for the proper understanding of some projects, even if they have lighter environmental impact than the alternatives. On the other hand it is fundamental to consider also how public institutions act and relate with such a changing society. In these concerns, there exist different mechanisms which can be considered to incentivise pro-environmental behaviours, consisting in monetary and non monetary incentives. This second category is relevant also for behavioural economics, since we assume that the overall utility outcome computed by individuals in their choices, might also be built on “irrational” preferences. Thus the drivers like social recognition or rewarding, as mechanisms based on punishment or disapproval of harmful actions, are peculiar factors to understand how environmental attitudes are triggered, and how they do displace. As a consequence, in the next section we are going to report some insights from the social dilemmas literature to understand the complexity of the relations an individual might have with a specific environmental concern.
2.2 Prospect Theory (PT) The standard economic theory considers homo oeconomicus as an agent that is too selfish and too rational. The first claim comes out from the Social Preferences Theory (Fehr & Fischbacher, 2002, p. 5) while the rationality assumption will be the object of analysis of this section. A rational individual has a set of preferences that maximise the utility function that represents preferences, namely choses always the alternative which leads to the maximum utility. Indeed we find two main assumptions in standard models of decision making. In first instance, preferences are independent from current assets. Secondly, preferences do not depend on the initial reference point with respect to current holdings (Blume & Easley, 2008).
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The experiment of (Kahnemann et al. 1990) led to peculiar results. Their Prospect Theory shows that individuals start their evaluations from different reference points, resulting in a higher Willingness to accept (WTA) with respect to Willingness to pay (WTP). It also shows the cognitive dissonances depending on the role of a subject, stressing that emotional biases are also very relevant. The extent of such results is even more evident when decisions are relevant, for example in the evaluation of environmental decisions regarding costs/benefit analysis. Loss aversion is one of the most relevant variables used to explain the gap in many Contingent valuations between WTP and WTA for non market goods such as environmental damage. Empirically, subjects require from 2 to 10 times as much money to bear an environmental damage with respect to their WTP to avoid the same harm. Theoretically this two items should be equal following Coase Theorem. Practically Michell and Carson (1989) noticed that many studies with WTA were characterised by a highest number of protest answers such as refusing to accept some money to bear environmental degradation or huge amounts of money, to be compensated for the damage. The protest rates often exceeded 50%, noticing that often respondents had feelings of rage and so protested, to bear the negative externalities of the construction of a waste disposal site or even more when exposed to potential risky projects, as the installation of nuclear power plants. The exposure to potential risks it’s the key point to better investigate the widespread avoidance of accepting those projects which seem risky and harmful for the environment. Clearly, the case-study of biogas acceptance has significantly lower environmental risks, nevertheless the analytical framework to analyse reluctancy and protests in this field also mirrors risk perception linked to individual choices. Thus in reality we see that theory states some equalisation between WTP and WTA, while reality reveals a divergence between this two values. Therefore, it is of our interest to consider this aspect in our analysis, and to consider the use of WTP to appraise values also for the compensation objective, postponing this topic in the practical best practices to conduct a reliable CV.
2.3 Non-negative Willingness to Pay In this sub-chapter we will address why we will integrate positive and negative bids in the pilot study, which can be accomplished using a dichotomous choice format. The work of Clinch and Murphy (2001) stressed one particular aspect, not well considered until that moment, that is to work with negative willingness in order to integrate and evaluate potential losers of specific projects. In other words, they are questioning the assumption of a strictly positive WTP. Following Arrow et al. (1993) it is considered the use of binary (or referendum) choice elicitation format of stated WTP for individuals. The outcome is to ask individuals for ‘pricing’ a positive variation in the provision of a public good, i.e. environmental, being asked to express if they agree or not to pay a stated sum of money. If the specific public good presents also features of a public bad, it is necessary to use an appropriate consumer’s surplus measure in order to integrate the loss of utility for some individuals, if the
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provision of the public good is increased. The most frequently used approach to integrate welfare losses in CV was to include negative bids into the survey set, in order to get how the provision of a public good or bad is perceived by respondents. In turn a valuation functional form is chosen for the parametric estimators, for example making assumptions about the negative tail of the WTP distribution. Anyway this approach may be inappropriate if respondents are not directly allowed express a negative preference. Describing a change on the landscape, for example caused by some project, might be posed as something good or bad depending on one’s preferences. It might seem peculiar therefore for a respondent to pay for something he or she considers good or bad respectively if they pay for the realisation or the avoidance of the project. It is needful indeed the application of specific methods in order to integrate winners and losers in environmental appraisal, explicitly considering the quantification of negative bids (Kristrom, 1997, pp. 1013±23).
3 Empirical Approach: Setting-Up the Pilot Study (to Get an Upper and Lower Bound for WTP Regarding Biogas Acceptance in ER) For the scope of this paper, will refer to the work of Mazzanti et al. (2019), in order to have an empirically working framework to better investigate our research question. The Green on Green case is evident; we refer to a case of community opposition, regarding the development of an energy source, which is normally considered environmental friendly and positive. Thus our empirical framework has to reflect the inclusion of winners and losers in the setting up of the pilot study (Warren et al., 2005, pp. 853–875). We will follow a model a la Clinch and Murphy, as a tool to integrate the possible irrational aversion of local communities, which are sometimes external reasons of social groups, such as historical, cultural reasons, or that have a pre-condition related to another indirectly affected sector (e.g. agriculture). As previously mentioned we will refer to Soland’s work regarding the analysis of biogas social acceptance and the power of inclusivity of participatory processes held by public institutions (Soland et al., 2013, pp. 802–810). Despite Soland experiments were performed on ex post valuation, and in Modica research, focusing on the relative difference of acceptance before and after a participative process, we will consider a running procedure of public inclusion. Rete Emergenza Climatica Emilia Romagna (RECER) is having a direct relation with institutions. The impact of this huge networking activity is giving an singular result: enclosing institutions and active citizenship, in decision making, reviewing and monitoring procedures to concretely aim at the sustainability goals of the region. On one hand what we propose is to integrate in the further research part a qualitative analysis among the territorial committees and environmental associations,
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likewise we will consider a random sample to set up a lower and upper bound for expressed citizens WTP. The main goal is to obtain an upper and lower limit for WTP regarding biogas in ER region, according to the consideration we made on negative bids. The setting in which we are operating is a ‘Green on Green’ case, in which we know that, hypothetically there should be some knowledge regarding the positivity of biogas plants and in general of renewables. The survey is based on WTP of individuals for the construction of a new biogas plant in the area. The further step is to divide the overall sample in subsamples basing the division on the amount of money sub- groups are willing to pay, in our case following Mazzanti Rampa and Modica [5e–10e–20e–50e]. One of the most relevant aspects is the division of the population into two macro categories, winners and losers, depending on their answer on the acceptance of having a new biogas plant built in their area. Since the possible donation amounts are four it is possible to define a Likert scale, in order to match the single answers and respective amounts with individual’s preferences and so acceptance. Hence we are going to match the positive or negative WTP with the respective levels of a Likert scale, integrating those respondents who see investments in new biogas plants as something detrimental for their territory. The key aspect of this approach is that it is possible to define the WTP of individuals which positively perceive the biogas investment for the community, as well as the willingness to accept, in terms of negative WTP for those individuals which instead perceive these investments as a problem, or simply as a cost for society. Such approach is meaningful because it is able to overcome and integrate the cognitive dissonance effect that displaces in the case of environmentally positive projects, which have some negative spillover on some communities, or at least it is so perceived (Akerlof & Dickens, 1982). The format of our study will follow the framework of Mazzanti, Rampa and Modica and Fig. 2 graphically represents how the survey will work, considering the referendum format used by Clinch and Murphy.
4 Data and Methods The survey was administered as a web-survey via social platforms. 121 people were interviewed as the population of the pilot study, during the period between the 15th of September and the 15th of November 2020. A sample of 111 respondents was drawn from the population, evenly distributed by gender and age. The questionnaire was divided in two sections: a socio-demographic and the core one related to the experiment. The core part was realised with a referendum format following Clinch and Murphy’s elicitation method. The main difference in our survey format is that we wanted to create a direct method of counterpayment in case the individual has a negative perception regarding the development of biogas plants in their territory. In fact, the individual is not asked to choose which form of economic compensation he or she considers most appropriate, but is asked which energy bill discount range he or she would accept. This is relevant because our study, since the
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Fig. 2 The referendum format with negative WTP Source Mazzanti et al. (2019)
pilot phase, highly considers the compensation mechanisms in case of negative WTP, so that subjects can easily understand and perceive the counterpayment. So instead of asking about the mean of compensation, we will use the question: “What range of energy discounts should people living near a biogas plant receive?”. Hence we will match in a Likert perspective all the possible answers with a level of the scale. “Strongly disagree” or level 1 of the scale is relative to the individuals who answer negatively to the main question of the survey, namely if the perception of new biogas plants in the area is perceived as something negative, and they would require an economic compensation for bearing such project development. Following we will consider individuals who “disagree” those who answer negatively to the key question and negatively also to the question regarding economic compensation. Instead those who answer positively to the key question but are not willing to pay nothing to finance the biogas investment, will be considered individuals who “slightly disagree”. The rest of the possibilities will regard positive answers to the key question and to the question related to economic compensation, clearly with different bid levels, so a donation of 5e will be matched with “slightly agree”, 10e with “agree” 20e or 50e with “strongly agree”. Our analysis will take into account also other relevant factors such as age class, energy consumption, area of living and transportation means normally used by respondents. The majority of the answers belong to the Bologna and Ferrara areas, with 80.4% of respondents stating that they are residents in the city they live in. An interesting
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aspect may be related to the degree of rurality, acknowledging that the 41.1% of respondents stated to live in a central zone of their city. This might be relevant since we know that especially rural areas are affected by the “bads” of biogas project development, hence in a formal study this aspect should be deepened, perhaps creating an ad hoc sample to interview exclusively rural communities and checking for possible different outcomes. In contrast with the study of Mazzanti, Rampa and Modica, we will not analyse the issue by comparing a pre and post policy situation. Being aware of the importance of participatory processes, we will offer an evaluation of pre-policy data, supposing a subsequent development of an active participation policy.
5 Results of the Pilot Survey Considering the key question “How would you react to the news about the construction of a biogas plant in your territory” we see that 79.2% (Fig. 3a) of respondents would react positively. Within this subgroup, however, we see that only 31.1% of respondents would be willing to donate a sum of money to finance the sustainability fund, with an average WTP of 16.11e. This is particularly significant, and could be influenced by several variables. First of all the reason could be related to the lack of a participatory project with respect to the theme. A second reason could be linked to the fact that our sample, for obvious reasons related to the method of the web survey, involves mainly young people. In fact, the 69% of respondents are not willing to donate because they have no economic availability (Fig. 3b). The 24% of respondents answered that they already pay taxes, meaning that the project is perceived as public and therefore already partly financed by tax payers. The BioMethER project is financed by European and regional funds, i.e. public funds, so it may be perceived as unnecessary or inappropriate to make a donation for this type of project. We wanted to specify that the donation was linked to a “Territorial Sustainability Fund”, being aware of the contrast regarding biogas in ER region, therefore willing to promote, precisely in the context of public investment, a correction of trajectory, in order to better include the demands of those who perceive this type of investment as harmful. As previously stated, the flip side regards the 20.8% of people that were not agreeing with the development of a biogas plant on the territory. This subset was asked if people that live nearby the plants should receive an economic compensation in terms of discount on their energy bill. Not surprisingly, 66.7% of the sub-set answered positively. This is very relevant for the purpose of our study since reveals that, within the subgroup we have previously defined as “losers” is highly wanted a compensation mechanism. In our case the mechanism had to be as clear and defined as possible. Through the discount shares on the energy bill it is possible to develop a very interesting discourse on negative WTP, having a way to measure it without directly referring to monetary compensation through some form of subsidy or public incentive. Another information to consider is the fairly direct perception that the
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Fig. 3 Fig. 3a Key question “How would you react to the news about the construction of a biogas plant in your territory”—Own elaboration. Fig. 3b Evaluation of the positive WTP—Own elaboration
interviewees have of the energy impact on the territory and of the inevitable indirect advantage for multi-utility energy companies or distribution companies. Therefore we take note of this awareness and consider this information fundamental in order to represent the negative WTP. Our purpose, indeed, was to create a form of integration of winners and losers, acknowledging that, like it or not, a discrete majority of respondents is in favour of biogas. This integration may happen only if local communities, minorities that suffer some sort of damage caused by the development of projects,
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Fig. 4 Negative WTP expressed in terms of discounted energy bills, own elaboration
have voice in the participatory processes developed and can state claims regarding possible solution to integrate the fact that they are not bettering off (Fig. 4). Within the losers subset we see that 30% of respondents would like a 50% discount on their energy bill, while the 40% would place their discount in the 21– 30% threshold. This figure would suggest that there is a strong need for economic compensation in the losers subset, despite the fact that they represent a minority. At this point it may be necessary to analyse the concrete feasibility of this compensation mechanism. This would be relevant as it would be possible to build a dialogue with the operators of the largest biogas plants on the territory to create these local compensation mechanisms. Nowadays it is possible to require the energy supply companies to source households completely with renewable sources. Therefore, it would not be impossible to think about the creation of purely energy incentives for the territorial realities involved in the projects.
6 Conclusions and Further Research This study aims at understanding and identifying the drivers influencing biogas acceptance in the Emilia Romagna region. The first part of the work introduced the concept of environmental conflict. Following the prospect theory and other behavioural economics insights, we discussed formally the difference between WTP and WTA. For the purposes of our study, this difference is relevant for the following two reasons. First, it highlights why it is inadvisable to use WTA as a proxy to assess the acceptance of an environmental project. Secondly, the difference, which is deeply linked to the irrationality of individual choices, stresses the need to use a more effective measure of preferences, in order to integrate the negative ones.
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Following the framework of Clinch and Murphy (2001), we integrated negative bids in order to set up an experiment which evaluates and measures the reasons of the losers, giving back a form of appraisal of their negative preferences. The survey showed that 79.2% of respondents would react positively to the development of a biogas project in their area. Within this subgroup, however, we see that just the 31.1% of respondents would be willing to donate a sum of money to finance the sustainability fund, with an average WTP of 16.11e. Nevertheless, to make reliable assessments it would be necessary to calculate the whole WTP for Emilia Romagna population using a significant sample size. The 20.8% of people that were not agreeing with the development of a biogas plant on the territory was asked if they should receive an economic compensation in terms of energy bill discount and not surprisingly 66.7% of the sample answered positively. Anyway just the 7% of the overall sample is asking for an energy bill discount between 40 and 50% of the energy bill cost. The discount shares on the energy bill it is a good starting point in order to represent negative WTP. The average WTP, in turn, should be weighted accounting the negative bids in terms of economic compensation. Provided the average WTP of the pilot study it would be interesting to replicate the experiment, enlarging the survey to a wider regional representative sample, asking whether people are willing to pay the average WTP stated in the pilot study (16e). This result could have a discrete relevance according to the analysis previously made about the consistency of the CV study, when the setting scenario is modified, perhaps changing the key question, hence the default referendum option. It would be useful to integrate the results regarding ‘losers’ and the high propensity among this minority to ask for an economic compensation for bearing biogas plants development in their areas. The energy bill discount format in our opinion, is reliable, since it stresses the clear link between the upgraded energy sourcing condition of the territory and the form of compensation that better mirrors a consequential detrimental situation for those who worse off. The development of a pre and post policy investigation is a must, in order to acquire meaningful information about the relative importance of participatory processes over local acceptance. It would be significant to involve especially those realities which expressed strong contrast against the realisation of new plants. We suggest the realisation of a parallel survey, to integrate local acceptance specifically within rural communities. Following the outcome should be compared with the general regional result, in order to evaluate the potential worsening gap depending on the rurality degree of respondents. In last instance, it may be relevant to conduct a survey within Rete Emergenza Climatica e Ambientale Emilia Romagna (RECAER) to investigate the biogas acceptance of environmental associations in the region. Of course, in this case it is needful to remodel the experimental framework, deepening the type of project that would be realised, rather than using a generic “territorial sustainability fund”. The relevance of the specific kind of project is key since under these conditions, we would deal with informed respondents. Indeed environmental committees and associations may express concerns regarding f.i. the dimension of the hypothetical installed plant. Therefore this further investigation might lead to interesting operative qualitative insights regarding the biogas plants acceptance of informed agents.
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References Akerlof, G. A., & Dickens, W. T. (1982). The economic consequences of cognitive dissonance. The American Economic Review, 307–319. https://www.jstor.org/stable/pdf/1831534.pdf Arrow, K., Solow, R., Portney, P. R., Leamer, E. E., Radner, R., & Schuman, H. (1993). Report of the NOAA panel on contingent valuation. Publication date: Journal: Fed Register. Blume, L. E., & Easley, D. (2008). Rationality. In The new Palgrave dictionary of economics (2nd ed., pp. 2–3). CDCA, Centro Documentazione Conflitti Ambientali. (2011). Conflitti ambientali. Biodiversità e democrazia della terra, Milano, Edizioni Ambiente. CDCA. (2015, February). I Conflitti Ambientali:Espressioni di una crisi di sistema. I conflitti ambientali visti attraverso l’esperienza del Cdca; L’atlante dei conflitti ambientali italiani: una mappatura partecipata (a cura di Laura Greco e Marianna Stori). CDCA, Centro Documentazione Conflitti Ambientali. (2019). Conflitti Ambientali, il Dossier. Mappe, saperi e strumenti per le ecologie di domani © Copyright Clinch, J. P., & Murphy, A. (2001). Modelling winners and losers in contingent valuation of public goods: Appropriate welfare measures and econometric analysis. The Economic Journal, 420– 443. https://www.jstor.org/stable/2667871?seq=1#metadata_info_tab_contents De Marchi, M., Natalicchio, M., & Ruffato, M. (2010). I territori dei cittadini: il lavoro dell’OLCA (Observatorio Latinoamericano de Conflictos Ambientales), Padova, Coop. Libreria Editrice Università di Padova. del Saz-Salazar, S. (2018). Economic valuation: Use and non use values, methods and case study. In J. Le Roux, T. Sherpa & E. Williams (Eds.), Economic appraisal of environmental regulation. Department of Applied Economics II, University of Valencia, Spain, SEPA. Fehr, E., & Fischbacher, U. (2002). Why social preferences matter: The impact of non-selfish motives on competition, cooperation and incentives. The Economic Journal, 112(478), C1–C33. Kahneman, D., Knetsch, J. L., & Thaler, R. H. (1990). Experimental tests of the endowment effect and the Coase theorem. Journal of Political Economy, 98, 1325±48. Kristrom, B. (1997). Spike models in contingent valuation. American Journal of Agricultural Economics, 79, 1013±23. Mazzanti, M., Modica, M., & Rampa, A. (2019). Acceptance of biogas in Italy. An analysis on the social approval of new plants. Preliminary Version March 20, Keywords: Biomass, Local Acceptance JEL Classification: Q42, H49. Mitchell, R. C., & Carson, R. T. (1989). Using surveys to value public goods. Resources for the Future. Environmental impact of biogas: A short review of current knowledge, Washington, DC. Soland, M., Steimer, N., & Walter, G. (2013). Local acceptance of existing biogas plants in Switzerland. Energy Policy, 61, 802–810. Warren, C. R., Lumsden, C., O’Dowd, S., & Birnie, R. V. (2005). “Green on Green”: Public perceptions of wind power in Scotland and Ireland. Journal of Environmental Planning and Management, 48(6), 853–875.
Bike Sharing Systems and the Collaborative Economy: A Systematic Literature Review Liliana Lotero Álvarez, Luis Horacio Botero Montoya, Jorge Calle D’Alleman, and N. I. Nicola Stepanie Klocke
Abstract The growing offer of sustainable transport modes, among them, bike sharing systems as a collaborative economy, has increased on the planet. Therefore, this paper aims to review three of the bike sharing systems located in places with high demand for this service, such as the systems of Shanghai (China), Vélib’-Paris (France), and EnCicla-Medellín (Colombia), through the methodology of systematic literature review and the analysis of how the use of bicycles reduces the carbon footprint. Eighty percent of the publications were made in the last seven years between 2015 and 2022, which shows the growing interest in the topic and little publication before 2015. Among the findings, it was determined that the publications respond to studies on the history of bike sharing systems; methods to improve the distribution of bicycles; negative effects of systems without stations (dockless); positive contribution to the environment and to the health of users. Also, it is found that the bicycle is the vehicle that most reduces the carbon footprint in daily mobility. It is concluded that it is pertinent to expand knowledge about these systems and some aspects are recommended for the operation of the EnCicla-Medellín system in the face of the challenges of sustainable mobility. Keywords Sustainable mobility · Bike sharing systems · Collaborative economy
L. L. Álvarez (B) · L. H. B. Montoya · J. C. D’Alleman Universidad Pontificia Bolivariana, Medellín, Colombia e-mail: [email protected] L. H. B. Montoya e-mail: [email protected] J. C. D’Alleman e-mail: [email protected] N. I. Nicola Stepanie Klocke Medellín, Colombia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_17
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1 Introduction The concept of a collaborative economy has gained importance in everyday life, as well as it is creating new business opportunities. In times of extensive use of natural resources and climate change, it is important to focus on the sustainability of economic activities and an efficient multiple use of goods and [services] (Lan et al., 2017). A major driver to generate the changes was the Internet and digital platforms, where users can connect and move from being recipients of information to producers. The collaborative economy is present in the political, social and economic spheres (Johansson, 2018). In a bike sharing system (hereinafter referred to as BSS), people have access to a sustainable means of transportation (Shaheen et al., 2010). The successful integration of a BSS into urban transport systems leads to a sustainable development of a city (Qiu & He, 2018). Furthermore, studies by Shaheen et al. (2010), Zhang and Mi (2018) show the positive impact of BSSs on energy consumption and pollution in cities. In 2010, there were 101 BSSs with approximately 139,000 bicycles. In 2018, almost 1,800 cities in the world had a BSS (Wang et al., 2019). This indicates that demand increased for sustainable transport modes such as public transport, use of bicycles or alternative mobility systems and walking (Shi et al., 2018). This paper aims to perform an analysis of BSSs, as an object of study, where users have bicycles available for sharing. This system involves the flexible use of bicycles in which users are not responsible for maintenance and associated costs. Recently, a new form of BSS with no docking stations has emerged, allowing users to return the shared bicycles anywhere within the operational area. However, the problem is that not all BSSs operate satisfactorily; dockless bicycle systems in Chinese cities show weaknesses in their operation (Gu et al., 2019). The research was conducted following the Systematic Literature Review—SLR— methodology of Perez to explore the range of publications on the topic of BSSs. Specifically, three systems are analyzed: dockless systems in China; Vélib-Paris and EnCicla-Medellín. These were selected due to the success of their services and in order to compare dockless bike sharing systems (China) and systems with fixed stations (Vélib’ and EnCicla). The article is divided into five parts: the first part refers to the introduction; the second part focuses on the materials and methods; the third one on the results of the SLR; the fourth one on the analysis of the three BSSs, their comparison, the recommendations for EnCicla-Medellín and the effects on the carbon footprint; and the fifth part presents the conclusions of the research.
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2 Methodology The scope of the research was descriptive, since an analysis was made regarding the existence of literature related to the collaborative economy and the BSS. In this sense, the systems of China, Paris and Medellín were described based on sustainability and the collaborative economy. The differences between the three systems were analyzed in order to develop and determine recommendations for the EnCicla-Medellín system. The research method was deductive, since the analysis of the selected systems allowed starting from a general case to arrive at a particular conclusion. The research approach was qualitative and appealed to the SLR method which, according to Pérez, is a methodology for the efficient search and identification of scientific literature, especially for the selection of literature for research in specific thematic areas, due to the exponential growth in publications. The SLR has four macro-processes: identifying, describing, deepening and disseminating, and has 24 particular steps. Therefore, the “terms that best represent the object of study” Perez were identified and “Sharing Economy” and “Bike Sharing” were selected. Then, the search was differentiated between the three bicycle systems to connect the search terms with the connector “and”, like this: “Sharing economy and bike sharing”; “Bike sharing and China”; “Bike sharing and Shanghai”; “Bike sharing and Paris”; “Bike sharing and Medellín”; “Bike sharing and carbon footprint”; “Bike sharing and carbon footprint and Shanghai”; “Bike sharing and carbon footprint and Paris”; and “Bike sharing and carbon footprint and Medellín”. Also, “bike sharing”; “bikesharing”; “Velib”; and “Encicla” were used. Subsequently, the databases, thematic areas, and search filters and locations were determined. The years of the publications were 2005–2020, 2015–2022. For the search, the databases Science Direct, Scopus and Google Scholar were used. In Science Direct, the following filters were selected and the search was based on relevance: (1) Search location: title, abstract, and keywords; (2) Type of document: articles. In Scopus, results were found according to number of citations: (1) Search location: title, abstract and keywords; (2) Type of document: articles; (3) Areas: Social Sciences, Environmental Sciences, Business, Economics. Language: English, Spanish. Meanwhile, in Google Scholar, results were obtained according to the relevance: (1) Search location: in the whole article. (2) No citations were included, and (3) Many publications were found, but only publications in English, Spanish and German were considered.
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3 Results 3.1 Results from the Database Search The search in Science Direct, Scopus and Google Scholar was performed between October 2019 and December 2021, extending the search to the year 2022. The results are shown in Tables 1, 2 and 3, respectively. Regarding quality control, the abstracts of the first 20 publications were considered. Tables 4, 5 and 6 contain the ten publications with the highest relevance and number of citations for the period 2005–2022 and with the filters defined in Methods and Materials. From the search it is evident that the publications correspond to studies on: history of BSSs; methods for better distribution of bicycles in the system; negative effects of dockless bicycle systems in China, positive contribution to the environment and to the health of users. From the distribution of publications, it was possible to identify that the topic of BSSs and that of the collaborative economy gained attention from the scientific community. It should be noted that some publications came up several times, using different search terms. This is due to the fact that words from the same Table 1 Science Direct search results Science Direct Search terms Sharing economy and bike sharing
Results 2005–2020
Results 2015–2022
Number of appropriate publications (2005–2022)
1
1
1
Bike sharing
356
296
9
Bike sharing
56
45
3
Bike sharing and China
45
43
10
Bike sharing and Shanghai
12
12
8
Bike sharing and Paris
5
3
3
Velib
6
3
5
Bike sharing and Medellin
0
0
0
Encicla
1
1
1
Bike sharing and carbon footprint
962
778
134
Bike sharing and carbon footprint and Shanghai
25
23
1
Bike sharing and carbon footprint and Paris
36
35
1
Bike sharing and carbon footprint and Medellín
2
2
0
Source Compiled by authors
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Table 2 Scopus search results Scopus Search terms
Results 2005–2020
Results 2015–2022
Number of appropriate publications (2005–2022)
35
35
11
Bike sharing
270
243
5
Bike sharing
40
40
4
Bike sharing and China
53
53
10
Bike sharing and Shanghai
11
11
7
Bike sharing and Paris
1
1
0
Velib
9
3
6
Bike sharing and Medellin
0
0
0
Encicla
1
1
1
Bike sharing and carbon footprint
36
25
11
Bike sharing and carbon footprint and Shanghaia
6
9
0
Bike sharing and carbon footprint and Parisb
6
10
1
Sharing economy and bike sharing
Bike sharing and carbon footprint and Medellínc Source Compiled by authors a No information was found before 2019 b Until 2020, 6 documents were found c No articles were found for the search criteria
thematic area are repeated in the same text. The search results for the terms “Bike sharing and Medellín” and “EnCicla” are not as broad as the results for the other terms. This may be attributed to the fact that the EnCicla-Medellín system is not as well known in other latitudes as other systems. In relation to the comparative analysis, the most appropriate publications for the topic and the objective of the research were sectioned, and verification of the documents obtained in the quality control for the generation of results was carried out. Table 7, shows the comparative analysis of the bicycle systems of China, Paris and Medellín. Although the initial objective was to analyze the systems of three cities (Shanghai, Paris and Medellín), in the search it was determined that China as a country, and not Shanghai as a city, was the search criterion, since these days BSSs in China operate in several cities. When searching for the terms “Bike sharing and Shanghai”, most publications give general information and not specific information about the system in Shanghai. On the other hand, due to the lack of publications on the Vélib-Paris and EnCicla-Medellín systems, it was necessary to access newspaper articles and
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Table 3 Google Scholar search results Google Scholar Search terms
Approximate results 2005–2020
Approximate results 2015–2022
Number of appropriate publications (2005–2022)
Sharing economy and bike sharing
16,100
15,500
5
Bike sharing
46,800
20,200
5
Bike sharing
13,600
10,400
6
Bike sharing and China
17,600
15,300
7
Bike sharing and Shanghai
6,130
3,320
6
Bike sharing and Paris
17,100
12,500
5
Velib
3,370
1,500
5
Bike sharing and Medellin
638
418
3
Encicla and Medellin
454
257
4
Bike sharing and carbon 17,300 footprint
16,800
19
Bike sharing and carbon 1,690 footprint and Shanghai
1,540
1
Bike sharing and carbon 3,090 footprint and Paris
2,660
0
Bike sharing and carbon 181 footprint and Medellín
168
0
Source Compiled by authors
current news. In addition, the official websites of Vélib’ and EnCicla were visited to obtain current statistics and figures.
3.2 Comparative Analysis of the Three Systems 3.2.1
Analysis of China’s Bicycle System
China has a long history of cycling and today is the fastest-growing bicycle sharing market in the world (Shaheen et al., 2010). Due to the growth in the use of motor vehicles and the increase in air pollution, Chinese public entities entered the public BSS business (Gu et al., 2019) and offered systems with stations. However, many public entities failed to maintain and finance such systems, and consequently, the new path was preparing to enter the market of dockless systems or systems without stations
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Table 4 Publications on the term “bike sharing” in Science Direct Top 10 publications on “bike sharing”
Authors
Year
Exploring the equity performance of bike-sharing systems with disaggregated data: A story of southern Tampa
Chen, Z., Guo, Y., Stuart, A., hang, Y., Li, X
2019
Effects of dockless bike-sharing systems on the usage of the London cycle hire
Li, H., Zhang, Y., Ding, H Ren, G
2019
A Review on bike-sharing: The factors affecting bike-sharing demand
Eren, E., Zu, V
2019
Optimal pricing and availability strategy of a bike-sharing firm with time-sensitive customers
Chen, Y., Wang, D., 2019 Chen, K., Zha, Y., Bi, G
Understanding bike sharing use over time by employing extended technology continuance theory
Cheng, P., Ou Yang, Z., Liu, Y
Life cycle carbon dioxide emissions of bike sharing in China: Production, operation, and recycling, Resources, Conservation and Recycling
Jingrui Chen, Dan 2020 Zhou, Yue Zhao, Bohong Wu, Tian Wu
The e-Bike potential: Estimating regional e-bike impacts on greenhouse gas emissions, Transportation Research Part D: Transport and Environment
Michael McQueen, John MacArthur, Christopher Cherry
2020
An environmental benefit analysis of bike sharing in New York City
Yan Chen, Yongping Zhang, D’Maris Coffman, Zhifu Mi
2021
Reducing the carbon footprint in college mobility: The car commuters’ perspective in an Italian case study, Environmental Impact Assessment Review
Daniele Crotti, 2021 Daniele Grechi, Elena Maggi
Environmental impact assessment of bike-sharing considering Kateryna Saltykova, the modal shift from public transit, Transportation Research Part Xiaolei Ma, Liliang Yao, Hui Kong D: Transport and Environment
2019
2022
Source Compiled by authors
(Cheng et al., 2019). These systems emerged in 2016 and are fourth generation (Lan et al., 2017). Bicycle systems are an important component in this development and those without stations were initiated by private companies and the first system of the Chinese company—ofo—started in 2015 (Zhang & Mi, 2018). In 2016, more than 4 million bikes were provided in 40 cities in China and about 300 million users signed up on the platforms (Chen, 2019). Among the largest companies are Mobike and ofo with a combined market share of 90% (Cheng et al., 2019). Access to the dockless bike system is easy and through a smartphone. Users have to download the app and register with their personal data. To unlock and return the bike, the QR code on the bike has to be scanned. Payment is also done through the app with a credit card or mobile payment method (Gu et al., 2019). The usage prices of Mobike and ofo in China are low compared to other systems. In the analysis of the mode of use, it was observed that there is a regular daily time course. There are two peak hours per day: one in the morning and one in the
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Table 5 Publications on the term “bike sharing” with the most citations in Scopus Top 10 publications on “bike sharing”
Authors
Year
Number of citations
Bicycling renaissance in North America? An Pucher, J., Buehler, R., update and re-appraisal of cycling trends and Seinen, M policies
2011
292
Ride On! Mobility business models for the sharing economy
Cohen, B., Kietzmann J
2014
233
Static repositioning in a bike-sharing system: Models and solution approaches
Raviv, T., Tzur, M., Forma, I. A
2013
212
Strategic design of public bicycle sharing systems with service level constraints
Lin, J.-R., Yang Ta-Hui, T.-H
2011
199
Optimizing the location of stations in bike-sharing programs: A GIS approach
García-Palomares, J. C., Gutiérrez, J., Latorre, M
2012
166
Tourists on shared bikes: Can bike-sharing boost attraction demand?
Yang, Y., Jiang, L., Zhang, Z
2021
5
The mobility pattern of dockless bike-sharing: A four-month study in Singapore
Zhang, X., Shen, Y., Zhao, J
2021
5
The motivations for using bike sharing during the COVID-19 pandemic: Insights from Lisbon
Teixeira, J. F., Silva, C., Moura e Sá, F
2021
3
Factors influencing dock-less E-bike-share mode substitution: Evidence from Sacramento, California
Fukushige, T., Fitch, D. T., Handy, S
2021
3
Impact of e-scooter sharing on bike sharing in Chicago
Yang, H., Huo, J., Bao, Y., (…), Yang, L., Cherry, C. R
2021
2
Source Compiled by authors
evening. These occur especially during the week which correspond to the course of the workers’ day. On weekends the most notable peak time is in the afternoon (Zhang et al., 2015). The rapid expansion of these systems has several advantages and opportunities: while systems with stations are only offered by one operator, dockless systems have several operators, which leads to the possibility to operate with many more bicycles (Chen, 2019) and thus the supply of bicycles is higher (Shi et al., 2018). In dockless systems, users have more flexibility as they can return the bicycle anywhere in the operational area, and such flexibility also means time savings (Qiu & He, 2018). In a study on the bicycle system in Beijing, (Qiu & He, 2018) found that workers who use the bicycle system save, on average, about eight minutes per day. The increase of BSSs also exacerbated the problem of public space and inadequate bicycle parking (Chen, 2019). 13 new companies entered the market in 2017 and brought 1.7 million new bicycles which resulted in an oversupply. In central
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Table 6 Publications on the term “bike sharing” from Google Scholar Top 10 publications “bike sharing”
Authors
Year
Number of citations
Bike-sharing: History, impacts, models of provision, and future
DeMaio, P
2009
800
Bike sharing in Europe, the Americas, and Asia: past, present, and future
Shaheen, S. 2010 Guzman, S., Zhang, H
810
Inventory rebalancing and vehicle routing in bike sharing systems
Schuijbroek, J., Hampshire, R. C., van Hoeve, W.-J
2017
281
Balancing a dynamic public bike-sharing system
Contardo C., Morency, C., Rousseau L. M
2012
207
Understanding bike-sharing systems using data mining: Exploring ctivity patterns
Vogel, P., Greiser, T., Mattfeld, D. C
2011
243
2015
367
Mapping the bike sharing research published from Si, H., Shi, J. G., 2019 2010 to 2018 Wu, G., Chen, J., & Zhao, X
138
Environmental benefits of bike sharing: A big data-based analysis
Zhang, Y., & Mi, Z
2018
279
Effects of built environment and weather on bike sharing demand: A station level analysis of commercial bike sharing in Toronto
El-Assi, W., Salah Mahmoud, M., & Nurul Habib, K
2017
363
A review on bike-sharing: The factors affecting bike-sharing demand
Eren, E., & Uz, V. E 2020
113
Bike sharing: A review of evidence on impacts and Ricci, M processes of implementation and operation
Source Compiled by authors
areas of cities, limited parking space presented a problem for users (Zhang et al., 2019). This led to mainly pedestrian safety problems and a negative change of the urban landscape. In addition, there were high costs for companies. Beyond that, the oversupply of new bicycles represented 3,000 tons of metal waste, and taking into account that the estimated lifespan of a shared bicycle is only three years, Chinese cities are going to face a serious bicycle waste problem in the future (Shi et al., 2018). For local governments the difficulty in eliminating the problem is the frequent and individual use of bicycles, tracking individual users takes more time and is not compatible with users’ data privacy. Also operators do not want to penalize their users, as the competition in the market is tough and the risk of losing customers is very high, especially considering that BSSs are still growing and more and more companies are expanding their bicycle fleets (Chen et al., 2019). Chen (2019) presented proposals to solve this problem, which do not limit the privacy of users, nor do they want to intervene in the free competition of operators. The entity responsible for dealing
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Table 7 Publications selected for the analysis Títle
Authors
Year
Number of times
Database
(De)politicising and ecologising bicycles
Tironi, M
2015
2
Scopus, google Académico
“Bike litter” and obligations of the Chen, R platform operators: Lessons from China’s dockless sharing bikes
2019
1
Science Direct
A user-centred assessment of a new bicycle sharing system in Medellin
2017
3
Science Direct, Scopus, Google Académico
Analysis of bike sharing system by Feng, Y., Costa clustering: the Vélib’ case Affonso, R., Zolghadri, M
2017
2
Science Direct, Google Académico
Bike sharing and the economy, the Qiu, L.-Y., He, L.-Y environment, and health-related externalities
2018
4
Scopus, Google Académico
Bikesharing in Europe, the Americas, and Asia: Past, Present, and Future
Shaheen, S., Guzman, 2010 S., Hua, Z
2
Google Académico
Bike-sharing: History, impacts, models of provision, and future
DeMaio, P
2009
2
Google Académico
Challenges of collaborative governance in the sharing economy: The case of free-floating bike sharing in Shanghái
Ma, Y., Lan, J., Thornton, T., Mangalagiu, D., Zhu, D
2018
4
Science Direct, Scopus, Google Académico
Clustering the Vélib’ dynamic origin/destination flows using a family of Poisson mixture models
Randriamanamihaga, A. N., Côme, E., Oukhellou, L., Govaert, G
2014
2
Science Direct, Google Académico
Critical factors to achieve dockless Shi, J., Si, H., Wu, G., 2018 bike-sharing sustainability in Su, Y., Lan, J China: A stakeholder-oriented network perspective
2
Scopus, Google Académico
Electric fence planning for dockless bike-sharing services
Zhang, Y., Lin, D., Mi, Z
2019
3
Science Direct, Scopus, Google Académico
Enabling value co-creation in the sharing economy: The case of Mobike
Lan, J., Ma, Y., Zhu, D., Mangalagiu, D., Thornton, T
2017
2
Scopus, Google Académico
Bejarano, M., Ceballos, L., Maya, J
(continued)
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Table 7 (continued) Títle
Authors
Year
Number of times
Database
Environmental benefits of bike sharing: A big data-based analysis
Zhang, Y., Mi, Z
2018
5
Science Direct, Scopus, Google Académico
Green projects: An information drives analysis of four cases
Watson, R., Boudreau, 2011 M.-C., Chen, A., Sepúlveda, H
2
Science Direct, Scopus
High impact prioritization of bike share program investment to improve disadvantaged communities’ access to jobs and essential services
Qian, X., Niemeier, D 2019
1
Science Direct
Large-scale vehicle sharing systems: Analysis of Vélib’
Nair, R., Miller2013 Hooks, E., Hampshire, R., Buši´c, A
2
Scopus, Google Académico
Mining bicycle sharing data for generating insights into sustainable transport systems
O’Brien, O., 2014 Chestrine, J., Batty, M
1
Scopus
Mitigation strategies for overuse of Wang, Z., Zheng, L., Chinese bike sharing systems Zhao, T., Tian, J based on game theory analyses of three generations worldwide
2019
1
Science Direct
Optimal pricing and availability Chen, Y., Wang, D., strategy of a bike-sharing firm with Chen, K., Zha, Y., Bi, time-sensitive customers G
2019
1
Science Direct
Rethinking the utility of public bicycles: The development and challenges of station-less bike sharing in China
Wang, J., Huang, J., Dunford, M
2019
1
Scopus
To be or not to be dockless: Empirical analysis of dockless bikeshare development in China
Gu, T., Kim, I., Currie, G
2019
2
Science Direct, Scopus
Understanding bike sharing use over time by employing extended technology continuance theory
Cheng, P., OuYang, Z., Liu, Y
2019
1
Science Direct
Understanding intention and behavior toward sustainable usage of bike sharing by extending the theory of planned behavior
Si, H., Shi, J., Tang, D., Wu, G., Lan, J
2020
3
Science Direct, Scopus
Understanding the diffusion of public bikesharing systems: Evidence from Europe and North America
Parkes, S., Marsden, G., Shaheen, S., Cohen, A
2013
3
Science Direct, Scopus, Google Académico
Source Compiled by authors
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with this problem is the bicycle system operators because they have the technology to detect users and their personal data. Recently, operators and the government have been working together to develop a new electric fence technology that alarms users when they want to park their bicycles in unauthorized spaces. The technology implements virtual installations, using GPS or Bluetooth, to determine the distance between the bicycle and a designated parking zone. In this way, users have to return the bicycle in a designated parking zone in order not to have to pay more. Once the issue of inadequate bicycle parking is overcome, it would be necessary to implement electric fence technology in dockless bicycle systems (Zhang et al., 2019). The contribution to sustainability from BSSs in China has several aspects: the positive effect it has on air quality and on reducing the use of private vehicles. This is because BSS companies prefer to produce or purchase new bicycles, rather than repair or recycle them. However, good maintenance and repair of bicycles could increase the availability of bicycles and thereby raise user satisfaction (Chen et al., 2019). Many Chinese companies focused on their expansion and profit and not on the sustainability of their economic activities.
3.2.2
Analysis of the Vélib’ System
Vélib’ (short for “Vélo Liberté”, bicycle freedom) is one of the largest and most comprehensive BSSs in Europe. It has been operating since 2007 (Randriamanamihaga et al., 2014) and today has on average 100,000 daily users and 1,340 stations throughout the city of Paris (“Actus Vélib’”, n. d.), Vélib’ is a third generation BSS and operates with stations and electronic payment (Watson et al., 2011), the system operates 24 h a day. Vélib Métropole is a government initiative in conjunction with a private operator, which aimed to provide a mode of transportation to improve air quality and address health issues. Citizen acceptance was excellent and the system grew rapidly (Tironi, 2014) and due to the success of the system, it became an example followed by other BSSs (Parkes et al., 2013). In January 2018, the new operator Smovengo, a consortium of private companies, took over the Vélib’ activities. In 2007, the Vélib’ system started with only manual bicycles. Later, with the change of operator, electric bicycles were added and docking stations have been modified for manual and electric use. Unfortunately, the change of operator did not work as desired, but over time Smovengo has strived to provide the best service and link up with the service provided by the former operator JCDecaux (Île-de-France, n. d.). Vélib’ offers different usage plans, including durable use and tourist use. Registration is done through the Vélib’ website, through the app or through the system’s stations. In the analysis of the mode of use of Vélib’, a regular daily time course can be observed with two peak hours, one in the morning and one in the afternoon (Feng et al., 2017). On weekends, the most notable peak hour is in the afternoon (Randriamanamihaga et al., 2014). The distribution of Vélib’ stations is balanced
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and spread throughout the urban area. There is a concentration of stations in the city center and near key areas. There are also stations in the outlying areas farther from the center. Thanks to this distribution, equitable use of the system is guaranteed (O’Brien et al., 2014). By the growth of the system, the acceptance and satisfaction of the users can be seen, for example, the number of cyclists increased by 70%. The system made also possible for citizens to use their private vehicle less frequently, in 2009, 46% of Vélib’ users stated that they used their private vehicle less frequently; however, the use of public transport has not decreased, as many users still have a universal card for public transport and Vélib’ is a complement to existing modes of transport. By reducing the use of private vehicles, pollutant emissions are reduced and it can be said that the system is universal and users have a variety of possibilities of use.
3.2.3
Analysis of Medellín’s EnCicla System
Medellín has a multipurpose transportation system that is an example of sustainable development. Medellín has a successful public BSS with EnCicla (Bejarano et al., 2017). In the Aburrá Valley Metropolitan Bicycle Master Plan, known in Spanish as Plan Maestro Metropolitano de la Bicicleta del Valle de Aburrá, the goal of increasing bicycle use to 10% of the total number of trips made in the Valle de Aburrá by 2030 was presented. Therefore, the EnCicla system is an important component in meeting this goal. EnCicla began with a pilot project by students from Universidad EAFIT in 2011 and was officially inaugurated in 2012. After three months of operation, some 15,700 bike rental were registered. In 2019, EnCicla had approximately 93,000 active users and every day the system makes about 15,000 rentals. EnCicla operates with manual stations and automatic stations. Most of the stations are in Medellín and with the expansion of EnCicla, the aim is to reach the other municipalities of the Metropolitan Area of the Valle de Aburrá. Regarding the price, the use of the EnCicla system is totally free and limited to one hour, as it is free of charge. The system includes users from all social classes and gives transportation opportunities to the most economically disadvantaged people. To use the bicycle for a longer period of time, the user has to return the bicycle to the nearest station and renew the rental. For permanent registration, it is necessary to register on the official EnCicla website, and then activate the Cívica card. EnCicla does not operate 24 h a day, but has a schedule of operation. Bejarano et al. identified three stages of the EnCicla experience: the arrival at the station, the trip, and the return of the bicycle at a station. They also differentiated between four groups of use: the lover, the social, the grateful, and the adapted. The lover enjoys cycling and underlines his satisfaction with a sustainable mode of transport. The social perceives EnCicla as something good for the city and wants the system to be expanded. For the grateful, EnCicla solved a transportation problem and increased quality of life. For the adapted, EnCicla is something positive, but this type of user does not have any emotional relationship with the system, however
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they see it as something practical and useful. According to the different user groups, motivating factors for use can be examined: environmental impact, fun, saving time and money, and safety.
3.2.4
Comparison Between the Three Systems
The most notable difference between the three BSSs is the appearance of the docking stations; the Vélib’-Paris system has automatic stations; the EnCicla-Medellín system has both automatic and manual stations; and the system in China operates without stations (dockless) (R. Chen, 2019). Dockless systems have more convenience for users and offer greater flexibility. However, inadequate parking on streets and paths constitutes a problem to be solved. While bike-sharing companies in China are private, Vélib’ is operated by a public– private partnership and EnCicla is operated by a public entity. The advantage of EnCicla’s public administration is the financial support by the government, which makes it possible to use the system completely free of charge. In most of the BSSs the flow of trips is uneven and users do not return the bicycle at its station or initial place. Thus, the problem of bicycle redistribution is a known challenge (Nair et al., 2012). In the Chinese system, inadequate parking also leads to the redistribution challenge, and also because of the size of the Vélib’ system, successful redistribution presents a challenge (Nair et al., 2012). The main factors found are presented in Table 8. Table 8 Main factors of use Factors
Vélib’ system (Paris-France)
EnCicla system (Medellín-Colombia)
Docking stations
Automatic docking stations (Watson et al., 2011)
Automatic and manual Dockless (Chen, 2019) docking stations
Operators
Public–private partnership (Tironi, 2014)
A Public entity (Bejarano et al., 2017)
Private entities (Chen, 2019)
Payment
Payment, as it is a private system
Free system
Payment, as it is a private system
Schedule
Two peak hours, one in the morning and the other in the afternoon (Feng et al., 2017; Zhang & Mi, 2018)
For the EnCicla system, there were no studies for this factor
Two peak hours, one in the morning and the other in the afternoon (Feng et al., 2017; Zhang & Mi, 2018)
No. of trips/ redistribution
The successful redistribution places a challenge
Source Compiled by authors
System in China (Shanghai–China)
The inadequate parking also leads to a redistribution challenge (Gu et al., 2019)
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Recommendations for the Operation of EnCicla in Medellín
Below we propose actions that may improve the bicycle system in the city of Medellín, Infrastructure: AMVA municipalities should invest in infrastructure to ensure cyclists’ safety and increase the use of the system (Wang et al., 2019). Energy: The public entity faces high financial costs, resulting from the expansion of the EnCicla system. Thus, docking stations functioning with solar panels would be a cost-effective and ecological option. Public–private partnership: In order to ease financial management, a public–private partnership can be made. Through this operating model, risk and responsibilities are distributed to provide reliable transport service (Wang et al., 2019c). Electric bikes: Including electric bikes in the fleet of bikes would enrich the system and its users. In addition, EnCicla would encourage the physically challenged to use the system by providing electric bikes. Redistribution of bikes: Changes in demand can be met by using technology and more ecologic redistribution vehicles. Dynamic redistribution plans are also needed, although it entails higher operational costs. Registration: The registration in EnCicla is complicated and time-consuming. Thus, it would be necessary to ease the registration process, so satisfaction would improve. Lastly, EnCicla system could operate on weekends to increase its use and popularity.
3.3 Bike Sharing Systems and Carbon Footprint In big cities a strong strain on transport has put a major focus on the performance of the high demand for fossil fuels and rising prices, causing high congestion, pollution, and the resultant impact on citizens’ health. According to UNEP 54% of the world’s population lives in urban areas, and it is expected to increase to 66% by 2050. The BSS have rised as a good practice to face pollution problem and congestion in cities with large numbers of inhabitants. Data from shows that 23% of the CO2 emissions are produced by fossil fuels consumption from urban transport. These BSSs have rapidly increased in Europe, Asia, and North and South America, more than 500 cities in almost 50 countries have properly implemented these with more than 500,000 bikes for rent (Liu et al., 2012). In terms of emissions reduction, the bike sharing strategy has had good results, for example, Montreal’s Bixi; since it was launched in 2005, it has saved three million
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pounds of greenhouse gases, and the equivalent to 18.5 million pounds of CO2 . Campbell and Brakewood (2017) also found that for every thousand travels that users make to the bike docking stations, there is a 2.42% decrease in daily travels by bus in Manhattan and Brooklyn routes, which impacts GHG (Greenhouse gas) emissions to the atmosphere. Similarly, Pazzo Fundo in Brazil (Saraiva & Ribeiro, 2017), during the first semester of 2017, has managed to avoid 49,708 tons of CO2 to be emitted to the atmosphere through its bike sharing program. The following table shows the emission factors with the unit (g = grams) per passenger-Km traveled (PKT) (Chester et al., 2010). It is clear from Table 9 the benefit of BSS in terms of sustainability, especially on the last mile travels, in other words, the ones made from the public transport stations to the destinations. Although the development achieved shows the positive impact of bikes as an alternative means of transport to improve environmental conditions and decarbonize cities, it is also important to consider that this strategy influences three aspects: incineration, landfill, and recycling. Table 10 confirms the benefit of BSS, furthermore is an alternative that discourages use of private vehicles and complements a healthy lifestyle, in comparison to the closing of the life-cycle of the product. Table 9 Emission factors of respective modes Modes
Bike
Walk
Motorcycle
Car
Bus
Metro
Nox (g/PKT)
0.00
0.00
0.34
0.64
0.60
0.09
Sox (g/PKT)
0.00
0.00
0.00
0.01
0.00
0.14
CO (g/PKT)
0.00
0.00
6.12
7.96
0.14
0.02
GHG (CO2 eg/PKT)
0.00
0.00
138.51
231.28
78.48
77.48
Recovered from Lu et al.
Table 10 Social and environmental impacts Experience
Trips
Smartbike
50,000
Velib
78,000
Kilometers/ day
Avoid emission Kgs CO2 / day
Web location
2,00,000
37,000
SmartBike—Apps on Google Play
3,12,000
57,720
Vélib’ Métropole—Location de vélos en libre-service (velib-metropole.fr)
BiXi
7,22,560
36,12,799
9,09,053
Renting a bike: How does BIXI work? |BIXI Montréal
Hang Zou Public Program
1,72,000
10,32,000
1,90,920
Hangzhou Public Bicycle System Hangzhou Where Tradition Meets Innovation
Recovered from Shaheen et al. (2010)
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Furthermore, Zhang and Mi (2018) state that the emissions decrease is significant as a consequence of using bikes. In 2016, in the city of Shanghai in particular, the use of shared bikes reduced carbon dioxide and nitric oxide emissions by 25,240 tons and 64 tons respectively. The use of shared bikes reduces traffic and noise in the city too (Y. Zhang et al., 2019), around 10% of the Chinese citizens previously used a private vehicle. Related to this, bike systems in China have a positive impact on the citizens’ public health (Qiu & He, 2018).
4 Conclusions After the previous review, the question is: do bike systems contribute positively to sustainable development? The bike creates the conditions for the population; decreases traffic, reduces energy consumption, reduces the emission of harmful gases, improves public health, and promotes economic growth. BSSs are a main part of the collaborative economy; as it is proved in the text, with the help of bikes, the use of private cars can decrease and the use of bikes increase. A shared way of transport is one of the feasible solutions from cities, since it contributes to the sustainable development of the territories. Therefore, from the analysis presented of China, Paris, and Medellín, bicycle use has a positive impact on the sustainable mobility of cities. Through the contribution to the 11 SDG “Sustainable cities and communities” which states “by 2030, provide access to safe, affordable, accessible and sustainable transport systems for all, improving road safety, notably by expanding public transport…” CEPAL (n.d.). It is concluded that the dockless BSSs are relatively new, and its volume of publications is larger than the three presented systems. It was also determined that there are not enough studies about EnCicla and Vélib’ systems. However, it is accurate to perform more exhaustive research, based on the SLR methodology in order to deepen this topic and contribute to the BSS and to a collaborative economy.
References Actus Vélib’. (date not specified). Blog Vélib’. Retrieved April 14, 2022, from https://blog.velibmetropole.fr/actus-velib/. Bejarano, M., Ceballos, L. M., & Maya, J. (2017). A user-centred assessment of a new bicycle sharing system in Medellin. Transportation Research Part F: Traffic Psychology and Behaviour, 44, 145–158. https://doi.org/10.1016/j.trf.2016.11.004 Campbell, K. B., & Brakewood, C. (2017). Sharing riders: How bikesharing impacts bus ridership in New York City. Transportation Research Part A: Policy and Practice, 100, 264–282. https:// doi.org/10.1016/j.tra.2017.04.017 Chen, R. (2019). “Bike litter” and obligations of the platform operators: Lessons from China’s dockless sharing bikes. Computer Law & Security Review, 35(5), 105317. https://doi.org/10. 1016/j.clsr.2019.03.011
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The Transformative Innovation Policy from the Perspective of the Innovation Spiral Alvaro José Argemiro da Silva, Marcos Aurélio Larson, and Sérgio Luis Dias Doliveira
Abstract The studies focused on Transformative Innovation Policies—TIPs demonstrate the orientation for the effective implementation of innovation tied to “4P”— Product, Process, Position, and Paradigm (Bernardo, 2020), to present the effective transition to sustainability. Issues related to development or experimentation in the technology field and innovation sciences, which are theoretically the concern regarding the effective applicability of TIPs, would permeate the innovation spiral proposed by Murray et al. (2010). It is concerned with demonstrating a non-linear and in-depth analysis of the innovation process, identifying the problems, the solutions that will be created and its tests, scales and finally, the impact created. Thus, a timely question arises related to the studies of the TIPs analyzed, are there any of the stages described in the innovation spiral? By conducting a systematic review of articles at Scopus, Scielo, and Spell databases, it was sought to identify the different stages of the innovation spiral that each researcher experienced. These studies showed the effectiveness of TIPs. However, its usefulness seems closely linked with the transitions to sustainability. Keyword Transformative Innovation Policies (TIPs) · Sustainability · Innovation spiral
A. J. A. da Silva (B) · M. A. Larson · S. L. D. Doliveira Doctoral Program in Community Development, State University of the Midwest – Unicentro, Irati, Brazil e-mail: [email protected] M. A. Larson e-mail: [email protected] S. L. D. Doliveira e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_18
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1 Introduction A search for the terms Innovation and Sustainability (in Portuguese) yields thousands of publications, but let’s see, only in the Scielo database it is possible to find respectively 2,427 and 2,052 articles. This information leads us to infer that they are fields that deserve a lot of attention, and/or these are areas of knowledge in constant transformation and have a broad spectrum. Since the emergence of the term innovation, it has received special attention from researchers and entrepreneurs because the same, according to Schumpeter (1984), is responsible for economic development, whether disruptive, incremental or radical and since Lundwall studied innovation systems from the assumption of the OECD in 1961. In turn, since the 1970s, the world has become aware of the concepts related to Sustainability, due to the perception of the environmental damage that was happening. He later rose to prominence during the first world conference, organized by the United Nations, whose central theme was “Man and the Environment”, which took place in Stockholm, Sweden, in 1972. In 1987 was published the report coordinated by the Norwegian First Lady Gro Harlem Brundtland, which had the title “Our Common Future”. In turn, in 1992, the conference called Rio 92 was held, which gave rise to agenda 21, which was named after the 21 propositions presented. If, on the one hand, sustainability has a focus on social, economic and environmental bias (Elkington, 1998), over the last decades it was perceived that innovation also depended on a political factor for the implementation and development of its strategies, also having a social arm, which can be explored using the tool described by Murray et al. (2010) called the Social Process and which is known as the Innovation Spiral. Due to the multiplicity of actors in the search for a sustainable and innovative society, studies of innovation transformative policies began, which seek to reconcile the visions of sustainability through sociotechnical transitions and innovation policies, an eminent environmental hecatomb and a profound social inequality were identified, provided from the transformations inherent in the Industrial Revolution (Asara et al., 2015). It is understood that innovation transformative policies should be seen as a process, sought in the development of this article, to present if there are studies demonstrating evidence of the use of the innovation spiral. The research was carried out in the Spell, Scielo and Scopus databases through the search for the terms Policies of Transformative Innovation, Sustainability and Innovation Spiral in the period from 2018 to 2022, clarifying that the year 2018 is purposeful, because this is the year in which the first studies of TIPs began to be published. The validation of reading quality was performed using the Inordinatio method, which is one of the differentials of the present study.
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2 Innovation, Innovation Spiral—Social Process and Transformative Innovation Policies—TIPs Since the launch of the publication “Theory of Economic Development” by Joseph Alois Schumpeter in the early twentieth century, in which he presents the concepts of innovation, several researchers have sought to deepen this knowledge, as well as sought to demonstrate how it can contribute to the development of business segments, companies and societies, often giving the impression that this is a rather macerated topic, however, due to the increases and complementarity of thoughts the same is increasingly current, in this way the concepts related to innovation, innovation spiral and transformative policies of innovation are explored.
2.1 Innovation This theme is not new. However, Kaya (2015) begins the presentation of her concepts, demonstrating that the word innovation derives from the Latin term innovatius, which means to do something new. That is a constant improvement in products and processes, to meet the needs of people, companies and societies, using methods that can promote cultural change and administrative activities, and is, therefore, necessary for economic development. However, when addressing the theme of innovation, it Schumpeter’s thinking will inevitably cited, since, for him, technological innovation would be responsible for economic development through an innovative entrepreneur, providing an increase in production and business efficiency (Schumpeter, 1984). Corroborating this thought, Barbieri et al. (2010), suggest that an organization that makes innovation a continuous process in its operations can present tangible and intangible gains, that is, financial, productivity, and internal and external satisfaction to the organization. Lundvall’s (1992) research highlighted the importance of suppliers and users acting together, thus linking technological capabilities to the needs of users and/or consumers, thus creating a continuous and virtuous flow, thus generating a flow of trust, thus defining the innovation system. Seeking to demonstrate how innovation systems were presented in different countries, Nelson (1993) analyzed the national innovation systems in 15 countries, concluding that the differences in these systems reflect the economic, political an,d interest differences in each country. Analyzing the results observed by Nelson (1993), considering social interaction, we will seek to add elements that allow analyzing and giving meaning, first of all, the innovation spiral and later the transformative innovation policies, elements that will give shelter to research.
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2.2 Innovation Spiral—Social Process Murray’s work et al. (2010), on which this study is based, through the description of methods and tools of innovation used in the most different sectors and organizations, present ways of mitigating aspects harmful to the environment and societies. Reducing carbon emissions, improving living conditions, and reducing poverty are some of the points that converge and highlight that social innovation is a new field. The application of this knowledge, whether in public or private companies, with or without profit, is still done in a fragmented way. Highlight Murray et al. (2010) that social innovation has brought appropriate arguments. However, the government has realized the various changes that occur and their effects can be uncontrollable. Effects such as climate, epidemics, and especially growing social inequality. These situations can have terrible effects, such as the destruction of the ecosystem and the death of animals and people. According to Murray et al. (2010), there are problems that, even in the face of the efforts of governments and organizations, are challenging to solve precisely because they are dichotomous. If not, the issues related to social service and market needs. On the one hand, it is possible to find the market in search of work and, on the other hand, the migration of people in search of opportunities and quality of life, this fact can generate imbalances between the current and the necessary infrastructure, thus generating a lack of public services, such as health and schools. It is therefore up to the government to carry out the planning and implementation of assistance structures for these people this can affect the public budget. Concerning technological evolution, Murray et al. (2010) highlight that the old paradigms linked to culture, for example, prevent the adoption of policies, which often make this type of evolution impossible, and can thus affect public and private institutions. For technological evolution to occur, it is necessary to create conditions for the emergence of new paradigms, which tend to facilitate the emergence of innovations, allowing transformations and the possibility of finding solutions much faster and more capable of implementation. Regarding concepts, the social economy, Murray et al. (2010) assert that it is related to results and relationships since issues related to the dissemination of technology infrastructure and also the human dimension of cultures and values are considered, seeking to give voice to everyone in society. About social innovation (Schröder & Krüger, 2019), it should also be considered that there are possible and capable criteria for its evaluation, such as the measurement of success. Addressed from this point of view of an organization, it can be understood, for example as increasing productivity, efficiency or profit. On the other hand, the social question was observed, where the improvement of the living condition or the results measured in a social project should be analyzed (Rizzo et al., 2020). To Murray et al. (2010), organizational forms, which were once seen as a mere bureaucratic process, can currently be used to increase productivity and have a much higher reach through online filling out. The information from these forms
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Fig. 1 Innovation spiral/social innovation process. 2010 Source Murray and Caulier-Grice e Mulgam (p. 12)
can facilitate the creation of teams and projects. Finally one must seek a coalition of networks. That is, the innovation impulse can come from a range of participants, such as suppliers, public power, and the organization itself. With a view to understanding and standardizing actions related to social innovation Murray et al. (2010), propose the Social Innovation Process, which can also be called the Innovation Spiral, which is composed of six stages, as shown in Fig. 1 and described below. However, it is necessary to mention that they are not always fulfilled sequentially, some innovations can arise from practice or be driven to the area of suggestions and inspirations direct to large-scale production. The stages of the Innovation Spiral demonstrate the articulation of demand and reflexivity, and directionality (Pichler et al., 2021) necessary for its execution. Each of its phases is the path for organizations seeking the implementation of their innovation. In the measurement, trajectory, and strategies linked to its business plans aiming at social impact, these facts lead to the impact factors of a real transformation in the transformative policies of innovation (Vanhamaki et al., 2021). The Suggestions, Inspirations, and Diagnoses are descriptions of the main factors that evidence the organization’s needs, as well as the suggestions and a detailed survey of the problems. Align with the Proposals and Ideas, used as tools that allow the capture and elaboration of proposals and ideas from the most diverse sources considered. Focused on Prototypes and Pilots where ideas are effectively tested in the social economy and success measures must be defined. It is then possible to support the ways of obtaining income when implementing the idea, and seeking the financial sustainability of the project in the long term, by sizing and disseminating resources, whether financial, human or materials, for the achievement of the project, providing systemic change.
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This change is considered the main objective of the social innovation process, with the interaction of different elements such as business models, legislation, and structures. Changes that can face resistance in the old paradigms can bring transformations in public and private sectors for long periods. Throughout his work Murray et al. (2010), in each of the above steps, report a detailed description and tools that can be used, facilitating the understanding and application of the concepts already mentioned. As quoted by Murray et al. (2010), when social innovation involves the public sector, it is often necessary to formulate and implement legislation that allows the systematization of the process, so the following topic will be presented to Transformative Innovation Policies, which has proved to be an interesting practice to deal with this miscompass.
2.3 Transformative Innovation Policies—TIPs Since the launch of Schumpeter’s work, more than 111 years have passed and innovation has found space in different segments, whether public or private. Arousing great interest of the world community until the convention held in December 1960 in Paris, and whose terms came into force in 1961, the Organization for Economic Cooperation and Development (FINEP, 2004). The document made explicit the OECD’s intention to promote policies related to economic development and the improvement of living conditions, initially in member countries and later in other nations, emphasizing innovation as an important factor for development and sustainability. Thus, since that event, the world has undergone several changes, mainly in technological and border terms in several countries. Thus, issues related to climate, water scarcity, lack of food epidemics, and social vulnerability (Diercks, 2017; Schot et al., 2017; Silva, 2021) have been accentuated. Such issues have received attention mainly regarding the reduction of impacts caused, thus evidencing the importance of sustainability. Not only in the environmental field, as was previously perceived (Silva, 2021), requires significant changes in existing socio-technical aspects, through innovation policies (Molas-Callart et al., 2021). To solve the missteps between increased competitiveness and economic and population growth and the problems already mentioned mainly related to social and environmental issues, we have the Transformative Innovation Policies (Schot & Steinmueller, 2018; Grillitsch et al., 2020; Molas-Callart et al., 2021; Silva, 2021), known as TIPs. For a better understanding, Silva (2021) highlights that THE TIPs allow taking sociotechnical and sustainability transitions to levels that allow the fulfillment of social and environmental changes already nominated. That is, they have defined objectives at the same time that they seek sustainable development, with innovation being the driving force of this transformation (Grillitsch et al., 2020), integrating the different actors in the process.
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3 Methodology A systematic review was carried out on studies related to Transformative Innovation Policies—TIPs and on the Innovation Spiral, as well as a bibliographic review, which corresponds to a method through the use of systematic procedures and well-defined rules, based on general views of a field of knowledge, which is evidenced through the analysis of published and relevant bibliographies. (Aromataris & Pearson, 2014). Methodi Ordinatio was adopted with the InOrdinatio equation to select and evaluate the quality of the literature, considering the impact factor of the journal, the number of citations, and the year of publication of the articles (Pagani et al., 2015, 2017). In the search for the articles to be studied, the following descriptors were used: Transformative Innovation Policies or TIP and Innovation Spiral. The databases consulted were Scopus, Scielo, and Spell, taking into consideration the scope of the subject researched. For selection criteria, we sought only articles filtered by titles, keywords, and abstracts within a five-year time delimitation, considering articles published from 2018 to 2022. The search of the databases was carried out on February 22, 2022, considering the procedures described in Table 1, 124 articles were found. With the 124 articles selected, there was the migration to the Mendeley reference manager, where only eight articles without author and date, four conferences and a book chapter were eliminated, leaving 111 studies for a first analysis. After that, the selected articles were consulted, analyzing titles, abstracts and keywords, considering the following elective criteria (a) articles that address the Innovation Transforming Policies and Innovation Spiral together with the theme of transitions to sustainability, and; (b) only complete studies that have been published in scientific journals. Studies Table 1 Searches for articles by database—results Database
Search syntax
Scopus
TITLE-ABS-KEY ((innovation transforming policies OR TIP AND 92 innovation spiral)) AND (LIMIT-TO (PUBYEAR, 2022) OR LIMIT-TO 7 (PUBYEAR, 2021) OR LIMIT-TO (PUBYEAR, 2020) OR LIMIT-TO 25 (PUBYEAR, 2019) OR LIMIT-TO (PUBYEAR, 2018)) AND (LIMIT-TO (DOCTYPE, “ar”)) AND (LIMIT-TO (SUBJAREA, “SOCI”) OR LIMIT-TO (SUBJAREA, “BUSI”) OR LIMIT-TO (SUBJAREA, “ENVI”) OR LIMIT-TO (SUBJAREA, “ECON”)) AND (LIMIT-TO (EXACTKEYWORD, “Innovation”) OR LIMIT-TO (EXACTKEYWORD, “Organization And Management”) OR LIMIT-TO (EXACTKEYWORD, “Organizational Innovation”)) AND (LIMIT-TO (LANGUAGE, “English”) OR LIMIT-TO (LANGUAGE, “Spanish”)) AND (LIMIT-TO (SRCTYPE, “j”))
Spell Scielo
Total Source Prepared by the authors
Articles found
124
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published in scientific events and articles that do not address the theme correlating the perspective of the approach mentioned were disregarded. After applying these criteria, 35 studies were excluded, through the rereading of abstracts without actually connecting to the theme; 8 complete studies without access (paid articles); 47 studies excluded after reading the introduction, as they did not evaluate the hypothesis of this systematic review associated with TIP and the Innovation Spiral. Thus, 21 articles were selected, which were submitted to relevance analysis using the Equation Desordinatio (Pagani et al., 2015, 2017): Impact factor = (Fi/1000) + (α ∗ (10 − (Researched Year − Pub Year))) +
(E
) Ci
In the application of the formula, the Journal Citation Reports (JCR) for the E year 2022 was used as an impact factor (Fi), and the total number of citations ( Ci) was included from the results obtained by Google Scholar. Regarding the items highlighted above, the (α*) refers to the weighting factor attributed to the significance of the year of publication, ranging from 1 to 10, being one relevant little and ten very relevant. However, verifying the existence of articles published on the theme only considering the time-lapse (2018/2022), this factor was considered as not relevant for the calculation, assigning the value of 1. Assigned all data to the formula and having values greater than zero (>0), all 21 articles were selected and included for final analysis, as shown in Fig. 2, by the methodological path: Next, the results and discussions resulting from the analysis of the selected studies are presented.
4 Results and Analysis For a better understanding, Table 2 is composed of the 21 articles that were selected by the InOrdinatio method, being classified according to their relevance, being thus validated and composing the present study: In an analysis of the selected publications, it is noticed that in the years 2019 and 2021 there was a higher concentration of selected studies, 33%, while in 2020 there was 24% of the research concentrated, and in 2022 only 10% of the selected studies, while in 2018 there was no study for analysis, where it is noticeable growth of research from 2019. However, 2022 new studies on Innovation Transforming Policies and Innovation Spiral have yet to be undertaken. There is a higher concentration of research in the journal Sustainability, with 43% of publications (9 publications), followed by the journals Environmental Innovation and Societal Transitions, and Sustainability (Switzerland) with 19% and 10%, respectively (4 and 2 publications and the other journals (6 in total) with one publication each, corresponding to 5% each. It is important to mention that there was no authorial concentration in the present study, corresponding to an article published by each of the authors.
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IDENTIFICATION
Scopus: 92 Studies identified through searches in databases
Spell: 7 Sciello: 25
SCREENING
Articles without author and without date: 8 Studies selected for reading titles and abstracts: 124 articles
Conferenses: 4
ELIGIBILITY
Full-text studies evaluated for eligibility, after exclusions: 111 articles
INCLUSION
Book chapter: 1
Studies included in the qualitative synthesis and quantitative (meta-analysis), after exclusions: 21 articles
Content analysis: 90 studies were excluded, as follows: a) 35 studies excluded after rereading the abstracts without actually connecting to the topic; b) 8 full studies without access – paid articles c) 47 studies excluded after reading the introduction as they did not assess the hypothesis of the present systematic review associated with ITP and the innovation spiral.
Fig. 2 Methodological path—synthesis. Source Prepared by the author
The published research, the basis for this article, has its concentrations on the theme Transitions to Sustainability, Innovation, and Innovation Transforming Policies. However, the article Implementing Social Innovation in Real Contexts by Rizzo et al. (2020) stands out because it effectively demonstrates the spiral of innovation, the central theme of this research.
4.1 Innovation and Sustainability, Transformative Innovation Spiral and TIPs The studies in the researched articles make it possible to understand the existing connection in the transitions to sustainability, and innovation, through the spiral of this and then reach the policies for transforming change. Rested on the principles that underlie their integrative studies of coordination and policies, demand articulation
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Table 2 Articles selected according to relevance order (InOrdinatio) Sequence ordinatio
Year
Author
Article title
Constructs
1
2019
Gosnell, Hannah; Gill, Nicholas; Voyer, Michelle;
Transformational adaptation on the farm: Processes of change and persistence in transitions to ‘climate-smart’ regenerative agriculture
Climate change adaptation and mitigation Holistic; Management; Transformative learning; Communities of practice; Earth stewardship; Relational thinking
2
2022
Zabala-Iturriagagoitia, J Fostering regional M; innovation, entrepreneurship and growth through public procurement
Innovation-oriented public procurement; Smart Specialisation Strategies; Innovation; Entrepreneurship; Growth
3
2021
Pichler, M; Krenmayr, EU industrial policy: N; Schneider, E; Brand, Between U; modernization and transformation of the automotive industry
Economic growth; Exnovation; Just transition; Phase-out policies social-ecological transformation; Austrian automotive supplier industry
4
2022
Sidiropoulos, Elizabeth
Sustainability education; ESD; Transformative learning; LAS; NEP; tertiary students; Higher education institutions; Agency; Environmental behaviour; Environmental attitudes
5
2019
Schröder, A; Krüger, D; Social innovation as a driver for new educational practices: Modernising, repairing and transforming the education system
Social innovation; Education; Sustainable Transformation; Lifelong learning; Innovation ecosystem
6
2021
Vanhamaki, Susanna; Rinkinen, Satu; Manskinen, Kati
Circular economy strategies; Regional policy; Smart specialization
The Influence of Higher Education on Student Learning and Agency for Sustainability Transition
Adapting a Circular Economy in Regional Strategies of the European Union
(continued)
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Table 2 (continued) Sequence ordinatio
Year
Author
Article title
Constructs
7
2020
Newton, Peter W; Rogers, Briony C
Transforming Built Environments: Towards Carbon Neutral and Blue-Green Cities
Decarbonisation; Water sensitive cities; Sustainable urban development; Liveable cities; Climate change; Urban transitions
8
2019
Kok, K P W; den Boer, A C L; Cesuroglu, T; van der Meij, M G; de Wildt-Liesveld, R; Regeer, B J; Broerse, J E W;
Transforming research and innovation for sustainable food systems-A coupled-systems perspective
Food systems; Complexity; Sustainability transitions; Societal transformation; Transdisciplinarity; Research and innovation; Boundary innovations
9
2021
Newell, Peter; Twena, Michelle; Daley, Freddie
Scaling behaviour change for a 1.5-degree world: challenges and opportunities
Behaviour change; Consumption; Governance; Transformation
10
2021
Rinscheid, A; Rosenbloom, D; Markard, J; Turnheim, B;
From terminating to transforming: The role of phase-out in sustainability transitions
Phase-out; Regime destabilization; Systems change; Sustainability transition policy; Transition governance; Transition politics
11
2021
Arsova, Sanja; Genovese, Andrea; Ketikidis, Panayiotis H; Alberich, Josep Pinyol; Solomon, Adrian
Implementing Regional Circular Economy Policies: A Proposed Living Constellation of Stakeholders
Regional circular economy; Circular economy; Stakeholders; Quintuple-helix model; Policies; Smart specialisation; Place-based approach; Green Deal
12
2021
Blaskova, Martina; Tumova, Dominika; Blasko, Rudolf; Majchrzak-Lepczyk, Justyna
Spirals of Sustainable Academic Motivation, Creativity, and Trust of Higher Education Staff
Academic sustainability; Motivation; Creativity; Trust; Spirals (continued)
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Table 2 (continued) Sequence ordinatio
Year
Author
Article title
Constructs
13
2021
Nawaz, Muhammad; Yousafzai, Muhammad Tariq; Shah, Tariq; Xin, Chunlin; Ahmad, Wisal
Sustainability of Recycling Waste Picker Sustainopreneurs for Prevention and Mitigation of Municipal Solid Waste in Swat
Accidental environmentalists; Waste picker sustainopreneurs (WPS); Janitorial stigma; Unproductive recycling
14
2020
Svensson, Oscar; Khan, Studying Industrial Jamil; Hildingsson, Decarbonisation: Roger Developing an Interdisciplinary Understanding of the Conditions for Transformation in Energy-Intensive Natural Resource-Based Industry
Decarbonisation; Interdisciplinarity; Industrial policy; Sustainability transformation; Climate governance
15
2020
Lin, H; Yip, G; Yang, J; Collaborative Fu, X; innovation for more value: how to make it work
China; Innovation; Strategy; Value; Collaboration; Telecom; Huawei
16
2020
Rizzo, F; Deserti, A; Komatsu, T;
Implementing social innovation in real contexts
Social innovation; Innovation processes; Spiral model; Scaling; Policy support; Innovation tools; Technological innovation; Open innovation; Participatory processes; Design thinking
17
2020
Hekkert, M P; Janssen, M J; Wesseling, J H; Negro, S O;
Mission-oriented innovation systems
Mission oriented innovation policy; Transformation failure; Directionality
18
2019
Labaeye, Adrien
Sharing Cities and Commoning: An Alternative Narrative for Just and Sustainable Cities
Sharing cities; Sustainability; Commons; Commoning; Smart cities; Digital technology; Case study review; Grassroots innovation; Anthropocene (continued)
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Table 2 (continued) Sequence ordinatio
Year
Author
Article title
Constructs
19
2019
Mourato, Joao Morais; Bussler, Alexandra;
Community-based initiatives and the politicization gap in socio-ecological transitions: Lessons from Portugal
Socio-ecological transitions; Sustainability transitions; Community-based initiatives; Social innovation; Portuguese community politics; Politicization and sustainability
20
2019
Hoysniemi, Sakari; Salonen, Arto O
Towards Carbon–Neutral Mobility in Finland: Mobility and Life Satisfaction in Day-to-Day Life
Sustainable mobility; Demand management; Life satisfaction; Sustainability transitions; Mobility behavior; Cycling; Walking; Car use; Public transport
21
2019
Wang, Yueqi; Zhang, Haomin;
Study of Low-Carbon and Ecological Environmentally Friendly Enterprises Innovation Capability Based on Collaborative Data Analysis of Innovation Network
Ecological environment innovation network; Collaborative data; Enterprise innovation; Capability performance; Evaluation; Differential evolution
Source Elaborated by the authors with research data from the research
and reflexivity and directionality (Pichler et al., 2021), it is clear that the transformations permeate the personal, political and practical spheres. It leads to the opening of change (Gosnell et al., 2019), bearing in mind that the Theory of Transformative Social Innovation has the statement that “they form and are shaped by changes in social relations and associated institutional dynamics” (Haxeltine et al., 2017, p. 9). It is necessary to maintain the preservation of all existing relationships, or it would be better to say, the webs formed among the organizations that have collectively allowed prioritizing decision-making towards transformative policies to bring about a change-focused and centered towards the future. Focused on growth and transformed the entire production chain around (ZabalaIturriagagoitia, 2022), having as its primary alternatives those that allow influencing the pace of transitions to sustainability (Rinscheid et al., 2021). As said by Mourato & Bussler, the “current unsustainable relationship between nature and humans has all the signs of critically threatening planetary and human sustainability to the point
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where the threat of extinction has become a major public concern” (Mourato & Bussler, 2019, p. 268). In these transformative needs, it is necessary to think about numerous contexts that involve the organization and its infrastructure to support innovation. An example is the case of Huawei technologies (Lin et al., 2020), where the phases of the innovation spiral are noticeable. Especially when going through the needs of hiring or firing staff and improvements in working conditions. They are growth prospects that other organizations go through and must undergo the transformations of innovation that link the transitions to sustainability (Kok et al., 2019). If you think in this way, the perspective of each organization to innovate and put its product to the market (Lin et al., 2020), within a circular policy (Vanhamaki et al., 2021), permeates first in the vision of the one who uses the products and services put to the community, where there is concern that they are effectively consumed and used in the vision of organizations. In this review and in the studies of the perspectives of transformative innovation policies (Kok et al., 2019), will numerous questions arise, such as putting in the consumer market a new product that has creativity, usability, and cost attractive to the consumer, what are the real organizational needs to be taken into account? This also involves the thought of social change to innovate (Schröder & Krüger, 2019). And within a socio-constructivist approach aligned with learning and participation (Sidiropoulos, 2022), in addition to long-term intermediate change innovations, involve technology and nature, reducing it and accelerating transitions to sustainability (Newton & Rogers, 2020; Svensson et al., 2020). In this, the concern must be maintained with future generations and maintenance with life (Nawaz et al., 2021), starting with the simple fact of mitigating the negative effects caused on the environment and that promote climate change, such as the research presented by Newton and Rogers (2020) on the recycling of the plastic waste in the dumps of Pakistan. In this line of thinking, there are numerous challenges and missions that organizations have in managing the scope of innovation activities, this with directionality (Hekkert et al., 2020), which must retain degrees of interaction in their organizational community. Together with its stakeholders (Arsova et al., 2021), they must ensure interactivity and disseminate their organizational practices, in the form of institutional mechanisms (Svensson et al., 2020), with the “capacity to imitate the capacity of creative imitation and then to the capacity for independent innovation” (Wang & Zhang, 2019, p. 4138). Among these, connect to the internal and external changes of the organization and the possibility of maintaining equality between the others connected to its network/ system (Kok et al., 2019). It is this transformative capacity in the paradigms of innovation policies that organizations, in order to contain them, must shape their network. Always focused on transformative innovation policy (Diercks et al., 2019). Challenges that pass through social innovation, according to Schröder and Krüger (2019), becomes a new way of being trodden for social learning purposes. Therefore, it is seen as fundamental for organizations to look at this perspective, bringing to a new
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context to face social challenges, because “transformative social change is demanding more than just top-down policy agendas and programs, of course” (Schröder & Krüger, 2019, p. 2), need to change many of its practices and there must be a lot of willingness to do so. One of these new paths can be seen in the paradigm shift and use of more sustainable mobility (Hoysniemi & Salonen, 2019), treated by the Finnish Government in order to reduce polluting emissions from motor vehicles. Demonstrating concern about a transition to sustainability aligned with the acceleration of transformative innovation policies. They are social innovations such as these seen as a driver of social growth (Rizzo, et al., 2020), as well as economic ones that can be put into practice within the model of the innovation spiral (Murray et al., 2010), demonstrating a linear development of transformative policies of innovation, towards the transition to sustainability. This range of concerns brought shows intentions to seek improvements within the innovations to the community as a whole, enabling comfort in the use of goods willing to conscious consumption and why not in a shared way evidencing transactionality of asset improvement (Labaeye, 2019). Therefore, evidence in transforming and enabling a change in social relations between the community and organizations. It should be seen that innovations within transforming policies build and solidify transformative social innovation for the future of our generations. Where, in a much more concrete way, “because social change often arises from alternative or radical sociopolitical movements that, over time, manage to gain momentum and mobilize enough critical mass to change the status quo” (Mourato & Bussler, 2019, p. 270). These apprehensions about more sustainable ways of searching for solutions and innovations go undeniably through university seats in search of researchers attracted by the changing changes in the current directions. These people, in teams or even individuality, demonstrate in their research the need for a more responsible future (Blaskova et al., 2021), enabling studies in search of creative innovations of social utility. Actions of importance and linked to scientific principles. Such innovative solutions from these university researchers, as seen in the studies by Blaskova et al. (2021), should ensure the motivations necessary for a continuous improvement of research to enable its social dissemination in the perspective of a future with real ideals of transformative invocation policies. The thoughts brought so far are consistent with the shape of the innovation spiral (Murray et al., 2010). Organizations go through several cycles in a continuum to seek the implementation of their innovation, thus measuring their strategies for business models in order to create a social impact. It must enable a real transformation in the transformative policies of innovation, boosting, with investments in research and innovation, the economy. What happened in the European economy (Vanhamaki et al., 2021) focused on the need for conscious behavioral change, thus contributing to achieving the objectives stipulated by the Paris Agreement (Newell et al., 2021).
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Thus, facing social problems as a factor motivation for interdisciplinary cooperation (Svensson et al., 2020), involving all social actors (community, governments and organizations) focused on the perspectives of transformative policies of innovation. Noticeable in the studies that the authors demonstrate that their research is directed to explain the movements that occur within the innovation spiral through its phases in order to condition innovation within the different stages, transfacing the scopes focused on Sustainability, linked to Innovation and Transformative Policies of Innovation.
5 Conclusion The movements that occur in a transnational way, that is, opening all the necessary borders to equalize the combination of various social policies in order to achieve the necessary goals to contain the unrestrained impacts on the environment caused by man, permeate the needs of consumption, these increasingly conscious and thought so that the products and services present themselves in a sustainable way, this being the collective thinking of organizations, which is expected to be so. The various authors studied demonstrated in the research the concerns around organizations of competitive need in the market (Lin et al., 2020), thinking about putting the best product, innovative and that goes through the necessary processes within their structures aimed at supporting innovation. Conditioning to this, there is the need to present a change of social thought to innovate (Schröder & Krüger, 2019), passing through all organizational areas. It is perceived in the studies presented as the connection between the stages of the innovation spiral. Following them and applying the diagnoses, with innovative ideas within the pilot plans of the organization around the project, seek a sustainable basis for the implementation of ideas. The resources, human and financial capital, must size the entire prospectus in view of a systemic change necessary for its execution. The organization’s paths and strategies are aimed at a social impact, binding on a reality that can be made of innovation-transforming policies, unified by the transitions of sustainability. Paths are trodden by the spiral of innovation. It remains demonstrated, within the proposal of the innovation spiral and the internships proposed by Murray et al. (2010), the studies aimed at Transforming Innovation Policies. These studies are closely linked to each stage since innovations aimed at improving a community are always sought. Conscious consumption of products and services that really demonstrate a social transformation, going through the most diverse transitions necessary, especially for sustainability. Looking at this and, not being fulfilled such stages of the spiral, leads to dimension the escape of this path, where social innovation transforming for the future of our generations will not occur in a much more concrete way. The delimitations of the study highlight the lack of current studies that effectively demonstrate the studies of the stages of the innovation spiral led by the Transformative Innovation Policies and the Transitions to Sustainability. It is suggested,
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therefore, that studies and new research address in greater depth the theme, focusing on the Transitions of Sustainability and Transformative Innovation Policies in the individualized stages of the innovation spiral.
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Álvaro José Argemiro da Silva Ph.D., in Community Development at Unicentro. Master’s degree in Business Administration from Positivo University. Bachelor of Directors from Unicentro. Delegate of the Regional Board of Directors in Guarapuava. Coordinator of the Accounting Sciences course and professor at the Faculty. Editor-in-chief of the scientific journal Interdisciplinary Dialogues. Marcos Aurélio Larson Ph.D., in Community Development at Unicentro. Master’s degree in Legal Science from the University of Itajaí Valley—UNIVALI. Bachelor of Accounting from Unicentro and Law from Campo Real Colleges. Lawyer. Effective professor of the Department of Accounting Sciences at Unicentro. Head of Accounting Sciences at Unicentro. Sergio Luis Dias Doliveira Full professor at the State University of the Midwest. Ph.D., in Administration from the Federal University of Paraná. Master’s degree in Strategic Management of Organizations from the State University of Santa Catarina. Graduated in Philosophy from the Federal University of Paraná; graduated in Administration from the Institute of Social Studies of Paraná.
Concomitant Infections by Dengue and COVID-19: Public Policies and Spatio-Temporal Analysis to Enhance Public Health Management in Brazil Márlon Luiz de Almeida, Noélia Moraes Aguirre Carnasciali, Luciene Pimentel da Silva, Edilberto Nunes Moura, Edson Maia Villela Filho, Felipe Favaretto, Isabella Carvalho Pagnussat, Matheus Luís Arnoni Mendes, Renan Kenzo Taguchi, Rodrigo de Paula Zardini, and Fábio Teodoro de Souza
Abstract Increasing urbanization has put pressure on urban and public health systems since the second half of the twentieth century. Viral infections challenge these systems worldwide. Since February 2020, Brazil has faced a recurrent dengue outbreak and the COVID-19 pandemic. This study’s main objective was to develop M. L. de Almeida (B) · N. M. A. Carnasciali · L. P. da Silva · E. N. Moura · F. Favaretto · M. L. A. Mendes · R. K. Taguchi · R. de Paula Zardini · F. T. de Souza Graduate Program in Urban Management (PPGTU), Pontifical Catholic University of Paraná (PUCPR), Rua Imaculada Conceição, 1155, Prado Velho, Curitiba, Paraná, Brazil e-mail: [email protected] L. P. da Silva e-mail: [email protected] E. N. Moura e-mail: [email protected] F. T. de Souza e-mail: [email protected] F. T. de Souza Faculty of Economics and Business (FEB), Research Center for Economics and Corporate Sustainability (CEDON), KU Leuven, Brussels, Belgium L. P. da Silva Graduate Program in Environmental Sciences (PPGMA), State University of Rio de Janeiro, Rio de Janeiro, Brazil I. C. Pagnussat University Center of Várzea Grande (UNIVAG), Av. Dom Orlando Chaves, 2.655, Bairro Cristo Rei, Várzea Grande, Várzea Grande, MT, Brazil E. M. V. Filho Centre for Higher Education of Campos Gerais (CESCAGE), Rua Tomazina, 710, Uvaranas, Ponta Grossa, PR, Brazil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_19
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a methodology based on GIS spatial analysis and data mining to elucidate the spatiotemporal patterns of both diseases. The locality of study was the municipality of Campo Mourão, Brazil. With the aid of spatial analyses, the study examined the overlap of the incidence of infections with demographic, urban, and socioenvironmental infrastructure factors. It identified County’s actions using a bibliographic survey. The results reflect the spatiotemporal pattern of the diseases, the hotspots, and the most vulnerable contingents, and point out the need to implement education for socio-environmental sustainability. Keyword Urban management · Socio-environmental sustainability · Public health · Infectious diseases · Viruses · Good health · Well-being
1 Introduction Urbanization, one of the leading global trends of the twenty-first century, significantly impacts the environment and public health. Currently, more than 50% of the world’s population inhabits urban centers, and this percentage is expected to reach 68% by 2050 (UN, 2018). Concentrated populations, which can be incredibly dense in urban areas, are the most vulnerable to emerging viral infections, posing challenges for urban management and public health systems worldwide (Neiderud, 2015; Norwegian Institute of Public Health, 2020). Prominent examples are dengue and COVID19. The increasing incidence and spread of dengue in Brazil has been drawing attention. Concurrently, the pandemic involving the novel coronavirus SARS-CoV-2, also known as COVID-19, has challenged public health management policies and tools worldwide, prompting reflections on the future of urban development (Ahmed et al., 2020). However, dengue and COVID-19 are influenced at different levels by human behaviors in the face of contagion risk. In addition, both have disproportionately affected marginalized people: the poorest, that live in densely populated areas of megacities in developing countries without the necessary infrastructure for environmental sanitation; those with limited access to health and education services; those with preexisting morbidities; and those engaged in informal work regimes. Such people have lower resilience to urban outbreaks and pandemics. Unfortunately, this population is also growing faster than those in areas with consolidated urban infrastructure (Lorenz et al., 2020). The world is at risk of not achieving the Sustainable Development Goals of the 2030 Agenda, most notably due to developing countries failing to achieve reasonable M. L. de Almeida · R. de Paula Zardini University Center of Goiatuba (UniCerrado), Rod. GO-320, Km 01, Santa Paula, Goiatuba, GO 75600-000, Brazil Doctoral Student of the Program in Urban Management at the Pontifical Catholic University of Paraná (PPGTU/PUCPR), Rua Imaculada Conceição, 1155, Prado Velho, Curitiba, PR, Brazil
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indicators in health and social well-being. Social inequality, environmental pollution, lack of quality education, and precarious or non-existent basic sanitation push poverty and pressure indicators to increasingly negative levels. The solution may lie in environmental education and sustainable development, from the initial grades to higher education, as a driving force for a new culture that promotes sustainability (Ortega-Sanchez, Alonso-Centeno, & Corbí, 2020; Yanniris, 2021). The municipality of Campo Mourão has been facing an overload regarding urban management and public health. This article provides some scientific evidence from the literature on the influence of environmental factors on the occurrence of dengue and COVID-19 infections. Campo Mourão is the headquarters of the 11th Health Regional, which is made up of 25 municipalities (Fig. 1) and serves about 360 thousand people. It also analyzes data from the health records of the city of Campo Mourão in Paraná and the environmental factors associated with the co-epidemic of COVID-19 and dengue. The purpose was to develop a methodology to identify patterns that could allow spatiotemporal prediction of the diseases by associating their incidence with environmental, urban infrastructure, demographic and socioeconomic variables, in addition to municipal public policies. The ability to forecast the development of these diseases through the study of the aforementioned variables could improve management processes and support preparedness planning aimed to reduce the suffering of the municipality’s poorest and most vulnerable people, especially with the emergence of new epidemics.
2 Environment and Dengue and COVID-19 Infections Infectious diseases are considered “eco-bio-social” because ecological, biological, and social factors influence the evolution of diseases and the behavior of their human hosts. Thus, environmental variables must be included in analytic approaches, including how social, economic, political and ecological aspects influence the spread of the disease. The precarious housing and basic sanitation systems in Brazil, especially unequal access to treated water, hinder the country’s fight against diseases and exacerbate the insufficiency of its health services, which are always in danger of collapsing (Lorenz et al., 2020; Mascarenhas et al., 2020).
2.1 Dengue The spread of viral infections, including mosquito-borne diseases, is accelerated by urbanization and the rapid growth of city populations. It is also accelerated by deforestation, climate change, the evolution of pathogens, insufficient vector control, and sociodemographic and environmental changes (Murray et al., 2013; Norwegian Institute of Public Health, 2020).
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Fig. 1 Campo Mourão—Headquarters of the 11th Regional Health with 25 municipalities. Source SESA, Paranã State Health Department (2022)
A systematic literature review establishes that temperature and precipitation increase the risk of dengue fever in tropical and subtropical regions. Higher air temperatures are associated with the abundance of the adult mosquito, as the rate of development of Aedes increases with the water temperature in the hotter air. However, some findings also reveal that temperatures higher than 32 °C (90°F) can reduce the rate of development and increase the mortality rate of adult mosquitoes. High rainfall enables the accumulation of surface water, promoting an ideal habitat for the mosquito to develop (Mascarenhas et al., 2020; Villela & Souza, 2019; Yokoo & Ferreira, 2016). High relative air humidity likewise leads to an abundance of mosquitoes (Lucio et al., 2013).
2.2 Covid-19 In May 2020, at the beginning of the pandemic, in a bibliographic search in the Scopus database, Shakil et al. (2020) located 57 relevant articles related to COVID-19 and
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the environment. The central approach of this systematic review was to understand the relationship between COVID-19 and the environment. Of course, the pandemic had an impact on the environment. More pertinently, the environment impacted both the transmission and mortality of COVID-19. A few months later, Han et al. (2022) carried out a new literature review on the topic and located 100 articles from January 2020 to 2021 in the Web of Science/Knowledge, Elsevier Science Direct, and PubMed databases. Regarding the aspects of the environment of interest for this study, it can be observed in both reviews that it is impossible to generalize about the relationship between the environment and COVID-19, and that local studies can help understand these relationships for a specific location. According to Shakil et al. (2020), national governments should consider climate indicators to combat the pandemic and take binding actions based on the climatic characteristics of their nation. It is known that COVID-19 is transmitted easily among people, including asymptomatic ones. Furthermore, it spreads incredibly quickly in crowded places (Bai et al., 2020; Huang et al., 2020). Previous epidemiological studies have shown that many infectious diseases follow seasonal patterns. This pattern was seen in studies of the two earlier coronavirus outbreaks: severe acute respiratory syndrome (SARS-CoV-1 or just SARS), which broke out in Guangdong, China, in mid-November of 2002 (Tan et al., 2005), and the Middle Eastern respiratory syndrome (MERS-CoV or just MERS), which broke out in Saudi Arabia in 2012 (van Doremalen, Bushmaker, & Munster, 2013). Health care needs to address the concomitance of seasonal diseases. The peak demand for certain types of medical care can be predicted according to seasonal patterns. In Paraná, the COVID-19 infections started during the increase of cases of dengue infections in 2019–2020. Although anyone can be affected by viral infections, the complications, lethality, and recovery time (including from socioeconomic impacts) are worse for people in the most vulnerable social strata, who often lack access to health care. They cannot change their work and personal routines, nor can they simply pack up and move to a more auspicious location (Santos, 2020).
2.3 Environmental Education for Sustainability There is a risk of not being able to meet the Sustainable Development Goals (SDGs) of the 2030 Agenda, as pointed out in the 2019 Sustainable Development Report of the UN Sustainable Development Solutions Network. The main reason for falling short of the SDGs is that emerging countries and so-called developing countries will not be able to achieve good indicators of health and social well-being. The main factors inhibiting this achievement are social inequality and environmental pollution, both of which are exacerbated by climate change and a lack of education. In addition, poverty and a lack of basic sanitation contribute negatively to the indicators. To help change the negative scenarios and improve the indicators suggested in the SDGs, it is necessary to invest in sustainable development and local communities’ well-being (Ortega-Sanchez, Alonso-Centeno, & Corbí, 2020).
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Moreover, the key to achieving this feat is the education of critical and responsible citizenship. In general, educational policies have sought to set the tone by directing their efforts toward promoting social change in the quest for citizenship and sustainability. Education of sustainable development should be encouraged to foster new skills, attitudes, and values that guarantee a sustainable future in which environmental, economic, and social conditions are respected and deemed essential for achieving full citizenship. Furthermore, this formation of new skills must be imparted by teachers, in a continuous process of formative learning, and by the introduction of sustainable development education to the core curricula of schools (Ortega-Sanchez, Alonso-Centeno, & Corbí, 2020). Many countries have included content on Environmental Education and Sustainable Development in their school curricula in the hopes of educating future generations of citizens who are aware of their rights and their obligation to exercise their full citizenship. However, obstacles have prevented this content from being taught in a format in which students can learn. One of the obstacles that deserves to be highlighted is a lack of integration between the different subjects of school curricula, and an insistence on teaching subjects wholly independent of each other. Furthermore, the problem is not just the lack of interdisciplinarity between traditional disciplines and content related to Environmental Education and Sustainable Development. The teachers themselves do not feel comfortable teaching content which diverges from their specialties. It is, therefore, a highly complex problem. Still, a dialogue must be promoted between traditional subjects and the environmental education and sustainable development content which is now essential to citizenship training. Globally, education leaders must encourage interdisciplinary cooperation that promotes sustainability as an essential skill of adult global citizens (Yanniris, 2021).
3 Materials and Methods 3.1 Characterization of the Study Area Campo Mourão is located in the state of Paraná, Brazil. The municipality, whose center is latitude 24.04 S and longitude 52.38 W, has hot summers with an average annual temperature of 22 °C (72°F), high relative humidity in summer, and a total annual rainfall of around 1,500 mm—a Cfa climate classification, according to the Köppen system (Alvares et al., 2013). The lowest temperatures occur between June and August, while the highest temperatures occur in December and January. The driest months are July and August, and the wettest months are December and January. The municipality is a regional hub, attracting the populations of surrounding cities (Peabiru, Araruna, and Farol, among others), which use the city’s medical, hospital, commercial, and student services. The population’s mobility intensifies viral transmission in the urban area of the municipality. In addition, climatic and entomological factors in the city promote infestation, providing breeding grounds for
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Aedes aegypti mosquito larvae in the urban perimeter, leading to high rates of dengue infections (Yokoo & Ferreira, 2018). The population’s mobility also contributes to the transmission of COVID-19. Historically, the municipality of Campo Mourão has always had problems with dengue; in 2012–2013, there were 7,835 cases (7,656 indigenous and 179 imported); in 2013–2014, there were 442 cases (392 indigenous and 50 imported); in 2014–2015 there were 1,011 cases (934 indigenous and 77 imported); and in 2015–2016 there were 1,855 cases (1,162 indigenous and 693 imported) (Melo, 2017). Thus, urban management must establish care protocols for analyzing the severity of dengue on two fronts: one directed toward people’s health care and the other concerned with mapping cases, both suspected and confirmed (Villela & Souza, 2019). For this reason, to reduce or even eliminate possible breeding grounds for Aedes aegypti (eggs, larvae, pupae, and adults) and combat the vector, the municipality of Campo Mourão has sanctioned and published Law No. 4,108/2020 on February 28, 2020. The law establishes a set of actions and recommendations to be performed by the municipality and the population. The legislation imposes penalties and sanctions for non-compliance with the legal measures put in place to control dengue vectors. However, the ineffectiveness and inapplicability of the law prompted the Executive Branch to issue Decree No. 8.439/2020 on March 13, 2020. The decree declared a state of public calamity in the municipality, making it possible to take more vigorous measures to combat and control Aedes aegypti. Unfortunately, both the law and the decree suffer from top-down orders that fail to enlist the willing participation of the most affected people, relying on edicts and guidelines without personally engaging and educating citizens (Vasconcelos, 2004). Regarding the COVID-19 pandemic, there was concern about the accelerated pace of contamination. Thus far, it has had differing impacts in Brazil and the rest of the world, highlighting the need for the scientific community to analyze the disease trends (Freitas et al., 2020). Chen et al. (2020) found that men over 50 and with comorbid conditions are most vulnerable to COVID-19. This infection tends to progress towards severe conditions such as respiratory diseases or acute or fatal respiratory failure among the most susceptible. COVID-19 has been associated with many complications, including damage to neurological, encephalopathic, cardiovascular, and hematopoietic systems, in addition to Kawasaki-like difficulties in children.
3.2 Methods The methodology involved the integration and analysis of public policies instituted to manage the disease and data analysis that considered the evolution of dengue and COVID-19 infections spatially and over time in the neighborhoods of Campo Mourão. The information gathered about the public policies for disease management and its analysis was based on public documents and informal dialogue with health agents in the Municipal Health and Planning Department. These were organized by date and
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integrated with findings on spatial and temporal patterns identified for the diseases, with the possibility of establishing correlations between public policy and disease behavior, and informing improved managerial decisions of future. The spatial analysis was performed with ESRI/ArcGIS (Geographic Information System) extensions and tools (ESRI, 2020). The research was conducted for dengue fever and then repeated for COVID-19 infections. The data of disease incidences for Campo Mourão municipality was mapped considering patients’ residential addresses. Performed by geocoding in GIS’s environment, each address was established as a point. The density-based clustering tool was used to detect the areas where the incidence points of dengue (or COVID-19) are concentrated or sparse. This tool uses unsupervised learning clustering algorithms. It finds clusters of points within surrounding noise based on spatial distribution. There are three clustering method options, and the self-adjusting (HDBSCAN) algorithm was used. The HDBSCAN algorithm finds clusters of points nearby based on a specified range of search distances, and it allows clustering with varying distances based on probability. The algorithm chooses the nested members of each cluster and creates more stable clusters that group the maximum possible members separating sparse points. This tool produces an output feature class with a new integer field (CLUSTER_ID) showing the cluster each feature (addresses/point) falls into. It used the COLOR_ID field to visually differentiate each cluster. The temporal analysis for the predictive model considered average, maximum, and minimum daily air temperatures; rainfall rates; the number of confirmed cases of both diseases; and the patients’ neighborhoods. For dengue, we gathered this data between October 25, 2019 (first case) and May 24, 2020, a period of 213 days, during which there were a total of 1,168 seropositive cases; for COVID-19, we gathered this data between March 15 and May 24 of 2020 (71 days) during which there were a total of 88 positive patients. For multivariate analysis and construction of predictive models, the study considered meteorological data from three stations located close to the city, with daily records of rainfall and minimum, average, and maximum temperatures. As data preparation is an essential part of this type of study that involves modeling, two accumulated rainfall indices were calculated with the daily rainfall data—7 and 14 days (Pyle, 1999). We used meteorological data as input for the model (explanatory variables) and the cases of COVID-19 and dengue for up to seven days ahead as output for the model (dependent variables). The number of dengue cases was roughly divided into terciles, and we considered three possible forecast classes: no case on the day (72 days), one to six cases daily (74 days), and more than six cases daily (67 days). Because we had a smaller sample size for COVID-19, we considered only two forecast classes: no case on the day (38 days) or one or more cases (33 days). We built predictive models with classification rules and used the algorithm CBA (Classification Based Algorithm), described by Liu et al. (1998). After preparing the data, a multivariate analysis was performed to explain the relationship patterns between the model’s input and output variables (Souza, 2019). The same dengue model input variables were used to forecast COVID-19. The first attempt at dengue prediction was unsatisfactory, with the correct classification rate
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(CCR) or model accuracy ranging between 82.94% and 90.34%. Two more accumulated rainfall indexes were calculated to improve accuracy, those of 21 and 28 days, which improved the predictive performance.
4 Results 4.1 Public Policies for Diseases Management Annually, in Campo Mourão municipality, the first dengue records are reported close to the neighborhoods of Jardim Modelo, Jardim Santa Cruz, and in the central area near Novo Horizonte, Alvorada. The biggest issue identified by the health agents is inside the residences, where there is disorganization in garbage disposal, recycling logistics, and where materials favorable to vectors are accumulated. The presence of scrap iron is also mentioned. It was not observed that significant dengue cases were on the riverbanks. The most likely locations described by the dengue agents were junkyards, scrap metal yards, vehicle parts yards, and accumulators of recycled items. As for COVID-19, the health agents reported that despite all the efforts of health personnel, with shopping center restrictions and the allowed opening only of essential services during 32 days (lockdown), the health system scenario was alarming. The first patients came from other cities, with severe symptoms, including some that evolved to deaths. The transmission evolution was mild in the beginning. Still, it grew very fast, mainly due to the widespread exposure to the virus at gatherings that were hard to monitor (e.g., parties in houses and private areas, bars, etc.) and travel to and from regional cities. The later cases during the monitoring period (March 15 to May 24, 2020) were not as severe as those described at the epidemic’s beginning. The municipal government of Campo Mourão (PR), with the emergence of dengue in the municipality with an Aedes aegypti infestation rate of 6.5% on January 10, 2020 (the rate acceptable by the Brazilian Ministry of Health is below 1%), initiated some actions to try to reduce the risk of an outbreak of the disease. On January 18, 2020, the city’s entire population was summoned for a joint task, called Hour H, in the fight against the mosquito. The city was divided into 21 locations where workgroups visited house by house and provided guidance on management against Aedes aegypti. On February 13, 2020, there was a mobilization of elementary school students from Escola Urupês. They went out into the neighborhood streets with posters and visited houses to ask for the population’s collaboration in the fight against the dengue mosquito. On February 17, 2020, a joint action was carried out between agents to combat endemic diseases and people to remove household waste from backyards and vacant lots: 252 100-L bags of garbage were collected throughout neighborhoods of the city. On February 3, 2020, another action to remove domestic waste from backyards in other neighborhoods collected 328 100-L bags of garbage. On February 5, 2020,
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Campo Mourão (PR) recorded 140 cases of dengue. At the end of March 2020, there were 404 cases of dengue registered. On April 23, 2020, there were 744 cases of dengue recorded. On April 29, 2020, municipal management began the application of poison in the ten neighborhoods with the highest infestation of the Aedes aegypti mosquito. Two more venom applications were found following the control protocol, one per week. On May 14, 2020, dengue cases rose to 1,053 in the epidemiological period. After the actions that mobilized the population against the mosquito, the year 2020 ended with 1,169 cases of dengue. From May to December 2020, there were still 116 positive cases in the epidemiological period. Regarding the fight against COVID-19 infections, a set of public policies were gradually implemented in Campo de Mourão, and several municipal decrees were issued to impose measures acknowledging the public health emergency (DECREE 8,439, 2020). Others followed after the first published decree (No. 8,444 on March 17, 2020). They included new public health policies that complemented or changed the content of previous ones. Among its main measures, the municipal legislation included guidelines for social isolation, quarantine, the suspension of events with crowds, a mandate for remote work for numerous public servants, and the suspension of school classes. It also established the COVID-19 Municipal Monitoring Committee, among other measures (DECREE 8,444,2020). The initial actions of the Campo Mourão City Hall (PR) in the face of COVID-19 took place on March 17, 2020, with the suspension of classes, sporting and cultural events, and the creation of a monitoring committee for the new disease. Streets near hospitals and health posts, the bus terminal, and other places with the intense movement of people were disinfected. At the end of the same month, the city recorded three cases of COVID-19. On December 4, 2020, a new decree determined the population’s mandatory use of face masks and the closing of trade. On April 4, 2020, it authorized the operation of commerce and free fairs, but with restrictions on social isolation and the use of face masks. On the 30th of the same month, the bus terminal reopened. The municipality recorded 40 cases and three deaths from the new disease. In mid-May 2020, the prefecture distributed 12,500 masks to the population, and the disease numbers reached 52 cases and four deaths. At the end of June 2020, there were already 180 cases. July 2020 ended with 550 cases of the disease and 14 deaths. In September 2020, there were 1,026 cases and 39 deaths, and it rose to 1,260 cases and 40 deaths at the end of October. November 2020 ended with 2,071 confirmed cases of Covid-19 and 48 deaths, while December closed the year 2020 with 3,162 cases registered in the city and 52 deaths. However, as new information emerges about SARS-CoV-2, pandemic measures that Brazil will take, in general, and Campo Mourão, in particular, are likely to change. There is still some controversy regarding market and economic issues versus health protection and lockdowns.
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Fig. 2 Clusters for dengue fever in Campo Mourão (Ocober 25, 2019, to May 24, 2020.). Source IBGE (2010). Modified by the Authors
4.2 Spatial Analysis Figure 2 presents the spatial cluster analysis results performed in the GIS for dengue fever. It also shows the sparse points (patients’ residential addresses), which were treated as noise by the algorithm, and were not grouped in any cluster. As shown in Fig. 1, five clusters were identified in Campo Mourão for dengue. Figure 3 presents the spatial analysis results for COVID-19 in Campo Mourão. The points (confirmed cases of COVID-19) were grouped into two clusters. The number of sparse points (559) is larger than the number of members of each cluster and distributed all over the municipality’s area. These were not grouped in any cluster, and they were considered noise by the algorithm. The cluster with the most elements was number 1, in red, with 497 points, and it is located within the town and its surrounding area. Cluster number 2, in yellow, is located in the southwest part of the city, in a neighborhood called Jardim Lar Paraná.
4.3 Predictive Model Figure 4 shows the simultaneous period of infection of both diseases. The dengue outbreak was much more significant in the analyzed period for the predictive model.
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Fig. 3 Clusters for Covid-19 infections in Campo Mourão. Source IBGE (2010). Modified by the Authors
Fig. 4 Temporal evolution of dengue and Covid-19 in Campo Mourão, Brazil, from March 15, 2020—to May 17, 2020
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The dendrogram is similar to a tree with a mathematical distribution hierarchy that organizes the variables studied in different branches (Han et al., 2011). Figure 5 presents the dendrogram with the meteorological variables and the number of daily positive cases of dengue. It shows a branch that isolates the dengue variables (model output, but Dengue_T0 is input). The branches with greater mathematical distance use the six variables created from accumulated rain for 21 and 28 days, the change to the model that significantly improved the model performance. This paper’s bibliographic review discussed the possible relationship between rain and COVID-19. Similarly, Fig. 6 presents the dendrogram with the meteorological variables and the number of daily positive cases of COVID-19. It shows a branch that isolates the COVID-19 variables (model output, but COVID_T0 is input). The branches with greater mathematical distance have the variables created from accumulated rain for 14, 21, and 28 days. Figure 7 presents the confusion matrices for the prediction model’s outputs (classification rules) for dengue (3 classes) for the fourth day ahead (Dengue_T4) and COVID-19 (two classes) for the next day (COVID_T1) obtained by the algorithm CBA. In both cases, the error was low, 7.66% (accuracy 92.34%) for dengue and 1.41% (accuracy 98.59%) for COVID-19. The matrix’s main diagonal allocates the number of instances with correct values predicted by the obtained classification rules. The false positives and false negatives are located elsewhere. These results are obtained using the rules built by the algorithm CBA with high support and confidence to predict the sample class. These results validate the use of this method for forecasting morbidity and could assist in managing future epidemics. Figure 8 presents the accuracy of the 21 classifying rules (model) from the first forecast day (T1) to the seventh day (T7). The accuracy values in all models (100% minus the % error) are very satisfactory.
Fig. 5 Hierarchical tree diagram (32 variables, sinle linkage, Euclidean distances) organized with meteorological and dengue-positive case data
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Fig. 6 Hierarchical tree diagram (32 variables, sinle linkage, Euclidean distances) organized with meteorological and Covid-positive case data
Fig. 7 Confusion matrices for a dengue and b COVID-19 classification
Fig. 8 Correct classification rate (CCR) or accuracy (%) for the 21 models
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5 Discussion The Health Care Networks established in Paraná offer primary care, urgent care, emergency services, and psychosocial care. These are critical services because of Brazil’s complex epidemiological situation, characterized by persistent infectious and deficiency diseases and chronic conditions. Regarding public policies, it was noticed that in the case of dengue disease, these were focused towards accounting and identifying the number of cases, community mobilization activities, and insecticide spray in critical locations. It was noticeable that there was a lack of coordination and integration of these actions regarding both diseases. For COVID-19, apart from community mobilization through student-distributed material and street disinfection, there was a need for law enforcement to impose closedowns of schools, offices, and shops during critical pandemic periods. The spatial analysis revealed that although many scattered points were not grouped in any cluster for both diseases, it was noticeable that the municipality city center concentrates a large number of cases for both conditions. In a temporal analysis, in 2020, the period of infections was not as long as predicted for 2021, as the number of cases of Covid-19 infections increased compared to last year. The reasons for a dramatic drop in dengue numbers in 2021 are unknown. The incidence of dengue in Campo Mourão is affected by climatic, environmental, and cultural factors. Among the climatic factors, the rainfall levels (1,500 mm annually), high relative humidity in the summer, and an average temperature of 22 °C (72°F) provide ideal conditions for the life of Aedes aegypti. Although, for COVID19, the literature review did not show a consensus about the influence of climate conditions in the number of cases, the predictive models showed good performance for both diseases to predict the number of dengue and COVID-19 infections as a function of meteorological variables. The number of infection cases is affected by climate conditions. The model can predict one day to four days ahead for dengue and COVID19. These models could inform future decision-making, and help communities and families to foresee and prepare for increased infection risk. Apart from the public policies identified and the environmental conditions that influence both diseases, both are also affected by human behavior. In the face of that, the authors believe that the local government could initiate more social innovation projects. There was a lack of awareness-raising among the population regarding sustainability issues, especially concerning environmental education. Furthermore, it became clear that in 1990, when the municipality of Campo Mourão approved its Organic Law (Municipal Constitution), which in article 183 reads: Everyone has the right to an ecologically balanced environment, a good for shared use by the people and essential to a healthy quality of life, obligating the municipality and the community to defend and preserve it for the present and future generations (CAMPO MOURÃO, 1990). Article 183, item III, reinforces the Organic Law with: promoting environmental education in municipal schools and public awareness to preserve the environment. To comply with the municipal constitution, the ordinary law 793/1993 was sanctioned on June 2, 1993, which provided for the requirement of
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environmental education in the curriculum of schools within the Municipal Education Network of Campo Mourão, which in its article 3 (the law consists of only four articles) is stated: Art. 3—The Municipal Executive will regulate this LAW within 60 (sixty) days after its publication. In searches of the laws, decrees, and ordinances of the municipality of Campo Mourão (PR), no evidence was found that Law 793/1993 has been regulated by the Chief Executive (CAMPO MOURÃO, 1993). After 28 years of the law obliging the teaching of Environmental Education in schools, and 31 years after the enactment of the Organic Law of the municipality of Campo Mourão (PR), budget allocations were not directed in the Laws of Budgetary Guidelines and Bases and the Budget Laws toward investment in Environmental Education within the scope of the Municipal Department of Education. Budget funds were allocated to the Department of the Environment for the general population’s education in specific campaigns, rather than toward the training of the municipality’s students. As a result, a generation lost its preparation for full citizenship and did not have the right to education focused on Environmental Education and Sustainable Development. The amount of waste (domestic waste) removed from vacant lots and the city residents’ backyards is a failure, demonstrating a total lack of zeal and disrespect for environmental issues and personal and family hygiene, which has exacerbated dengue outbreaks and other diseases.
6 Conclusions Managing concomitant infections by dengue and COVID-19 poses a critical challenge, especially for developing countries enduring socioeconomic stresses. This research identified some actions initiated by public policies in 2020 to confront this challenge. It also determined that the locations around the city center of the municipality are very critical for both diseases. Knowing this, the authors identified that, in many aspects, efforts put forth in an isolated way could be integrated to minimize costs and increase efficiency, lessening the overall burden on the public budget. The research also identified a consensus in the literature that dengue disease is highly affected by environmental conditions, especially climatic and meteorological variables, confirmed for Campo Mourão by the data model published with excellent accuracy. In the case of COVID-19, no consensus was identified in the literature. The authors’ study showed that the COVID-19 infection in Campo Mourão was affected by meteorological variables. However, it should be considered that the data timeline was short. This caveat notwithstanding, the authors identify potential in these first results, and propose that there should be an effort to utilize the weather forecasting capacities of the state and the municipality to support decision making regarding contagious diseases like dengue and COVID-19, and the public health measures and health care preparations these microscopic threats demand. Finally, the research identified an apparent lack of social innovation in public policies in the fight against both infections. The authors also propose that this finding could promote a set of
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good practices for fighting urban environment epidemics that are likely to repeat in the future, not only in the cities of Brazil but also in other places in the world. However, in the authors’ opinion, what contributed the most to the population’s lack of engagement against dengue and COVID-19 was the low (or non-existent) knowledge of Environmental Education and Sustainable Development, which led to a lack of synchrony in the actions and activities between the local government and the population. Preventive measures were never installed, but only maintenance resources, which contributed to the worsening of dengue and Covid-19.
7 Limitations of the Work and Constraints The researchers were unable to verify the situation of the pandemic in Campo Mourão on the spot. Decrees of the Mayor of Campo Mourão limited the mobility of people in the city. It was impossible to measure the volume of people from the other municipalities that make up the 11th Health Regional who moved to Campo Mourão to receive health treatment for Covid-19. This displacement between cities may have further facilitated the circulation of the virus in the researched city. It should be noted that the survey data were obtained at the beginning of the pandemic in Brazil. And before the vaccination campaigns against Covid-19. Acknowledgements Funding: The authors thank the PUC/PR Research Directorate, ARAUCÁRIA Paraná’s Research Foundation, and CAPES of the Ministry of Education (Process number 88887.354469/2019.00) for sponsoring this research. We also express gratitude to Campo Mourão Municipal Health Department for the data and support of this research.
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Sustainable Mobility and Governance in Medellín-Colombia Liliana Lotero Álvarez, Luis Horacio Botero Montoya, and Laura Álvarez
Abstract Mobility and public space have become a problem for cities around the world and Medellín, the second most important city in Colombia, has not escaped this phenomenon. This paper aims to establish how efficient has been sustainable mobility policies regarding sustainable development for the last 16 years. The aforementioned is linked to the 11th Sustainable Development Goal “Sustainable cities and communities”, the “Quality of life Report of Medellín, 2016–2021”, and the current governance practices in the city. The research has a descriptive-comparative and retrospective-longitudinal scope, with a deliberate pursuit of secondary sources. Results suggest that there are some effective specific actions to intervene in sustainable mobility. Also, there are some similarities in the intervention to this problem in the government’s administrations analyzed, but they are independent. The conclusion is that the government administration required is one that allows articulation between public, private, and civil society actors, in order for Medellin to overcome the difficulties in terms of sustainable mobility. Keywords Urban mobility · Sustainable development · Sustainability · Governance
1 Introduction Efficient mobility of people in Medellin, the second most important city in Colombia, has always been a complex issue to solve, due to the growing demand for unsustainable means of transport. In addition, the number of inhabitants has grown due to L. L. Álvarez (B) · L. H. B. Montoya Universidad Pontificia Bolivariana, Medellín, Colombia e-mail: [email protected] L. H. B. Montoya e-mail: [email protected] L. Álvarez Medellín, Colombia © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_20
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the internal migration phenomena, resulting from voluntary or forced displacement from rural areas to the city, and due to an increase of people migrating from other cities or countries (mainly from Venezuela). Allied to this population growth that corresponds to 2.499.080 inhabitants, according to the last census of the National Department of Statistics (DANE for its Spanish acronym) (2019), the city has significantly raised the supply and demand of the vehicle fleet as well as its use. This has led to an increase in traffic congestion, and with it, road accidents, consumption of fossil fuels, pollutant emissions, and other externalities that have a negative impact on people’s quality of life. According to the (Caribe, 2016) report and the (CAF, 2011), in the last decades, Latin America has undergone a strong population growth linked to an intense and uncontrolled urbanization process. In 2016 it will have a population of 625 million inhabitants. This population growth affects the quality of life levels in the cities, where there is a strong strain on public utilities’ supply that cannot be met by the current budgets. Besides, aspects related to the climate change debate, and the need to change lifestyles and reduce pollution are factors that require more sustainable modes of transport, namely public transportation, gas or electric vehicle, bikes, or alternative and clean transport systems (Shi et al., 2018). In Medellín, the road mobility system and the management of demand for sustainable public transport play a key role in the public policies of the current and future administrations. Hence, a pressing need to achieve social, ecological, and economic development for a city (Qiu & He, 2018). Questions regarding how to plan and govern the future sustainable mobility are reaching a critical point, given that cities are facing collapses of traffic and more travel time for the citizens. The mobility systems emerging from the new shared mobility forms are one of the alternatives to overcome these difficulties (Curtis et al., 2019). The paradigm of sustainable mobility (hereinafter SM) has become more important in developed and developing cities, but the transition process raises crucial concerns and problems. The development context of megacities introduces significant differences from the developing cities in terms of institutional settings, governance structures, and urban mobility challenges (Canitez, 2019). Mobility provides evidence of the uncertainty dilemmas that cities and local governments go through since there is a wide range of users that must engage in the implementation of innovations, some of them set up in public policies. Furthermore, the existing governance structure can be inadequate to address both opportunities and limitations of such innovations (Akyelken et al., 2018). The term “smart sustainable cities” is rapidly gaining global attention as a promising answer to the sustainable urban challenge and, among its scopes, to achieve a SM. This model or framework aims to address the main limitations, uncertainties, paradoxes, and fallacies related to the existing models of sustainable mobility development (Bibri & Krogstie, 2017). In the context of the strategies of “smart sustainable cities”, local government authorities are turning to information and communication technologies-ICT to support their efforts in reducing car use. To that end, citizens are increasingly actively-involved in the co-creation of innovative urban services, such as mobile
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apps to buy and access transport systems. Nevertheless, despite the benefits of these apps and the involvement of some actors in the process, which correspond to specific actions of urban governance, it is also necessary to recognize that there is still a low openness towards these successful practices, hindering largely the effectiveness of these technologies and innovations (Cellina et al., 2020). These difficulties prove that SM is not just implementing technologies to the system. Thus, and in accordance with the rigid nature of transport infrastructure and some of the developed modes to meet the demand, this research started with an analysis of the development plans and the public policy tools of the last 16 years (2004–2020), which corresponds to six municipal administrations. The purpose of this analysis is to establish if there is a link and alienation between these regulations with the 11th Sustainable Development Goal “Sustainable cities and communities” and the existing governance practices in the city. The question this research address is How efficient have the SM policies been and their contribution to the sustainable development (hereinafter SD) of the city of Medellín in the last 16 years? The research was focused on Medellín because is, at the present time, the more developed city in Colombia in regard to an Integrated Transportation System of the Valle de Aburrá—SITVA—(for its Spanish acronym) and, in the reviewed development plans, mayors have worked to achieve the recognition as a “sustainable smart city” with SM practices and governance that aims to achieve the best quality of life for its habitants.
2 New Governance Practices in the Public Matter The governance concept has become a trending word. Despite its origins are located in the public management area, it must be mentioned that its records are with the birth of the New public management. This theory was born in New Zealand and shares some principles of neoliberalism in the sense of claiming a minimal state intervention in the market, and that is responsability of the public management to make changes and adjustments to its structure, and to hand over those inefficient matters to private actors, under the assumption that these are more efficient. In accordance with Estapé-Triay (2003), the goal of the governance model, which is been addressed in regards to the management of the public, is to ensure the right decision-making in each field and to meet the citizens’ needs, through a proper allocation of goods and services. By implementing six fundamental values: 1. Citizens’ needs-based; 2. Perform and plan with anticipation and preparedness capacity towards future needs; 3. Account to society and its representatives, and bear the consequences of the management; 4. Integrate the civil society’s ability towards improving the delivery of services to the community; 5. Perform public policies with an optimal allocation of resources, by committed and qualified public servants, and 6. Deliver services to aim of continuous improvement, for really meeting the citizens’ expectations.
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A good government practice inherently requires proper governance frameworks. Cooperation based on clear rules, which allow legitimacy and effectiveness in collective actions, and on the deployment of public policies and projects is emphasized. “The governance of modern societies is a combination of all kinds of activities and structures, expressed through government modes and orders” (Kooiman, 2004a). For the purposes of this paper, governance is related to the exercise of providing participation to the public, private and societal actors, on the matters affecting them, and empowering them to make decisions that respond to the solution of those issues. Decisions are not from individuals, but from groups of people, organizations systems (public, private, mixed, for-profit or non-profit, voluntary or third-sector), and collectivities (Lotero Álvarez et al., 2019). Thus, governance requires a clear division of responsibilities among the actors involved. For the government itself, for example, there are two that stand out: (1) To adopt policies, strategies, budgets, and plans to achieve the entity’s purposes; (2) the administration team, which has the responsibility to implement policies, strategies, budgets, and plans approved by the governing body, through implementing activities and operations of the entity. Authors like Kardos (2012), Meadowcroft (2007), and Sachs (s.f.) state that good governance corresponds to that of the SD, even though it is possible in theory, it is more an unfeasible desire in practice. Public, private, mixed, or third-sector organizations need to make alliances and share resources to establish the necessary public policies in the territory and then enable their discussion and implementation (Gerlak et al., 2013). Regarding governance, theories recognize the importance of participation to generate better decisions. Practical experience and theoretical debates on governance for SM involve greater creativity by government authorities, forcing them to appeal to technological innovations and creative processes, thus citizens are more involved in solving the mobility problems that affect them. For instance, the need for inclusion and greater interactive dialog processes are alternatives for achieving the expected coordination (Carpenter & Brownill, 2008; Crowley, 2009; Vigar, 2006). Similarly, the change in focus of the government towards governance is also compelling, which implies a greater consciousness of the roles of the stakeholders in planning and decision-making (Kooiman, 2004b). Hence, in order to achieve coordination a new concept emerges, that is, interactive governance, which involves new practices and types of commitment by the stakeholders (Denters et al., 2003; Sørensen, 2013a). These new types of commitments are seen as spaces for dialogue, knowledge sharing, and cooperation, based on problem-solving. These new practices for urban governance require new discussion and deliberation spaces, more inclusive and democratic that serve as an “Arena” or “Greek agora” to discuss coalitions and negotiations among actors in the state public sector, private and civil society in the economic, environmental and social dimension (Sørensen, 2013b). As to planning the conurbation region of Medellín and its Metropolitan Area of Valle de Aburrá, and to quote (Swyngedouw, 2004), the needed governance goes beyond state public actors.
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Governance extends beyond public and government management of a period and requires an open public sector that allows and favors participation; a committed private sector that engages in public–private partnerships-PPP to develop an infrastructure for SM; and a civil society not only suitor but also engaged in the solution of mobility problems.
3 Methodology The research had a qualitative approach, due we aimed to describe, understand, and interpret the phenomena, in this case, the SM of the city of Medellín, based on a term analysis of SD emerging from the United Nations-UN-, through the Brundtland Report, which states “a development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (Sachs, 2014). Link to the previous concept the 2030 Agenda, approved and adopted by the General Assembly of the United Nations in September 2015, and the Sustainable Development Goals -SDGs- were employed. For purposes of this analysis, the results were linked to the analyzed managements reports of the local administrations and the Quality of Life Report “Medellín Cómo Vamos” (2016–2021), in order to establish whether Medellín contributes to the 11th SDGs “Sustainable cities and communities,” through the SM policies and governance practices. Two designs were analyzed. In first place the descriptive-comparative design, which aimed to identify the SM policies, due to analysis of the proposed SM policies in the government plans. Second, the retrospective descriptive-longitudinal design, since the variables over the time (16 years) were studied, and the management reports at the end of the administration of the four (4) mayors of the city from 2004 to 2020 were reviewed. Then, they were compared to the Quality of Life Report “Medellín Cómo Vamos” (2016–2021) for responding to the requirements stated in the 11th SDGs “Sustainable cities and communities” and governance as a research topic. The above, allows us to establish how much the city of Medellín is contributing to the sustainability balance, according to the economic, environmental, and social dimensions with a fourth cross-cutting element such as governance.
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4 Results 4.1 Analysis of the SM in Medellin 4.1.1
Development Plans and Management Reports 2004–2020
SM has been a subject of interest and concern for the municipal administrations of Medellín, during the analyzed period of 2004–2020. The Metro System of Medellín is today an example of culture and effectiveness. It is one of the best multimodal systems in Latin America: two train lines, one tram, five subsystems of overhead cables, and two subsystems of bus rapid transit. What was initially a system design for the city of Medellín has now expanded to five (5) municipalities of the Metropolitan Area: La Estrella, Envigado, Itagüí, Bello, and Sabaneta (Bibri & Krogstie, 2017; de Medellín, 2019). The focus on the SM in the city and in the development, plans is evident, as shown in Table 1, where the programs and projects that provide solutions to this problem are reviewed. Related to the above, in Table 2 the achievements are synthesized, based on the management reports developed by the studied administrations on the SM subject. In terms of the transportation alternatives posed, the following actions are highlighted: (a) Plan Maestro de Movilidad y Transporte Metropolitano: This plan was proposed in Sergio Fajardo’s administration, however until Aníbal Gaviria Correa’s administration the Transportation System of the Valle de Aburrá—SITVA—was established. It is a group of modes of public transport that allow metropolitan citizens to travel around the 10 municipalities of Valle de Aburrá. SITVA is composed by the Metro, Cable transport, Tram of Ayacucho, and the buses that travel on the preferential and bus-only lane, as well as its shuttle bus. In addition to the Collective Public transport-TPC- made up by bus routes with a municipal and metropolitan range, and the public bike-sharing of Valle de Aburrá-EnCicla (On-bike) (SITVA, s.f.). (b) Metrocable: It was posed by Sergio Fajardo’s administration and in this period the K Line-Acevedo-Santo Domingo Savio was opened. Then, in the following administrations the lines J (2008), L (2010), H (2016), and M (2019) were opened (Informe de Gestión, 2004–2007). According to (Bocarejo et al., 2014) the Metrocable in Medellín is an innovative system to improve access to lessfavored zones located in mountainous areas. The idea of using cable cars as shuttle services of the Metro was included in an ambitious urban project that, so far, has significantly improved accessibility for some low-income residents. (c) Metroplús: Its construction was proposed by Sergio Fajardo’s administration. On February 21 of 2005, Metroplús S.A. was built. It is made up of Medellín, Envigado, and Itagüí municipalities. In 2006 (by the end of Fajardo’s administration) the staged construction started, first with Troncal Belén-Aranjuez (Line
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Table 1 Development plans 2004–2019 Time period Mayor’s name 2004–2007
SERGIO FAJARDO VALDERRAMA
Development plan “Plan Maestro de Movilidad y Transporte Metropolitano” Metrocable Green routes (bike paths) Metroplús (Public Transport system, medium capacity with a bus-only line for its transit) Multipurpose train Collective public transport Pico y placa (is a vehicle use restriction) regulation for private transport
2008–2011
ALONSO SALAZAR JARAMILLO
Integrated Transportation System
2012–2015
ANIBAL GAVIRIA CORREA
Integrated Transportation System of Valle de Aburrá Program—SITVA
FEDERICO GUTIÉRREZ ZULUAGA
Por una movilidad sostenible
2016–2019
Tram of Ayacucho program and two complementary cables (green corridors) Comprehensive management for a sustainable mobility Project: Setting up the corridor of Avenida 34 for public transport Project: Set up corridors of cross-cutting transport to Avenida El Poblado Project: Medellín se integra con la región y el Área Metropolitana Project: Set up multipurpose rail system (commuter train for passengers and freight or solid-waste train to the Pradera) Project: Set up Entre Orillas station
2020–2023
DANIEL QUINTERO CALLE
Project: Mobility with cleaner technologies and new trends Project: Medellín caminable y pedaleable Project: Movilidad segura e inteligente con innovación y tecnología Project: Transformación cultural para la movilidad sostenible y segura
Source Own making, based on the development plans (2021)
1 of buses) and began operation in 2011 (Alonso Salazar’s administration). Currently it is made up of two bus lines of 26 km1 length and two shuttle cuencas (zones) with 35 routes, supported in its construction by the following administrations (Metroplús, s.f.). (d) Tram: It was proposed in the Development Plan of Aníbal Gaviria and started operation in 2016 (Federico Gutiérrez’s administration). It serves with an only
ALONSO SALAZAR
2008–2011
2012–2015, ANIBAL GAVIRIA CORREA
SERGIO FAJARDO VALDERRAMA
– Ayacucho tram and its two complementary cables for the east-central zone of the city of Medellín, to achieve proper accessibility for people. Its Integration with public transport and collective public transport, to improve the travel time of tourists and inhabitants of the 8 commune-Villa Hermosa; 9-Buenos Aires, and 10-La Candelaria (continued)
– $74.000 billion COP of investment in the transport infrastructure for finishing road corridors, Metro stations, purchase of properties, studies and designs, supervisions, and complementary constructions – Conclusion of the Metrocable Nuevo Occidente and implementation of the Cable Arví line – The construction of the cable in the Palmita district
– A research for a “multi-use” train, that is, a double-track train that transports passengers and the called Solid Waste Disposer Train, which requires a design that allows space reservation to build collection centers throughout the municipalities
Works on the paseos urbanos of Carabobo, San Juan, Av.33, Av. El Poblado and Calle 10, as well as paseos urbanos of Calle 106 and 107 from the north-east commune
– Metrocable Nuevo Occidente is an expansion project through overhead cable, integrated into the B line of the Metro, from San Javier station to the housing project Pajarito
Management plan
– Compliance of 92.4% of the goals and 97.2 of the MUS targets – Emphasis on strengthening public transport, through the Metroplús and Metrocable massive transport systems and the track system to link and connect different modes of transport
Time period Mayor’s name
2004–2007
Table 2 Management Reports 2004–2021 on SUM
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2016–2019
Management plan
FEDERICO GUTIÉRREZ – Programs for maintenance, improvement, and construction of new sidewalks (543.943,08m2) and new bike ZULUAGA paths (70 km, equivalent to the 87.5% of the expected target for this four-year period) – Integration of the collective public transport to the Integrated Transportation System of the Valle de Aburrá (SITVA), through a Civic card as a payment method in 100% of the integrated routes – 71.87 km of bus-only lanes for the TPC (for its Spanish acronym) and 2.5 km of preferred lanes for the Metroplús in the Avenida Oriental – A new bus fleet of 64 all-electric buses with 80 passenger capacity that supports the initial phase of the Avenida 80 corridor. 29 new integrations, equal to 65.9%. Integration of the Ayacucho tram to the San Antonio station. And the EnClicla (OnBike) system – Project: Medellín se integra con la región y el Área Metropolitana. A commitment to finance three regional projects was acquired, namely: Túnel de Occidente, Autopista para la Prosperidad y Centralidad Sur – Resource allocation to co-fund Autopistas para la Prosperidad, 251.000 billion COP from the projected 296.000 billion COP were disbursed – Project: Set up Multipurpose rail system (commuter train for passengers and freight or solid waste train to the Pradera). There is no progress in this regard – Project: Set up Entre Orillas station. The performed studies for the “Entre Orillas” station showed only partial progress and the interventions were pending in relation to the target proposed in the Development Plan (continued)
Time period Mayor’s name
Table 2 (continued)
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Management plan
Project: Movilidad con tecnologías más limpias y nuevas tendencias. Four (4) electric buses joined the operation of the medium-capacity transport system An agreement with Bancoldex to launch a line of credit addressed to the collective public transport companies with an investment of 9.296 billion of Colombian pesos Co-funding agreement with the Nation, it will allow having the required resources for the Metro de la 80 project Project: Medellín caminable y pedaleable Steghtening of the seven (7) kilometers of bike paths design Works on 28.048 m of sidewalks, 17.89877 m were restored and 10.14914 m were built Construction of 6.9 km of urban bike infrastructure and maintenance of 17 km 158 new bike parking units were installed in the city Project: Movilidad segura e inteligente con innovación y tecnología. Preventive and corrective maintenance of the traffic light infrastructure in 672 intersections. Six (6) new traffic lights with their complements Setting up 163.14 km/rail track of traffic signals Project: Transformación cultural para la movilidad sostenible y segura Construction of two bridges in Altos del Rodeo and second lane in Avenida 34, between Loma de Los Balsos and Aguacatala Plan Integral Vision Cero (Comprehensive Plan Zero Vision) 2021–2025 as the main input for the realization of the approach Vision Zero Medellín Launch the microsite for cultural and educative transformation “Somos Calle” as a virtual strategy for information and awareness on the vision zero, universal accessibility, and gender equity lines
2020–2023
Source Own making, based on the management reports (2021)
DANIEL QUINTERO CALLE
Time period Mayor’s name
Table 2 (continued)
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line of 4.3 km and nine stops traveled by a fleet of twelve trams that transport 45.000 passengers per day. (e) Metro de la 80: It is planned as a system that enhances the air quality of the corridor of the 80. This construction has 13.25 km in length and will have 17 stations and stops, 4 of them will be conection-stations to the Metro in the station Aguacatala, Floresta, and Caribe, and to the Line 1 of buses in the La Palma station. Its layout covers 8 communes, and it has a direct impact on the 30% (752.735) of the city’s inhabitants. 4.1.2
2016–2019 Medellín’s Quality of Life Report and SM Policies
An analysis of the Quality of Life Report “Medellín Cómo Vamos” (2016–2019) was conducted in order to compare the results of SM policies enforced in the city of Medellín; to monitor the progress of its indicators; and to state if SM is improving in the city and the Metropolitan area of Valle de Aburrá. The indicators are linked to the goals stated in the 11 SDGs, number 11.7 which states that is essential to provide universal access to safe, inclusive, and accessible to public spaces and goal 11.2. states that, it must be provided access to safe, affordable, accessible, and sustainable transport systems for all, improving road safety. In the context of compliance with these goals, there is transport investment; road infrastructure, and collective and mass transport as problems that cities faced. The improvement of these indicators enables better resource use and reduces pollution and poverty. Transport investment, in particular, during 2018 was 961.833 billion of Colombian pesos (267 billion USD), corresponding to 18.7% of the total investment of the municipality, and places this sector in second order in terms of investment. This growth represents 4.8 percentage points above the investment for 2017. Table 3 shows the different amounts invested from 2008 to 2018, the latter being the largest investment in the last 10 years, based on the Single Territorial Form that regional and local mayors must fill and process in their accountability to the Comptroller General of the Republic. Complementary to the 11 SDGs in its urban mobility goal and its contribution to the SD for the city of Medellín, there were other indicators as shown in Table 4. Despite it has been improvements in initiatives towards a SM for the city of Medellín in the metropolitan context, there are still big challenges for the city and the Metropolitan Area. In accordance with the Quality of Life Report of Medellín (2016–2019), these are the following challenges: . Address the needs in terms of improving the city’s road network. . Make viable the design, construction, maintenance, and adaptation of the largest amount of bike infrastructure and pedestrian streets to enhance sustainable modes of transport. . Create public space and green areas in zones with less amount of effective public space per capita, especially in the north-eastern part of the city. . The challenge continues to create indicators that account not only for effective public space per capita but its quality.
15.7
11.4
413.35 3.308
Percentage
Investment 817.61 5.034
20.1
2011 391.35 5.779
10.6
2012 556.91 7.657
12.3
2013 913.98 2.964
16.0
2014 474.35 0.011
11.6
2015
436.04 6.607
12.0
2016
Source Own estimation, based on the FUT (for its Spanish acronym) of the Comptroller General of the Republic (2019)
633.45 6.268
2010
2009
Table 3 Transportation Investment (2009–2018)
655.00 8.111
13.9
2017
961.83 3.767
18.7
2018
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Table 4 Mobility and public space indicators Indicators
What is the status in Medellín?
Number of daily journeys made in the organized public transport systems
96.586
Road network status (the sum of moderate, good, and high)
83.20%
Effective public space per capita (square meter per capita)
3.7 (2018)
Bike paths
From the goal of 80 km proposed in the administration period 2016–2019, 60.8 km were built. That is, 57% of the bike paths registered in Medellín, which has a total of 105.4 km
Source 2016–2019 Quality of Life Report in Medellín (2019)
. Adopt new management of demand strategies that boost mobility and ease the use of modes of transport. 4.1.3
2021 Survey on Public Perception
Aiming to obtain more data to analyze the SM in Medellín, the results of the 2021 Survey on Public Perception is shown. It “enables to capture the citizen’s voice in regards on their own welfare and satisfaction towards the supply of goods and services provided by Medellín” (Medellín Cómo Vamos, 2021). These were the asked questions: (a) Does it take the same time, take longer or less than last year? (In terms of transportation)? The same 51% and less the 38% (b) What mean of transport do you mainly use? Metro 32%, bus or mini-bus 13% SITVA 15% (c) What mean of transport do you mainly use? In terms of socio-economic status. Low—60% massive, public 19% and private 11% Middle-class—46% massive, public 22% and private 17% Higher—35% massive, public 15% and private 35% (d) How satisfied are you in general with the condition of the roads in your neighborhood? In terms of socio-economic status. Higher—75% Middle-class—67% Low—59% The previous survey enabled us to identify that the city’s inhabitants are in general satisfied with the progress of the SM, due to question “c” the 41% of low and middle socioeconomic status use public transport and 106% massive transport. As for road infrastructure both high status and middle status are satisfied with road conditions.
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2020 Quality of Life Report
This report considers the Origin–destination Survey (OD) performed every five years, the last one corresponds to 2017. The OD in 2017 showed that the metropolitan area shifted from 5.614.292 travels in 2012 to 6.131.727 daily trips in 2017. This meant an increase of 9.2% in five years. In terms of modes, foot travel was reinforced in 2017 as the main option with 27%, followed by bus of collective transport with 19% and car with 13%. It is also highlighted that travels by Metro increased in these two years, from 9 to 12% in 2017, as well as motorcycles, which obtained a 12% of the total travels. (Medellín Cómo Vamos, 2020). According to the 2020 Citizens Perception Survey, performed by Medellín Cómo Vamos, 30% of the citizens traveled by bus, mini-bus, executive or collective transport, it is two more percentage points than in 2019 (it was 28%). Similarly, the users of this type of transport in 2020 felt 71% satisfied, 18% were not satisfied or unsatisfied and 11% were unsatisfied with the service provided, this is the lowest percentage compared to the other modes of transport reported in 2020. On the other hand, the COVID-19 pandemic affected user demand for collective transport, thus reducing income for transportation companies and, therefore, for its employees.
5 Discussion and Findings In Colombia territorial entities are legal persons of public law entitled of autonomy to manage its interest and are defined by the following criteria: 1. Politic (they are ruled by their own authorities chosen by popular election); 2. Administrative (they exercise the faculties assigned to them by law) and 3. Fiscal (they participate in national income and set the necessary taxes for performing its functions). In Article 311 of the 1991 Political Constitution of Colombia, municipalities’ faculties are established and as the fundamental entity of the political-administrative division of the State, the delivery of essential public services, construction of works that seek local progress, organization, and development of its territory, the promotion and participation community, the social and cultural betterment of its inhabitants are assigned to it, in other words, the duties of the State are delegated to the territorial entity (Constitución Política, s.f.) For the municipality of Medellín, the SM corresponds to the functions of a local authority. Nevertheless, the city cannot be seen in an isolated way, its development must respond to the conurbation concept with other nine (9) municipalities that made up the Metropolitan Area of Valle de Aburrá (AMVA, for its Spanish acronym). These areas, established by the Law 1625 of 2013 are formed around a core municipality (in this case, corresponds to the municipality of Medellín) which links to the other municipalities in the territorial, environmental, economic, social, demographic, cultural, and technological dynamics. Its administrative acts are defined by a metropolitan board (one of its administration bodies) and shall provide solutions to the arising problems as a consequence of the conurbation and impact over at least two
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municipalities in the metropolitan area. In the context of its functions, they jointly design a comprehensive metropolitan development plan and a strategic metropolitan land use planning (PEMOT, by its Spanish acronym), which is a higher rank norm, making it legally binding to all the member’s municipalities. Hence, these areas could exercise actions of metropolitan governance, but in practice, their actions do not achieve it, given that the decisions of one municipality cause externalities for the others, causing tensions and coordination problems. For example, in the case of AMVA the current mayor of the city of Medellín, Daniel Quintero Calle (2020–2024), recently tried to establish a traffic congestion payment within the urban mobility framework. This decision caused the rejection from the other mayors of the AMVA, given it was not agreed upon in a metropolitan way, but unilateral. After tracing the sources, it was established that there is no urban sustainable governance in Medellín. Its characteristics are specific to a citizen participation exercise, through the strategy of participatory budgeting, and some specific convening of actors. For SM, decisions are made unilaterally by the local administrations, through the transport secretariats. In terms of mobility, the city of Medellín has made interventions that have improved the mobility of its citizens. However, there are some challenges to achieve. While progress has been made in the modernization of the transportation system, especially in the digitalization of the information, priority should be given to actions that create more bus-only or preferential lines (TPM, for its Spanish acronym), and improve control over the proper use of those lines. And speed up the growth of the road network for bikes; continue the expansion of the massive system, strengthen special measures for road safety; improve urban information management on effective public space; promote the intermodally in transportation with corridors that enable the connection between pedestrians, cyclists, and private transport users to the collective and massive public transport; make progress in the integrated pricing control with the electronic collection and develop bus-only or preferential lines to generate more regularity on travel time and improve operational efficacy and to reduce road accidents levels. The SM for the city of Medellín requires the concurrence of the three key actors for viable and possible governance, namely, the action of the state public sector, private sector, and civil society is required. It implies improving democratic participation systems, that overcome theory to practical actions, that is, from participative governance to a reflexive one (Feindt & Weiland, 2018). In addition, in order to be governance for the SM, it is necessary to invite different stakeholders, among them, there are the public and private transport users; municipal mayors; private companies providers of public transport services; Mass Transport Company of Valle de Aburrá (operator of the Metro of Medellín which works for different municipalities of the AMVA); employees, etc. Its participation must be based on the impact the SM over them and, thus, have clear who must be invited in an interactive and permanent way to achieve governance for SM. Such cooperation, more than necessary, needs to go beyond the work of a single period or the sum of the periods analyzed.
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Governance demands promoting participatory exercise to plan mobility, and that such public participation be truthful not just a symbolic act. This is expressed at the local level and is reflected in the participatory budgeting. This government action started in the Sergio Fajardo administration (2004–2007), and the actors involved say it is a well-intentioned action, but over time it has been misrepresented, since it is a meeting to endorse plans, programs, and projects already established by the local administration, and there is no real possibility of dialogue or discussion (specific actions of interactive governance).
6 Conclusions The city of Medellín has efficient SM policies that contribute to the SD of the city, implemented by the municipal administrations from 2004 to 2020, and they are reflected in the development plans. However, these do not achieve the expected and desired link to design a total sustainable solution to the urban mobility matter. Although, efforts to improve the public transport system have been made, through diverse options like the Metro, Metroplús, cables, tram, and EnCicla (OnBike) system, promoted by the state public entities. It is also a duty of the citizens and private sector to make their own contributions and to decide to reduce negative consequences on mobility, especially, through the purchase of automobiles (cars and motorcycles) that use fossil fuels that pollute the city. The research question established that SM policies are efficient when compared to the metrics and investments made. However, alliances must be made, and integration spaces must be created, that is, new urban governance for sustainability, that involves debating spaces to find consensus that respects dissensus, where the public state sector (represented by the government authorities of mobility in the city of Medellín), private sector and civil society a city engage through alliances that enable a city with sustainable mobility. It is concluded that all past local administrations, apart from the analyzed ones, promoted and designed such a massive transport system, and it has grown to the point of being responsible for 15.7% of all daily travels departing from Medellín (SITVA, s.f.), transporting around 1.237.626 passengers per day (Secretaría de Movilidad de Medellín, s.f.). If its construction and building had not started, the city would be in a mobility crisis of unthinkable dimensions. The contribution of this paper was identified with determining that it is necessary for local authorities to constantly develop actions leading to the application of public policies for sustainable mobility. The future of cities and sustainability in the dimension of urban mobility depends on the study and analysis of trends in transportation and the mobility of citizens, and among the limitations is the constant and repeated non-continuity of long-term public policies after the threat of populist local governments.
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Industry-Related Initiatives and Strategies
Permanences and Impermanences as Key Concepts for Sustainability: The Brazilian Urban Context Marcio Siqueira Machado, Katia Atsumi Nakayama, and Fernanda Cantarim
Abstract The last century brought a series of new issues for cities in Latin America. It also has challenged several ideas apparently well established. Sustainability research is in constant need of a more robust and updated set of concepts to work with, specially in urban environments. The aim of this article is to discuss two different conceptualizations which are key for this theoretical articulation in urban spaces: the first with a permanent nature and the second with a transitory characteristic. In order to understand this possible conflict, a case study is proposed comparing nine urban solutions in Brazilian cities. Three categories of uses are set: housing, retail and transportation. Initially this debate is analytically contextualized in the period called modernity but it discusses post-modernity scenarios as well to help to comprehend distinct time perceptions. The need to answer rapidly to new planetary questions influencing cities in Brazil has led to a rush in many urban, metropolitan and global dynamics. This is at the core of a huge set of environmental issues. The conclusion shows that impermanences happen so frequently that they may become a new kind of permanence. Truly sustainable cities can be reached only if this dilemma is better understood by policymakers. Keywords Permanence · Impermanence · Urban dynamics
M. S. Machado (B) Centro Universitário de Ensino, Ciência e Tecnologia do Paraná – Uniensino, Curitiba, Brazil e-mail: [email protected] K. A. Nakayama Faculty of Architecture, Engineering and Technology, Architecture and Urbanism Department, Federal University of Mato Grosso, Campo Grande, Brazil F. Cantarim Urban Management Program, Pontifical Catholic University of Parana (PUCPR), Curitiba, Brazil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_21
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1 Introduction The sustainability concept has a continuous aspect of evolution and refinement. New perspectives are added and new dimensions are better studied (Alalouch et al., 2021; Versaci et al., 2019). Time had been at the core of the theories around this subject from the early stages of this debate. The classical definition of sustainable development discusses a type of development that meets the needs of the present without compromising the ability of future generations to meet their own needs. It addresses mainly the question of time. This is a new perspective about this variable: connecting it to a main contemporary issue. Inside the discussions about modernity, a very recurrent one deals with the intensification of the speed of transformations in recent years (Bauman, 2001; Castells, 2009; Giddens, 1995). There is a predominance of the idea that the most recent phase of globalization acted by “increasing” the speed of time. It is observed that the transformations caused by globalization are responsible for a transitional phase within modernity, with no sudden breaks visible currently. This transition is characterized by a trajectory between two moments: one more permanent and the other more impermanent. Among the authors who discuss such transitional processes within modernity, Bauman (2001) divides it into solid and liquid society; Ulrich Beck (2005) classifies it into first modernity and second modernity; and Giddens (1995) analyzes modernity, introducing the concept of reflexive modernity after the period of globalization. There would thus be these two moments, in which, within an incremental process, the latter would be conditioned to greater instability in its structures. In these theories the time variable changes more frequently. The moments become defining processes, but the perception of space also changes. The city is the stage for these different urban and social dynamics. It is, therefore, responsive to changes in large social structures and their relationships. In this context, there are few existing consensuses in the way of thinking about the city today (Wachsmuth, 2014), although two can be highlighted in this article. The first is the rupture represented by the industrial revolution and the resulting urbanization. The concept that is conventionally called modernity, which is rational, sectored and traditional, characterizes this moment. The second understanding is less hegemonic and describes the effects of globalization or at least the current phase of globalization. There is disagreement in the literature about dates or time frames that identify the beginning and end of this phase. There is also disagreement about the intensity of this process: some qualify it as a new rupture (Bauman, 2001; Harvey, 1990; Sassen, 1991); others understand it only as a phase of intensification of modernity itself (Beck, 1986; Giddens, 1995; Habermas, 1987). As a result, the purpose of this article is to discuss the path of transformation between these two complementary and opposing concepts: permanence, but also fixed or reduced; to impermanence, or flexible and global. Based on the distinction between permanent and impermanent, we seek to identify them in urban sustainability themes, discussing and comparing scenarios in three categories (housing;
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work/commerce; and mobility) based on data for the Brazilian urban context. The discussion starts from a theoretical perspective to compare the phases of modernity from its beginning, the first industrial revolution, to the present. There is a certain tendency in the academic field of urban studies and urban planning practice to focus on visible and fixed structures, as they are often easier to analyze and design. When discussing permanence and impermanence, new perspectives are opened for epistemological and practical debates in the urban context. In this way, a proposal for understanding urban planning in modernity is presented in a paradox between the more permanent condition of the city space and the speed of social political transformation imposed by modernity. The article is divided into three parts. The first discusses the context of permanence and impermanence, based on some theoretical foundations and their applications in urban sustainability. In the second part, descriptions of the scenarios are presented based on empirical data and theoretical discussion on the permanences and impermanences of modernity. Finally, the third part brings the final considerations, where the future of this process inside urbanization is speculated.
2 The Epistemological Context of Urban Permanences and Impermanences The growth of temporary physical and social structures has characterized a large part of the processes of the world in globalization. The need to understand which dynamics are ephemeral and which are more permanent is growing; and to perceive the continuities, ruptures or inflections in the evaluated processes. According to Foucault (2008), we should assess how continuities could be established; how one and the same project could be maintained and constituted, for so many different and successive minds, a single horizon; what mode of action and what support does the game of transmissions, retakes, forgettings and repetitions imply. The problem is no longer the tradition and the trace, but the cut and the limit; it is no longer the foundation that is perpetuated, but the transformations made. A table (Fig. 1) makes a summary of these discussions. Castells (2009) when addressing the logics of technological revolutions, analyzes the characteristics of this revolution from the subsidies provided by the transformations that occurred since the first industrial revolution. According to the author, the construction of modern social structures is the result of two relevant moments in history. The first moment is the industrial revolution, in the eighteenth century—a period in which manual tasks were replaced by machines and the discovery of energy sources and subsequent means of communication. In this sense, the industrial revolutions supported other changes in history; being responsible for the material base to “distribute, produce and communicate” (Castells, 2009, p. 75) the modern era. The first
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Fig. 1 Scenarios identified from the discussions in this article based on selected authors and theories. Source The authors, 2022
rupture occurred in the industrial revolution. At that moment, the visible is separated from the invisible: objects become separate from processes. The second relevant moment, intensified from the middle of the last century, was the technological revolution, characterized by innovations in the means of technologies and production. The speed of communication, invention of telephone and later the internet, digital advancement and ease of traveling long distances are some of the main characteristics. In fact, the behavioral transformations and new discoveries of these revolutions gave support to the globalized condition beginning with the technological revolution; characterized by the intensity of exchange of flows in different sectors of society. The effects of the recent globalization wave have generated new social paradigms, on which the discussions of several authors (Beck, 1997; Giddens, 1995; Sassen, 1991) were based. Ascher’s theory of metapoles (Guallart, 2003), largely speaks
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of this same process. It discusses this “meta-place” or “place of places”, identifiable—more abstractly and less physically—as a multiple and multiscalar structure composed of different combinatorial incarnations (or realities) of superimposed transformations and evolutions. It is a “network” framework or “networks” dynamic, fluctuating and definitively unfinished, comprising unique situations and changing relationships. Mutability becomes the most exacerbated quality of our times. This characteristic is reflected in the relationships inside the city and between cities, giving a complex dynamic to these networks. The city and its relations with flows, polarizations and hierarchies in urban networks are issues that gained more visibility in the scientific world after 1930. At first, the perception of its study was based on a locational reading and organized in a rigid hierarchy, based on more material and practical aspects—usually related to distance, durability of products and capital. Christaller presented his theory of central places in the publication Central Places in South Germany (Christaller, 1933); later, August Losch appropriates and complements it in The Economics of Location (Losch, 1954). Braudel (2006, p. 27), in Perspectives of the World, discusses this network on a larger scale and concludes that the world economy would have an urban center of gravity that polarizes subordinate cities. Hall (1966) typifies and ranks the positioning of cities in urban networks, naming them “world cities” (Hall, 1966). From the 1970s onwards, studies on the form of urban networks and the interpretation of relationships between cities were adapted to understand the impacts of globalization on their structures. Cultural influences, intellectual exchanges, generalization of services, trade, and high specialization become key aspects of interactions between cities. In the scientific community, discussions about horizontal and vertical relationships and the dismantling of the traditionally rigid urban hierarchy are intensified (Cantarim, 2015). Geographic barriers and physical distances become less determinant in the constitution of urban networks. Sassen (1991) theorizes that a city’s ability to become global is linked to its level of social “connectivity”, core functions, its international alliances, elite, and denationalized projects. Lencione (2010) classifies urban networks into two distinct typologies—territorial/absolute proximity and relative proximity. The first is based on a logic of territorial and physical analysis; the second concerns a network strongly centered on intangible flows of information, services and intangible products—where barriers and physical distances are diluted. At this point, the ability to communicate in an expanded network becomes as important as the physical structure of the urban center. According to Harvey (1990), there is what is conventionally called the simultaneous compression of space–time—a phenomenon that enabled the global network of cities to create connections that are almost independent of physical distances. Sassen (1991), in the global cities theory, appropriates John Friedman’s world cities (Friedman, 2006), but distinguishes herself by presenting the premise that these cities would be: 1—reinforcing relations between cities, 2—serving basis for the performance of specialized services aimed at companies, and 3—enhancing the command and control skills that companies located in their territories concentrate (Sassen, 1991). In the same sense, Ultramari connects the urban fact to a wider world:
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the village disappears, the isolated urban fact, and the spatial city appears, concretely and virtually integrated with the world, mingling with it (Ultramari, 2005). There are increasingly clear differences between the traditional city and the globalized city, the former is made up of slower and more rigid dynamics, and was transformed by the addition of new urbanized parts or by vertical growth; the second, the global city, is mutant and fundamentally linked to impermanence. Clark, when classifying global cities, describes three types: established, emerging and new (Clark, 2016). There is now a flexible hierarchy, subject to modification, responsive to political, economic and social changes on a global and almost instantaneous scale. The industrial revolution would then emerge as an inflection that led to a new dynamic in the urbanization process, introducing modernity. This phase is characterized by urban growth, rationality, standardization and the valorization of tradition in the processes. Cities were dominated by permanence. There are no clear limits or more significant inflections from then on, the rupture between permanent and impermanent urban dynamics seems to be more gradual and certainly it is complex to perceive. There is in the literature a divergence of interpretations about these changes in the twentieth century. For some, it is a phase of acceleration of capitalism, a new wave of globalization, formed by more permanence than impermanence. For others, there are more visible ruptures, named by some as the technological revolution. The periods and dates stipulated in the literature are not precise and consensual; however, there is agreement on the increasing influence of globalization on social and urban processes and the gradual growth of impermanence in urban dynamics. Finally, some authors (Harvey, 1990) envision a new phase, in which modernity has already been overcome and there is the emergence of a third phase, characterized by the predominance of increasingly ephemeral and repetitive impermanences, generating a certain continuity. When analyzing the transitions of modernity caused by recent globalization, Bauman (2001) divides it into two phases: solid and liquid modernity. Solid modernity is orderly, rational and predictable; where social structures are more stable and the presence of bureaucratic lines is verified as a form of rational organization of human institutions. On the other hand, liquid modernity is related by the author to a scenario of constant flows of information and uncertainties in sectors ranging from the instability of individuals—such as occupational instability due to the competitiveness of companies at a global level—to the dissolution of social structures and identities (Bauman, 2001). Thus, the definition of liquid modernity would be the disintegration of structures of work, time, space and community—among other formal structures of society. According to the author, the transition between the two periods would be at the moment of rupture caused by globalization, which caused “breaks in forms” (Bauman, 2001, p. 14) to adapt to new orders of society, that is, the transformation of solid structures in a more dynamic and fluid state. Beck and Lau (2005) also characterize modernity in two stages, classifying it as first modernity and second modernity. According to the authors, the first modernity is based on a society: a nation-state; programmatic individualization; greater job
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stability; presence of a scientifically defined concept of rationality and marked by a segmented understanding of the various social sectors (economy, politics, culture, science…), the latter being interpreted in functional and individualized ways. The second modernity is linked to the multidimensional characteristics of globalization; to radicalized individualization; the global environmental crisis; to the evolution of genders (equality in terms of employment) and a third industrial revolution (Sorensen & Chiristiansen, 2013). According to Beck (1997) this last phase is the result of reflexive modernization processes, where modernity confronts itself, as a process of continuity of modernization. Another classification for modern phases is presented by Giddens (1995). According to the author, the new phase of modernity represents a rupture in traditions, while also understanding that they do not disappear. In this way, tradition is no longer an obligation, but a process of creation and recreation based on constraints. The reflexivity process of modernity is never completely stable, on the contrary, it is always renewing itself. In addition to this temporal dynamic, space follows this same tendency to become increasingly impermanent. The scale of urban thinking expands, valuing a global vision and networks. As a result of this process, the complexity of urban dynamics increases and, consequently, the uncertainty about its functioning. Even with differences, the theories of Bauman (2001), Beck and Lau (2005), Harvey (1990) and Giddens (1995)—are delimited from the characteristics of discontinuities, which separate modernity into phases. Gane (2001) when comparing the interpretations of modernity by Beck, Bauman and Giddens, identifies a great point of convergence between the theories, pointing to the fact that they all raise the emergence of a more ephemeral world after the recent globalization. The existence of a moment of discontinuity between these two phases is evident, which, according to Gane (2001), raises concerns in all theories about policies in times of globalization, seeking to find solutions, especially with regard to social justice and social justice. Commitment to revitalizing the public sphere. Based on the theories presented, the next section discusses permanent and impermanent scenarios in three selected categories (housing, retail, and mobility). Comparisons are ordered according to proposed analysis criteria. We seek to understand aspects of permanence and impermanence in urban contexts and extend the analysis of these scenarios to conjectures.
3 Empirical Comparisons Between Urban Permanences and Impermanences Based on the theories presented, a synthesis is developed for discussing the changes that occurred after the beginning of the recent globalization. It. brings together three analysis criteria (Fig. 2) to guide the discussions of permanence and impermanence in this section.
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examples
political and territorial organization of society typology of urban planning, occupation and management; form of occupation: traditional, insurgent and/or risky
institutions in society
social collectives, individualization and fragmentation of institutions; new ways of living patterns; individual and collective
management process
public or private institutions; fixed employment or flexible underemployment; entrepreneurship; institutions based on traditional forms of sectorization or pulverized forms; different management proposals
Fig. 2 Selected analysis criteria. Source The authors, 2022
Comparisons between the two scenarios are made based on the theoretical foundation presented; leading to the development of comparisons through classification into three subdivisions of urban themes: (1) housing; (2) retail and (3) mobility. For each one, two axes of analysis were defined: one permanent and the other impermanent (Fig. 3). Comparisons are carried out in a Brazilian context, through exploratory qualitative analysis and theoretical-conceptual discussion. For the selection of data from the permanent scenarios, regulatory frameworks (legislative frameworks and plans) in Brazil were used for the three subdivisions. For the impermanent scenarios, a sample of at least three recent institutions/organizations was selected, whose data are made available by the media or on their own websites. In this last scenario, there is the difficulty in selecting impermanent institutions/ organizations, considering their ephemeral nature (some startups can last a few years or months; either due to failure, mergers or sales); the fact is related to modernity itself. In this sense, the sample of permanent and impermanent scenarios are parameters that guide a greater and more complex reality. It should be noted that these institutions and regulatory frameworks are at the national level, that is, they are responsible for aligning urban planning policies and actions for later appropriation on a local scale. The three subdivisions are examples of uses and forms of appropriation of the city that are part of a complex set of structures and relationships that compose it. It is understood that the urban context is a larger world; where there are several possibilities of analysis categories for the scenarios of permanence and impermanence.
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categories
more permanent scenario
more impermanent scenario
housing
buying and selling: traditional forms of ownership through public policies
social rent; refugee camps; emergency housing; transitory housing by online services globally (such as by Airbnb)
retail
fixed roles in the productive chain and longer-lasting employment relationships; sectorized trade
outsourcing, service company, home office, informality, traveling fairs, food trucks, online services (online delivery application, such as ifood)
mobility
private transport, public transport and taxi at fixed points
provision of private transport service (as well as Uber): shared transport without a station (such as Yellow and Green); flexibility of passenger transport at a global level (as well as the open skies policy).
Fig. 3 Examples of urban uses and appropriations in scenarios of permanence and impermanence. Source The authors, 2022
This article is limited to a preliminary discussion based on just three, but which can potentially be extended to other uses and appropriations of urban space. The temporal cut emphasizes modern urban scenarios: from the first period of the industrial revolution to the present time. From this last scenario, the possibilities of extending the discussions to urban conjectures are also discussed. Below (Fig. 3) it is presented some examples of urban uses and appropriations in the scenarios of permanence and impermanence that are explored individually in more detail below.
4 Results and Analysis Initially a time table was organized (Fig. 4). In the case of institutions/organizations in the impermanent scenario, the year in which they were created and/or introduced in the country was used as a reference. It presents the list and year of creation of the main institutions/organizations and regulatory frameworks involved with each analysis subdivision.
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Fig. 4 Illustrative landmarks of permanence and permanence. Source The authors, 2022
When analyzing the first category, housing, from the perspective of the conditions of its implementation, there are discrepancies between the time of traditional urban planning—based on the formality of plans, approval periods and legislative bureaucracy—and its implementation in space. The planning time is slower than the social and technological changes taking place in the city. This discrepancy increases with the effects of globalization and the accelerating speed of transformations taking place in society. Regarding such differences in time speeds of modernity and urban planning, Ultramari and Silva (2017) when discussing changes in urban planning instruments throughout history, observe that the relationships are important because they suggest a way of thinking about the city as a mutable phenomenon, always related to different contexts, but already truly constituted. This would be a significant phenomenon for recent decades in terms of urban Brazil, which is the consolidation of its process: changes continue, however paradoxically, as a finished object, as changes in its parts, aging and creating. An observation about this time difference in urban planning appears in the Statute of Cities in 2001. It creates an anachronistic scenario between permanence and impermanence, as it is considered a law that values traditional planning through the Master Plan, and at the same time it appears in the midst of a concentration of impermanent phenomena. As shown below (Fig. 4), in the housing category, impermanences usually arise in two ways: one conditioned by the new housing proposals defined by the urban planning sector; and the other by the insurgency of changes arising from society itself. Respective examples are the introduction of new housing policy solutions (example: social rent, zoning change) and the execution of emergency housing in risk locations coordinated by Non-Governmental Organizations (NGOs) or the emergence of irregular, or informal, housing. These last two examples correspond with Beck’s (1986) theories of modernity about the intensification of the society of risk and impermanence, after the effects of the last globalization. The fixed forms of regulations have been changed by flexible ones. The housing sector was once driven by the BNH, the national bank for housing started in 1964, but
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it was slowly substituted by other forms of financing housing initiatives. The same happened with labor regulations. The CLT, working rights introduction in 1943, has been transformed by new types of contracts. The MEI, started in 2008, enterprises of one or few workers, is one of them. It reduces some rights but at the same time it provides the flexibility necessary for current changing businesses environment. Informal dwellings are ideally impermanent in their creation, but they have the uniqueness of often becoming permanent. This same paradox is also repeated in the areas intended for the reception of refugees. In Brazil, the refugee law has been in force since 1997. In some camps in conflict zones in Africa and Asia, settlements for people at risk have remained in place for decades. Some refugees were born and lived inside the camps, which in some cases are comparable to cities. Some camps, such as the Zaatari camp in Jordan, are home to more than 80,000 people; and it is estimated that the average length of stay in the camps is 17 years. Experts such as Killian Kleinchmidt claim that these structures should be treated as permanent, forming what he calls the cities of tomorrow (Radford, 2015). Regarding the processes and management of housing guidelines, there are currently different forms used by the government and public–private partnerships. An example is the trajectory of housing incentive programs in Brazil. The National Housing Bank (1964) has a complete monitoring guide for the implementation and construction of social housing; in contrast, the program “Minha Casa Minha Vida” (my house, my life) (2009), even though still coordinated by public institutions, presents a certain fragmentation of activities, which are now outsourced and distributed among public–private partnerships. Another notable change is the flexibility of use and designs of housing projects, with a multiple character. In the impermanent scenario, it is worth mentioning the emergence of transitory housing online, which provides a new form of spatialization for the category. The alternative of using applications in networks, allows the temporary contract of new ways of living; with the possibility of remote hiring from anywhere in the world. This geographic scope of the service changes the pre-determined sectorization by the urban zoning, allowing the extension of any areas for different uses; a consequence of the intensification of uses in the city and a break with the logics imposed by the traditional planning sectors. Still in relation to private institutions/organizations of transitory housing, it is observed that some adapt their services according to urban adversities. One example is Open Homes3—a program linked to Airbnb’s short-term rental services—a platform that provides temporary housing in emergency cases. In this context, the performance of impermanent institutions and organizations is observed as auxiliaries in urban dilemmas where the response time of traditional urban planning proves to be slow and bureaucratic. Thus, it is reiterated that permanence and impermanence coexist, and that sometimes they dialogue and complement each other. This communication makes it possible for demands not quickly answered by traditional urban planning institutions to be temporarily remedied by impermanent institutions/ organizations (usually non-governmental or private initiative). This communication logic is also present in other uses and appropriations of urban space. Below (Fig. 5) the
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categories
more permanent scenario
more impermanent scenario
political and territorial organization of society
lines of traditional housing policies managed by the State
social rent, emergency housing in risky locations, informal housing, refugee camp
institutions in society mostly horizontal housing units and standard module
housing units: multiple possibilities (trade and housing); units with reversibility and spatial unity for the disabled (family diversity in the project design)
management process
state-managed housing guidelines; management distribution with public and private partnerships; outsourcing of processes and new institutions (NGOs); private transitory housing with online management
housing guidelines fully managed by the State (urban planning)
Fig. 5 Housing—scenarios of permanence and impermanence in Brazil. Source The authors, 2022
table summarizes the characteristics of the permanence and impermanence scenarios for the housing subdivision. In the same way, the dynamics of work and the commercial sector have also adapted according to the acceleration processes of modernity. Traditional practices coexist with new models of commercialization and work in urban spaces; generating a multiplication and diversification of types of commercial services. Products are not only updated, but diversified in the eagerness to meet the individualism of modernity (Bauman, 2001). The following table (Fig. 6) summarizes the permanent and impermanent scenarios related to this commercial category. Mobile ways of selling products have always existed, such as open markets. Home delivery services by phone ordering have also been popular for decades in many business sectors. However, the spread of online orders through applications created a new paradigm. In Brazil, the food delivery sector moved BRL 205 billions (Brazilian Reais currency) only in 2018. The same happened with the forms of territorialization of work. With the growth of the service sector and its further specialization increasingly accentuated, the dynamics between work and space have adapted. Outsourcing contributes to this process—there are companies specialized in providing services to the commercial sector, some examples are coworking spaces and collaborative laboratories, which allow providing a temporary headquarters for professionals and small companies that
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categories
more permanent scenario
more impermanent scenario
political and territorial organization of society
commerce and spatially sectored services (shopping centers); predetermined location fair
remote work; coworking; food Trucks; new food delivery apps
institutions in society
strict work rules; Constitution of labor laws; industry and commerce as dominant sectors
intermittent work; appreciation of entrepreneurship; outsourcing of services, individual micro-enterprises, specialized services become primacy
management process
formalized relationships between clients and service provision; fixed and face-toface business and work locations
self-service, online services, flexible hours and work, homeoffice, home deliveries
Fig. 6 Commerce—scenarios of permanence and impermanence in Brazil. Source The authors, 2022
do not have a fixed physical headquarters. There are also services done exclusively remotely, eliminating the need for formal workspace. In turn, mobility, as paradoxical as it may be, has several permanent aspects. The infrastructure is eminently fixed; stops, stations, taxi ranks, and terminals. Public transport lines may change over time, or vary in frequency, but follow the logic of a more permanent infrastructure. As in the housing category, there is a delay on the part of traditional planning in keeping up with the new mobility demands. Different modes of urban transport grew and gained popularity in cities—such as carpooling, bicycles and scooters. New technologies associated with applications have come to respond to these problems quickly. The fare charged by ride-hailing apps, as well as the number of drivers available, have become major facilitators of intra-urban travel. The table below (Fig. 7) summarizes the permanent and impermanent scenarios for the mobility category. Even public transport policies, apparently more flexible, suffer from a certain delay in relation to the current pace of social change. Applications such as Waze and Googlemaps, for example, have changed the dynamics of routes on many roads. Paths that are not normally used, start to gain more relevance due to the suggestions made by the applications to the users and are totally independent from mobility plans previously designed.
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categories
more permanent scenario
more impermanent scenario
political and territorial organization of society
predetermined public transport lines; private individual transport
provider of electronic private transportation services (such as Uber); Dockless shared private transport (via scooters and bicycles)
institutions in society
collective and private, as separate institutions; traditional demands
private-collective, such as mixed institutions, instant demand
management process
pre-determined transport lines regulated by transport integration plans; rigid transport route determined by permanent transport routes
online and instantaneous management by private service companies on a global scale; fluid transportation route determined by transit apps (such as Waze, Google Maps, Uber).
Fig. 7 Mobility—scenarios of permanence and impermanence in Brazil. Source The authors, 2022
In disaster situations, this delay of public mobility policies in relation to technology-based platforms becomes even clearer. During the passage of hurricanes in the US, companies such as Uber did not apply the dynamic rate, and on some occasions, they zeroed their charges for the population in danger. Again, it can be seen that institutions/organizations of an impermanent character become flexible to assist in urban issues that traditional urban planning cannot respond to quickly. The next item presents reflections based on the permanent and impermanent scenario descriptions presented in this article.
5 Conclusions The observations made on the urban categories of housing, commerce and mobility show the intensification of the impermanent scenario, following the logic of the theories on modernity presented. For the most part, urban impermanences are linked to advances in technology—such as the internet and the development of applications— as facilitators that reduce the limits of time and space in new urban dynamics. In this context, the transformations of the Technological Revolutions mentioned by Castells (2009) would have a relevant role in the definitions of these subdivisions in the city.
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When analyzing the criterion of the institutions of society, it is observed that it presents new paradigms as a result of individualization (Bauman, 2001); fragmentation of traditional institutions (Giddens, 1995), as well as the emergence of a new plurality of family institutions (Bauman, 2001). In all the categories analyzed, this aspect presents transformations in individual and collective relationships guided by social changes that, consequently, influence the urban environment. In housing, the transformation of this criterion is reflected in new housing solutions and typologies; in commerce, in easy access to any type of product; and mobility in a plurality of collective and private service offerings. Thus, the observation of the presented scenarios allows testing four considerations. First, it confirms the changes in urban dynamics after the mid-twentieth century. Second, that the actions proposed by traditional urban planning have a slower reaction time than the intensity of recent urban dynamics, leaving gaps that are sometimes filled by institutions/organizations of a more impermanent character. This overlapping of formal urban planning and impermanent planning (private and/or non-governmental) is sometimes the result of dialogue and complementarity between the parties, and can sometimes result in clashes or setbacks. On the one hand, the addition of public and private partnership strategies and service outsourcing by public housing policies favor the speed of treatment of problems in this category; on the other hand, the bureaucratic and time-consuming characteristic of the government in regulating new forms of commerce and service (such as itinerant shops, such as foodtrucks; and mobility solutions applications, such as Uber and Yellow) can result in temporary conflicts. Third, it can be said that the sequence of changes points to a continuous impermanence. Transformations repeat themselves so quickly that they become a pattern, like shorter, faster stays. It would be, as described by Habermas (1987, p. 11): “A present that is understood, from the horizon of the new times, as the actuality of the most recent era, has to reconstitute the rupture with the past as a continuous renewal”. In the same sense, Duarte and Ultramari (2009) speak of cumulative processes, small inflections or a long overlap of things that can be synthesized in a succession of alterations (2009). Spatially, an example is the fragmentation of trade services; many outside predetermined zoning, in a dispersed and less controlled way, reflecting a dissolution of uses and subjugation to the speed of demands. Finally, the characteristics of modernity of inconstancy and plurality are also reflected in this research. It is difficult to analyze more impermanent scenarios, considering that they are in a constant process of transformation. In this sense, it is reinforced that the proposed discussion is limited to debating possible perceptions of permanence and impermanence from an urban perspective, and can be expanded to other time perspectives and scales.
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References Alalouch, C., Piselli, C. P., & Cappa, F. (eds.). (2021). Towards implementation of sustainability concepts in developing countries. Springer. Bauman, Z. (2001). Sociedade Líquida. Zahar. Beck, U. (1986). Sociedade de Risco. Editora 34. Beck, U. (1997). A reinvenção da política: rumo a uma teoria da modernização reflexiva. In Modernização Reflexiva. Editora da Universidade Estadual Paulista. Beck, U., & Lau, C. (2005). Second modernity as a research agenda: theoretical and empirical explorations in the “meta-change” of modern society. The British Journal of Sociology, 56(4), 525–557. Brasil. (1988). Constituição Federal de 1988. Promulgada em 5 de outubro de 1988. Diário Oficial, Brasília, DF. Brasil. (1997). Lei n. 9474, de 22 de julho de 1997. Define mecanismos para a implementação do Estatuto dos Refugiados de 1951, e determina outras providências. Diário Oficial, Brasília, DF. Brasil. (2001). Lei n. 10.257, de 10 de julho de 2001. Regulamenta os arts. 182 e 183 da Constituição Federal, estabelece diretrizes gerais da política urbana e dá outras providências. Diário Oficial, Brasília, DF. Seção I, p. 1. Braudel, F. (2006). Divisions of time and space in Europe. In N. Brenner & R. Keil (Eds.), The global cities reader. Routledge. Castells, M. (2009). The rise of the network society. Wiley-Blackwell. Cantarim, F. (2015). Estudos de Redes Urbanas no Brasil: reflexões sobre transformações metodológicas. Revista Paranaense de Desenvolvimento, 36(129):117–133. Clark, G. (2016). Global Cities: A short history. Brookings Institution Press. Christaller, W. (1933). Die zentralen Orte in Süddeutschland. Gustav Fischer, Jena. Duarte, F., & Ultramari, C. (2009). Inflexões Urbanas. Champagnat PUCPR. Foucault, M. (2008). A arqueologia do saber (7a ed.). Forense Universitaria. Friedmann, J. J. (2006). The world city hypothesis. In N. Brenner & R. Keil (Eds.), The global cities reader. Routledge. Gane, N. (2001). Chasing the runaway world: The politics of recent globalization theory. Acta sociologica, 44, 81–89. Giddens, A. (1995). Living in a post-traditional society. In B. Ulrich, A. Giddens, & Lash, S. (Orgs.). Reflexive modernization. Stanford University Press. Guallart, V., et al. (2003). The metapolis dictionary of advanced architecture: City, technology and society in the information age. Actar. Habermas, J. (1987). The philosophical discourse of modernity. MIT Press. Harvey, D. (1990). The condition of postmodernity, an enquiry into the origins of cultural change. MIT Press. Hall, P. (1966). The world cities. Weidenfeld and Nicolson. Lencione, S. (2010). Reestruturação urbano-espacial no Estado de São Paulo: a região da metropole desconcentrada. In Revista Espaços & Debates, Neru no 38, São Paulo. Losch, A. (1954). The economics of location. Yale University Press. Radford, T. (2015, November). Refugee camps are the “cities of tomorrow” says humanitarian-aid expert. Dezeen. Sassen, S. (1991). The global city: Tokyo, London New York. Princeton University Press. Sorensen, M. P., & Chiristiansen, A. (2013). Ulrich Beck: An Introduction to the theory of second modernity and the risk society. Routledge.
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Biofuel for Energy Transition: The Bosch Case in Latin America Cristina M. S. Ferigotti, Fernando de Oliveira Junior, Gustavo Santos Lopes, Marcus Vinicius Oliveira Lopes, Marcello Francisco Brunocilla, Rafael Lara Franco, and Walter Arens
Abstract Renewable energies, specifically powertrain technologies for biofuels have systematically promoted low carbon innovations. The paper focuses on a new technology, improving the performance with ethanol. The multilevel perspective framework analyzes the relevance of low carbon technology for the transition to sustainability in the automotive industry and its implications for the environment and innovation. The aims are to analyze technological niche as windows of opportunity of flex fuel engines to reduce local and global emissions and discuss technological changes in infrastructure, markets, regulation, and user practices. The study adopts a qualitative perspective operationalized by a case study at Bosch Latin America and the strategy is appropriate to understand research phenomena in detail. The company was a protagonist in the evolution of flex-fuel vehicles, and currently, the guidelines for the future of mobility imply technologies to improve CO2 emissions and air quality. The evidence suggests that bioenergy is effective for life cycle decarbonization and compatible with the fleet in circulation, compared to vehicle electrification C. M. S. Ferigotti (B) Foundation of Social Studies of ParanáFESPPR/BR, Curitiba, Brazil e-mail: [email protected] Federal University of Paraná (UFPR), Curitiba, Brazil F. de Oliveira Junior · G. S. Lopes · M. V. O. Lopes · M. F. Brunocilla · R. L. Franco · W. Arens SP/BR, Robert Bosch LTDA, Campinas/SP/BRFederal University of Paraná (UFPR), São Paulo, Brazil e-mail: [email protected] G. S. Lopes e-mail: [email protected] M. V. O. Lopes e-mail: [email protected] M. F. Brunocilla e-mail: [email protected] R. L. Franco e-mail: [email protected] W. Arens e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_22
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which affects a small portion of consumers. This study furthers the understanding of the infrastructure that co-involves more sustainable incremental technologies to fuel-efficient vehicles development with sociotechnical systems and the implications of biofuel for sustainable development in developing countries. Keyword Renewable energies · Technological niche · Low carbon innovations · Flex fuel engines · Biofuels
1 Introduction The automotive industry is constantly moving towards sustainability. It uses the technological development to support energy conservation, increase efficiency (energy usage reduction) and eliminate pollutants via environmental regulations (Geels et al., 2012), according to the viable economic and social perspectives. On the one hand, these interests are mainly based on potential climate, thus environmental damages, that oil-based technologies may represent to a sustainable development. On the other, they are also driven by energy reduction demands supported by low carbon technologies (Geels et al., 2018). After the 1970s, the Brazilian government fostered automotive manufacturers to develop ethanol-based powertrain technologies (Stolf & Oliveira, 2020), promoting the introduction of ethanol-based vehicles, the base for future flex fuel vehicles (Du & Miguel, 2013). The development ethanol industry, in combination with the automotive flex fuel industry, enabled innovative within powertrain systems and vehicles with flex fuel technologies. Given this approach, this article correlates learning opportunities for knowledge accumulation and technological capabilities, focusing on the importance of innovation and local production to foster low carbon technology development. Many studies about innovation and learning capabilities have been developed targeting industries and developing economies (Figueiredo, 2001), including product development capabilities in the automotive industry (Consoni & Quadros, 2006) and clean technologies (Leal & Consoni, 2021). Nevertheless, some topics have received little attention, such as learning capabilities within technological niche innovation capabilities (Bakker et al., 2012), especially in the context of the renewable energy industry. While some studies about the evolution of ethanol and biofuel sectors focused on learning spaces, niches, and the creation of innovation systems (Lopes et al., 2020), as well as on ethanol as both renewable energy source and accumulation of technological capability (Figueiredo, 2017; Goldemberg, 2007), the knowledge of micro level learning and technological capability for niche technology development in a tier 1 supplier of the automotive industry is still scarce. The study explores this research gap with the following question: How did Robert Bosch Latin America launch flex fuel innovations by developing learning stages to accumulate technological capability, in technological niche terms, to windows of opportunity throughout its interactions with external organizations? To answer this
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research question, the study uses a multi-level approach, going beyond the company as the main perspective source and investigating its technological capability accumulation inside the company, as well as in partnership with external organizations. To examine this question, this study uses a wide and empirical approach to understand the learning stages linked to the technological capability of developing a technological niche identified as a window of opportunity. Section 2 describe the context of Robert Bosch Latin America and the early days of the technology development, which enabled ethanol usage in Brazil. Section 3 presents the theoretical basis of the study, followed by methodology on Sect. 4. Section 5 examines study results and proposes discussions, while Sect. 6 summarizes conclusion and limitations, besides suggesting future research fields.
2 Bosch Latin America and the Development of Technologies for the Use of Ethanol in Brazil Robert Bosch GmbH, including its operations in Latin America, is structured in four big business sectors, with special emphasis on Mobility Solutions. The Campinas plant operations started in 1954 and the electronical engineering department was established in 1985. Its purpose was to build up an electronic fuel injection system team in Brazil and become a reference for the development of Otto (which can run either on Gasoline or Ethanol) and Diesel injection systems. Previously to that time, only dedicated gasoline components and systems were tested and delivered to customers, with no local project structure. In the early 1990s, discussions about the possibility of flex fuel systems started. The company proceeded with experimental research based on engines with ignition distribution for ethanol usage, supporting Original Equipment Manufacturer (OEM) interested in making this technology viable. The research at that time was partially financed by the Brazilian government and by Cooperative of Sugarcane and Alcohol Producers of State of São Paulo (COPERSUCAR)., It is also worthy referring to the Vehicle Emissions Control Program (PROCONVE L1), launched in 1988 to regulate pollutant emissions from passenger cars. The program strategy consisted of successive phases with increasingly strict emission limits, opportunity for powertrain technology development with foreseeing adaptation time to the automotive industry. The main challenges were related to the adopted fuel composition, which was already well stablished in the country: the hydrated ethanol (also referred as E100). Bosch took a leading role in this development, especially after the investments from Bosch Germany to create a Center of Excellence in emission control in the region. Some headquarter experts came to Brazil to support this local development. The first flex fuel vehicle prototype was developed by Bosch. The evolution of embedded electronics for closed loop systems was key to the first flex fuel vehicle presented to the world in 1994 (Castro et al., 1994). Therefore, the legislation at that time was not yet ready to such new powertrain possibility. Due to that, only in the beginning
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of the 2000s the flex fuel vehicle came into series production. This new technological approach was enabled by means of flex fuel-oriented powertrain system and subsystem developments, such as fuel supply, fuel injection and fuel ignition. Since the early 2020s, Flex fuel vehicle mean much more than energy safety for Brazilian Government and flexibility for the local mobility end user. Renewable fuels such as ethanol are protagonists on a global mission: evolve our civilization towards a sustainable path, environmentally, socially, and economically. Along with the electrified powertrain, which has a clear energy efficiency focus, renewable fuels like ethanol (a biofuel) act directly in the decarbonization of the existent fleet. Thus, there is a clear motivation to the further development of technologies based on such renewable fuels.
2.1 The Influence of Robert Bosch Latin America on the Optimization of Biofuel Usage in Powertrain At the beginning of flex fuel development, one of the project targets was to find the best performance compromise between the usage of ethanol and gasoline, a challenge due to the different fuel properties. However, a change in the mindset and innovation process occurred the moment Flex Fuel powertrain started being optimized for ethanol usage. Just like any renewable fuel, ethanol usage puts several aspects into perspective: (i) Energy safety for the country, as an alternative to oil products like gasoline. In Brazil, parallel to E100 (hydrous ethanol), anhydrous ethanol is blended in with gasoline (a law enforcement since 1993), at a minimum order of 22% (raised to 27% since 2015). Its production infrastructure and strategy are also shared with sugar production. A mature and well stablished infrastructure is available since the beginning of the 1980s; (ii) Performance improvement: Due to its higher Research Octane Number (RON), the hydrous ethanol withstands to a higher compression and thus enables a higher engine performance. When mixed with gasoline, it has enabled the refinement of gasoline without adding tetraethyl lead (an additional compound previously needed to improve gasoline anti knocking properties); (iii) Social benefits (including supply chain and work force): Ethanol production creates jobs in the rural sector, increasing automation and promoting technology, while demanding diversity of expertise and education levels; (iv) GHG emissions: Carbon dioxide (CO2 ) emitted by a vehicle running with ethanol is almost neutralized during the production process (in the case of sugarcane ethanol and depending on the criteria, CO2 reduction could vary from 75% up to circa 89%), in comparison to gasoline, which is separated and refined after oil extraction. Oil also captured CO2 from the atmosphere, but its transformation process took millions of years, while sugarcane production repeats the capture process yearly. In other countries the naming convention “Flex Fuel” usually refers to E85 gasoline (85% ethanol, 15% gasoline), strategically implemented about fifteen years ago
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Fig. 1 Passenger Car (PC) and Light Commercial Vehicle (LCF) sales, in millions of units, since 2003 (ANFAVEA, 2022)
in the United States and in Sweden, for example. In this case, powertrain is designed to run with either gasoline or E85, according to availability and prices. In Brazil, since the end of the 1970s, E100 has been stablished as an alternative fuel in filling stations. It was also the standard fuel when the first flex fuel was launched. In other words, in Brazil “Flex Fuel” refers to vehicles which can run with any mixture of E22 gasoline (22% ethanol, fuel used for gasoline homologation) and E100 (hydrous ethanol). Nowadays, there are more than 40 thousand filling stations all over the country with this fuel combination available. There, the driver of a flex fuel vehicle chooses which fuel to buy. The Fig. 1 shows the amount of Flex Fuel vehicles sold after the first series introduction in 2003. Alternatively, flex fuel vehicles may be more environmentally friendly, but their introduction is unlikely to have significant effects on the numbers of vehicles on the road (Geels et al., 2012). A good example of that is the market share of ethanol in Brazil. In 2021, despite a running fleet of more than 30 million vehicles hydrous ethanol represented only 42% of the total fuel usage in comparison to E27 gasoline (EPE, 2020).
3 Theoretical Basis This section provides a short summary of the theoretical foundations which are the basis for the next sections and drawn on complementary bodies of literature, which shall be treated separately. This article intends to connect these aspects while discussing the local technological capability building in the context of renewable energy or, more specifically, ethanol as a biofuel. Therefore, the purpose of this
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section is not to provide an in-depth review of the literature, but to briefly outline the conceptual building blocks that are combined in different ways, oriented towards a technological capability perspective. We propose that such combinations push forward the debate about opportunities and challenges for the automotive industry in a context of sustainable development and renewable energies. Following literature has been used.
3.1 Technological Niches and Windows of Opportunity Technological niches (Pyka & Pretner, 2017; Berkhout et al, 2011) are defined as dedicated systems of technological innovations that generate income-increasing (quantitative) and structure-changing (qualitative) effects. These niches are specific projects that allow learning about barriers to the introduction of new technologies. Additionally, they promote either local or global knowledge and the establishment of production networks. This concept is embedded in the theory of strategic niche development (Hoogma et al., 2002) and advocates the creation of sociotechnical experiments. This encourages innovation actors to collaborate and exchange information, knowledge and experience, while embarking on interactive learning processes which facilitate the incubation of new technologies (Hoogma et al., 2002). Although niche innovations compete with the prevailing sociotechnical regime, those are essential along the transition towards sustainability (Beers & van Mierlo, 2017). The windows of opportunity concept was introduced by Perez and Soete (1988), who argue that technological discontinuities, in the form of radical innovations, create advantageous opportunities for emerging economies firms. Malerba (2004) points out that new windows of opportunity allow latecomers to engage in technology upgrading or catch up. It involves dimensions such as: (i) technological (the emergence of a radical innovation), (ii) demand (change in existing users/consumers and potential demands and needs, upturns/downturns of business cycles), (iii) institutional (changes in public policies e.g., fiscal incentives, regulations, and the provision of research and educational infrastructure).
3.2 Learning Connected to the Transition to Sustainability Learning connected to the transition to sustainability occurs in the early stages of the transition and takes place in or around niches (Geels & Raven, 2006). Therefore, learning is seen in different phases. It is the translation of experiences from local projects into general knowledge, rules and norms, thus creating knowledge flows between these places (Geels & Deuten, 2006; Smith & Raven, 2012). This requires interaction between primary actors, as well as dedicated knowledge aggregation activities by intermediary actors. Interactive learning is a process of increasing knowledge. It is an aspect of a local context, established between companies and their
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departments. Furthermore, it involves relationship networking and occurs between companies that are part of a group of customers, suppliers, industry associations, research and development organizations. This is intertwined with the range of technologies that surround them, developing or demanding opportunities for knowledge flow and tending to contribute to innovation by means of exchanges (Becheik et al., 2006; Neij et al., 2017). This is the context where the transition to a sustainable production in developing countries becomes relevant, since innovation emerges in comparison to alternatives from developed countries (Figueiredo et al., 2020a). The capability for innovation can be explained as the capability to absorb knowledge, acquire, assimilate, transform, and exploit the acquired knowledge (Zahra & George, 2002).
3.3 Local Capability and Technology Development Local capability and technology development refers to the process of improving technological capability through the acquisition of external knowledge and is called technological learning. Newcomers from developing countries need a learning strategy to develop and achieve synergy, for reasons such as distance from technology, Research and Development (R&D) resources, as well as distance from major markets (Hobday, 1995). The literature on innovation and development suggests that technologies become “contextualized”, that is, they are shaped by local organizations and institutions (Sovaccol, 2014). The technological capability construct is understood here as a “revealed capability” (Sutton, 2012): companies’ capabilities are revealed in their activities rather than explicitly identified in terms of quantity and quality of human resources and capabilities. The approach identifies increasing levels of novelty and significance of innovative activity, underlying different types of activities and innovation processes.
4 Methodology Due to missing studies analyzing technological niche and interactive learning subjacent to the technological capability from the perspective of a multinational company subsidiary in a developing economy, an exploratory approach was adopted (Sekaran, 2003). This study uses a qualitative approach based on a single case strategy approach, which fosters the comprehension of “why” and “how” phenomena (Yin, 2015). This empirical research focuses Bosch Latin America and its approach towards powertrain solutions running with ethanol.
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4.1 The Strategy Behind the Case Selection Case studies create relevant information, the analysis of which may capture details to be further and deeper explored (Miles & Huberman, 1994). The selection of Robert Bosch Latin America as an interesting case study was based on the following criteria: (i) provide relevant facts to sustain the investigation and evaluate it accordingly, (ii) enable the evaluation of specific characteristics, acting as a “special” case (Eisenhardt & Graebner, 2007).
4.2 Data Collection The exploratory phase compiled references about the automotive industry, supported by the collection of secondary data, available on websites about the automotive industry, as well as on congresses papers, reports, and company presentations. The initial contact and preparation phase was conducted by video conferences with the Research & Development Manager for powertrain systems at Bosch Latin America. This was done to identify the key evidence sources for the case study. The sample was collected among the senior members of the project teams from the powertrain division, including a Regional Business Unit Director and a Senior Manager for Customer Engineering Projects. The interviews were conducted with open questions and active research approach, used when researcher and real situation representatives are involved in a cooperative and participative mode (Thiollent, 2011). The access to the primary and secondary sources provided essential evidences of the activities during the development of a technological niche and the learning capability for powertrain system technologies.
4.3 Analysis Process The analysis process occurred in stages, involving recursive phases defined by the research questions and by the interpretation of collected evidence on both interviews and secondary data. The interviews allowed the collection of specific information. The analysis proceeded with the comprehension of multiple interrelations. Next, knowledge-based principles, learning strategies and technological capability were discussed in the context of technological niche innovation. Last but not least, evidences were mapped based on the technological niche to confirm, by using niche identifying criteria (Caniëls & Romijn, 2008), if powertrain technologies for Flex Fuel vehicles are indeed a niche to the automotive industry. Evidence validation occurred with a key stakeholder of the company, in accordance with a previous agreement, signed between the researcher and the company.
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5 Results and Discussion This Section presents the study results in two forms. These are: tables depicting the different stages of technology niche development between 1980 and 2020, in specific projects on flex fuel vehicles; expectations for future technology performance, followed by the identification of key relevant information and narratives. The tables present two types of niche development results: positive (P) and negative (N).
5.1 Center of Excellence and Protective Space The behavior and impact of ethanol as a fuel was unknown to OEMs headquarters, as well as to Bosch Germany. Therefore, Bosch created a Center of Excellence for emission control in the region, shown in Table 1. Its mission was not only to further explore the ethanol issue, but also to develop new materials, suppliers, manufacturing processes, equipments, and test capabilities. Experts and engineers from Bosch Germany came to Brazil to support this special development, shaping the early initial stages of an interactive learning (Figueiredo & Piana, 2020b; Neij et al., 2017). Due to the market reserve law (also known as “computer law”), technology development was not so complex in that early phase (Grubler et al., 2016): the powertrain system initially development was analogic, with almost no semiconductors and based mostly on resistors and capacitors. Nevertheless, from the perspective of the local technology development capability, it was the beginning of a new learning process (Figueiredo et al. 2020a; Hobday, 1995): the continuous improvement of the use of ethanol as a fuel for passenger cars. Table 1 indicates the public politics, legislation, and ethanol regulation, in their turn, were very favorable, leading to further development stages. Proconve program, launched in the early 80’s became a very important driver for the technological development from 1990 onwards. The same applies to the National Alcohol Program (Proalcool), which aimed at stimulating the creation of ethanol-running vehicles. In fact, at that time there was a big demand for technical knowledge in the automotive industry, in Brazil: the country urged to adapt the existent powertrain from gasoline to ethanol. With the promising development of the electronic injection in Brazil, Bosch built up the first test center equipped with an emission laboratory, in order to support the evolution from mechanical carburetors to electronic systems. The laboratory experiments started on a small scale and opened Bosch a new perspective and local capability to develop the flex fuel technology in the future. Primarily, the Center of Excellence work as an incubator of ideas, cumulating experiments and evidence of the new technology. Along with this experimental development, both governmental initiatives and local industry kept supporting the continuous technology development. Table 1 indicates that during Periods (1980–2000) Flex fuel emerged in a small and protected technological niche.
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Table 1 Niche development dynamics 1980 → 2000 Involved Sociotechnical experiments with several factors: deregulation of the sugar bioenergy/ethanol and ethanol sector, technology development in production processes, principles windows of opportunity in a technological and political context Niche development and competitiveness implications
Technology incubation in (P): Proalcool effects and results since 1975: (i) a legislation-protected more synergies between universities, space government, and industry, (ii) mandatory blending of ethanol in gasoline, widespread ethanol distribution at gas station Possibility of continuity and incremental improvements
(P): Legislation was key for technology development: introduction and evolution of Proconve
Timeline and industry learning curve
(P): Creation of a Center of Excellence for Emissions Control at Bosch in Campinas, also pushed by the launch of electronic injection systems in the market (combination of analogic and digital elements)
Regional investments based on Flex Fuel potential
(P): First flex vehicle prototype developed
New technology available (N): Although the vehicles and technology had for application, but been accepted by consumers, no legislation for advantage not yet valued flex-fuel vehicles existed by legislation Source Own elaboration Note (P) means positive effects to a protected technological niche; (N) means negative effects to a protected technological niche
5.2 Incremental Technology to Powertrain System for Flex Fuel Vehicles Since ethanol’s energy density of ethanol is lower than gasoline’s, higher fuel volume in necessary when flex fuel engine runs on ethanol. Along with other fuel property differences new materials, components, production processes and validation procedures were created. One of the most important innovation that came into series six year after the first flex fuel launch, was the fuel heating system. In cold days, due to the smaller vapor pressure, ethanol injection is poorly atomized (big fuel droplets are not able to get into combustion, thus blocking engine start). The initial flex fuel technology development prescribed a gasoline sub-tank, which was activated during the winter, according to environmental conditions such as temperatures lower than 15° Celsius. However, this sub-tank was a temporary solution, since the user experience was not optimal (e. g. refueling need; leftover gasoline from previous winter usually blocked the gasoline injection; run a flex fuel engine exclusively on E100 was not possible; fuel storage close to the engine compartment resulted in further safety needs). Bosch was the first company to solve these issues with a fuel heating
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system called FlexStart™, and Volkswagen launched the Polo E-Flex with Bosch’s fuel heating system in 2009 (Gatti Jr, 2009). In the late 2000’s, almost all OEMs selling vehicles in Brazil were able to deliver a flex fuel vehicle. The government solved the infrastructure problem, and a very important opportunity was created: increase the usage of renewable energy for mobility applications. This was the perfect match between the growing global concern about global warming and industry urgence to reduce CO2 emission issued by humankind interference. Therefore, the results out of such sociotechnical transition goes beyond the new technology adoption, including infrastructure investments, new market, and social preference developments, as well as user experience adjustments (Geels et al., 2016). The flex fuel vehicle case in Brazil shows that incremental technology transition is usually slow (Grubler et al, 2016). Among improving cold start and drivability, FlexStart system development at Bosch, is also able to support pollutant emission reduction, due to better fuel injection atomization and thus reduced fuel demand, Bosch’s FlexStart system not only improves cold start and drivability, but also supports pollutant emission reduction. The technology also made the choice of the ethanol as fuel more attractive to the end user. Notwithstanding this, and the constant evolution of public polices targeting the acquisition of flex fuel vehicles, user preference for ethanol as a fuel is usually price-driven (Castañeda-Avarza & Godoi, 2021). The Center of Excellence at Bosch Latin America was kept up to date throughout the time, adapting every new technology to the environmental and sociological characteristics of the region and creating knowledge on materials, products, and systems, while supporting other subsidiaries worldwide. As part of theses learning strategies, interactions between project teams members in different regions (mainly Brazil and Germany), Table 2, were strongly encouraged. This included short- and long-term assignments abroad, enabling continuously traveling team members to absorb knowhow from different sources, locally spreading acquired ideas and naturally stimulating ideation and experimentation. Learning strategies open the path to the establishment of know-how streams which contribute to innovation activities (Becheik et al., 2006). The company developed its knowledge base to acquire external knowhow, increasing the local development capability to explore and transform knowledge (Zahra & George, 2002). Since the innovation push towards a low carbon environment has configurated a new windows of opportunity for the development of powertrain systems, Bosch Latin America used the local market needs to further improve its knowledge base. The technological niche development and its implications towards competitiveness aims to capture the customer’s interest, while enhancing the advancement of biofuels-based powertrain on. This learning curve was enabled according to the relationship established within the mobility industry (supported by public funding and infrastructure for instance), promoting partnerships and further developments as Table 2.
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Table 2 Niche development dynamics 2000 → 2020 Involved bioenergy/ ethanol principles
Sociotechnical experiments with actors creating technological windows of opportunity for the evolution of powertrain systems for FF vehicles, public policies (programs creation: RenovaBio, Inovar Auto and Rota 2030) and consumer market with hybrid flex fuel vehicles acceptance
Niche development and competitiveness implications
Niche development process
(P): Flex fuel technology development in accordance with the Brazilian government’s objectives for carbon emission reduction
Temporal return and industrial learning curve
(P): Center of excellence, structuring and adapting the technology to climatic conditions, thus generating local knowledge on systems and materials for other Bosch Group subsidiaries. Reference knowledge as information source for Bosch worldwide
Continuity and incremental improvements possibilities
(P): Flex fuel hybrid powertrain development further supporting energy efficiency goals, as well as fuel consumption improvement, key for greenhouse gases reduction (GEE)
New technology available for application. Ethanol is added to gasoline. Ethanol proportion for flex fuel engines can vary from 22 to 100%. Optimization compromise between gasoline and ethanol, performed during the development phase and according to engine characteristics and OEMs choice
(N): Despite FF vehicles acceptance by consumers, fuel choice is still based on the price difference between gasoline and ethanol (if ethanol price is up to 70% of gasoline, then it is advantageous). Environmental benefits of biofuel usage are not motivation for flex fuel vehicle users
Source Own elaboration Note (P) means positive effects to a protected technological niche; (N) means negative effects to a protected technological niche
5.3 Environmental Befits and Niche Development: An Incomplete Transition The sociotechnical transitions towards decarbonization involve mainly three strengthening processes: (i) niche increment, (ii) weakening of existent systems and the (iii) strengthening of exogenic pressures. These, once aligned, can create new windows of opportunity (Geels et al., 2017). Nowadays, end customers are flexible
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to choose which fuel to buy independently of the refueling situation, and so they can quickly adapt to sudden or eventual price changes. For many users, the possibility of choosing which fuel to use is the main motivation when purchasing a flex fuel vehicle instead of a pure gasoline, in the same price range (Table 3). In this sense, there is a contradiction in the way the transition to a higher usage of biofuels occurs. According to Sovacool (2016), the increase of the flex fuel vehicle market share in Brazil (from less than 10% in 2003 to almost 90% in 2009), was not followed by a wider usage of ethanol, responsible for only 18% of energy usage in transport in the same year (IEA, 2015). This fact does not constitute a complete transition (Grubler et al., 2016). Nowadays, the market share estimation of flex fuel vehicle in Brazil, in the year 2030, is around 80% (Henriques, 2021), with most vehicle still equipped with ICE (internal combustion engine) and hybrid architectures prevailing over pure electric vehicles. In this context, sociotechnical transition could be higher in the future (ethanol market share above 42%), provided support favors local innovation rather than alternatives from well developed countries (Figueiredo et al., 2020a). The technological capability resulting from learning strategies connected to the transition around technological niches (Geels & Raven, 2006) focus on the adaptation of flex fuel technology to the most recent sustainability-related requirements, connectivity and decarbonization efforts the Brazilian government’s objectives for carbon emission reduction as illustrates in Table 3. This accumulated knowledge is recognized worldwide, turning the Center of Excellence in Brazil into a competence center for any vehicle running with biofuels or whatever gasoline and ethanol blend. The same strategy is being evaluated by other countries (e. g. Thailand or India, two big automotive producers worldwide), creating further know-how streams (Smith & Raven, 2012). Since ethanol is a renewable fuel, fostering its usage via powertrain optimization is one of the purposes of Bosch Latin America and its Powertrain division, aligned with other environmental and sustainable actions towards decarbonization. This optimization effort created several initiatives to boost the biofuel usage, such as further fuel heating usage, split injection strategies, ultra-fast oxygen sensor activation, special direct injection strategies, higher compression ratio strategies, water injection and hybrid-specific features, among others.
6 Conclusion This paper focused on the examination of a technological niche and the interactive learning subjacent to the technological capability, from the perspective of a multinational company subsidiary in a developing economy. The case study questions were evaluated based on analytic structures underlying a technologic niche development— flex fuel vehicle evolution—over three specific periods, at Bosch Latin America. The study found answers regarding niche development dynamics and its interrelation with windows of opportunity associated to the technological capability of a company. The
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Table 3 Niche development dynamics 2020 → 2040 Involved bioenergy/ ethanol principles
Sociotechnical experiments with various actors; sugarcane-based biomass contributing to the national energy scenario is becoming even more relevant. Anhydrous ethanol gaining market share on a flex fuel fleet usage context. Changes within the technological platform of powertrain systems, with further incentives to the use of biofuels
Niche development and competitiveness implications
Niche development acceleration
(P): Energy transition towards biofuels, favoring ethanol as energy source for mobility through campaigns and incentives
Incremental improvements and continuous possibility
(P): Biofuel participation increase based on small technological steps; improvement of fuel carbon intensity (in comparison to gasoline) based on better production processes and second-generation ethanol
Gradual introduction of electrification and powertrain systems focusing on ethanol performance
(P): Market introduction of mild and strong hybrids, initially only gasoline applications, later gradually converted to flex fuel. Growing focus on ethanol-dedicated ICE, including higher compression ratios. Water injection usage to enable a similar performance to gasoline choice, especially in regions where ethanol is naturally more expensive. Infotainment and connectivity supporting an environmentally friendly driver behavior and biofuel choice
Acceleration and transition to biofuels depending on especial dynamics in Brazil: industry strategy, cultural choices, society pressure and globalization (niche technology from other markets)
(N): Strengthening of exogenic pressure; once aligned it could jeopardize the creation of new windows of opportunity, with abundant imported products and technologies
Source Own elaboration Note (P) means positive effects to a protected technological niche; (N) means negative effects to a protected technological niche
study also demonstrated the relation between sociotechnical experiments with many players as an window of opportunity in a technological context, both institutional and marketwise. The results show that the sociotechnical transition to ethanol biofuel in Brazil is not complete yet. Nevertheless, it is responsible for accelerating innovation capability in the automotive industry in the late industrialization context and under the global competition towards renewable energy solutions. The study also presents weaknesses, such as the small sample size. Therefore, it is not possible to generalize about its results. Future studies could benefit from a macro and meso perspective
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approach and its public policy implications for the Brazilian industry. Despite of being conducted based on an analytical structure for niche development, the study didn’t explore the sociotechnical regime vision thoroughly. Finally, results were elaborated in large periods, combining the analysis on industry level with a focus on the clarification and comprehension of how companies in developing countries strive beyond its own innovation capability.
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Vulnerability in Geosites: A Systematic Literature Review Gricelda Herrera-Franco, Josep Mata-Perelló, Jhon Caicedo-Potosí, and Paúl Carrión-Mero
Abstract Geoheritage refers to objects and sites of geological interest and their relationship to cultural, aesthetic, educational, and scientific values. Various factors such as urbanisation and uncontrolled tourism affect geosites. This research aimed to develop a matrix of anthropogenic and natural factors that affect geosites, using information from the Scopus database to conduct an analysis of sustainable factors. The methodology consisted of four phases: (i) preparation of the idea, (ii) systematic literature review, (iii) elaboration of the matrix, and (iv) analysis and interpretation of findings. The results indicate that the main factors causing the vulnerability of geosites are anthropogenic stress, climate change, unsustainable exploitation, geohazards, and inadequate management. Therefore, the geoconservation approach should be part of an educational and participatory strategy with scientific components to promote the sustainability of geosites. Keywords Geoheritage · Geotourism · Geoconservation · Sustainability · Degradation
G. Herrera-Franco (B) Facultad Ciencias de la Ingeniería, CIGEO Research Center, Universidad Estatal Península de Santa Elena, La Libertad 240204, Ecuador e-mail: [email protected] J. Mata-Perelló Departamento de Ingeniería Minera y Recursos Naturales, Universidad Politécnica de Cataluña, Manresa 08242, Spain J. Caicedo-Potosí · P. Carrión-Mero Centro de Investigación y Proyectos Aplicados a las Ciencias de la Tierra (CIPAT), ESPOL Polytechnic University, Guayaquil P.O. Box 09-01-5863, Ecuador e-mail: [email protected] P. Carrión-Mero e-mail: [email protected] P. Carrión-Mero Facultad de Ingeniería en Ciencias de la Tierra, ESPOL Polytechnic University, Guayaquil P.O. Box 09-01-5863, Ecuador © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_23
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1 Introduction Geoheritage comprises geosites and geoheritage elements (De Wever & Guiraud, 2018; Mata-Perelló et al., 2018), which are part of the geodiversity and stand out for their scientific value (Brilha, 2018a). The importance of geoheritage lies in understanding the composition, evolution, and history of the Earth (Brocx & Semeniuk, 2007). Geosites are places of great geological significance at regional or global levels due to their uniqueness (Mikhailenko et al., 2021). Prosser et al. (2006) classified them into three main groups: (a) exposure or extensive sites, (b) integrity sites, and (c) finite sites. Furthermore, Brilha (2018a) sorted geosites based on their scientific, educational, and geotouristic/recreational uses. In addition, Ruban and Kuo (2010) distinguished 24 types of geosites (e.g., stratigraphical, palaeontological, sedimentary). Migo´n and Pijet-Migo´n (2017) added a new category, “viewpoint geosites, “ which are sites where geoheritage is appreciated. Also, the term “urban geosites” was proposed, characterised by the use of geoheritage in urban areas (Kubalíková et al., 2020; Petrovi´c et al., 2017). The use of geosites starts through geotourism, helping the sustainable development of local communities (Carrión-Mero et al., 2021; Thomas Alfred Hose, 2012). Proper assessment of geosites allows for their selection and inventory and the development of geotourism and conservation strategies (Herrera-Franco et al., 2020). The principal methods for their evaluation are: IELIG (García-Cortés et al., 2013), Brilha’s (2016), GAM (Vujiˇci´c et al., 2011), M-GAM (Tomi´c & Boži´c, 2014), and Ruban’s (2010). The first four focus on educational/scientific, functional, and aesthetic values, with differences in the assessment. However, the Ruban method is specifically designed for geosite degradation. The conservation of geosites starts with an inventory of extensive areas of geosites called geoparks (Brilha, 2018b) and national legislation and policies (Prosser et al., 2018) that benefit their study and interpretation and promote sustainability (Piranha et al., 2011; Prosser et al., 2011). However, the absence of geoconservation strategies could lead to vulnerability. Vulnerability in geosites is the level of degradation caused by anthropogenic and natural factors (García-Ortiz et al., 2014). The methods that consider vulnerability in the assessment process are shown below (Fig. 1). This research aimed to develop a matrix of anthropogenic and natural factors that affect geosites, using information from the Scopus database to analyse sustainable factors.
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Fig. 1 Comparison among geosite assessment methods. Source The authors
2 Methodology The methodology consisted of four phases (Fig. 2). The first one included preparing the idea and the database. Scopus was chosen because of the number of journals it indexes (V. K. Singh et al., 2021a, 2021b). This phase focused on the following search strategy: “geosit*” or “geoheritage” or “geoheritage site” or “geo-heritage” or “geological-heritage” or “geological heritage” AND “natural hazard” or “naturalhazard” or “pollution” or “anthropogenic” or “human hazard” or “human factors” or “vulnera*” or “damage.“ The search considered all document types and languages, only excluding documents from 2022 (Herrera-Franco et al., 2021). In the end, a database with 192 documents was downloaded. Phase 2 corresponded to a systematic literature review (SLR) of the database. It included reading the abstracts of each document to make a selection based on the research objective (Snyder, 2019). The document selection phase considered damage in geosites, full-text availability, and English and Spanish languages as the eligibility criteria. After that, 107 documents were selected to be fully read. Phase 3 consisted of elaborating matrices for synthesising the information found in the SLR. Finally, phase 4 included the analysis and conservation strategies for the sustainability of the geosites.
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Fig. 2 Method for the systematic literature review. Source The authors
3 Results 3.1 First Results Figure 3a shows the number of published papers on vulnerability in geosites, considering a study period from 1994 to 2021. Figure 3b presents the documents by country, featuring Italy (76%), Portugal (37%), Spain (22%), Brazil (21%), and Poland (21%) with the highest percentage of participation in the publications reviewed.
3.2 Anthropogenic and Natural Factors Ruban’s classification was used for the vulnerability analysis of geosites (Zorina & Silantiev, 2015), and viewpoint and urban geosites were added. Figure 4 shows the geosites that have been vulnerable to anthropogenic and natural factors and reveals that most geosites have been affected by anthropogenic factors.
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Fig. 3 a Trend of published documents per year b Percentage of thematic contribution by country. Source The authors
The data extraction process indicates that anthropogenic factors include human development, urbanisation, uncontrolled tourism, wars, climate change, mining activities, illegal mining, artisanal mining, fossil tracking, livestock, vandalism, and sampling. On the other hand, natural factors include erosion, dilution, global warming, geohazards, and natural pollution. Table 1 shows an example of each factor.
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Antropogenic factors
Natural factors
Fig. 4 Vulnerability in geosites. Source The authors
3.3 Discussion and Interpretation The systematic literature review process allowed us to recognise that geosites are affected by different anthropogenic and natural factors. The analysis indicates that anthropogenic factors predominate. Table 1 shows that geosites are vulnerable to human development (anthropogenic) and erosion (natural). Figure 5 illustrates through arrows the degradation and vulnerability factors for each type of geosite. Human development has caused most geosites to be degraded or destroyed, for example, by installing energy infrastructures (Gordon et al., 2016). Urbanisation also alters the aesthetic values of geosites (Fuertes-Gutiérrez et al., 2016). Uncontrolled tourism is another critical factor affecting various geosites, causing pollution or damage due to either lack of knowledge (Herrera-Franco et al., 2022; Selmi et al., 2022) or practice of sports such as climbing (Alexandrowicz, 2017; Marrosu & Balvis, 2020; D. A. Ruban & Ermolaev, 2020). Nevertheless, it is possible to mitigate the degradation caused by anthropogenic factors through geoeducation (Brocx & Semeniuk, 2019; Zafeiropoulos et al., 2021), which should be taught in schools, universities, and at the geosite itself. Geoeducation should be accompanied by geosite management, which requires investment from both governmental and private entities (dos Santos et al., 2019; Štrba et al., 2018). Figure 6 shows a necessary process for sustainability. It starts by recognising the anthropogenic and natural factors affecting the geosite. Then, it considers an environmental impact study and assessment during human development (such as urban expansion and energy infrastructures). Finally, it encourages geoconservation and appropriate management for sustainability (Carrión-Mero et al., 2020). By comparing the results of this work with others, we find 1994 as a crucial year due to Hose’s definition of geotourism in his doctoral dissertation (Thomas A. Hose & Vasiljevi´c, 2012). Furthermore, 2009 stands out as the beginning of exponential growth of publications in this research field (Ólafsdóttir & Tverijonaite,
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Table 1 Matrix of factors affecting geosites Anthropogenic factors Human development and urbanisation
Example
Infrastructures affect geomorphology and its environment (Margiotta et al., 2016)
Nociglia, Italy
Uncontrolled tourism
Example
Tourists cause an increase in temperature inside the cave, which changes its geomorphology (Šebela et al., 2019)
Lehman Caves, USA
War
Example
War changes the aesthetical values and properties of the geosite (Kiernan, 2012)
Karst Caves, Northern Laos
Climate change
Example
Climate change causes disturbance and degradation of karst environments (Reynard & Coratza, 2016)
The Italian Dolomites and Swiss Alps
Mining activities
Example
Mining activities cause degradation of the geosite (B. V. R. Singh et al., 2021a, 2021b)
Jhamarkotra, India
Illegal mining
Example
Illegal mining causes structural damage to mining geosites (Carrión Mero et al., 2018)
Zaruma-Portovelo, Ecuador
Artisanal mining
Example
Artisanal mining causes changes in rivers’ natural processes and modifies the geosite (Bruno et al., 2020)
Marupa River (Brazil) and Kahayan River (Indonesia)
Fossil tracking
Example
Fossil collectors obtain fossils through vandalism and illicit Jurassic-system, England trade, causing damage to fossils and palaeontological geosites (Page, 2004) Livestock
Example
Ruminant animals walk over palaeontological sites and dinosaur footprints (dos Santos et al., 2019)
Valley of the Dinosaurs Natural Monumen, Paraíba, Brazil
Vandalism
Example
Vandalism aesthetically degrades the geosite and its fossils (Machado et al., 2021)
Cabeço da Ladeira, Portugal
Sampling for educational purposes
Example
Drilling and sampling for scientific or educational purposes can damage petrological sites (Druguet et al., 2013)
Aiguablava, Spain
Natural Factors Erosion
Example
Processes such as precipitation, wind, and water erosion lead to changes in geomorphology (Chlachula, 2021)
Than Desert, India
Dilution
Example (continued)
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Table 1 (continued) Anthropogenic factors Human development and urbanisation
Example
Water dilutes the carbonates in petrological sites, degrading the aesthetic values (Bollati et al., 2020)
Cortenuovo Calcareous Ridge, Italy
Global warming
Example
Global warming gradually reduces glacial environments (Ravanel et al., 2015)
High-Alpine Geomorphosites, Italy, Switzerland, Austria
Geohazards
Example
Landscapes are affected by landslides and rockfalls (Fepuleai & Németh, 2019)
Formation of Western Samoa, Samoa
Natural pollution
Example
Natural mercury emissions contaminate the geosite and its environment (Mikhailenko & Ruban, 2019)
The Don River, Russia
Fig. 5 Link between the factors degrading each geosite type
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Fig. 6 Geosite sustainability
2018; D. A. Ruban, 2015). Finally, most contributions to this topic are found in countries such as Italy, Spain, Portugal, and Brazil (Herrera-Franco et al., 2022).
4 Conclusions The matrix revealed that geosites are mainly affected by anthropogenic factors, such as urban growth and development, exploitation of energy and mineral resources, and uncontrolled tourism. However, when natural factors are present, generally due to climatic conditions and erosion, climate change accelerates these processes. Therefore, it is essential to consider environmental impact assessment for human development around geosites, a valuation of each geosite to generate geoconservation strategies, and, in general, integrated management. It is also inevitably needed for geosites to calculate tourism carrying capacity to help prevent issues of despoilment and mitigate anthropogenic action, provided that geoeducation themes are linked with cultural sustainability. This analysis recognises that anthropogenic factors could be mitigated through strategies such as environmental impact assessment, protection, geoeducation, and management in each geosite. In addition, it highlights that geoeducation would help mitigate anthropogenic factors in geosites, which could be the basis for future research. On the other hand, natural factors such as geological hazards or erosion are difficult to control.
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There are two major limitations in this study that could be addressed in future research. First, the inclusion of databases such as Web of Science or Dimensions would have increased the number of documents found. The second limitation was the access to the papers for full reading to carry out a more in-depth analysis. Acknowledgements To the “Registry of geological and mining heritage and its impact on the defence and preservation of geodiversity in Ecuador” (CIPAT-01-2018), ESPOL Polytechnic University, and “Peninsula Santa Elena Geopark Project” (91870000.0000.381017), and CIGEO Research Center, UPSE University, for financial support.
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Šebela, S., Baker, G., & Luke, B. (2019). Cave Temperature and management implications in lehman caves, great basin national park, USA. Geoheritage, 11(3), 1163–1175. https://doi.org/10.1007/ s12371-019-00367-0 Selmi, L., Canesin, T. S., Gauci, R., Pereira, P., & Coratza, P. (2022). Degradation risk assessment: understanding the impacts of climate change on Geoheritage. Sustainability, 14(7), 4262. https:/ /doi.org/10.3390/su14074262 Singh, B. V. R., Sen, A., Verma, L. M., Mishra, R., & Kumar, V. (2021a). Assessment of potential and limitation of Jhamarkotra area: A perspective of geoheritage, geo park and geotourism. International Journal of Geoheritage and Parks, 9(2), 157–171. https://doi.org/10.1016/j.ijg eop.2021.04.001 Singh, V. K., Singh, P., Karmakar, M., Leta, J., & Mayr, P. (2021b). The journal coverage of Web of Science, Scopus and Dimensions: A comparative analysis. Scientometrics, 126(6), 5113–5142. https://doi.org/10.1007/s11192-021-03948-5 Snyder, H. (2019). Literature review as a research methodology: An overview and guidelines. Journal of Business Research, 104, 333–339. https://doi.org/10.1016/j.jbusres.2019.07.039 ˇ Kršák, B., & Sidor, C. (2018). Some comments to geosite assessment, visitors, and Štrba, L, geotourism sustainability. Sustainability, 10(8), 2589. https://doi.org/10.3390/su10082589 Tomi´c, N., & Boži´c, S. (2014). A modified geosite assessment model (M-GAM) and its application on the Lazar Canyon area (Serbia). International Journal of Environmental Research, 8(4), 1041–1052. https://doi.org/10.22059/ijer.2014.798 Vujiˇci´c, M. D., Vasiljevi´c, D. A., Markovi´c, S. B., Hose, T. A., Luki´c, T., Hadži´c, O., & Jani´cevi´c, S. (2011). Preliminary geosite assessment model (GAM) and its application on fruška gora mountain, potential geotourism destination of Serbia. Acta Geographica Slovenica, 51(2), 361– 377. https://doi.org/10.3986/AGS51303 Zafeiropoulos, G., Drinia, H., Antonarakou, A., & Zouros, N. (2021). From geoheritage to geoeducation, geoethics and geotourism: a critical evaluation of the greek region. Geosciences, 11(9), 381. https://doi.org/10.3390/geosciences11090381 Zorina, S. O., & Silantiev, V. V. (2015). Geosites, Classification of. In G. Tiess, T. Majumder, & P. Cameron (Eds.), Encyclopedia of Mineral and Energy Policy (pp. 1–4). Springer. https://doi. org/10.1007/978-3-642-40871-7_7-1
Proposal for the Design of an Artisan Dam (Tape) for the Water Resources Sustainability in Libertador Bolivar Commune, Manglaralto-Ecuador Paúl Carrión-Mero, Josué Briones-Bitar, Gabriel Rivera-Vinces, Miguel Á. Chávez, and Roberto Blanco-Torrens
Abstract Freshwater availability is a challenge for many communities, becoming a scarce resource limiting social and economic development. Libertador Bolívar commune has presented scarcity problems during the dry season (not rain). Although the drinking water for commune consumption comes from the Manglaralto community, the channel low level presents complications for the surrounding land, especially crop irrigation. The aim is to propose a dam design for the river embalming based on geotechnical and stability analysis that will allow a significant increase in surface water, contributing positively to the Libertador Bolivar commune sustainability. The methodology consisted of fieldwork (selecting the suitable site for the dam and geological-geotechnical study of the area) and office work (stability analysis and dam design, complementary works design and reservoir volume calculation). The construction of an artisanal dike with little slopes guarantees its stability over time. This dam will allow a reservoir of 67,954.00 m3 of surface water, which will allow artificial recharge in the shallow aquifer. Furthermore, the commune’s ancestral knowledge of water Sowing and Harvesting is recovered. Keywords Water resource · Aquifer · Artisanal dam · Sustainability · Reservoir · Water Sowing and Harvesting P. Carrión-Mero · J. Briones-Bitar (B) · M. Á. Chávez Centro de Investigaciones y Proyectos Aplicados a las Ciencias de la Tierra (CIPAT), ESPOL Polytechnic University, Campus Gustavo Galindo, Km 30.5 Vía Perimetral, P.O. Box 09-01-5863, Guayaquil, Ecuador e-mail: [email protected] Facultad de Ingeniería en Ciencias de la Tierra (FICT), ESPOL Polytechnic University, Campus Gustavo Galindo, Km 30.5 Vía Perimetral, P.O. Box 09-01-5863, Guayaquil, Ecuador P. Carrión-Mero e-mail: [email protected] G. Rivera-Vinces Independent Consultant, Guayaquil, Ecuador R. Blanco-Torrens Instituto Superior Minero Metalúrgico (ISMM), Facultad de Geología y Minas, Moa, Cuba © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_24
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1 Introduction Water resources are essential for human life, socio-economic development, and ecosystem health (Huang et al., 2021; Zhang et al., 2017). However, during the last decades, the human overexploitation of water increased due to the rapid growth of the population (Huang et al., 2018; Wada & Bierkens, 2014). In addition, climate change is expected to increase competition for freshwater in the 21st century (Flörke et al., 2018), especially if no mitigating actions are implemented (Koutroulis et al., 2019; Kummu et al., 2016). Water availability is a critical factor for the achievement of the Sustainable Development Goals (SDGs) since several goals depend on water, such as SDG-2 (Zero hunger); SDG-3 (Good health and well-being); and SDG-6 (Clean water and sanitation) (Boojhawon & Surroop, 2021; UN-WATER, 2010). Unfortunately, about 20% of the world’s population lives in areas with water scarcity (there is not enough water to meet all the demands), and a third of the population does not have access to clean water (Lachassagne, 2020; Shan et al., 2015). Water as a property, a shared resource, and in some cases, considered a common heritage, involves the collective management of the water resource (Calvo-Mendieta et al., 2017; Yao et al., 2021). In addition, local communities must manage the environment since they are at the forefront of the fight against climate change with their ancestral knowledge (e.g. Water Sowing and Harvesting) (Gricelda et al., 2018). Therefore, it is essential to consider comprehensive water management to counteract this lack. (Sixt et al., 2018) and (Herrera Franco et al., 2019) mention methods to manage water resources such as increasing supply (e.g., water storage through dikes/dams or artificial aquifer recharge) and losses and waste reduction (e.g., loss and waste control in large cities and evaporation control). Water resource availability is a challenge for many communities since it is scarce, limiting social and economic development (Duran-Llacer et al., 2020; Green et al., 2015). In arid and semi-arid zones (e.g. coastal zones), the primary water sources are aquifers, and they also concentrate more than half of the world’s population (Aznar-Sánchez et al., 2019; Chatton et al., 2016; Manciati et al., 2021). Due to the increasing urbanization of coastal areas, there has been a decrease in groundwater levels and a deterioration in its quality (saline intrusion or use of septic tanks). This is due to problems such as greater water demand and climatic variations (floods or extreme droughts) (Lezzaik et al., 2018; Seyam et al., 2020). Manglaralto parish is a rural area in the north of the Santa Elena province on the coast of Ecuador. According to the INEC Population and Housing Census projection, the parish would have about 38,670 inhabitants, distributed in 426.0 km2 (INEC, 2010). The weather in Manglaralto and its surroundings is characterized by two seasons: rainy (January to May) and dry (July to December). Most of the year, many riverbeds are dry and only contain freshwater during rainy periods and climatic phenomena such as “El Niño” (García-Garizábal, 2017). In addition, Manglaralto and its surroundings are located in the semi-arid zone, where evapotranspiration is higher than the current precipitations (Carrión et al., 2018).
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In Manglaralto parish, the primary water resource is underground, extracted from the coastal aquifer associated with the river of the same name. Manglaralto Regional Drinking Water Administration Board (JAAPMAN, by its acronym in Spanish) oversees supplying the water to six communes (Montañita, Río Chico, Cadeate, San Antonio, Libertador Bolívar and Manglaralto) through 12 wells. Water scarcity in the parish means that 92.67% of the population receives water from wells, 2.26% from rivers, 2.26% from rainwater and 3.34% from tanker trucks (Franco et al., 2017). Libertador Bolívar commune, belonging to the Manglaralto parish, has approximately 2,600 inhabitants (INEC, 2010) and is considered an important tourist place due to the beach in the commune, which integrates the “Spondylus route”. One of the main water scarcity problems in the Libertador Bolívar commune is the low river flow due to historic rainfall; this limits the possibilities of drinking water consumption and crops in the surrounding land around the riverbed. Given this problem, ancestral knowledge about the Water Sowing and Harvesting (SyCA, by its acronym in Spanish) emerges as a solution (Herrera-Franco et al., 2020a). Since 2013, artisanal dikes (“tapes”, a name the community has given to accumulating soil and rocks) have been built along the Manglaralto River. The “tapes” are shown as a temporary and economically viable solution to channel the water during the rainy season and recharge the coastal aquifer. However, the artisanal dams built up to now usually fail due to intense precipitations, lasting only temporarily (Carrión et al., 2018). For this reason, it is sought that dikes be built combining ancestral knowledge with engineering to better take advantage of the area’s water resources. Given the conditions and the construction of artisanal dikes with community work and materials from the river, the following question arises: Is it possible to use ancestral knowledge to construct artisanal dikes that allow the accumulation of water, solving the water problem in Libertador Bolívar? Therefore, the aim is to propose a dike design for embalming the river based on geotechnical and stability analyses, which allows a significant increase in surface water, contributing positively to the sustainability of the Libertador Bolívar commune.
2 Study Area The study area is the Libertador Bolívar commune, belonging to the Manglaralto parish, Santa Elena province, Ecuador (Fig. 1). Manglaralto has a critical aquifer southwest of the foothills of the Cordillera Chongon Colonche, within the Manglaralto hydrological basin and geological units corresponding to the Upper Cretaceous and recent alluvial deposits (Carrión-Mero et al., 2021a; Machiels et al., 2008, 2014). The Manglaralto, Cadeate and Libertador Bolívar rivers in the Manglaralto basin present these alluvial deposits formed mainly by gravel and sand. The gravels have a variable classification, layers thickness, and a sandy matrix, making them ideal for forming an aquifer. The geological formations that make up the Manglaralto river subbasin are sedimentary and volcano-sedimentary rocks with alluvial deposits found in
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Fig. 1 Location of the study area in Ecuador. Source the authors and modified from (SNI-Ecuador, 2022)
flat reliefs bordered by elevations that exceed 100 m in height (Carrión-Mero et al., 2020). The characteristics of this aquifer make it a natural laboratory where different studies are carried out. Furthermore, due to the resilient actions of the inhabitants for sustainability, the area was named a geological interest site as part of the Santa Elena Geopark project (Herrera-Franco et al., 2020b).
3 Materials and Methods The proposed methodology for the development of this research consisted of three phases (Fig. 2): (i) initial visit and study site analysis; (ii) geotechnical characterization; and (iii) propose dike design and reference budget.
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Fig. 2 Applied methodology in this investigation. Source the authors
3.1 Recognition of the Study Area It began with a visit to the Libertador Bolívar commune, which involved the riverbank, where potential sites for the dike construction (“tape”) were observed. All available information on the ground was collected, such as topography, geotechnical sampling sites and strategic points for taking orthophotos by drone. One of the first pieces of information obtained was the topography of the place. It was first surveyed with a drone, but a differential GPS survey was necessary for particular places to obtain more detail. The topographic survey was carried out approximately 700 m longitudinally and 50 m on each side of the river axis (right and left). However, due to the variability in topography and the abundant vegetation, the distance of 50 m could not be completed. The programs used to process the data obtained were AutoCAD Civil 3D and ArcGIS to generate the contour lines and calculate the reservoir volume.
3.2 Geotechnical Characterization After the topographic survey and selecting the optimal place for the dike, a geotechnical survey was carried out in the chosen area. For the dike (“tape”) design, it was necessary to know the area’s characteristics where it would be built. Therefore,
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samples of the granular material present in the river were collected to determine the capacities of the material through laboratory tests. The tests carried out were: (a) (b) (c) (d) (e) (f) (g) (h) (i)
Natural soil volumetric weight Natural soil compressive strength Natural soil cohesion Natural soil internal friction angle Natural soil permeability Compacted density at standard Proctor Cohesion Compacted to Standard Proctor Internal friction angle of compacted soil Permeability of compacted soils
3.3 Proposed Dike Design For the dike pre-sizing, the recommended measures for granular material dams of the U.S. Bureau of Reclamation were considered (U. S. Bureau of Reclamation "Proyecto de Presas Pequeñas", 2007). Specialized slope stability software was used to calculate the safety factor of the pre-designed dike. Two stability analyzes were performed: (a) static (considering only the geometry of the dike and the topography) and (b) pseudostatic (considering the static analysis plus seismic acceleration). If the safety factors are greater than the minimum required by the Ecuadorian Construction Standard (MIDUVI, 2014), the geometric slope design and the dike would be appropriate. For static analysis, the safety factor must be greater than 1.50; as well as, in the pseudostatic analysis, it must be greater than 1.05. Upstream and downstream stability analyzes were performed using the Spencer-Wright method (for multiple failure surfaces). With the safety factors indicating the dike stability, cross-sections were made to calculate the amount of construction material and the reservoir capacity. In the reservoir capacity, a free edge is considered (generally one meter) up to the dike crown for the maximum level. Finally, a total referential budget for the civil works was estimated.
4 Results 4.1 Dike Location Selection Three possible areas (A, B and C) were selected based on the contour lines and the orthophoto of the area, as shown in the Fig. 3. After visiting the study area, cross-sectional profiles were created at interest points (A, B, and C). With this, point A was ruled out because the reservoir capacity would
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Fig. 3 Orthophoto of the study area and location of interest areas. Source the authors
be limited and the creation of a spillway channel. Point B presents the spillway constructing feasibility in a straight line, but the restriction at that point is different. At point B, more earthworks will be generated, affecting the owners (land expropriation), thus increasing the work cost. Therefore, the location of point C is considered the best in this investigation, considering a greater reservoir capacity and construction feasibility.
4.2 Geotechnical Characterization The Dike body will settle on moderately consolidated silty-clayey sands, for which it will be necessary to remove the loose soils (dragged by the river flow). More consolidated soils were verified when excavating test pits where the embedment will be located. The results of the laboratory tests on samples taken at point C are shown below: (a) (b) (c) (d) (e) (f) (g) (h) (i)
Natural soil volumetric weight = 1.56 Ton/m3 Natural soil compressive strength = 11 Ton/m2 Natural soil cohesion = 2 Ton/m2 Natural soil internal friction angle = 15o Natural soil permeability = 1.5 × 10–3 cm/s Compacted density at standard Proctor = 1.56 Ton/m3 Cohesion Compacted to Standard Proctor = 18 Ton/m2 Internal friction angle of compacted soil = 18o Permeability of compacted soils = 1.5 × 10–4 cm/s
4.3 Proposed Dike Design Since the material in the riverbed is an alluvial deposit of silty-clayey sand (optimal in using slopes due to its high safety factor), a 3:1 slope (low slope and conservative) is proposed. Therefore, a dike height of 5 m and a crown width of 4 meters are proposed.
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Slope stability calculations were carried out to verify the dike stability. From the static stability analysis, the safety factor for the upstream slope is 10.76 (see Fig. 4), and the downstream is 5.22 (see Fig. 5). In both cases, safety factors greater than the admissible (1.50) are obtained. Likewise, a pseudo-static stability analysis was carried out, in which the horizontal seismic acceleration is considered shear stress. According to (MIDUVI, 2014), this value is 0.40 g for the study area. The safety factor for the upstream slope is 1.84 (see Fig. 6), and the downstream is 1.65 (see Fig. 7). The analysis obtained safety factors greater than the admissible (1.05) in both cases. Crossing areas are determined along the dike axis to calculate the material necessary for the dike construction. Table 1 shows the partial and total volume of the dike.
Fig. 4 Upstream static analysis. Source the authors
Fig. 5 Downstream static analysis. Source the authors
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Fig. 6 Upstream pseudostatic analysis. Source the authors
Fig. 7 Downstream pseudostatic analysis. Source the authors
The calculation of the reservoir capacity, which will be formed upstream of the dike, ranges from elevation 2 to 6. This is due to the one meter’s assumed free edge, which will prevent water from overflowing above the dike crown. Also, the lateral acting forces due to the water pressure are also reduced. Table 2 shows the reservoir volume calculation, considering each elevation’s contribution and reservoir areas. Considering all the analyzes carried out, and the selected location, a reference budget of the dike of USD 33,640.64 is obtained. This budget considers preliminary works (clearing, stakeout and adaptation of the land), hydraulic works (provisional dam and channeling), and on-site environmental and safety sections.
418 Table 1 Dike body volumen
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Abscissa
Area (m2 )
Distance (m)
Volume (m3 ) –
0 + 005
9.28
5.00
0 + 010
26.30
5.00
88.95
0 + 015
52.21
5,00
196.28
0 + 020
123.75
5.00
439.28
0 + 025
123.75
5.00
618.75
0 + 030
67.01
5.00
476.90
0 + 035
46.65
5.00
284.15
0 + 040
32.10
5.00
196.88
0 + 045
22.86
5.00
137.40
0 + 050
10.33
5.00
82.98
0 + 055
0.70
5.00
27.58
Total volume (m3 )
Table 2 Calculation of total reservoir volume
2.549.75
Elevation
Area (m2 )
Volume (m3 )
6
34,211.00
–
5
23,126.00
28,668.50
4
16,491.00
19,808.50
3
9,682.00
13,086.50
2
3,099.00
6,390.50
Total volume (m3 )
67,954.00
5 Result Analysis Thanks to the digitized model of the study sector (Fig. 3), the dike location (“tape”) was verified; since there would be a more extensive reservoir, plus there is a narrow area, which minimizes the cost of the work. It will be necessary to replace the erodible material, to maintain the stability of the dike body, which may be produced over time. Reforestation along the riverbed will be essential to prevent granular material upstream erosion (Herrera Franco et al., 2019). The dike construction must be carried out in the dry season since this facilitates excavation and earthmoving activities. This will minimize the costs of the dike work. It is recommended to compact the material of the dike body (layers of 30 to 40 cm) for the construction process. The compacted density must be verified in-situ, which must be greater than 90% of the standard Proctor. The geological information collected determined that the coastal aquifer comprises alluvial deposits of coarse sand and gravel (Rivera, 2019). This would allow water infiltration into the ground up to approximately 10% of precipitation (Valencia, 2017; Velasco & Moreira, 2021). Dikes (“tapes”) are structures placed
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perpendicular to the main riverbeds. Its construction is a suitable technique for capturing rainwater so that it infiltrates into the subsoil and is extracted through wells. This method, known as Water Sowing and Harvesting (SyCA), is practised in neighbouring communities such as Manglaralto (Carrión-Mero et al., 2021a).
6 Conclusions The dam (“tape”) was designed to allow optimal surface storage and artificial aquifer recharge to provide water to the Libertador Bolívar community. Dike dimensions are 55 m long, with slopes 3:1, a total elevation of 5 m, and a crown width of 4 m. This design presents acceptable safety factors both in static analysis (upstream 10.76, and downstream 5.22), and in pseudo-static analysis (upstream 1.84, and downstream 1.65), according to the Ecuadorian construction standard (NEC-15). For the construction of the proposed dam (“tape”), a material volume of 2,549.75 m3 is required, which allows a water reservoir capacity of 67,954.00 m3 . The reference budget for civil works is USD 33,640.64, considering community participation regarding preliminary works, hydraulic works, environmental impact, and on-site safety. Using materials from the site is also considered under the criteria of building with ancestral knowledge techniques and friendly to the environment (without concrete). The construction of “tapes” (dykes) will further enhance the sustainable use of water resources; also, the use of this technique will be a recognition of the ancestral knowledge of these communities (Water Sowing and Harvesting-SyCA). Unfortunately, the communities are the first to implement these SyCA systems in most cases due to low investment budgets or lack of help from public institutions. In future research, it is proposed: (1) include a spillway channel in the dike design (of alluvial material), (2) investigate the erosion in the dike for the proposal to replace the material, y (3) investigate the influence or benefit of the aquifer artificial recharge in the wells near the dike. Acknowledgements The authors would like to thank the members of the Manglaralto Water Board (JAAPMAN). To SyCA-CYTED network “Sowing and Harvesting Water in Protected Natural Areas of Ibero-America”. To research center CIGEO-UPSE. This work is supported by the project “Geological and mining heritage registration and its impact on the defence and preservation of geodiversity in Ecuador” of the ESPOL Polytechnic University with code: CIPAT-01-2018.
References Aznar-Sánchez, J. A., Velasco-Muñoz, J. F., Belmonte-Ureña, L. J., & Manzano-Agugliaro, F. (2019). The worldwide research trends on water ecosystem services. Ecological Indicators, 99, 310–323. https://doi.org/10.1016/j.ecolind.2018.12.045
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Proposals for Adaptation of Stabilisation Works for Tourist Purposes and Conservation of Las Cabras Hill, Duran-Ecuador Nicolás Álvarez, Josué Briones-Bitar, Gricelda Herrera-Franco, Mariuxi Bonilla, Roberto Blanco-Torrens, and Paúl Carrión-Mero
Abstract Las Cabras hill stands out in the Duran city geomorphology as it is a large rock mass (Cordillera Chongon-Colonche foothills). Unfortunately, the last two decades have presented stability problems (landslides and detachments) that have affected the population and its surroundings. The academy (ESPOL) has proposed stability works for these problems, but the Municipality needs to complement and promote these hill stabilisation works for tourism. The aim is to develop remodelling proposals on Las Cabras hill through socio-economic analysis and linking its stability works to turn it into a natural tourist potential. The methodology consisted of (i) review of previous studies and projects carried out in the study area, (ii) analysis of the socio-economic situation, (iii) development of proposals for remodelling the hill and its conservation/sustainability, and (iv) assessment of the tourism capacity of the works and their impacts. As a result, the construction of four civil works is proposed: ascending route line, recreational/sports area, parking area and city viewpoint. These works will complement the stability works on Las Cabras hill. With this, it will be N. Álvarez Facultad de Ciencias Naturales y Físicas, Guayaquil University, Guayaquil, Ecuador J. Briones-Bitar (B) · P. Carrión-Mero Centro de Investigaciones y Proyectos Aplicados a las Ciencias de la Tierra (CIPAT), ESPOL Polytechnic University, Campus Gustavo Galindo, Km. 30.5 Vía Perimetral, P.O. Box 09-01-5863, Guayaquil, Ecuador e-mail: [email protected] P. Carrión-Mero e-mail: [email protected] G. Herrera-Franco Facultad de Ciencias de la Ingeniería, Universidad Estatal Península de Santa Elena (UPSE), P.O. Box 240204, La Libertad, Ecuador e-mail: [email protected] M. Bonilla Independent Consultant, Guayaquil, Ecuador R. Blanco-Torrens (Deceased) Facultad de Geología y Minas, Instituto Superior Minero Metalúrgico (ISMM), Moa, Cuba © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_25
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possible to fully promote this sector with a development vision for the Duran canton, both from a modern point of view and from a natural or rustic perspective. Keywords Tourism · Viewpoint · Slope stability · Social participation · Sustainability
1 Introduction Landslides involve movements of the materials that form the slopes due to gravitational force such as falling, overturning and any combination above (Cruden & Varnes, 1996; Pradhan & Siddique, 2020; Xu et al., 2015). The frequent collapse of natural and artificial slopes is essential since they have caused many victims and economic losses in the world throughout the history of humanity (Carrión-Mero, Pineda-Ruiz, et al., 2020a, 2020b, 2020c; Kitamura et al., 2020; Montgomery et al., 2020; Valkaniotis et al., 2018). Therefore, in recent decades, many studies have considered the effect of the inherent variability of geotechnical properties in rock masses on slope stability conditions (Basahel & Mitri, 2019). The main internal factors are slope geometry, potential failure plane characteristics, surface drainage and groundwater condition (Anbalagan, 1992; Briones-Bitar et al., 2020; X. Wang & Niu, 2009); while the most common external factors are rain, seismicity and human activity (Bommer & Rodr´ıguez, 2002; Carrión-Mero et al., 2022; Raghuvanshi et al., 2014). Water is a significant factor influencing the mechanical behaviour of the rock mass and is responsible for many rock engineering hazards (especially in slope stability) (Pan et al., 2020; H. L. Wang et al., 2014; Wong et al., 2016). Another influencing factor is human damage or activity (e.g., roads or quarries). Practical experience in the design of rocky slope projects has shown that the estimated resistance of the massif of a given slope is affected by blast damage or modification in the slope cut (Lupogo, 2017; Zheng et al., 2018). In practical geotechnical engineering applications, the safety factor (SF) is a standard indicator of slope stability (Carrión-Mero, Solórzano, et al., 2020a, 2020b, 2020c; Fredlund & Krahn, 1977; MIDUVI, 2014). Therefore, static and pseudo-static analyses are carried out to calculate SF. A static approach is made considering only the geotechnical characteristics of the terrain (e.g., topography, lithology, and soil geotechnical properties). On the other hand, a pseudo-static approach is commonly used when analysing the stability of a slope subjected to seismic accelerations (Gibson et al., 2018; MIDUVI, 2014; Morante et al., 2019). Slope stabilisation in a construction project is always critical, as there is a possibility that the structures will not support the slopes due to poor engineering calculations (Kumar & Das, 2018). Nowadays, there are many techniques available for slope stabilisation, such as mechanical (e.g., non-living components such as rock, concrete, steel pins, gabions), earthwork (e.g., reshapes surface slopes), and bioengineering (e.g., installation of a geotextile followed by tree planting) (Artidteang et al., 2015; Ayazi & Tangri, 2022; Lay et al., 2012; Morante Carballo et al., 2019; Suhatril
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et al., 2019; Xue et al., 2018). Thanks to these stabilization techniques, these sites are adapted and considered for tourism promotion. Tourism is one of the most dynamic markets in the world, from which multiple economic, socio-cultural, and environmental benefits are obtained. It is an economic activity based on the supply and demand of tourism resources. (Boullón, 2006; Castellanos Menjura et al., 2019). As a result, tourism has become a global activity growing virtually uninterrupted, despite occasional crises. This shows the sector’s strength in international tourist arrivals of 25 million worldwide in 1950, 278 million in 1980, 674 million in 2000 and 1.19 billion in 2015 (UNWTO, 2016). In addition, cities worldwide are experiencing the conversion of historical centres and neighbourhoods into tourist spaces as a response to a deterioration process that these areas experienced during the twentieth century (Hiernaux & González, 2014; Janoschka, 2016). As are the cases of: México D.F. (Díaz Parra & Salinas Arreortua, 2016), Río Grande-Brasil (Zerfass et al., 2020) or West Bengal-India (Banik & Mukhopadhyay, 2022). Mountains and hills are endowed with natural resources and cultural heritage of the inhabitants (biodiversity, culture and traditions) that serve as desired destinations for many tourists, migrants and pilgrims and also serve as places for rest, recreation and scenic beauty (Banik & Mukhopadhyay, 2022). Governments in many countries are actively promoting sustainable tourism as it provides additional income, employment and helps spread the benefits of tourism in rural areas (Mensah, 2019; Tenzin et al., 2019). A type of tourism, which is experiencing growth worldwide, is geotourism (Brilha, 2016; Henriques & Brilha, 2017; Mero et al., 2018; Newsome & Dowling, 2018). A form of sustainable tourism focused on promoting and conserving the geological heritage or sites with unique geological characteristics of a territory (geosites) (Herrera-Franco et al., 2020; Prosser et al., 2018). However, there are sites at risk due to natural and anthropic degradation or vulnerability (e.g., infrastructure construction or excessive tourism), which motivates the development of strategies to conserve the site’s natural resources, habitats, flora and fauna (Gray, 2018; Valle Díaz et al., 2021). For over 20 years, problems related to erosion processes and landslides have been detected in Las Cabras hill, Ecuador. Las Cabras hill has different susceptibility degrees to landslides and stability conditions, all of which can be accentuated by anthropic action and heavy rains, among other factors (). The solutions control erosive processes, and rock masses that can slide or detach (Blanco, 2015; Briones-Bitar et al., 2022) propose injected anchors (using shotcrete and Ø25 mm rods) and mechanical drainage to reduce interstitial pressure in that area. Also, apply surface channels in the form of stairs to evacuate rainwater. With this, it will be possible to ensure security on Las Cabras hill and the surrounding places. Due to its elevation, Las Cabras hill is a unique and characteristic place (in Duran). Furthermore, its presence is remarkable for being a sizeable rocky massif resting on a large plain. Therefore, the aim is to promote it and adapt it for tourist purposes since (Carrión-Mero, Morante-Carballo, et al., 2020a, 2020b, 2020c) has proposed geosites, one of them the Santay Island (located on the border between Guayaquil and Duran). So, the following question arises: Is it possible that with the remodelling or adaptation of the support works of the Las Cabras hill, it becomes a natural tourist
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potential that benefits the community and allows the conservation of endemic flora and fauna on the hill? Therefore, the aim is to develop remodelling proposals on Las Cabras hill through socio-economic analysis and linking its stability works to turn it into a natural tourist potential.
2 Study Area The study area is Las Cabras hill, in the Duran canton, Guayas-Ecuador (Fig. 1). Duran canton is one of the 25 cantons of the Guayas province. Duran’s climate is warm, with temperatures between 25°–30°, with average annual rainfall between 800–1000 mm (INAMHI-Ecuador, 2013). Las Cabras hill has an area of 0.36 km2 and approximately 88 m. According to the Ecuadorian Population and Housing Census (INEC, by its acronym in Spanish) (INEC, 2010), 11,868 people live there. It has an Economically Active Population of 2,138 people, where 25.82% carry out wholesale and retail trade activities (the most representative activity). There are 1,540 homes, where 88.38% are occupied. 93.24% of occupied homes have electricity through the distribution of the National
Fig. 1 Study area location. Source The authors and modified from (SNI-Ecuador, 2022)
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Electricity Corporation. In addition, 57.16% of occupied homes receive water from the Public Network. Las Cabras hill is located towards the eastern end of the Cordillera ChongónColonche, which crosses part of the coastal sector of Ecuador from Southeast (SE) to Northeast (NE). It divides two important sedimentary basins: the north, the Manabí basin, and the south, the Progreso basin. This mountain range is geologically composed of an oceanic basement of tholeiitic basalts (Fm. Piñón) and is sequentially superimposed on the Fm. Calentura, Fm. Cayo, Fm. Guayaquil. and San Eduardo Fm. (Hans E. Thalmann., 1946; Machiels et al., 2008). The geology of the study area is mainly represented by Cayo Fm. (Upper Cretaceous) and the Guayaquil Fm. Cayo Fm comprises breccias, microbreccias, sandstones, shales, clays, and argillites (Machiels et al., 2014). While, Guayaquil Fm. is formed by silicified shales that alternate with brown tuffaceous siltstones and sandstones with calcareous cement belonging to the Cayo Fm. (Benitez, 1995).
3 Materials and Methods The proposed methodology for the development of this research consisted of three phases. (Fig. 2): (i) conducting a socio-economic analysis; (ii) tourist attractions proposals; and (iii) analysis of the impact of these proposals on the sector and population.
3.1 Socio-Economic Analysis The primary purpose of this activity was to collect basic information from the 105 attendees at the socialisation meetings. A questionnaire of 10 questions was established, and an open dialogue between residents and representatives of the Duran
Fig. 2 Applied methodology in this research. Source the authors
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Government (GAD-Duran) with the researchers. This activity allowed us to understand the study area’s existing problems and their opinion about transforming Las Cabras hill into a tourist site.
3.2 Tourist Attractions Proposals The data provided by the scientific article were collected in “Evaluation of Slope Stability in an Urban Area as a Basis for Territorial Planning: A Case Study” (CarriónMero et al.,2021), the scientific article “Engineering Solutions for the Stabilisation of a Hill Located in an Urban Area. Case Study: Las Cabras Hill, Duran-Ecuador” (Briones-Bitar et al., 2022), and the project “Studies and Stabilisation Proposals for Cerro Las Cabras” (Blanco, 2015). This review aims to create a database that provides further analysis and review proposals for stabilisation measures raised in the study area. With these databases, proposals were developed to remodel the hill for tourist purposes to turn it into a natural tourist potential for the city. These various components and natural attractions would change the appearance of the place and, in turn, preserve the characteristics of the endemic flora and fauna of Las Cabras hill.
3.3 Impact Analysis of Proposals A diagnosis was applied by analysing strengths, weaknesses, opportunities, and threats (SWOT) and the TOWS matrix. Both analyses were carried out with the participation of various representatives of the study sector to collect a significant sample of opinions.
4 Results 4.1 Socio-Economic Survey Once the answers to the questionnaires were obtained, they were systematised and are detailed below: (a) Gender of the interviewees: 63% of the attendees are male, and 37% are female. (b) Age of the interviewees: the average age is 19–28 years (21.90%), 39–48 years (20.80%), and 29–38 years (18.80%). (c) Do you live on Las Cabras hill?: 98% of the attendees live on Las Cabras hill, which facilitates the accuracy of the information obtained.
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(d) Time living in Las Cabras hill: more than 58% have lived in Las Cabras hill for more than 20 years. The 105 interviewees have lived at least more than five years. (e) Place where they carry out economic or work activity: 48% work as independent; this even implies not having a permanent job. (f) Do you have your own business?: 29% indicated “Yes”. (g) Where do you have the business?: 48% said: “have a business in Las Cabras hill”. Another 31% have it within the Duran canton. (h) What activities do you carry out in the business?: 82% have a cell phone repair shop, buy and sell merchandise, and a grocery store. (i) Would you like Las Cabras hill to become a tourist sector?: 100% want it to become a tourist place. (j) What kind of tourist activity would you like Cerro Las Cabras to offer?: The attendees’ answers were varied; however, 31% chose a trail with a tourist viewpoint. In addition, 26% want typical food places, 21% want sports areas to be built, and the remaining 23% places for handicraft shops and bicycle routes on the hill. The answers obtained from the interviewees show, in general terms, that there is great acceptance for the tourist impulse in Las Cabras hill and that they will significantly contribute to generating work since most of them work independently or do not work.
4.2 Tourist Works Proposals Initially, four points are proposed for development with a modern approach, as seen in Fig. 3. (a) Ascending travel trail: A line for the pedestrian route, a line for the bicycle route, and one for the vehicle route (see Fig. 4). It will have approximately 810 m, adequately marked and illuminated throughout its length and designed according to the Ministry of Transportation and Public Works (MTOP) regulations. (b) City tourist viewpoint: It will consist of 5,432 m2 to present a panoramic view of Duran from the top of Las Cabras hill (see Fig. 5). (c) Recreational and sports area: It is located at the beginning of the ascending route proposed for Las Cabras hill. It focuses on a recreational and sports area to be used for different social events or as a recreation area. It comprises approximately 7,098 m2 , including sports courts with their respective stands, green areas, and street furniture (see Fig. 6). (d) Parking lot area: It is located on a higher level than the sports courts. This will consist of 4,474 m2 and will have a capacity for 85 vehicles; three will be exclusively for people with particular disabilities (see Fig. 7).
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Fig. 3 Location of tourist proposals on Cabras hill. Source the authors
Fig. 4 Ascending travel trail, cycle path, pedestrian, and vehicular route view. Source the authors
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Fig. 5 City tourist viewpoint. Source the authors
Six (6) homes/properties are being relocated due to the proximity and contact with the location of the tourist proposals implemented in Fig. 3. They will be relocated to sectors with better geomechanical stability characteristics.
4.3 SWOT and Strategy Analysis in TOWS Matrix SWOT analysis is used as a research methodology to determine a situation’s internal and external characteristics. On this occasion, it was used to obtain the perception of the inhabitants of Las Cabras hill and thus be able to soon put together strategies by taking first-hand the inhabitants’ opinions. It is presented in Table 1, the SWOT analysis given by the inhabitants of Cerro Las Cabras: The inhabitants perceive the weaknesses and threats as more significant than the strengths. However, there are various opportunities that they can highlight, especially the work that can be generated because of the execution of projects. One of the biggest problems affecting Las Cabras hill residents is the lack of access to basic services and insecurity because of drug micro-trafficking. Nevertheless, the inhabitants of Las Cabras hill favour carrying out the tourism project, they want to contribute with new ideas, and they have a great sense of belonging to the place where they live.
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Fig. 6 Recreational and sports area. Source the authors
With the information collected (from the SWOT analysis), it seeks to develop strategies using the TOWS matrix, where internal characteristics (Strengths and Weaknesses) and external characteristics (Opportunities and Threats) are evaluated. It is essential to mention that SWOT and TOWS analyses involve the same basic steps and likely produce similar results. However, the order in which managers think about strengths, weaknesses, threats, and opportunities can impact the outcome of the analysis. The result of the combined analysis of internal (strengths and weaknesses) and external (opportunities and threats) characteristics can be summarised in three general strategies: (a) Carry out a tourism investment project taking advantage of the advantages of the place, with particular attention to the construction of a path with a viewpoint. (b) Improve access routes, create green areas and provide basic services. (c) Construction of a UPC (Community Police Unit) to help reduce the insecurity of the place, especially drug trafficking.
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Fig. 7 Parking zone or area. Source the authors Table 1 SWOT analysis with the support of residents of Las Cabras hill Strengths
Weaknesses
1. Panoramic view 2. Lung of Duran 3. Quiet (low noise) 4. Residents already know each other (they have lived there for many years) 5. There is a union by sectors 6. Representative place for Duran 7. There are entrepreneurs
1. Few access routes 2. Lack of basic services (water, electricity, sewage, public lighting, garbage collection) 3. Lack of green areas 4. Unsanitary 5. Insecurity 6. Drug dealing 7. There is no neighbourhood committee 8. Many stray dogs and cats 9. Land is not legalised 10. Streets in poor condition
Opportunities
Threats
1. Tourism projection 2. Generation of work (Live with dignity) 3. Training for future business 4. Improve access routes 5. Improve the setting of the houses on the hill 6. Creation of enterprises 7. Land legalisation 8. Studies for the development of the hill by the Municipality of Duran
1. Insecurity (robbery and drug sale) 2. Health problems due to garbage accumulation 3. Future invasions 4. Evictions 5. Epidemic outbreaks 6. Empty/abandoned lots (attractive to criminals) 7. Landslides and detachment 8. Dry grass (fire hazard)
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5 Discussion The advantages when building the solutions proposed on Las Cabras hill are socioenvironmental and economic-cultural. In the socio-environmental part, security and stability are provided to the population, buildings, and their surroundings. In addition, gunning is a convenient and environmentally friendly slope reinforcement technology (Luo et al., 2022; Morante et al., 2019). In the economic-cultural part, (Carrión-Mero, Briones-Bitar, et al., 2021a, 2021b; Herrera Franco et al., 2019) recommends land use planning for Las Cabras hill, making it safer and guaranteeing sustainability in the most critical areas. Tourism potentials are distributed worldwide, be it a natural or artificial environment. In general, the conflict between exploiting natural resources as tourist attractions and protecting the environment is unavoidable. However, as in Las Cabras hill, there are others where strategies for sustainability have been proposed in the tourist site since they are affected by various natural or climatic phenomena (Mora et al., 2018). For example, in Mussoorie-Himalayas (India), studies have been carried out on landslide hazard, vulnerability and risk assessment (Ram & Gupta, 2022; Ram et al., 2020), where it has been determined that about 23% of the buildings are in high and very high susceptibility sites. Likewise, in the Alps, due to tourism in glacial areas, due to climate change, strategies have been proposed to guarantee future sustainability (Salim, Gauchon, et al., 2021a, 2021b; Salim, Ravanel, et al., 2021a, 2021b). As presented in Sect. 4.1, (Guaillas Panchana, 2016) has conducted surveys regarding tourism in Las Cabras to 100 people. Presenting output as: (i) 78% consider that tourism would preserve the history of the hill, (ii) 75% consider that, due to the lack of basic services, future tourism would be affected, and (iii) 72% consider that security and access roads should be improved. These answers are like those obtained in our surveys. Proposals for strategies are proposed in Sect. 4.3 to respond to these comments. In Duran, according to the Ecuadorian Ministry of Tourism and the Municipality, there are other tourist attractions such as: the Ecuador train station, the Divine Child Jesus Sanctuary, the Livestock Exhibition, and the Santay Island Wetland. For this reason, other authors have proposed: (i) the creation of a tourist magazine for the dissemination and promotion of the tourist attractions (Guaillas Panchana, 2016), or ii) evaluate 12 geosites in Guayaquil and Duran for the valorization of their resources, contributing to education and tourism (Carrión-Mero, Morante-Carballo, et al., 2020a, 2020b, 2020c). However, none includes Cerro Las Cabras in tourism planning, so this research is carried out to be considered. Nevertheless, emphasizing that security, basic services, and access routes must be improved or be part of the strategies to be considered.
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6 Conclusions Remodelling proposals have been defined in the Las Cabras hill (Durán) that will make it possible to fully strengthen this sector from a modern, natural, and rustic point of view. These proposals include an ascending trail/route with a tourist viewpoint, recreation and sports zones or areas, and a parking area. Tourism, with the proposed remodeling works, will be promoted not only with domestic visitors but also with foreign (international) visitors. These will be able to carry out different natural and sports activities. The inhabitants of the investigated area agree that the stabilisation works of Cerro Las Cabras be carried out since this will prevent accidents in the future. Therefore, there will be improvements for the sector and more security for the homes at risk. Also, the population agrees that an Ecological Tourism Project is carried out, as this will bring improvements to the sector. Furthermore, the project will bring more security and basic services. In future research, it is proposed: (1) carry out an environmental impact study (e.g., cause-effect method) of the proposed strategies, and (2) carry out the load capacity calculation of the different tourist attractions in the Las Cabras hill. Acknowledgements The authors would like to thank the residents of Las Cabras hill and the GADDuran staff for their collaboration in this work. This work is supported by the project “Geological and mining heritage registration and its impact on the defence and preservation of geodiversity in Ecuador” of the ESPOL Polytechnic University with code: CIPAT-01-2018.
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Biogas Propelling Initiatives: Trajectory, Current Scenario, and Perspectives for the Brazilian Context Andre Mateus Bertolino, Danielle Denes dos Santos, and Pasquele Marcello Falcone
Abstract Brazil stands out for its abundance of organic waste, resulting from its agro-industrial vocation and population density. Although the country presents favorable conditions for the production of biogas, only a small portion of its matrix is destined for this renewable energy, which reveals the need to establish political strategies for its promotion. Based on a documental research of strategic plans and reports from key actors in the biogas sector in Brazil, this study addresses the trajectory, the current scenario, and the political perspectives for renewable energy. The results show that important initiatives have been developed by institutions to optimize the interactions of the socio-technical system, which involves the government, the private sector, as well as research and development institutions. Despite promoting solutions for solid waste management and the energy transition in the country, biogas faces barriers to its diffusion. The strategies developed by these key actors are coherent for the management of social, economic, and environmental problems, although incipient in dealing with the obstacles that prevent Brazil from exploiting the full potential of this renewable energy. Keywords Biogas · Sociothecnical system · National innovation system · Key actors
A. M. Bertolino (B) Federal Institute of Education Science and Technology of Paraná, Londrina, PR 86060-370, Brazil e-mail: [email protected] A. M. Bertolino · D. D. Santos Positivo University, Curitiba, PR 81290-000, Brazil e-mail: [email protected] A. M. Bertolino · P. M. Falcone University of Naples “Parthenope”, 80133 Napoli, NA, Italy e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_26
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1 Introduction The dependence on the use of fossil fuels has been intensely questioned in recent years for several reasons (IEA, 2020). The concern with the environmental impact caused by the emission of greenhouse gases (GHGs), and the limitation of these sources to sustain the supply of the main industrial, urban, and rural activities are among the main ones. To face such challenges, it is needed a transformation that takes into account the configurations of the socio-technical systems in force; and the interaction between actors, institutions, technologies, and infrastructures defined by the demands of society (Geels, 2004). This necessary transformation is possible through the union of political strategies engaged in the promotion of more sustainable energies (Shot et al., 2016). To achieve the objectives related to environmental, social, and economic issues towards more sustainable models, transformations involving technologies, economic structure, governance, and ways of life are required. Innovation, including the policies that support it, is essential for a sustainable transition (Fagerberg et al., 2017). Biogas, in this context, proves to be a great ally for achieving goals related to Brazil’s environmental, social, and economic challenges. In addition to being characterized as an energy source capable of replacing fossil fuels, by using as raw material waste that would be discarded in the environment, biogas contributes to reducing environmental impacts. In this sense, the question that guides the development of this study is: What are the main driving initiatives and key actors that make up the National System of Innovation (NIS) for biogas in Brazil? It is assumed that an analysis of the driving initiatives developed by the key actors of the socio-technical system of biogas, would demonstrate the potential to identify possible barriers and opportunities for its own expansion. In addition to highlighting the configuration of the NIS of renewable energy in the country.
2 National Innovation Systems and the Role of Key Actors Policies are necessary to achieve goals in energy transition processes (Schmidt and Sewerin, 2018), which require a complex system of interventions between actors and processes. The most promising policy packages for renewable energy combine support for innovation and subsidies for their adoption (Van Der Bergh et al., 2021). Transitions are characterized as a response to persistent problems that require sustainable transformation (Grin et al., 2010). It is a process of transformation in which established institutional structures, cultures, and practices are broken to make way for new configurations (Loorbach, 2007). Sociotechnical systems are altered in of the emergence of a great challenge, so the stable configurations that support them are modified to meet the demands of society (Geels and Schot, 2007).
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For innovation policies, the transition to sustainability plays a fundamental role. They are configured as co-evolution processes that involve changes in systems, and that can promote the development of technical innovations in domains of social application. These transitions also include regulations, markets, infrastructure, and cultural symbols (Geels and Shot, 2010). Scheiterle et al. (2017) emphasize that the concept of NIS addresses the importance of encouraging the formation and development of networks between different actors as an important policy measure to ensure the good performance of systems. NIS determine the performance, quality, and type of innovation of an economy and its activities; in addition to guiding the direction of knowledge flows, technology transfer, knowledge commercialization, and economic incentives (Prokschç Haberstroh and Pinkwart, 2017). In the dynamics of the development of renewable energies, radical and incremental innovations occur, which are relevant for renewable energy technologies. Policies can encourage both types, as they both promote continuous improvements in existing technologies and enable the development of technologies that significantly differ from traditional ones (Kerr et al., 2021). While innovation policy has traditionally given greater attention to knowledge flows among universities, companies, and policymakers, transition processes require the involvement of a broader set of actors, such as: companies, cities, communities, citizens, and organizations, which can contribute to sustainable transitions (Geels, 2020). Samant et al. (2019) highlight the importance of policy in fostering innovation in sectors that face challenging realities, such as renewable energy. They indicate the relevance of government action in transition processes, once, although policy can promote innovation by establishing standards and providing incentives, it can also create difficulties by creating unfair conditions of competition, state control, and bureaucracy. In such context, governments are fundamental in regulating these eventual mismatches in the sector. Transitions are characterized as a response to persistent problems that require sustainable transformation (Grin et al., 2010), that is, it is a process of transformation in which institutional structures, cultures, and established practices are broken to give space for new configurations (Loorbach, 2007). Building on recent advances in innovation systems theory, Fagerberg (2017) develops a synthetic framework for the analysis of innovation policy to highlight issues of particular relevance to its conduct, according to Fig. 1. The solid arrows in Fig. 1 indicate the influence of processes on technological dynamics, while the dotted arrows represent the feedbacks that can occur from the dynamics towards the processes. On the right of the figure, the author points out that the processes are also influenced by policymakers. Fagerberg (2017) highlights that many of them are not known under the label of innovation policies, but they have important impacts on innovation. The figure shows the existence of five generic processes located in the NIS named: knowledge, capabilities, demand, finance, and institutions. Policymakers can influence technological dynamics as they shape the processes they impact. For this to
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Fig. 1 The national innovation system: dynamics, processes and policy. Adapted from Fagerberg (2017)
be possible, these actors need access to an adequate supporting knowledge basis, so they need to coordinate policies in different domains. For the author, knowledge can be provided by R&D organizations, which complement the capabilities of the companies themselves through schemes that promote interaction with other actors, while competencies (both specialized and more general) provide the basis for the generation of technological dynamics such as professional training. Fagerberg (2017) explains that demand is the engine for the development of new and innovative solutions. In this dimension, the government can help by supporting the formation of markets for innovative solutions, changing standards and regulations, and using public acquisition proactively to promote innovation. The author emphasizes that the dimension of finance is important for innovation perseverance, which involves providing the necessary funding from the financial market, in which the public sector plays an important role. Finally, Fagerberg (2017) argues that institutions refer to the “rules of the game” that influence entrepreneurial actions, ranging from regulations and laws to more informal norms and rules.
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3 Methodology This study seeks to place biogas in the context of the Brazilian NIS, based on the analysis of the driving initiatives and the main key actors that have contributed to the expansion of renewable energy. Therefore, this article is developed as a documentary type of a qualitative approach. The documents analyzed were obtained through web searches of the term “biogas” in agencies linked to the federal government and civil society organizations committed to promoting the expansion of biogas in Brazil, selecting the most relevant publications regarding the last five years (2017–2022). Among these publications, there are news, legislations, normative instructions, studies, and reports, which were selected based on criteria related to the potential that these materials would have in contributing to the discussion proposed by the authors. Table 1 shows the number of documents that integrated the analysis, separated by institutions. Data analysis followed the model proposed by Fagerberg (2017), presented in Fig. 1, which contemplates the dimensions and processes that influence the technological dynamics impacted by policies and actions of the actors involved with biogas in Brazil. The data obtained from the documents that are shown in Table 1 were selected to provide subsidies for the analysis of the processes that the author named: knowledge, Table 1 Documents that composed the research corpus Organization Government
Quantity of documents Brazilian energy research company (EPE)
3
Ministry of agriculture, livestock and supply (MAPA)
8
Ministry of mines and energy (MME)
Non-governmental organizations (NGOs)
Total
15
Ministry of economy (ME)
4
Ministry of science, technology and innovation (MCTI)
5
Ministry of the environment (MMA)
6
Ministry of education (MEC)
2
Brazilian biogas and biomethane association (ABBM)
3
Brazilian biogas association (ABiogás)
4
Center international renewable energy (CIBiogas)
6 56
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skills, demand, financial, and institutions, as well as the main policies that propelled biogas in Brazil in the last few years. The documents selected to compose the corpus of analysis followed criteria that relate to the thematic emphases they dealt with, prioritizing the ones that addressed the policies and driving initiatives developed in recent years by the key actors of the socio-technical system of biogas in Brazil.
4 Results and Analysis 4.1 Recent Propelling Initiatives and Key Actors Involved with Biogas NIS in Brazil Since the 2000s, biogas have been experiencing an important structuring, based on reforms carried out in science, technology, innovation, energy, bioenergy, and sanitation policies. New sectoral regulatory frameworks created a more favorable environment for the expansion of biogas than in the past. As incentives from the regulatory model of the electricity sector for renewable, decentralized energy, and sanitation policies began to include this source in their strategies (Mariani, 2018; Oliveira & Negro, 2019). Some important milestones deserve to be highlighted in the expansion strategies of this renewable energy in Brazil. One of them is the Special Incentive Regime for Infrastructure Development (REIDI). Created in 2007, the Program is still in force and includes projects related to the development of biogas and other renewable energies. It aims to promote tax incentives to encourage private companies to invest in the authorship of projects related to the infrastructure of the energy sector in Brazil. The emergence of some civil society organizations aimed at promoting the development of biogas in Brazil also contributes to strengthening the NIS of this renewable energy. In 2012, the International Biogas Center (CIBiogás) was created to professionalize the sector through the dissemination and standardization of information. Two biogas associations also emerged, ABiogás (2013) and ABBM (2014), which represented another important step towards greater integration and interaction in the sector. In 2017, other forms of interaction with high-level national bodies were implemented, such as the RenovaBio policy, created as one of the ways to provide resource allocation and space for important interactions to the expansion of biogas (Oliveira & Negro, 2019). From this brief contextualization, the most current driving initiatives that impact the technological dynamics involving biogas in Brazil and the main key actors involved will be discussed within the scope of processes and policies. The discussion is organized based on the processes pointed out by Fagerberg (2017), which include: knowledge, skills, demand, finance, and institutions.
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Knowledge
For Fagerberg (2017), knowledge can, for example, be provided by public research and development organizations or through schemes that promote interaction between companies and other actors, which can receive influences from multiple layers within the government. An action that deserves to be highlighted for strengthening the dimension of knowledge for the expansion of biogas was the GEF Biogás Brasil Project, which aimed to unite efforts to disseminate information and data, at the national level. The project did so by using knowledge management tools, and by boosting, through complementary initiatives, the use of biogas and the insertion of small businesses in the value chain of this renewable energy (MCTI, 2021). This project also proposes the development of the BiogasCluster and BiogasInvest tools aimed at evaluating the technical, economic, and financial feasibility of projects in the biogas chain. They also provide to the decision maker reliable, comprehensive, and flexible information with a view to the territorial development of a given region (MCTI, 2020). Another important action to be highlighted within the scope of strategies to promote knowledge in the context of the NIS of biogas was the RedEE Indústrias, a partnership with the German government that developed actions in 2021 to promote energy efficiency, through training and exchange of know-how between industries from different segments. For 12 months, participating institutions received technical support to analyze their energy consumption, implement energy efficiency measures, and knowledge on the use of renewable sources. Together, these companies avoided the consumption of 38.12 GWh/year with energy efficiency actions and started to use renewable energy sources such as biogas, biomass, and solar photovoltaic (MME, 2021). The publication of the resolution nº 2, of 2021, by the National Energy Policy Council (CNPE), was another important action to strengthen the training of those involved. It seeks to prioritize resources for studies in areas related to biogas and align them with the long-term strategy of the Brazilian energy sector. A distinct important initiative to support the dimension of knowledge within the scope of the NIS of biogas was the Biogas Information Platform (PiBiogás). Launched in 2022, it aims to facilitate access to digital tools, institutional websites, and information related to biogas, as well as fostering new actions and partnerships in the sector. The platform also proposes fostering integration between institutions, to promote the exchange and shared flow of users through joint communication strategies, in addition to supporting the dissemination of information related to biogas developed by the platform’s members. The current literature on biogas in the Brazilian context points out as important obstacles to its development the funding of research and investment in research on technologies for renewable energy (Araujo; De Oliveira, 2019; Herrero et al., 2018; Wincker et al., 2017). Thus, it is observed that the most recent initiatives that promote biogas are closely linked to the development of knowledge, in which the performance of universities and research centers stand out.
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Skills
According to Fagerberg’s analysis model (2017), the skills are classified as specialized and general and are, therefore, essential for companies and society to be able to generate technological dynamics. In the current Brazilian context, the research pointed to some important actions that are related to supporting the formation of skills focused on biogas. In 2017, through the Secretariat of Professional and Technological Education linked to the MEC, educational policies were implemented in line with new forms of sustainable energy through the Program for Development in Renewable Energy and Energy Efficiency in the Federal Grid (EnergIF). In this sense, some actions are underway to strengthen and expand the offer of Vocational and Technological Education. Among these initiatives, the EnergIF Program works to make it possible to offer professional courses in the areas of wind energy, photovoltaic solar energy, renewable hydrogen, biogas, biomethane, biofuels, energy efficiency, and electric mobility. The strategy aims to qualify professionals for the job market, meeting the new Brazilian energy scenario (MEC, 2021). In addition to this action, the GEF Biogás Project also develops local and federal actions to encourage the integration of biogas into the Brazilian production chain. This is a project in partnership with CIBiogás, Itaipu Binacional, MME, MMA and MAPA. The Brazilian Support Service for Micro and Small Enterprises (SEBRAE), Abiogás and the Brazilian Agricultural Research Corporation (EMBRAPA) are also important partners in the XX Project. The Project receives funds from the Global Environment Facility (GEF). Within the scope of training strategies, in 2020 and 2021, it launched the GEF Biogás Brazil Project, which has as one of its fronts the Training Trail, a package of free courses for the Brazilian public interested in biogas. It is the largest open, online, and free training package on biogas in Latin America (Cibiogas, 2021). Among the objectives of the training promoted by the Project is the expansion of specialized labor in the sector, the training of multiplying agents and the democratization of biogas, to facilitate access to quality information on the subject. In Brazil, the difficulty of accessing technical, commercial and legal information for the growth of biogas is recognized. In addition to the lack of technical knowhow in the production and exploitation of this type of energy and knowledge about costs, opportunities, commercial agreements, and financial conditions on the part involved (Santos et al., 2016; Wincker et al., 2017). The driving initiatives that were identified through the survey carried out in this research indicate growing attention to the development of skills needed for the expansion of biogas, so that new institutional agreements were signed, and new actors began to integrate the configuration of the NIS of this renewable energy in Brazil.
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Demand
The depletion of fossil fuels and the concern with the environmental impacts resulting from such exploitation is a global demand. This is legitimized through international agreements and commitments of the territories devoted to mitigating the environmental effects of a base economic and social environment based on fossil fuels. Thus, from this global demand, driven by environmental, social, and economic impacts, which manifests itself in a latent way, the need to change the way society produces and consumes energy is recognized (York & Bell, 2019). Another demand that can be cited that involves the production and consumption of biogas is characterized by the management of urban and rural waste. In Brazil, there is a great demand for solutions for the waste, a context in which biogas acts as a technology capable of contributing to mitigating the environmental impacts related to industrial, urban, and agricultural activities in the country. The successive energy crises that Brazil has faced are also another factor characterized by a demand for the current socio-technical systems. These crises are characterized by the dependence on water resources, which demonstrates vulnerability in terms of the volume of rainfall and leads to the emergence of restrictive measures. The Brazilian dependence on fossil fuels also points to another element of the crisis, which indicates a trend of increasing carbon taxation and gradual growth in the price of fossil commodities in the short or medium term (Penteado et al., 2021). On the demand side, there are also discussions related to how governments can contribute to stimulating it. In this sense, public procurement acts as an important strategy for this purpose. The actions of public organizations interfere with the fulfillment of certain functions by a new product and its development and diffusion influence the direction, rate of technological change, and other innovation processes (Wesseling & Edquist, 2018). By shifting standards and regulations that add to public procurement actively to promote innovation, the government can help ease these constraints. Thus, demandoriented policies aim to encourage the search for innovations in the market (Fagerbeg, 2017; Edquist & Zabala-Iturriagagoitia, 2012). Among the actions that the Brazilian government has developed around public contracts, and that contribute to mitigating the restrictions related to demand, are the auctions for the purchase of electric energy promoted by the National Electric Energy Agency (ANEEL) from generation projects that benefit projects involving renewable sources, such as biogas. When discussing the dimension of demand in the political dimension of NIS, it is important to highlight that today’s energy problems stem mainly from the challenges surrounding the depletion of fossil fuels and the urgency to limit the advances of climate change (Ballesteros-Ballesteros; Gallego-Torres, 2019). What could be observed through the survey carried out is that the dimension of demand is related to the role of politics to drive the transformation of the stable configurations of the socio-technical systems in force (Geels and Schot, 2004). The policies developed in recent years have been greatly influenced by demands, whether emanating from international agreements, energy crises, or companies. It was observed that most of
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them appear as a consequence of external pressures and of society, which implied the creation and adjustment of regulations and strategies aimed at promoting biogas for Brazil.
4.1.4
Financial
Fagerberg (2017) emphasizes that finance works to enable innovation to persevere. Innovative initiatives, especially the ones that encourage small businesses or in cases where they are characterized by high uncertainty, might show that there is a difficulty in accessing resources from financial markets. In this case, once again the government can act supporting the development of promotion and incentive policies for the sector. A recent action that should be highlighted concerning financial incentives for biogas in Brazil is the New Market of Gas Program, a Federal Government initiative launched in 2019 that aims to promote conditions for reducing its price and, thereby, contribute to the economic development of the country. Other factors that contribute to the participation of biogas in this program are the integration of the gas sector with the electric and industrial sectors. Thus, the promotion of competition and the creation of the free market represents an opportunity for new biogas ventures, especially in the field (MME, 2019). In 2022, the National Development Bank (BNDES) created lines of financing aimed at low carbon initiatives and specific to biogas projects, to support projects that contribute to the expansion and modernization of essential infrastructures in the natural gas value chain, expanding its offer to the market. The 2021/2022 Crop Plan stood out for including the financing of sustainable techniques and combining agricultural production with environmental preservation. Among the actions that are part of the plan is the Program for the Reduction of Greenhouse Gas Emissions in Agriculture (ABC Program), the mainline for financing sustainable techniques. Another investment contemplated by the plan and benefits the development of biogas is financing for the acquisition and construction of facilities for the implementation or expansion of bioinput and biofertilizer production units on rural properties. In addition to that, it also financed projects for the implementation, improvement, and maintenance of systems for the generation of renewable energy. The collective credit limit for electricity generation projects from biogas and biomethane was set at R$ 20 million (MAPA, 2021). The launch of the Zero Methane Program, also in 2022, seeks to expand the use of biofuels and boost the green economy in the country. Among the measures implemented under the Program is the expansion of financing through public banks, BNDES, Caixa, and Banco do Brasil, which is going to include companies with sustainable projects. As for the financial dimension of biogas in the Brazilian context, there are barriers related to the economic unfeasibility of biogas, especially with a focus on the need to develop more policies capable of reducing interest rates, tariff costs, and tax exemptions to promote initiatives aimed at biogas (Hughes et al. 2020; De Araujo
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et al., 2019, Bressani-Ribeiro et al., 2019). Although a progressive growth of policies engaged in promoting biogas in the country can already be identified, the actions raised in this topic indicate that there is still incipient to encourage the development of this renewable energy, especially concerning those involved with a low-scale production.
4.1.5
Institutions
Sustainable transitions are understood as processes that involve an institutional change, which means that there is a concern in understanding the influence of regulatory norms, rules, or cognitive structures. Thus, practices aim to create the actions of institutions demand political work, in addition to being able to reconfigure systems of beliefs and meanings to support novelties in the normative and cognitive environment (Fuenfschilling & Truffer, 2016). Among the institutional changes that deserve to be cited today is the inclusion of investments in biogas and biomethane within the scope of REIDI, considered one of the main mechanisms of the incentive regime for the development of infrastructure in the energy sector. In 2022, projects that seek investments in biomethane and biogas will be contemplated and may have the collection of some taxes suspended for the acquisition of machinery, construction materials and equipment, among other components. The inclusion of biomethane in REIDI contributes to increasing the supply of the product and the installation of green corridors for the supply of heavy vehicles, with impacts on the reduction of greenhouse gas emissions. An investment of more than BRL 7 billion and the generation of 6,500 jobs are expected in the construction and operation of the new units (MME, 2022a). Another advance in institutional terms is the regulation of the Gas Law published in 2021, which determined the equivalence of biogas concerning natural gas for all normative and regulatory purposes. Its inclusion in the regulation makes the understanding of the law clearer for its applicability (Abiogas, 2021). The Federal Incentive Strategy for the Sustainable Use of Biogas and Biomethane was also another important initiative for the institutional expansion of biogas. It is important since it brings together objectives aimed to encourage programs and actions to reduce methane emissions, also contributing to the commitment that Brazil signed at the United Nations Climate Change Convention, the Glasgow Climate Pact and the Global Methane Commitment (MME, 2022b). The instruments that are part of the federal strategy include the National Green Growth Program (2021), the National Fund on Climate Change (in force since 2009 and amended in 2019), scientific research (notably those carried out through funding agencies), and Renovabio. A distinct and important regulatory mechanism for biogas was instituted through the improvement of the National Solid Waste Policy, which took place in 2021,
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containing instruments that contribute to the country being able to face the main environmental, social, and economic problems arising from the inadequate management of solid waste (Brazil, 2022). The Fuel of the Future Program, launched in 2022, is also another action on the part of the government to develop normative and regulatory mechanisms. It does so, through measures to increase the use of sustainable and low-carbon fuels, as well as the application of national vehicle technology, with biofuels, with a view to greater decarbonization of the transport energy matrix (MME, 2022c). Recent literature on biogas points out that the obstacles caused by the absence of effective initiatives to promote renewable energy need to be the focus of attention for the development of policies to encourage economic and environmental viability in energy transition processes (Bressani-Herrero et al., 2018; Ribeiro et al., 2019). The legal framework that is characterized by the regulation of waste management, as well as the incorporation of biogas for the Gas Law, points to advances that may make other processes of energy transition in the country environmentally and economically viable.
4.2 Current Configuration of Biogas NIS in Brazil The biogas NIS in Brazil is represented by the government through the MME, the MCTI, the ME, the MAPA, and the MEC, which, through their political strategies, have pointed to the existence of what might have served as important triggers to promote the expansion of biogas in Brazil. Through its public companies, the government also promoted several propelling initiatives, of which we accentuate the actions aimed at strengthening financial processes, such as the National Development Bank (BNDES), Caixa Econômica Federal (CEF) and Banco do Brasil (BB), institutions responsible for managing the resources allocated to finance projects. Other public organizations have supported initiatives around the expansion of biogas at the national level, exerting more direct influences on the dimensions of knowledge and skills, while also impacting other processes of technological dynamics. The Brazilian Energy Research Company (EPE), in recent years, has developed several studies and research aimed at supporting the planning of the energy sector (electricity, oil, natural gas, and their derivatives and biofuels). In addition, SEBRAE acted as a partner in some projects involving the training of micro and small companies focused on the exploration of biogas. Moreover, EMBRAPA has acted on several fronts involving the integration of biogas in the country’s agricultural sector, promoting actions and campaigns for clarification, information, and promotion of sustainable technologies and practices for the agricultural sector. Regulatory institutions also play an important role in the development of innovation, especially concerning the dynamics of institutionalization and standardization. In Brazil, ANEEL is responsible for regulating the Brazilian electricity sector and establishing the conditions for the compensation of electricity through renewable energy sources, such as biogas. This institution has also performed an important
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part in influencing demand through its energy auctions. Another institution that has contributed to the strengthening of knowledge and technological development processes related to biogas in Brazil is the National Institute of Intellectual Property (INPI), responsible for improving, disseminating, and managing intellectual property rights. Non-Governmental Organizations (NGOs), among which we can mention CIBiogás, Abiogás, and ABBM, within the scope of the Brazilian biogas NIS, have developed research in the area and acted in the establishment of networks and strategic partnerships for market studies and solutions dedicated to the full development of renewable energy. These organizations are present in most processes that involve technological dynamics. Universities and other teaching and research institutions are involved in several policies identified for the expansion of biogas in Brazil and work as necessary agents for the development of technologies and human training. Companies are also key actors in the biogas innovation system in Brazil, as they promote innovation, influence the institutional system, and transform knowledge into products or services (Edquist, 2001, 2004). International institutions and other organizations involved in global agreements and commitments focused on issues involving the reduction of greenhouse gas emissions, just transition, development of renewable energies, and mitigation of climate impacts are capable of exerting influence on technological dynamics. Among these institutions, it is worth mentioning the International Renewable Energy Agency (IRENA), characterized as an intergovernmental organization that supports countries in their transition to a sustainable energy future. The IRENA acts as the main platform for international cooperation, a center of excellence; and a repository policy, technology, resources, and financial knowledge about renewable energy. In addition, IRENA encourages governments to adopt enabling policies for investments in renewable energy, as well as facilitating knowledge sharing and technology transfer to provide clean and sustainable energy for world growth (Irena, 2022). The United Nations (UN) also cannot fail to be recognized as a key actor that exerts influence in various processes within the technological dynamics of biogas, as it acts at the forefront of the Sustainable Development Goals (SDGs). More specifically, SDG 7 deals with ensuring access to affordable, reliable, sustainable, and modern energy for all, a goal that is more directly related to the development of biogas as an alternative to overcoming the problems involved. Figure 2 sought to contemplate the main key actors involved with the processes that influence technological dynamics, that is: knowledge, skills, demand, financial, and institutional (Fageberg, 2017), as well as the driving policies that impacted directly or indirectly the national expansion of this renewable energy in recent years. It is possible to verify in the figure that the government played a fundamental role in fostering innovations and in leading the processes related to technological and structural changes with a view to the development of biogas in recent years in Brazil. Among its main functions was the design of policies, financial, and management incentives, as well as the promotion and distribution of the technology needed for
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Fig. 2 Dynamics, Processes and Policy of the biogas NIS in Brazil. Authors. Legend: IO (International Organizations). Click here to see the picture in high resolution
the expansion of this renewable energy. So, it is possible to perceive its presence in all dimensions of the processes that influenced the technological dynamics. The discussion around how to influence sociotechnical systems has gained increasing importance in politics and society in general (Fuenfschilling & Truffer, 2016). In the configuration presented, what can be seen is that the various key actors and driving initiatives established dynamic relationships that mobilized resources that could influence the expansion of biogas in the country in the coming years.
5 Conclusion When tracing possible directions for the development of biogas in Brazil, it is necessary to reflect on the urge to formulate and strengthen internal policies to promote the wide use and production of renewable energy. Even though Brazil stands out as one of the countries in the world with one of the best results in the energy matrix of renewable energy consumption, Brazil’s strong dependence on water and fossil resources demonstrates a gap in the effectiveness of the formulation and coordination of policies capable of promoting an effective transition of renewable energies.
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The development of biogas in Brazil requires economic, political, social, and environmental positions capable of promoting regulatory frameworks, tax regimes, support for technologies and research development, in addition to a broad dissemination of access to information and knowledge among the members of the system. The creation of policies to encourage implementation, as well as for the development of technologies, reduction, and access to investments for biogas, are necessary measures for Brazil in the coming years. The research shows that the processes involved with the technological dynamics established a series of policies and strategies that historically this renewable energy had not yet experienced, and that may result in its expansion in the future years. The scenario involving biogas in the country is complex due to the incipient policies and the still insignificant numbers concerning what has already been done to consolidate this renewable energy. However, many opportunities are also revealed as waste generation is abundant in Brazil, a consequence of its agro-industrial vocation and its population density. This work sought to explore in a general way how the biogas NIS is configured in Brazil, through the identification of the main key actors and the driving initiatives developed in the country in recent years. However, key actors, regional, and local initiatives were not included in this study, so this might indicate a limitation of this research. Future works that would explore in more depth actions and initiatives are recommended, as well as the relationships established between the key actors aimed at the development of political strategies engaged in promoting the development of biogas in Brazil. Such research may contribute to a deeper identification of obstacles, challenges, and opportunities in terms of policy development. It is expected that this work can contribute to new political configurations that still emerge to achieve the expansion required to meet the full potential that this renewable energy represents for the Brazilian context.
References Araujo, Gerado, Oliveira, Sonia, & Oliveira, Mario. (2019). Economic analysis of internal circulation biodigesters and vinasse concentrators for the generation of electricity, fertilizers, and carbon credits in various Brazilian economic scenarios. BioEnergy. Ballesteros-Ballesteros, Vladimir Alfonso, Gallego-Torres, & Adriana Patricia. (2019). Renewable energy education model from public commitment and energetic attitude. Rev Fac 28(52), 27–42. Brazil. Decree No. 10.936. (2022a). Retrieved 15 April, 2022a, from https://www.in.gov.br/en/web/ dou/-/decreto-n-10.936-de-12-de-janeiro-de-2022-373573578. Brazilian Biogas Association – Abiogas. (2022). Note from ABiogas on the regulation of the Gas Law. Retrieved 01 May, 2022, from https://abiogas.org.br/nota-da-abiogas-sobre-a-regulamen tacao-da-lei-do-gas/#:~:text=A%20regulamenta%C3%A7%C3%A3o%20da%20Lei%20do% 20G%C3%A1s%20(Lei%2014.134)%2C%20publicada,como%20equivalente%20ao%20g% C3%A1s%20natural. Brazilian energy research company – EPE. (2019). National Energy Balance 2020: Base year 2019. Rio de Janeiro. Retrieved 10 April, 2022, from https://www.epe.gov.br/pt/publicacoes-dadosabertos/publicacoes/balanco-energetico-nacional-2020.
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Bressani Ribeiro, Thiago, Son, Cesar, MELO, Vanessa, Bianchetti, Fábio, & Chernicharo, Carlos. (2019). Planning for achieving low carbon and integrated resources recovery from sewage treatment plants in Minas Gerais, Brazil. Journal of Environmental Management. Edquist, C. (2001). The systems of innovation approach and innovation policy: An account of the state of the art. In DRUID Conference, At: Aalborg, Denmark. Edquist, C. (2004). Reflections on the systems of innovation approach. Science and Public Policy, 31(6), 485–489. Edquist, C., & Zabala-Iturriagagoitia, J. M. (2012). Public procurement for innovation as a missionoriented innovation policy. Research Policy, 41(10), 1757–1769. Fagerberg, Jan. (2017). Innovation policy: Rationales, lessons and challenges. Journal of Economic Surveys, Wiley Blackwell. Fuenfschilling, L., & Truffer, B. (2016). The interplay of institutions, actors and technologies in socio-technical systems—An analysis of transformations in the Australian urban water sector. Technological Forecasting and Social Change, 103, 298–312. Geels, F. W. (2004). From sectoral systems of innovation to socio-technical systems: Insights about dynamics and change from sociology and institutional theory. Research Policy, 33(6–7), 897– 920. Geels, Frank W. (2020). Micro-foundations of the multi-level perspective on socio-technical transitions: Developing a multi-dimensional model of agency through crossovers between social constructivism, evolutionary economics and neo-institutional theory. Technological Forecasting and Social Change, 152. Geels, Frank W. (2007). Schot, Johan. Typology of sociotechnical transition pathways. Research Policy, 36(3), 399–417. Geels, F. W., & Schot, J. W. (2010). The dynamics of transitions: a socio-technical perspective. In: Grin, J., Rotmans. Grin, J., Rotmans, J., & Schot, J. (2010). Transitions to sustainable development: New directions in the study of long-term transformative change. Routledge. Herrero, M., Palhares, Julio, Sperberg, Francisco S., Charlon, Veronica, Tieri, Maria, & Pereyra, Anna. (2018). Dairy manure management perceptions and needs in South American countries. Frontiers in Sustainable Food Systems. Hughes, Nick, Mutran, Victoria, Tomei, Julia, Ribeiro, Celma, & Born, Claudio. (2020). Strength in diversity? Past dynamics and future drivers affecting demand for sugar, ethanol, biogas and bioelectricity from Brazil’s sugarcane sector. Biomass and Bioenergy, 141. International Center for Renewable Energy – CBIOGAS. (2021). GEF Biogás. Brasil Project launches the largest free online training package on biogas in Latin America. Retrieved 19 May, 2022, from https://cibiogas.org/noticias/projeto-gef-biogas-brasil-lanca-o-maior-pacotede-capacitacao-online-e-gratuita-em-biogas-da-america-latina. International Energy Agency – IEA. (2020). Energy technology perspectives. Retrieved 27, April, 2022, from https://www.iea.org/reports/energy-technology-perspectives-2020. Kerr, P., Noble, D. R., Hodges, J., & Jeffrey, H. (2021). Implementing radical innovation in renewable energy experience curves. Energies. Loorbach, D. (2007). Transition management: New mode of governance for sustainable development (p. 2007). International Books. Mariani, L. (2018). Energy use potential of biogas in Brazil, p. 144. Thesis (Doctorate)— Thesis (Doctorate) Faculty of Mechanical Engineering of the State University of Campinas - UNICAMP, Campinas - SP. Ministry of Agriculture, Livestock and Supply – MAPA. (2021). ABC Program. Retrieved 21 May, 2022, from https://www.gov.br/agricultura/pt-br/assuntos/sustentabilidade/plano-abc. Ministry of Science, Technology and Innovation – MCTI. (2020). Biogás Brasil Project has a partnership between MCTI and Unido. Retrieved 19 April, 2022, from https://www.gov.br/mcti/ pt-br/acompanhe-o-mcti/entregas/2020/projeto-biogas-brasil-tem-parceria-do-mcti-e-unido.
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Andre Mateus Bertolino has a degree in Business Administration from the Pontifical Catholic University of Paraná (PUC-PR). Specialist in Human Resources Management and Practices from PUC-PR. He took an MBA in Business Strategy at ISAE-FGV. He holds a master’s degree in Administration and Accounting Sciences from the Community University of the Chapeco Region (UNOCHAPECÓ). Doctoral student in Business Administration at University Positivo, with a sandwich period in the Doctoral Program in Economics, Management and Accounting— Parthenope University of Naples–Italy. He is a Federal Public Servant in the position of Administrator of the Federal Institute of Education, Science and Technology of Paraná—Campus Londrina. His research focuses on the areas of Energy Transition, Renewable Energies and Supply Chains. Professor Danielle Denes-Santos completed a post-doctoral programme on policy for renewable energy at Technion—Israel (2018). She holds a PhD in Technology innovation policy at TU DELFT—Netherlands and Positivo University—Brazil (2016) and a master’s degree in business strategy at Federal University of Parana - Brazil (2005). She’s now Professor in the Master and Doctorate Program in Business Administration at Positivo University with research interests in sustainability, transitions, renewable energy and sustainable development. Professor Pasquale Marcello Falcone is an economist with an interest in evolutionary theory applied especially to sustainable innovation studies. He obtained a PhD in Economics at University of Foggia (Italy) and a MSc in Economics at the University of Leicester (UK). He is Senior Assistant Professor of Economic Policy at University of Naples “Parthenope” with a strong interest in green innovation and sustainability transitions pushing his research at the interface between innovation, food & agricultural economics and green chemistry, an area of enquiry that has attracted growing attention among social scientists over the last decade. His work regularly appears in prestigious and highly impacted innovation and environmental economics journals.
Reconciling Strategy and Corporate Social Responsibility: An Analysis of Brazilian Corporate Reports from the Perspective of Stakeholder Theory Gustavo Leite Alvarenga, Juliana Hellvig, Bernardo Vaz de Oliveira Soares, and Carla Contreras
Abstract In recent decades, organizations such as the International Integrated Reporting Council (IIRC) and the Global Reporting Initiative (GRI) have pointed out in their guidelines to corporate reporting or sustainability reporting to a convergence between the practice of reporting information and corporate strategy. Among the principles that govern these guidelines is the relationship with the stakeholders, on which the present work focuses to answer: To what extent are reporting practices actually converging with corporate strategy? For this task and under a critical eye from the perspective of stakeholder theory—as proposed by R. Edward Freeman— this work seeks through the analysis of reports of Brazilian companies listed on B3 Corporate Sustainability Index (ISE B3), to identify how much this convergence has advanced. The findings show that gaps still remain between what is practiced by companies in relation to the strategy approach presented here. Keywords Stakeholder theory · Sustainability reports · Corporate social responsibility · Strategy
G. L. Alvarenga (B) · B. V. de Oliveira Soares Instituto Superior de Administração e Economia (ISAE), Manaus, Brazil e-mail: [email protected] J. Hellvig Universidade Federal do Paraná, Curitiba, Brazil C. Contreras Universidade Federal da Integração Latino-Americana (UNILA), Foz do Iguaçu, Brazil © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_27
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1 Introduction In 2006, Michael E. Porter and Mark R. Kramer, in the article “Strategy and Society: the link between competitive advantage and corporate social responsibility” (2006), applied harsh criticism to reporting practices within the context of Corporate Social Responsibility (CSR), as they are disconnected from the “core business” of companies and for aggregating information about social initiatives in an uncoordinated way, aiming at a mere demonstration of the company’s social sensitivity in a game of ratings and rankings (Porter & Kramer, 2006). On the other hand, in recent decades, guidelines for reporting social, environmental, economic, and governance results have included notes and guidelines for a more strategic approach to reporting this type of information. In addition, organizations such as the International Integrated Reporting Council (IIRC, 2021) and the Global Reporting Initiative (GRI, 2021) have also emphasized a more strategic focus and the need to connect aspects of sustainability to the organization’s strategy. Among the elements that make up these reporting guidelines is the relationship or engagement with the stakeholders. Sometimes treated from a more inclusive perspective, sometimes in a more instrumentalist way (Mio, 2016), this relationship is addressed by the IIRC and the GRI as a principle that aims to support the definition of the content that will be published in the companies’ reports. It is considered critical—from the point of view of a group of stakeholders—for “affecting the company’s ability to generate value” (IIRC, 2021) or for reflecting the “significant economic, environmental, and social impacts of the organization (…)” (GRI, 2021). The relationship with the stakeholders, as presented in the guidelines, also refers to a field of study of strategy: the Stakeholder Approach (SHA). The SHA, first proposed by Freeman in 1984, describes in a systematic way how the relationship with the stakeholder could be the guiding thread of the entire corporate strategy. Later, other authors followed the same line, debating, for example, stakeholders’ issues of salience (prioritization)—as seen in Laplume et al. (2008) and Mitchell et al. (1997). The debate involving an approximation between CSR and strategy is not recent. From the point of view of Freeman (1984), the Corporate Social Responsibility (CSR) and the stakeholder theory (SHA) have elements and origins in common, and the subsequent distance between these two approaches does not always make sense. On the other hand, Freeman’s (2004) position is contested from the prevailing perspective of CSR, where they consider SHA lacking in instruments capable of supporting companies in the sense of meeting the imperatives of sustainable development of the whole society (Clifton & Amran, 2011). The present work is situated in this broader field of discussion, where we seek reconciliation between CSR and strategic management, at first antagonistic visions (Colbert et al., 2003). As a contribution, we ask the following question: How much are reporting practices actually converging with corporate strategy? This convergence— or divergence—is then highlighted when we analyze how Brazilian companies (listed on the B3 Corporate Sustainability Index ISE B3) are reporting social, environmental,
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economic, and governance information under a critical eye from the stakeholder theory approach—as proposed by Freeman (1984). After this introduction, this work unfolds into six more sections, the next two (Sects. 2 and 3) dealing with the two different views on the topic, as already mentioned, followed by methodological procedures (Sect. 4), and later a look at how the guidelines (IIRC, 2021; GRI, 2021) approach the stakeholder strategically (Sect. 5). Finally, the article brings the analysis of the reports of the 39 companies (Sect. 6), followed by the conclusion (Sect. 7).
2 Stakeholder—The Strategic Approach The term stakeholder has become popular in the strategic management literature since the publication of Strategic Management: a stakeholder approach, by Freeman, in 1984. At first, the author has developed an ‘approach to the stakeholder’ focused on the daily needs of managers who could no longer ignore the environment in which their organizations were inserted (Freeman, 1984). Adopting the stakeholder concept aimed at guiding a company’s performance—and, therefore, from this point of view—in a context of multiple interferences and, according to Colbert et al. (2003), where values to be pursued were determined in specific networks. Thus, in strategic decisions about what to do, how to do it, and—mainly—for whom to do it, they had as a guide the relationships with a specific group of stakeholders. Among Freeman’s (1984) merits is the review of notions that for some time remained imperious in the mainstream of business management. Who (shareholders) and what (profit) are no longer fixed points. From the traditional debates around investor rights (shareholders) vis-a-vis the no-shareholders, Freeman (1984) streamlines the definition of “who,” and it is up to managers to identify, analyze, and establish good relationships with them. Furthermore, financial results are no longer a single unquestionable target (Laplume et al., 2008). Since Freeman’s (1984) definition of stakeholder—an entity that can affect or are affected by an organization during activities carried out for a purpose—various debates and criticisms have come with the development of the term in recent decades. One of the problematic points—and one of the most discussed in the literature (Laplume et al., 2008)—lies in the definition and importance of the stakeholder, i.e., the complex task of choosing and prioritizing who deserves attention. As pointed out by Laplume et al. (2008), critical issues arise when trying to prioritize or “highlight” some stakeholders to the detriment of others. Recently, Barney and Harrison (2018) presented a list of “tensions” involving the stakeholder theory. According to the authors, despite the largely used theory as a guide for decision-making, there seems to be no consensus in public and private spheres about its applicability. Even so, and with all the controversial issues raised, Freeman (2004) has maintained his initial position, in which ideas about the stakeholders’ approach are valid, as it aims to provide managers with a systematic “thinking”
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about the stakeholders so that they can recognize and respond to them effectively (Freeman, 2004; Freeman et al., 2018). Regarding the “tensions” presented by Barney and Harrison (2018), Freeman et al. (2018) consider them apparent and arising from the lack of a broader and more holistic view of business, maintaining the traditional narrow or reductionist perspective focused on competitiveness and financial values. According to Freeman et al. (2018), discussions continue due to different narratives on the issue that insist on dichotomies such as “business-ethics,” and “justice-efficiency,” among others. Insofar as the creation of shared values or an alignment between “the core of principles or values,” “personal values” are allowed to be incorporated into the formulation and implementation of corporate strategies (Freeman, 2004). The very survival of the company depends on this alignment of values and principles, because, according to Freeman (2004), “unethical behavior can have high costs, and second, because codes of ethics provide the consistency and trust required for profitable cooperation.” Not least, while some questions about the stakeholder approach are polemicized, several authors sought, aligned with Freeman (1984), the development of the theme with the proposal of a series of models of identification and prioritization of stakeholders (Laplume et al., 2008). Among them, the well-known model by Mitchell et al. (1997) proposing the classification of the stakeholder according to the dimensions of power, legitimacy, and urgency, and more recently, Crane’s proposal (2020), which differs from his colleagues’ in showing not only the relationship between corporation/stakeholder, but also the relationship stakeholder/stakeholder. According to the author, the act of prioritizing stakeholders generates moral contradictions and reduces trust in the organization, which can be mitigated when one focuses on the interconnectivity of stakeholders. However, even with several authors adopting this “strategic vision” of the stakeholder approach, Freeman (2004)—at first not expecting any interest outside the “business” context—was surprised to note that the biggest audience for his theory turned out to be those who were linked to studies on Corporate Social Responsibility. Since Freeman (2004) himself ended up covering the perspectives of CSR and Sustainability in his studies on the stakeholder, as in the article “Focusing on Value: Reconciling Corporate Social Responsibility, Sustainability and a Stakeholder Approach in a Network World” (Colbert et al., 2003), “Applying Stakeholder Theory in Sustainability Management: Links, Similarities, Dissimilarities, and a Conceptual Framework” (Hörisch et al., 2014), and “Business Cases for Sustainability: A Stakeholder Theory Perspective” (Schaltegger et al., 2017).
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3 Stakeholder—The Social Responsibility Approach From the CSR point of view, the stakeholder/corporation relationship has different understandings and “weights” than those found in the SHA literature, especially when it moves from a more instrumental/managerial perspective to a more normative-sociomoral view (Garriga & Melé, 2004; Maon et al., 2008), where the role of the organization expands, as it comes to be understood as a member of a society (Clifton & Amran, 2011; Hillman & Keim, 2001). Even so, the corporation/stakeholder relationship, the core around which SHA was developed (Freeman, 2004), is also a central element of CSR (Golob et al., 2014; Maon et al., 2009). The normative view—a critical point of the SHA (Donaldson & Preston, 1995; Laplume et al., 2008)—considers the relationship between corporation and stakeholder from a moral perspective and from where one questions what an organization should do, instead of concerns about how an organization can obtain better results by improving its relations with the stakeholders, that is the bias of the instrumentalist view of the SHA (Donaldson & Preston, 1995; Laplume et al., 2008). Similarly, in the CSR, there are also more instrumentalist approaches in contrast to views focused on ethical issues, such as the one proposed by Garriga and Melé (2004), where instrumental theories are linked to “meeting objectives that produce long-term profits” and the “ethical theories” to “contributing to a good society by doing what is ethically correct.” For Kakabadse et al. (2005), “The instrumental stakeholder theory lacks the critical moral aspect that gives the stakeholder concept an intrinsic value by itself.” The activity of prioritizing stakeholders in view of any benefit, even if, as defended by Freeman (2004), a shared benefit opposes the argument that the stakeholders have their distinct values but are not subordinate to each other, as all are legitimate and should not override the interest of another group or individual (Donaldson & Preston, 1995). Along these lines—according to Clifton and Amran (2011)—a corporation should pay attention to everyone and anything that—regardless of how distant, insignificant, or out of the eyes of the media or public—is impacted by its activities over time and in space. In contrast to instrumentalist visions, CSR—guided by this normative vision— brings to the fore issues such as notions of justice, stakeholders’ rights, and managers’ duties (Higgins, 2010). From this normative perspective, the organization and its members would assume greater responsibility in the face of a multiplicity of stakeholders, adopting a new role in society (O’Riordan & Fairbrass, 2013). The organization becomes an “organ” that is part of a larger body where it must contribute to social ends beyond the relative or narrow interests of people or institutions, keeping in line with prevailing social values and norms (Kakabadse et al., 2005). The organization’s goals become the global goals established in terms of a sustainable world (Clifton & Amran, 2011). In short, “The company’s social responsibility is derived from this capacity and contribution, in sum, from the fulfillment of the expectations placed by society in the company” (García-Marzá, 2005).
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The further one walks in this direction, the further the CSR seems to be from the strategic management, as there is pessimism regarding the organization’s capacity— according to the current logic of “management”—to meet both demands, the “corporate goals and sustainable world goals.” (Clifton & Amran, 2011; Mainardes et al., 2011). Disillusionment seems to prevail in the current context of the liberal economic model over a harmonious relationship between what is meant by business success and moral commitments to society (Kakabadse et al., 2005). While divergences remain, authors have pointed to the need for a closer relationship between CSR and strategic management tools, especially those provided by the SHA (Melé, 2008; Phillips, 1997). According to Carroll et al. (1991), through the stakeholder concept one can put “names and faces on the societal members” and personalize “social or societal responsibilities by delineating the specific groups or people business should consider in its CSR orientation.” For Higgins (2010), in the field of THE CSR, much attention has been given to the “what” and “why,” but little about the “how” organizations can actually cause organizational transformations in the conduct of their activities. Thus, there is a search for a “CSR engagement” sophistication and a greater awareness of the stakeholders (Morsing & Schultz, 2006).
4 Methodology In conducting this study, qualitative research was chosen, as the authors’ perception and understanding of the textual and graphic contents existing in the corporate (or sustainability) reports, enabled the interpretation and description that follows in the next session (Stake, 2016). To support the research processes, as well as to enrich and reduce interpretive uncertainties, Content Analysis tools were put into practice as proposed by Bardin (2011). In the pre-analysis phase, two sets of documents were identified: the guidelines proposed by the IIRC (framework for integrated reporting) and by the GRI (GRI 101: Fundamentals; GRI 102: General Contents) and the reports of 39 Brazilian companies listed in the Corporate Sustainability Index—ISE B3 (2021 portfolio). For material exploitation, pre-established categories inspired by the work of Freeman (1984) were used for clipping, enumeration and classification of contents (Bardin, 2011). In this way, coding—as a form of systematic transformation and content aggregation (Bardin, 2011)—originated from four categories: (a) Strategic Direction: the definition of the company’s role vis-à-vis society (mission) based on a deep and systematic analysis and understanding of the stakeholder. To arrive at this definition, Freeman (1984) provides a series of tools aimed at understanding the company’s relationships with its stakeholders (and vice versa), considering their values, issues and critical demands. (b) Strategic Formulation: it is understood as the definition of generic strategies (generic responses/positions) and as the definition of specific strategies (specific
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responses/positions) considering the behavior (favorable, unfavorable, collaborative, competitive, etc.) of stakeholders individually and jointly (coalitions) (Freeman, 1984). From these definitions, programs are also created, which will ultimately result in action plans for stakeholders (Freeman, 1984). (c) Strategic Implementation: it is understood as the allocation of resources directed or due to a prioritization of stakeholders (Freeman, 1984). In addition to coherent allocation, the strategy is implemented through commitment or engagement with stakeholders (for example, through participatory management or through incentives—reward systems) (Freeman, 1984). (d) Strategic Monitoring: it is the monitoring of strategies for the stakeholders that is carried out in the evaluation of the performance of success indicators related to the stakeholders and in the successful control of the accomplishment of the mission, programs and budget (allocation of resources) (Freeman, 1984). For this, Freeman (1984) suggests the implementation of performance indicator systems (scorecards) to keep step by step with the stakeholders and their demands. After defining the categories of analysis, content demarcation was carried out both in the guidelines and in the reports, therefore facilitating a “triangulation” between theory (SHA), guidelines (GRI, IIRC) and reporting practices (ISEB3). The following section presents the analysis between the guidelines and SHA. Subsequently, the analysis of the reports in relation to SHA is presented.
5 Stakeholder and Strategy—IIRC and GRI Analysis Previous to reviewing companies’ reports, the IIRC and GRI guidelines were also analyzed in order to identify their convergences with the strategic management process from the perspective of Freeman (1984) as summarized in the Table 1. As proposed by IIRC and GRI, stakeholder engagement is a basic principle for the preparation of a report, in addition to being a key reference for defining the content and topics for these corporate reports (through the materiality process). For both guides, there is a relationship between stakeholders and corporate strategy. According to IIRC (2021), stakeholder approach has a clear strategic orientation. It states that knowing the stakeholder is useful in identifying valuable information to develop and evaluate strategies, manage risks, in addition to “implementing activities, including strategic responses and accountability for material issues” (IIRC, 2021). Not as evident as in IIRC, for GRI the strategy appears linked to the principles of materiality and the inclusion of stakeholders. However, despite not being a principle “it is expected that the relationship between sustainability and organizational strategy will be made clear in the report” (GRI, 2021). In adition, GRI is more focused on stakeholders and on meeting their reasonable expectations and interests (GRI, 2021). IIRC (2021) focuses on the object of interest (capitals)—necessary for the creation of value—around which one or
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more stakeholders are involved (Mio, 2016). Despite the differences between both approaches, definitions given to the term stakeholder are faithful to the original concept of Freeman (1984), as individuals or groups that can affect or be affected by an organization and its activities as it seeks to achieve its goals. When it comes to stakeholder engagement, both guidelines require reporting on how and on the quality the company relates to these individuals or groups. GRI (2021) asks the organization to indicate the process by which it considers stakeholders’ Table 1 Strategic management (stakeholder approach—SHA) and GRI/IIRC Freeman’s strategic management processes (1984)
International Integrated Report Council (IIRC, 2021)
Global Reporting Initiative (GRI, 2021)
(a) Strategic Direction; i. Identification and selection of stakeholders ii. Analysis of values, critical issues and stakeholder behavior iii. Analysis of stakeholder coalitions iv. Statement of company’s role in society
i. Indicated. Information should be provided on how the company understands, considers and responds to stakeholders. In the materiality process, there is a description of steps for the identification, evaluation and prioritization of topics that must be reported because they affect the ability to generate value, which in turn connects with the relationship as a stakeholders ii. Indicated. Information regarding the nature and quality of stakeholder relationships. It is also important to understand the views of stakeholders (how they perceive value, etc.) on various subjects (economic, environmental, social, etc.) so that the organization can better identify risks, opportunities and develop its strategies iii. Not indicated iv. Indicated. There are guidelines for declaring in the report the corporate vision vis a vis the ability to generate value (value that is realized in the interaction with stakeholders)
i. Indicated: “The basis for identifying and selecting stakeholders with whom to engage.”; “(…) defining its stakeholder groups; determining the groups with which to engage and not to engage.” ii. Indicated: “A process of stakeholder engagement can serve as a tool for understanding the reasonable expectations and interests of stakeholders, as well as their information needs.”; “The organization’s approach to stakeholder engagement, including frequency of engagement by type and by stakeholder group, and an indication of whether any of the engagement was undertaken specifically as part of the report preparation process.” iii. Indicated: “an organization can encounter conflicting views or expectations among its stakeholders, and is expected to be able to explain how it balanced them when making decisions about its reporting.” iv. Indicated: “the overall vision and strategy for the short-term, medium-term, and long-term, with respect to managing the significant economic, environmental, and social impacts that the organization causes, contributes to, or that are directly linked to its activities, products or services as a result of relationships with others.” (continued)
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Table 1 (continued) Freeman’s strategic management processes (1984)
International Integrated Report Council (IIRC, 2021)
Global Reporting Initiative (GRI, 2021)
(b) Strategic Formulation; i. General Strategies for Stakeholders ii. Stakeholder specific strategies iii. Integrated Strategies for Stakeholders
i. Indicated. Stakeholders’ view is considered for the implementation of activities and strategic responses and “The more integrated thinking is embedded in the business, the more likely it is that a fuller consideration of key stakeholders’ legitimate needs and interests is incorporated as na ordinary part of conducting business ii. Not indicated iii. Not indicated
i. Not indicated ii. Not indicated iii. Not indicated
(c) Strategic Implementation; i. Resource allocation ii. Define stakeholder transaction processes
i. Indicated: report on strategy and resource allocation, considering “Key features and findings of stakeholder engagement that were used in formulating its strategy and resource allocation plans.” ii. Not indicated
i. Not indicated ii. Indicated: “The organization’s approach to stakeholder engagement, including frequency of engagement by type and by stakeholder group, (…).”
(d) Strategic Monitoring i. Organizational performance control with Stakeholder Standards
i. Indicated: Information on company’s performance must be presented, such as: “The state of key stakeholder relationships and how the organization has responded to key stakeholders’ legitimate needs and interests.”
i. Indicated: GRI disclosures were proposed to be monitored according to the materiality, which derives from topics that “substantive influence on the assessments and decisions of stakeholders.”
opinions, who may present conflicting points of view, and it is up to the company to provide explanations on how different interests were balanced. For IIRC (2021), “a view of the nature and quality of the relationships the organization maintains with its key stakeholders should be presented, including how and to what extent the organization understands, takes into account and responds to their legitimate interests and needs”. Another way in which stakeholder engagement reflects on reports is through the principle of materiality, also present in both guidelines. Derived from accounting practices, that define what is or what is not relevant in terms of economic decisions in the financial statements, materiality emerged in the scope of sustainability reports with the purpose of including the perspective of stakeholders in the process of prioritizing topics (Ortar, 2018; Jones et al., 2018). For GRI (2021), the role of the stakeholder in materiality is clear, as the topics are eligible for a report provided that: “substantially influence the assessments and
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decisions of stakeholders” (GRI, 2021), as well as “(…) affect or can affect an organization’s ability to generate value”. For IIRC, this linkage is not direct, but the definition of materiality is related to the issues that affect the organization in the creation of value, which depend on understanding “perspectives of the main stakeholders (…)” (IIRC, 2021). In some cases, no similarity was identified between Freeman (1984) and the guidelines. For instance, “Stakeholder Coalition Analysis” within Strategic Direction process (category (a)) and “Integrated Stakeholder Strategies” within Strategic Formulation process (category (b)) were not idenfied. In both guidelines there is indication for an analysis of interactions, activities and relationships between company and stakeholders, but not an analysis among stakeholders themselves, who may have behaviors (for example) of cooperation or competition, thus indirectly affecting the company’s activities (Freeman, 1984). In fact, GRI points out a possible existence of these coalitions and the need to report how the “weights”, or relative importance of these stakeholders, were balanced when defining materiality and the resulting monitoring of such indicators.
6 Stakeholder and Strategy—Analysis of Corporate Reports From the four categories of analysis based on Freeman’s (1984) strategic management process, one can have a general notion of how companies have approached the stakeholder in their reports. Still, bearing in mind Table 1 where these four categories and the contents of the guidelines were confronted (GRI, 2021; IIRC, 2021), and knowing that the reports analyzed here are prepared to meet these guidelines, one can understand within the limits defined by the guidelines how reporting practices converge with corporate strategy. Within the “Strategic Direction” category, an analysis was then carried out to gain an understanding of how stakeholders and their critical issues are identified, selected and prioritized—and how the relationship between these steps and the definition of the strategy is. In the case of the reports analyzed here, it appears that this process is often included in the materiality process. Specifically about identification and selection, there is little in the reports on how this process is carried out. There is no description of how stakeholders are identified, selected and prioritized. In most passages it is clear that the focus is on prioritizing critical or material issues for which the stakeholder perspective is important. In some cases, the identification/selection process is reported, but without details, for instance: “the main stakeholders were identified based on the mapping of the value chain”. In general, stakeholders are largely common to all companies despite being from different sectors. Even when dealing with a specific sector/company, the stakeholder
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is described in a generic way. The Stakeholder is thus included in broader categories such as customers, suppliers, investors, employees, etc. Or more specifically: financial institutions, transport companies, educational institutions, etc. In the strategy literature, the topic of stakeholder identification, selection and especially prioritization (or stakeholder salience) was widely debated, as in Mitchell et al. (1997) and Laplume et al. (2008). Several parameters are proposed for prioritizing or defining salience, such as legitimacy, power and urgency (Mitchell et al., 1997). However, as the studies themselves indicate, the disclosure of stakeholder prioritization is sensitive, which is why companies may feel unmotivated to accurately disclose their priority stakeholders (Freeman et al., 2018). Other studies have pointed to solutions, such as the proposal presented by Crane (2020, p. 2) on a change in focus from stakeholder prioritization to prioritizing connections between stakeholders in the sense of “increase trust across the stakeholder ecosystem.” In the reports analyzed, material themes are prioritized, often mappable on two axes, for example: internal versus external; relevance to the business versus relevance to society; impact for strategy versus impact for stakeholders; executives versus stakeholders. It thus emerges that in some cases there is a clear distinction between a corporate strategy and a sustainability strategy. In practice, the process of prioritizing materials topics occurs with the collection of information from stakeholders, through different engagement processes, such as online, public consultations or opinion polls, institutional and sectoral documents, from which the critical issues are identified. This information is then put in perspective from the strategies and intentions of the company’s executives, resulting in priority themes. Finally, as in the selection of stakeholders, the presence of broader themes such as climate change, water, innovation, risk management, ethics, human rights, diversity, health and safety of employees is noted. Despite the great variation between companies in different sectors, more specific topics are rare. With regard to linking the process of identification, selection and prioritization of stakeholders (or their issues) with the strategy, materiality is not always the input for defining the business strategy. On the contrary, a pre-existing strategy is used to define materiality. Still, in several passages it is reported that there are two strategies; the business strategy and the sustainability strategy, as in “(…) connection of our business strategies with the global priorities of sustainable development (…)”; or “(…) sustainability is part of the strategy (…)”. When analyzing the passages where the corporate strategy statements appear, it is identified that there is a priority stakeholder: the customer. Although there is no declaration of prioritization of stakeholders in the materiality process, the different weight given to the customer is evident: “Our strategy is focused on the satisfaction of our customers (…)”; “(…) aim to be more relevant in the daily lives of customers (…)”; “(…) we expand the generation of profitable business, we invest in our brands and in the improvement of services to our customers.”; “strategy is based on creating convenient, practical, tasty and quality products for our consumers (…)”. This distinction between different strategies or different stakeholders is an issue against which Freeman (1984) and other authors give an alternative view. According
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to Phillips et al., (2003), in the stakeholder approach there is a break with the binarity between financial (profit) and non-financial values, or between shareholders and stakeholders. For these authors (2003), stakeholder management goes beyond maximizing financial value for shareholder and aims at the interests and well-being of everyone involved. For Freeman et al., (2018, p. 9), and beyond the narrow view of the shareholder/profit binomial, the objective is “achieving balance, fairness, and harmony within the whole system of stakeholder”. Also, for Freeman et al. (2018), the more a company considers and aligns itself with the various aspects of its stakeholders, such as values, norms and ethics, the greater the probability of this relationship to remain productive. Within the “Strategic Formulation” category, Freeman (1984) proposes a series of generic and specific strategies (deployed into programs) for stakeholders in order to translate the business mission and indicate “how do we get to where we want to go”. Considering that this process was not clearly identified in the guidelines proposed by the GRI and IIRC (Table 1), what is observed in the analyzed reports are the specific strategies for only one stakeholder: the customer. As already pointed out, although the reports declare the intention to create “(…) value for our stakeholders (…)”,the strategies are described only for clients, such as: “Our commitment to innovate and deliver complete solutions to customers (…)”; “(…) make the experience (…) even more convenient, modern, faster and safer for the customer (…)”; “(…) able to stay close to our customers, providing quality information and specialized advice, to support them in their business or in the management of their portfolios (…)”. Once again, despite the declarations of integrated value creation for all stakeholders, there is a specific strategy of “customer focus”. Also absent from both the guidelines and the reports are integrated stakeholder strategies. Even with the statements of strategies focused on the client, it is not identified, for example, how to act in the face of possible coalitions between clients and other stakeholders. As recently proposed by Crane (2020, p. 19), an action with a systemic view of the network of relationships between stakeholders “can be leveraged and magnified to have greater influence.” Through the analysis carried out based on the category “Strategic Implementation”, where resource allocation and engagement approaches are identified, no clear descriptions of how resources are allocated were found considering “Key features and findings of stakeholder engagement that were used in formulating its strategy (…)” (IIRC, 2021). In relation to engagement, much is reported on its instruments (workshops, interviews, surveys, etc.) and on the frequency with which stakeholders are engaged. However, considering what Freeman (1984) proposes, there are a number of forms of interaction with stakeholders that must be carefully understood. In this way, engagement would go beyond the moments of gathering information to define materiality, but would be strategically established and approached in different ways and intensities. Finally, considering the “Strategic Monitoring” category, much is reported on indicators of the scope or performance of the strategy, not only meeting and in line with material themes, but also related to the capital and values created (IIRC, 2021).
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However, with regard to stakeholders, the indicators seem limited to engagement data (frequency and number of stakeholders consulted for materiality) and indicators about stakeholders that generally fall into the categories “society” and “community”, such as number of municipalities and people assisted in social programs and amounts invested in voluntary financial resources. In almost all reports the indicators focus on internal stakeholders: the employees. Workplace accidents, training offered, quality of life and gender equity programs are material indicators present in all reports.
7 Conclusion An effort has been made to include stakeholders not only within the definition of the content of reports, but also in business strategy. Despite the identification of two strategy statements (sustainability strategy and business strategy) in some reports, it is evident that some stakeholders and their points of view have been incorporated into day-to-day business management. However, regarding how much the stakeholder is really considered for business strategy—and not only seen from the perspective of “risk control” or a “license to operate” (Porter & Kramer, 2006)–, there seems to be a persistent gap when comparing the content of reports and the approach to strategic management through the eyes of the stakeholder, as proposed by Freeman (1984). Much has been devoted to the identification and selection of stakeholders (and their critical issues) as a result of the well-spread and applied materiality technique (proposed by both GRI and IIRC). However, according to the present analysis, materiality itself is not always input for strategy construction. Yet, as hardly observed within the categories of strategic formulation and implementation, the unfolding of information found in the materiality is not clearly disclosed, which can be understood, for example, as confidential data or as the absence of such practice. Also, considering the implications of disclosing the prioritization of stakeholders and the specific strategies that companies can develop about their relationships and transactions with these agents, both ethical and strategic, the absence of detailed information could be justified; a point discussed and partly resolved by studies such as Crane’s (2020) on coalitions and systemic strategies. Regarding the guidelines, it is evident that IIRC (2021) is closer to the mainstream of strategic management and in many ways addresses stakeholders in a more “strategic” way than GRI, as previously noted (Mio, 2016). Even so, gathering information from stakeholders, which could be useful for identifying risks, opportunities and defining strategy, still seems too restricted to the definition of materiality. Despite its contribution, results of this paper are limited to a point. The reports analyzed were prepared to meet protocols such as GRI and IIRC and, therefore, were not prepared exclusively as a “strategic” report to support decision-making. Furthermore, the guidelines themselves propose a series of central concepts, such as capital, value creation, impact and materiality, so stakeholder is not necessarily the center of strategic definition and formulation, as proposed by Freeman (1984).
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Finally, in line with the effort to bring corporate reporting practices closer to the strategy mainstream, it is suggested in the future to put other theories of strategic management in perspective. For instance, proposals such as those of Porter and Kramer (2006).
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Governance and Social Participation in Integrated Disaster Risk Management: A Case Study in Municipalities in Paraná (Brazil) Murilo Noli da Fonseca, Luciene Pimentel da Silva, and Carlos Mello Garcias
Abstract Incorporating the issue of governance into disaster risk management, strengthening stakeholder participation, and adopting integrated measures aimed at disaster risk reduction are key steps in building resilient cities and societies. Therefore, this work aims to identify how governance and participation are addressed in disaster risk management in the municipalities of Campo Largo, Curitiba, Primeiro de Maio and União da Vitória. The application of the Disaster Resilience Scorecard for cities was used as a methodological procedure. The results indicate differences in the four municipalities. Curitiba and União da Vitória, for example, demonstrate greater capacity for governance and involvement of stakeholders than the other two municipalities. The case of Campo Largo is critical, because these processes are merely incipient in the face of a high number of adverse events and their detrimental impacts to the territory. Therefore, it is necessary to increase the involvement of several actors, emphasizing shared management of responsibilities, in an integrated and non-isolated way. Keywords Integration · Sustainability · Public policies · Legitimacy · Power
M. N. da Fonseca (B) · L. P. da Silva · C. M. Garcias Graduate Program in Urban Management (PPGTU), Pontifical Catholic University of Paraná (PUCPR), Curitiba, Brazil e-mail: [email protected] L. P. da Silva e-mail: [email protected] C. M. Garcias e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_28
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1 Introduction The intensification of disorderly urbanization in recent decades, stemming from the absence of planning of land use and occupation and the low institutionalization of urban property associated with socio-environmental risks (Sorensen, 2018), has resulted in increasingly harmful effects, even in places where there are no direct impacts of adverse events, especially amid the vulnerable. As a way to reduce these effects, governance emerges as a central theme in disaster risk management, being corroborated by several international organizations (UNDRR, 2015; IRGC, 2017) and one of the main pillars of the Sendai Framework for Disaster Risk Reduction (UNDRR, 2015). In general, governance consists of a system of institutions, organizations and other actors involved in decision-making processes and public policies enacted to solve a problem (Keping, 2018). The main elements that characterize good governance are legitimacy, transparency, accountability, rule of law, responsiveness and effectiveness in decision-making, design and implementation (Keping, 2018). Therefore, governance involves bottom-up engagement, partnerships and coordination to mobilize actors who have different skills and knowledge (IRGC, 2017). In other words, when based on the specific needs of particular places and the multiple perceptions and meanings of those who have an interest in them, governance can connect the issues that concern the various actors in ways that benefit everyone involved (Healey, 2001). The participation of stakeholders is necessary in order to develop effective disaster risk reduction (DRR) strategies. This interchange of actors has increased in recent years, especially after Agenda 21 Local (United Nations Conference on Environment and Development, 1992 – ECO92), the Hyogo Framework (2005–2015) and the Sendai Framework for Disaster Risk Reduction (2015–2030). This trend has also gained prominence with the advancement of technology, as innovative means, such as citizen observatories empowered by information and communication technologies (ICTs), have the potential to provide new forms of participation, simultaneously generating relevant information and promoting demand-driven political responses (Rojas-Caldenas & Zambrano, 2008). Although participatory approaches are often seen as antidotes to the lack of legitimacy of traditional, democratic and inclusive approaches, several studies warn against adopting this romanticized view (Keping, 2018). There is, therefore, a need to ensure that the participatory approach is not used as a political tool in order to boost the agendas of experts and influential local actors, who try to legitimize their arguments by using participation as a “front” (Béland, 2010; Healey, 2006; Mäntysalo & Bäcklund, 2017), while excluding the participation of the most vulnerable groups. Accordingly, the present work aims to answer the following question: how have social participation and governance been addressed from a DRR standpoint? To answer this question, the results obtained from the Disaster Resilience Scorecard for cities, a research instrument developed by the United Nations Office for Disaster Risk Reduction (UNDRR), will be presented in four municipalities of Paraná: Campo
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Largo, Curitiba, Primeiro de Maio and União da Vitória. This process of selfassessment enables local managers to monitor and analyze their performance in the past, during and after the occurrence of disasters, as well as to evaluate their resilience.
2 Urban Governance The concept of governance has been employed in several disciplinary fields and, therefore, does not encounter technical and scientific unanimity. Often, multiple and even contradictory definitions are encountered. The polysemic nature of this concept exists because it has never been imposed in a clear and unified way (Mäntysalo & Bäcklund, 2017). Generally speaking, governance is based on the precept that central coordination alone cannot solve all problems. That is, it can be understood as a transition from traditional state-led, top-down decision-making to a vast network of actors and non-hierarchical processes (Walker et al., 2014), which aim to govern by the collective (Lange et al., 2013) and to progress from hierarchical government to equitable governance (Mäntysalo & Bäcklund, 2017). Governance occurs through interactions between structures, processes and actors that determine how power is exercised, how decisions are made and how the various stakeholders exercise their “voice” (IRGC, 2017). However, in order to succeed, governance must be complemented by horizontal, flexible, dynamic and integrative coordination processes that challenge the deep-rooted sectorization of existing organizations and the foundations of representative democracy (Lange et al., 2013; IRGC, 2017). Although the state may have diversified strategies, they remain a central actor (Shiroyama et al., 2012; Mäntysalo & Bäcklund, 2017), developing and improving some capacities and neglecting others (Sorensen, 2018). Thus, it is possible to conceive of centralized modes of governance, typifying governmentled forms of decision-making, along with other forms of governance, such as selfgovernance (Driessen et al., 2012) and adaptive governance (Chaffin et al., 2014). But, depending on the institutional structure and thinking of the place and territory, it can be difficult to replace functions of the State with the ideas of governance (Healey, 2001; Mäntysalo & Bäcklund, 2017). Therefore, one wonders “to what extent does the existing governance structure provide openings for incomer groups seeking change?” (Scott, 2010, p.15). The authors of such approaches are commonly criticized, and accused of participating in the depoliticization of political organizations, weakening of the State and its policies, and of joining the cause of neoliberal ideologies and the free market (Pinson, 2015; Allmendinger & Haughton, 2015; Mäntysalo, & Bäcklund, 2017). They are also charged with naïveté, with believing that all things are negotiated and that all actors are equal, while in reality the strong always dominate the weak, and the world is red in tooth and claw (Béland, 2010; Fainstein; Fainstein, 2013; Poupeau, 2017; Puustinen et al., 2017). Moreover, there is the problem of legitimation, mainly due to the splintering of autonomous networks, which frustrates accountability and
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integration (Mäntysalo & Bäcklund, 2017). One of the ways to minimize these obstacles is to change the scope of legitimacy. Recently, it has shifted from procedural considerations (who is the legitimate authority and what is due process to prepare and make decisions) to substantive issues (what political objectives are justifiable and who are the skilled actors needed to achieve them) (Mäntysalo & Bäcklund, 2017). Thus, sustaining and legitimizing urban governance depends on the viewpoints of different population groups about appropriate governance agendas (Healey, 2006). Accordingly, those involved can be held accountable and their legitimacy can be judged.
3 Disaster Risk Governance and Social Participation The way the state addresses disasters has varied over time. Recently there has been a paradigm shift in disaster risk management, from a risk-based approach, where forms of physical intervention are predominant (Lara et al., 2010), towards an integrated strategic approach that establishes risk governance (Thistlethwaite et al., 2018). Governance is the “umbrella” under which DRR occurs and can be seen as a network of actors, rules, conventions, practices, processes and mechanisms concerned with how information is collected, analyzed and communicated and how decisions are made (Tierney, 2012). Therefore, the main elements that characterize good governance are: broad participation, transparency, accountability, equity, rule of law, consensual orientation, efficiency and responsiveness (IRGC, 2017). Disaster risk governance can be understood as the way various actors coordinate at the community, national and regional levels to manage and reduce risks (Albano et al., 2015)—that is, to ensure that legal instruments, capacity levels, resources, mechanisms, institutions and processes are developed in a decentralized way, so that stakeholders can articulate their interests, exercise their rights and obligations, reduce risks and better prepare for the occurrence of a disaster (Hegger et al., 2014; Rumbach, 2016). Thus, the general population, which is traditionally seen as the victim of damage triggered by adverse events and disasters, is transformed into an active participant in risk management, by assuming greater responsibility before, during and after the occurrence of disasters. Myriad forms of participation arise in the stages of risk management. Efforts are characterized by the construction of collaborative partnerships and initiatives, and the redefinition of exposed population groups not only as vulnerable victims, but as management agents (O’Hare & White, 2018). For example, citizen observatories provide a way to engage the public in decision-making processes. In them, individuals can play a role in data collection and influence management actions, informed by a greater amount of information in real time and a better awareness of the situation for all stakeholders (Henriksen et al., 2018). However, in order to be successful, participation depends on three conditions: effective communication; receptivity of the public to engage in participatory processes, which depends on the perception and awareness of the risks; and
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processes that promote bilateral dialogue between the public and the institutions responsible for management (O’Sullivan et al., 2012). Studies show that participation has resulted in: effective adoption of disaster risk plans; greater preparation and resilience; increased confidence in institutions; legitimacy and responsibility; and improved decision-making (Rumbach, 2016). However, the evidence also reveals challenges and opportunities for misuse. For example, several authors demonstrate that empowered political elites have used risk management resources for clientelist relationships (Bang, 2014; Garschagen, 2016; Marks & Lebel, 2016).
4 Methodological Procedures In order to understand how municipalities approach social participation and disaster risk governance, the “Disaster Resilience Scorecard for Cities” was used as a research tool. Its structure is based on the ten steps for building resilient cities, as set forth by the UNDRR campaign: (1) organize for resilience; (2) identify, understand and use current and future risk scenarios; (3) strengthen financial capacity for resilience; (4) promote resilient design and urban development; (5) protect natural areas to improve the protection provided by ecosystems; (6) strengthen institutional capacity; (7) understand and strengthen the social capacity for resilience; (8) increase infrastructure resilience; (9) ensure the effectiveness of disaster preparedness and response; and (10) accelerate recovery and rebuild better after a disaster. With this structure, the Scorecard helps municipalities to understand their risks and to know their governance capacity in the face of disaster. Therefore, we used the issues related to governance and social participation that are present especially in the first, sixth, seventh and ninth steps of the research instrument (Table 1). The score takes place on a scale of 1 to 5 points. The application of the instrument took place in four municipalities of Paraná: Curitiba and Campo Largo (Metropolitan Region of Curitiba), Primeiro de Maio (Central North) and União da Vitória (Southeast Paraná) (Fig. 1). These municipalities are the first to apply this research instrument in Paraná. In order to make comparisons, the technical team of the various departments of the municipalities first performed a previous characterization of 2018, identifying the most probable and most severe disaster scenarios, since each municipality must be prepared to face specific disasters. In the case of Campo Largo, the team identified flooding as the most likely risk, and landslides as the most severe. Primeiro de Maio presents sales as the most frequent, and dengue as the most severe. União da Vitória and Curitiba have the same type of disaster in both scenarios—floods.
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Table 1 Scorecard dimensions used in the survey Dimension
Category
Description
1.1 Realization of Plans
1.1 Risk consideration in the preparation of plans
To what extent are risk factors considered within the City Vision/Strategic Plan?
1.1.2 Consultation in the preparation of plans
Is this strategy developed through inclusive and participatory multi-stakeholder consultation?
1.1.3 Review of strategic plans
Is the city’s strategic plan regularly reviewed?
1.2.1 Pre-event planning and preparation
Coordination of all relevant post-event planning and preparation activities that exist for the city area, with responsibility and clarity of roles in all relevant organizations
1.2.2 Event Response Coordination
Coordination of all relevant events and response activities in the city area, with clarity of roles and responsibilities in all relevant organizations
1.2.3 City resources for managing the organization, coordination and participation
The city government’s ability to play the important role of convening and carrying out the plan for DRR. Does the city and/or other key agencies have the authority and resources to fulfill their DRR commitments?
1.2.4 Identification of physical contributions
Physical contributions by both the public and private sectors
1.3 Integration
1.3.1 Integration of disaster resistance with other initiatives
The extent to which any government proposal is also evaluated for shortcomings or disaster resilience benefits
1.4 Capturing, sharing and publishing data
1.4.1 Extent to which data Availability of a single “version of the truth” on the city’s resilience – a single integrated set of resilience data for position is shared with practitioners other organizations involved with city resilience
6.1—Skills and experience
6.1.2 Links with the private sector
To what extent does the city utilize and involve the private sector?
6.1.3 Involvement of the insurance sector
Is the city engaging with the insurance industry to assess, mitigate and manage risks and stimulate a market for insurance products?
6.1.4—Civil society relations
To what extent does the city use and involve civil society organizations?
1.2 Organization, coordination and participation
6.2—Education and 6.2.1—Public education public awareness and awareness materials/ messages
There is a coordinated public relations and education campaign, with structured messaging, channels and distribution (continued)
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Table 1 (continued) Dimension
Category
6.4—Distribution of 6.4.1—Availability, training dedication of training focused on Risk and Resilience
Training offered and available to resilience professionals (city government, volunteer or other sources)
6.4.1.1—Availability, dedication of training focused on Risk and Resilience
% of population trained last year
6.4.2—System/process to update relevant training
Repeated training frequency
7.1—Community or 7.1.1 Coverage of the “base” community or grassroots organizations organization(s) across the city
7.2—Social networks
Description
Presence of at least one non-governmental body for pre- and post-event response for each neighborhood in the city
7.1.2—Effectiveness of the community network
Frequency and attendance of community organization meetings
7.2.2—Involvement of vulnerable groups of the population
Evidence of disaster resilience planning with or for the relevant groups that span the range of the vulnerable population. Confirmation of these groups of effective involvement
7.4—Techniques for 7.4.1—Frequency of citizen involvement involvement 7.4.2—Use of mobile and email “systems of engagement” to enable citizens to receive and give updates before and after a disaster
Regular use of overlapping modes of engagement to create repeated and reinforced message deliveries Use of mobile and social computing-enabled engagement systems (supported by email)
7.4.3—Validation of the Knowledge of the “most likely” risk scenario effectiveness of education and knowledge of key response and preparedness steps is widespread across the city 9.7—Training
10.1 Pre-event planning for post-event recovery
9.7.1—Practices and rehearsals—involving public and professional
Plan tests annually, by reference to simulated emergency and non-urgent events
9.7.2—Effectiveness of teaching and training
Level of effectiveness of training
10.1.2 The extent to which The actors involved in the plan to rebuild partners have been better consulted around the “event reset and recovery” plans
Source Adapted from UNDRR (2017)
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Fig. 1 Selected municipalities in the State of Paraná. Source The authors (2022)
5 Findings 5.1 Disaster Risk Governance In general, Curitiba is the municipality that has the largest structure of disaster risk governance among the four analyzed (average of 3.2 points). It is followed by União da Vitória (2.8), Campo Largo (1) and Primeiro de Maio (0.6). Overall, the score is low in the municipalities, with an overall average of just 1.9 points. The highest scores are related to “making plans”, “capturing, sharing and publishing data” and “organization, coordination and participation” (Fig. 2). The “integration” received the lowest score. The incorporation of risk factors in the strategic vision of the city is greater in União da Vitória. The other municipalities scored low on this dimension. In Primeiro de Maio, for example, although situations in which possible risks have been identified are discussed, the perception of local government is still incipient. According to the managers themselves, the civil society, in municipal conferences, identifies possible actions for the local government; however, these are not considered at the time of annual planning. In Curitiba, the Strategic Plan seeks to meet the demand to mitigate the impacts of flooding. In addition, the Municipal Coordination of Protection and Civil Defense (Compdec) is responsible for coordinating and articulating the
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Fig. 2 Disaster risk governance score in municipalities in Paraná. Source The authors (2022)
Municipal System of Protection and Civil Defense, in the development of prevention, mitigation, preparation, response and recovery actions.
5.2 Consultation in the Preparation of Plans In the involvement of several actors in the elaboration of plans, Curitiba and Campo Largo were the municipalities that achieved the highest score. In the capital of Paraná, managers report that there are several departments that develop their plans and projects aimed at prevention and risk management. The Secretariat of Social Defense and Traffic, through Compdec, develops integrated management, with direct and indirect administrative bodies, and with the community, through the Community Centers for Protection and Civil Defense (Nupdecs). THE IPPUC develops the planning of the city; the Environment Secretariat develops the Climate Change Mitigation and Adaptation Plan, each with representatives of other secretariats. The Social Action Foundation (FAS) presents its planning to rights councils, composed of representatives of secretariats, civil society organizations, and FAS employees and users. The latter two dialogue with the community, directly or through community leaders. In 2017, the Steering Committee of the Building Resilient Cities Program was created, meeting the International Pact with UNIDRR (Municipal Decree No. 798/17).
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5.3 Planning and Preparation Pre-Event In the coordination of the relevant activities of pre-event planning and preparation, with clarity of responsibilities and functions in all organizations, União da Vitória had the highest score. In the case of Curitiba, Compdec as a coordinating body and the creation of the Resilient Cities Program Steering Committee are some examples of this organization. Other examples are the Sector Plans, having as manager the IPPUC, and the Municipal Plan for Mitigation and Adaptation to Climate Change, coordinated by the Secretariat of the Environment.
5.4 Event Response Coordination In the case of coordination of response activities, União da Vitória and Curitiba have the highest scores. In the capital of Paraná, Law No. 11,645/05, which created Compdec, also instituted the Subsecretariats of Protection and Civil Defense, which act regionally in risk management action. Compdec articulates and mobilizes direct and indirect administration bodies, in addition to triggering state and federal government agencies in Risk Management actions. On the other hand, in Primeiro de Maio, with the installation of the local committee, and the guidelines pointed out at the Primeiro de Maio Municipal Conference of Protection and Civil Defense, the lack of an operational base of the Fire Department was identified as one of the main factors that limit the disaster response, which is corroborated by the existence of only one kite truck.
5.5 Resources for the Organization’s Management, Coordination and Participation All municipalities have a low score, especially Campo Largo and Primeiro de Maio, which had zero points. In the latter municipality, the resources are insufficient, and the existing ones are not implemented in an express and efficient way. In Curitiba, on the other hand, FAS serves families with greater social vulnerability. The planning provides for the availability of resources, shelter and service in disaster situations. Compdec has a Municipal Fund, but the resources are currently insufficient for the operationalization of the agency and for investment in DRR.
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5.6 Identification of Physical Contributions Physical contributions by the public and private sectors are high only in Curitiba, which, in addition to its own resources, seeks sponsors to contribute to DRR actions through public calls and tax-deductible contributions to studies.
5.7 Integration of Resistance to Disasters with Other Initiatives The extent to which any government proposal is assessed for deficiencies or benefits to resilience is low in the four municipalities. In Curitiba, for example, which obtained the highest score, it is evaluated through the database of the City Hall. According to managers, agencies such as Compdec, Secretaria de Obras, FAS, Secretaria do Ambiente, IPPUC, can have their basis for conducting their planning and actions in DRR.
5.8 Extent to Which Resilience Data is Shared with Other Organizations Involved in the Resilience of the City In the availability of a single “version of the truth”, União da Vitória and Curitiba obtained the highest score. In the capital of Paraná, managers’ report that local management makes information available to the population, through its website, public hearings and the media. On the other hand, in Primeiro de Maio, information is communicated through social media and one-off information disclosure. In addition, the alert system provided by the Government of the State of Paraná is available to the community.
5.9 Social Participation In the category of participation, of the those analyzed, União da Vitória is the municipality that most seeks to involve the population in the process of disaster risk governance (3.08). It is followed by the municipalities of Curitiba, Primeiro de Maio and Campo Largo, which have average scores of 2.58, 1.75 and 0.33, respectively. Overall, the average of the four municipalities is 2.1 points. The highestscored dimensions are “skills and experience”, “social networks” and “techniques of citizen involvement” (Fig. 3). “Training”, “training distribution” and “involvement of community organizations” received the fewest points.
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Fig. 3 Score of social participation in disaster risk governance in municipalities in Paraná. Source The authors (2022)
From a spatial point of view, social participation in disaster risk governance is conducted with greater volume in União da Vitória. Of a total of five points, the municipality has an average of 3.7 in the selected categories of step six, 3.6 in step seven and zero in step nine. The municipality of Curitiba had 3.5 points as an average score in step nine, three in step seven and 2.1 in step six. Primeiro de Maio had 2.4 as an average score on step six, two on step seven and 0.5 on step nine. The interesting thing in this case is that the municipality does not have a higher frequency of disasters than the other cities evaluated. Campo Largo, in turn, has the lowest scores, averaging 0.33 in step six, 0.77 in step seven and zero in step nine.
5.9.1
Skills and Experience
Regarding the scope with which the municipality uses and involves civil society organizations in the decision-making process, União da Vitória, Curitiba and Primeiro de Maio are those with the highest scores obtained. In the capital of Paraná, volunteering in DRR actions is conducted by the secretariats, among them the FAS, which has a community advisory board that initiates the systematization of volunteer work throughout society. In Primeiro de Maio, managers detail the development of reports, conferences and forums. On the other hand, Campo Largo reports not involving society’s organizations in governance.
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Education and Public Awareness
In the orientation and involvement of the public in education and awareness materials, União da Vitória stands out among the municipalities, obtaining the maximum score. Managers’ report the existence of a coordinated public relations and education campaign at least once a year, especially in the context of dengue risk, with messages, channels and structured distribution through leaflets, radio, TV and lectures. However, there are no campaigns aimed at the risk of disasters. The municipalities of Primeiro de Maio, Campo Largo and Curitiba, in turn, have the lowest scores. In the first, awareness-raising and local involvement is not structured. However, there are available communication and information channels, social networks, posters in health service actions, communicated at Rádio Luas F.M., as well as pedagogical work conducted in schools. In the municipality of Campo Largo there is only fire brigade training in schools.
5.9.3
Training Distribution
The involvement of the population in training for disaster risk reduction and preparedness is low in the four municipalities, with an average of 1.2 points. With regards to training offered and available to resilience professionals, Primeiro de Maio and Curitiba were the only ones to score. In the first municipality, managers describe activities of involvement of the population, among them the formation of surveillance servers. On the other hand, in União da Vitória, education lectures are held with external invitations but there is no involvement of the greater population due to the lack of a physical space that can include a large number of people. In addition, there are no disaster talks. Nevertheless, this dimension also seeks to understand the percentage of the population that has already received training. Only União da Vitória and Curitiba scored (five and one point, respectively). In the first case, at least 5% of the population receives training, such as fire brigade training, which take place twice a year in each of the schools. This category also investigates whether the guidelines are conducted monthly for each citizen in order to promote communication (UNDRR, 2017).
5.10 Community or “Basic” Organizations This dimension aims to assess the frequency of meetings of community organizations. These should be able to contribute to resilience plans and facilitate cooperation between the government and the community. Community organizations may include both emergency response teams and agencies and institutions that are willing to participate, such as churches, youth organizations, round tables, etc. (UNDRR, 2017). The frequency and attendance of community organization meetings is low in the
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four municipalities. Only the municipality of Campo Largo did not score. União da Vitória, Primeiro de Maio and Curitiba totaled two points each. In the first municipality, there is no information on the frequency of meetings. Managers’ report that, when they feel it is necessary, residents’ leaders take the issues to local managers through residents’ associations. In the second, the answer, under the proposed terms, would not apply to the reality of the municipality. The local dynamics are differentiated, having open meetings with the segments of society and public power. There are also dynamic meetings that aggregate regional representatives and the participation of the teaching network. Furthermore, the activities are conducted through the Community Safety Council (CONSEG). In Curitiba, managers report that the Reference Centers for Social Assistance (CRAS), Nupdecs and the City Council of Curitiba (CONCITIBA) are examples of community support organizations that can address the problems related to DRR.
5.11 Social Networks In the evaluation of networks, evidence of disaster resilience planning is observed covering the extent of the vulnerable population. This dimension is raised only in União da Vitória and Curitiba. In the first, the risk culture is well established due to the frequency of floods that affect it. In 2014, it was necessary to ask residents and neighboring municipalities to stop sending donations after one of the largest floods recorded. After the recovery, the managers distributed the remaining donations to other regions. Campo Largo and Primeiro de Maio, in turn, had a low score.
5.12 Citizen Engagement Techniques This dimension seeks to evaluate the use of messages as a repeated and reinforced way to build people’s involvement with the information received. Public relations’ best practices show that people need to receive messages in many ways and, ideally, from different channels to internalize them (UNDRR, 2017). In this case, the process of involving the citizen is elevated only in the municipality of União da Vitória, which scored five points, followed by Primeiro de Maio (two points), Curitiba (one point) and Campo Largo (zero). In both situations, regular use of overlapping mobile and social computing-enabled engagement modes to create repeated message deliveries involves the use of Facebook. In Campo Largo there is also the use of electronic sites, but limited use. As a way to verify if the citizen’s involvement has generated results—that is, popular knowledge of the main stages of risk management—União da Vitória and Curitiba had high scores (five points each), while Primeiro de Maio scored three points and Campo Largo did not score. In the first two municipalities, local managers highlight that more than 90% of the local population knows the areas at risk and knows
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which areas are vulnerable to floodwater, mainly due to the development of projects on the subject. In União da Vitória, for example, communities know the critical levels of flooding, with the exact quotas that reach their homes, and it is not possible to obtain real estate financing in areas deemed risky by municipal flood quotas.
5.13 Training The involvement of citizens in training and simulations is particularly critical in the four municipalities of Paraná analyzed. Only Curitiba scored in both dimensions, while Primeiro de Maio scored in only one. In the latter municipality, managers report that plans are used in the concrete case, without simulations, and that the involvement of the population in training had not been carried out prior to this research.
6 Discussion The rise of governance is characterized by a non-hierarchical governance structure involving various public and private actors, including society, where government is no longer the only body that makes social and political decisions (IRGC, 2017). This transformation has occurred mainly due to the recognition that government anchored in an organized, rational and traditionally top-down approach can no longer fulfill coordination and cooperation between the different stakeholders (Driessen et al., 2012). No actor is currently able to govern alone because no actor has the detailed information and political capabilities necessary to do so. Societies are plural, where multiple interests, numerous uncertainties and diverse actors constantly interact. Therefore, the State, which until the rise of governance was practically the sole instigator of public actions in its territory, has become secondary, especially with the emergence of bottom-up actions characterized by local initiatives that respond to specific needs. For this reason, governance can be viewed in terms of specific modes of interaction, based on coordination rather than domination, on negotiation rather than coercion, on deliberation rather than top-down application, and on the integration of the various actors in decision-making processes. Urban governance, therefore, begins with the adoption of a certain methodological and analytical posture and sets forth a global landscape of the actors present, without omitting any actor who would have their role to play. This attitude also involves identifying networks and ties between actors, before reconstructing power relations, government logics and inequalities. Regarding disaster risk, confronted with the uncertainty of the spatial and temporal dynamics of hazards, governance is seen as the conceptual and normative structure composed of networks or connections of actors such as individuals, groups and institutions interacting with each other and arrangements, structures and mechanisms to make decisions about different risks, and to manage and communicate them.
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Building and maintaining connections between these parts is crucial, even to activate and give meaning to risk management, because the answers themselves depend on the perspectives of the different actors, which have proven to shape the perception of risk (Fonseca & Ferentz, 2021). Due to the structure of disaster risk governance and social participation, this could be observed during the collection of research data, which suggest several possible approaches to improvements in disaster risk governance. The results indicate significant differences between the four municipalities analyzed. Overall, União da Vitória is the municipality that obtained the highest score (48.3), followed by Curitiba (47.8), Primeiro de Maio (19.8) and Campo Largo (12.3). The profile of the first municipality can be justified by the frequency of adverse events that plague the city, as well as by the damage resulting from them, which are alive in the memory of residents (Ferentz & Garcias, 2020; Ferentz et al. 2021). This history promotes the development of a culture of disaster risk governance, with a more effective risk communication system. In the specific case of disaster risk governance, Curitiba demonstrates greater capacity in relation to other municipalities, with a greater emphasis on the involvement of various actors in the elaboration of municipal strategic planning and in the coordination of disaster risk management, with clarity of functions and responsibilities in all relevant organizations, especially in the role of Compdec. However, although it is recognized as a “Model City, “Ecological City” and “Social Capital”, the capital of Paraná, as well as Campo Largo and Primeiro de Maio, seeks to incorporate and discuss few risk factors in this process, according to local managers. On the other hand, União da Vitória, with reasonable structuring of governance, seeks to insert these factors, albeit centrally in local government, with little interaction between the various actors. Campo Largo and Primeiro de Maio have the lowest scores. In other words, they demonstrate that they have an incipient process of disaster risk governance, with weak involvement of several local actors, weak data generation and sharing, organization, coordination and participation, and a low capacity to jointly assess resilience, thus corroborating several studies (Blanco, 2013). Regarding social participation, of those analyzed, União da Vitória is the municipality that most seeks to involve the population in disaster risk governance, with positive emphasis on the involvement of vulnerable groups, civil society and the private sector, and relationships with non-governmental organizations distributed throughout the municipal territory. It is followed by Curitiba, which has a low connection with the private sector, and weak involvement of the population in DRR training and recovery. Primeiro de Maio, in turn, has a low score but higher than governance. The positive highlights are the involvement of the private sector and civil society and the presence of at least one non-governmental body for pre- and post-event response in each neighborhood of the city. Campo Largo had the lowest score in both dimensions. Thus, the quality of disaster risk governance in the municipality bordering the capital of Paraná is questioned. For, “the quality of government is increasingly judged by the way its policy formation attends to the multiple voices of complex societies, by its skill in recognizing
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the complexity of economic, social, and environmental dynamics, and its appreciation of the specific realities of the way policy programs are realized” (Healey, 2001, p. 11,489). This scenario becomes critical when considering also the occurrences of adverse events and their impacts on the territory, as well as the preparation time necessary to develop adequate disaster risk governance and greater participation of various actors in this process. Between 1980 and 2021, for example, the municipality recorded 82 occurrences, eight of which resulted in the Declaration of an Emergency Situation (SE). The main types of disasters were dangerous road conditions, gales, floods and hail, which affected 262,876 people, double the population in 2020 (CEPDEC, 2022). During the application of the research, the structuring of a “Management Committee of the Resilient Cities Building Program” in the municipalities of Curitiba (Decree No. 798/2017) and Campo Largo (Decree No. 61 of March 23, 2018) was reported, set up to seek the necessary improvements in the development of an efficient and effective disaster risk governance. But, in each case there is only the direct involvement of municipal public agencies, and the participation of other actors is provided only in cases of “need.“ Another development that deserves attention is the construction of the Municipal Contingency Plan for Protection and Civil Defense. In all four municipalities analyzed, the participation of voluntary institutions and human resources in the response to the occurrence of adverse events is described. In Primeiro de Maio, there is the Rotary Club and Conseg. In União da Vitória, in turn, there are school transport companies, crane rental agencies and the Women’s Cancer Network to support volunteers. The capital of Paraná is the only one of the municipalities analyzed that has great involvement from the residents’ associations, the Community Center for Civil Protection and Defense (NUPDEC) and voluntary institutions, such as the Rotary Club, responsible for promoting campaigns and soliciting donations. Nupdec is an integral entity of the National System of Protection and Civil Defense, whose objective is to develop a process of mobilization, guidance and permanent organization with the population, especially those who live in areas vulnerable to disasters. Unlike Compdec, which is composed of members appointed by the local manager, Nupdec is a community association and its members are chosen by the community. For this to occur, it is necessary to identify and/or stimulate the formation of community leaders, to awaken the sense of belonging of the community, as well as the exercise of citizenship and the fostering of risk perception (Fonseca & Ferentz, 2020). However, several problems may arise immediately, such as deviation of purpose; political interference with regard to the decisions of the members; low effective participation of the group; failure to maintain a united group; internal mis-communication; insufficient dissemination; lack of event participation; absence of the action of the Civil Protection and Defense agency; and inadequate training (Lucena, 2005). Therefore, the people involved in the progress of Nupdec at the local level—that is, organizations such as indirect networks, blocks, neighborhoods, districts, unions, churches, schools, community associations and residents, among others, that allow individuals to mobilize and engage in collective actions—must be the protagonists in
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the process, because they know its demands and can contribute to the elaboration of feasible and useful planning to promote the desired changes. The Nupdec community encourages the construction of an individual and collective awareness about the problems related to its local environment, and enables changes in behavior and the development of DRR strategies (Fonseca & Ferentz, 2020). The importance of Nupdec can be summed up in the interaction of the community with local management, bringing people closer to a culture of prevention and risk reduction; in stimulating and accessing Compdec’s actions; in the cultivation of democratic and participatory spaces; and in its involvement in DRR (Lucena, 2005). Additionally, the protection and civil defense agencies of the municipalities are able to better deal with ordinary emergency situations that are not a disaster, such as a tree that needs to be pruned because it poses some kind of risk, or the emission of a building that needs to be reduced. (Pinheiro et al., 2019). Looking to the Agencies of Protection and Civil Defense as the coordinators of governance, the ideal scenario would be for them to receive demands from Nupdec, distribute them to the appropriate sector and monitor the result. Here, the Agencies of Protection and Civil Defense provide the structure to carry out activities, while the coordinating body of community institutions hold the competence to develop these activities, maintain accountability and ensure the desired results. Governance and social participation do not imply the disappearance of government. On the contrary, the government and its discontinuities coexist hybridly with other coordination processes. The involvement of several actors in decision-making does not prevent certain actors, under certain conditions, from prevailing in power relations, mobilizing their resources in a timelier fashion and thus establishing situations of inequality (BÉLAND, 2010). It is a question of power relations and inequalities being considered, confronted and questioned in the processes of action (Pinson, 2015; Poupeau, 2017). It requires that several actors claim a form of legitimacy in the design of public policies.
7 Conclusion Discussing and evaluating the integration between disaster risk governance and social participation in DRR actions is one of the necessary steps in rethinking how the disaster risk management process in a municipality takes place. The results found in the present study indicate significant differences in these processes in the four municipalities of Paraná analyzed. Curitiba and União da Vitória, for example, demonstrate that they have greater capacity for governance and the involvement of stakeholders than the other two municipalities, which can be explained by the high number of disaster occurrences throughout their history, as well as by the negative impacts resulting from them. Primeiro de Maio and Campo Largo, in turn, are negative highlights, as they present the lowest scores. In the latter municipality, the incipient
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process of disaster risk governance associated with the low involvement of the population, especially the vulnerable, is aggravated by the high number of occurrences of adverse events and their impacts on the municipal territory. The absence of partnership with educational institutions at all stages is notorious. For DRR actions to be feasible and have effective results in the municipal territory, involvement of the academic environment and research institutions is imperative. In the case of Paraná, these relationships can be strengthened through the State Network of Research, Teaching, Extension and Technological Innovation, aimed at reducing risks and disasters in the state of Paraná (Redesastre), and which seeks to promote cooperation and scientific and technological exchange oriented toward DRR. This article was based exclusively on municipal administrations interested in advancing the stages of the campaign “building resilient cities”. Although this approach has its strengths and provides appropriate limits for analysis, there are numerous other municipalities, especially those most vulnerable to risks and climate change, which can also benefit from the steps necessary for the development of local resilience. Future research can be conducted to analyze these municipalities and compare the results with this work. It is necessary to develop research on the involvement of the various stakeholders in the process of disaster risk governance in the face of climate change, with the clear establishment of the competencies and responsibilities of all, and shared management in an integrated and non-isolated way. More research is needed to expand the characteristics that influence the effectiveness of social participation in risk governance, ward off exacerbated disparities and capture the perceptions and experiences of vulnerable populations. In theory, disaster risk governance not only brings the people closer to their government, but also empowers them through their participation, and improves the ability of those involved to assume management functions, and enables a joint achievement of a result that could not be easily achieved by the government alone. However, integrated disaster risk governance can only materialize when individuals are aware of threats and vulnerabilities, and understand what to do before and after adverse events, as well as the importance of their participation in the development of DRR strategies. Clear communication between communities makes the work quicker and more effective, and facilitates finding solutions that ameliorate people’s lives.
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Public Administration Ensuring Sustainable Companies by Leveraging ESG Criteria Eduardo Oliveira Agustinho and Kharen Kelm Herbst
Abstract Considering the externalities created by economic activities, the acronym ESG represents the stimulus given to companies to implement measures that lead to positive impacts on environmental, social and governance aspects. State regulation does not impose compliance with ESG factors, preventing excessive interference in economic activity, but it has ensured that sustainability concerns are present in the businesses routine through nudges and incentives. In this regard, this paper presents the pioneering decree that regulates contracting with public administration in the state of Paraná, Brazil. Decree 10.086/2022 defines that the proposals that take into account the sustainability aspects, foreseeing sustainable practices and standards that can be implemented by companies, will be analyzed and serve as a selection criterion in contracting with the state government. Furthermore, considering that many of these companies are publicly traded, the financial market also drives compliance with these requirements, due to the demands of investors who will be attentive to this competitive differential. For companies, therefore, concerns about ESG factors also convert into greater economic value, especially in the long term, concluding that, in fact, purpose and profit are increasingly linked to each other. Keywords Public administration · Decree 10.086/2022 · Sustainability · ESG criteria
E. O. Agustinho (B) · K. K. Herbst Pontifical Catholic University of Paraná, PUCPR, Curitiba, PR 80215-901, Brazil e-mail: [email protected] K. K. Herbst e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_29
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1 Introduction Considering the externalities created by economic activities, the acronym ESG— Environmental, Social and Governance—represents the stimulus given to companies to implement measures that lead to positive impacts, regarding a set of standards used by socially conscious investors to screen potential investments. State regulation does not impose compliance with ESG factors, preventing excessive interference in economic activity, but it has ensured that sustainability concerns are present in the businesses routine through nudges and incentives. By mainstreaming wider considerations and sustainability aspects as a key dimension of strategic public procurement, it can improve the well-being of society as a whole, specially given that public administration must constantly seek efficiency, striving for the best performance with the minimum of errors and expenses in the execution of its tasks. In order to meet current needs and safeguard future needs, these new ESG-focused regulations—such as the Decree 10.086/2022, in the state of Paraná, Brazil—were enacted. That is because governments need to be concerned with future generations, and companies with long-term profitability. These new incentives are expected to support purposeful work and economic growth, building resilient infrastructure, fostering innovation and promoting a positive-sum, by encouraging investment in ESG aspects related to public procurement. This paper aims to analyze whether state regulation should impose compliance with ESG criteria, or, if it is more efficient for companies to adhere to these requirements due to market demands, as a competitive differential, and through nudges and incentives. The general objective of the research is to verify the extent to which incentives, through market demands and through regulation, provide conditions for strengthening ESG policies in Brazilian companies, contributing for the achievement of the Sustainable Development Goals, involving private capital and encouraging companies to commit to this paradigm shift. Economic development depends directly on business dynamics, and this, in turn, depends on the current institutional arrangements and on the interaction between legal and economic institutions (Schapiro, 2010). By deepening the understanding of previous attempts to implement sustainable development policies in Brazilian companies, these new incentives were adjusted to focus on aligning the interests of stakeholders and shareholders and integrating economic and social agendas.In order to fulfill these research objectives, this paper begins with an overview on how the ESG criteria emerged and how it relates with the Sustainable Development Goals—SDGs. Then, the decree is presented in its most relevant provisions, considering the scope of this paper. Finally, nudges (Thaler & Sustein, 2009), incentives and the concept of ESG by design (Cavoukian, 2011) will be discussed, regarding how economic agents can be induced to adhere to these
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standards of good practices and how institutional frameworks are determinant for this (Davis & North, 1971).
2 ESG Criteria In Brazil, public administration is guided by the principles of efficiency, legality, impersonality, equality, morality and administrative probity. Administrative processes—including public procurement–, therefore, follow these same guidelines. Regarding administrative processes, public procurement is a procedure whereby a governmental entity, intending to sell, acquire or lease goods, carry out works or services, grant concessions, permissions to work or for the exclusive use of public goods, according to conditions previously stipulated by it, invites interested parties to submit proposals, in order to select the one that proves to be more convenient in terms of parameters established and disclosed in advance (de Mello, 2009, p. 519). The Organisation for Economic Cooperation and Development—OECD defines public procurement as the purchase by governments and state-owned enterprises of goods, services and works, highlighting that “as public procurement accounts for a substantial portion of the taxpayers’ money, governments are expected to carry it out efficiently and with high standards of conduct in order to ensure high quality of service delivery and safeguard the public interest” (OECD, 2022). More than that, public procurement is the cornerstone of strategic governance and “it can and must play a major role in fostering public sector efficiency and establishing citizens’ trust” (OECD, 2015, p. 3). So far, OECD recommendations reflect the critical role that public procurement governance must play in achieving efficiency and advancing public policy objectives in all stages of the procurement cycle, from the definition of public needs to effective contract execution. That is because efficient and effective public procurement of goods, services and works is vital to the core purposes of any government, including infrastructure investment and the delivery of essential services to citizen. Therefore, public procurement governance encompasses twelve integrated principles: transparency, integrity, access, balance, stakeholder participation, efficiency, e-procurement, capacity, evaluation, risk management, accountability and integration (OECD, 2015, p. 3). As seen, until recently, OECD recommendations for public procurement were focused mainly on governance and competitiveness aspects, given that standards are attentive to codes of conduct and integrity applicable to public sector employees, especially managing conflicts of interest and disclosure of relevant information in order to obtain fair and reasonable pricing and ensuring competitive outcomes. (OECD, 2015). However, these standards are not enough to ensure sustainable development, considering that reasonable pricing and competitiveness are mostly related to cost-benefit analysis, probably in monetary terms; and governance, depending on the adopted interpretation, could take into account only the management of the
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company and the impacts for those directly involved, without taking into account the stakeholders and those indirectly affected. Therefore, mainstreaming wider considerations and sustainability aspects is a key dimension of strategic public procurement, in which it can be oriented to advance public priorities to improve the well-being of society as a whole. In the year 2015, Member States of the United Nations have adopted 17 sustainability improvement goals at a global level, which must be met by the year 2030, called the Sustainable Development Goals—SDGs (United Nations, 2015). These goals are primarily achieved through government actions. However, the private sector reacted, by market demands, strengthening the concept of stakeholder capitalism, based on the notion that companies are not only economic agents, but also social agents, as they generate positive or negative externalities, which influence the generation of value over time—in opposition to the idea of immediate maximization of profits. The proposition of stakeholder capitalism, first raised by Klaus Schwab in the 1970s and now resumed with the publication of his most recent work (Schwab, 2021), was presented as a counterpoint to the predominant thinking of shareholder capitalism, disseminated by Friedman (2009), according to which the purpose of the company should be reduced to the pursuit of profit. In other words, whilst seeking profitability, jobs are generated, taxes are paid, and quality products and services are offered. In this regard, social benefits would be a natural consequence of the commitment to maximize profits. This understanding, however, has been evolving to assent that Klaus Schwab’s vision is not entirely utopian and that the company’s purpose may go beyond Milton Friedman’s expectations. That said, ESG pillars have emerged as a response to the challenges of contemporary society, consisting of a set of requirements, standards and good practices that, when adopted by a company, expand perspectives beyond profit and monetary terms, to embrace sustainability and the concern for generating positive social and environmental impacts—which is determinant in the medium and long term outcomes. According to the Brazilian Association of Financial and Capital Market Entities— Anbima (2020, p. 7), ESG can be segmented as: (i) environmental factors, such as the use of natural resources, gas emissions that could aggravate global warming, energy efficiency, clean technology, pollution, waste and effluent management; (ii) social factors, such as policies and labor relations, inclusion and diversity, engagement, capacity building, human rights, community relations, privacy and data protection; (iii) governance factors, such as board independence, compensation policies, diversity in the composition of the board of directors, structure of audit and tax committees, ethics and transparency. It has been evident that raising and acting on concerns about environmental, social and corporate governance issues, ultimately translate into greater economic value for companies. This agenda has influenced the decision-making of managers, investors and consumers.
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For this reason, Fink (2020), founder and chief executive of the world’s largest asset manager, clarifies that the concern with environmental and governance aspects is related to the significant and lasting impacts they will have on economic growth and prosperity. Therefore, social and environmental risks are also investment risks. Recent episodes of climate emergencies, generational change and even the paradigm shifts resulting from the Covid-19 pandemic, that acted as a catalyst and increased the number of structural reasons to put more pressure on companies to accelerate the implementation of ESG policies, having spread the understanding that there is no sustainable development without the participation of the private sector and capital. Companies now are seeking to be aligned with interests and values sought by investors, after all, “companies start small and grow”, so “they need to attract consumers and investors by promising and delivering what these people value” (Easterbrook & Fischel, 1991, p. 4). Responsible investment has driven and redirected the allocation of resources, and this trend is set to intensify. Therefore, it does not contradict, but rather expands Friedman’s (2009) idea that the purpose of companies is to maximize profit for their shareholders, because stakeholder capitalism and the pillars of ESG really do contribute to the maximization of profit and business success in the long term. For instance, stewardship codes in several countries already include in their basic mechanisms the consideration of ESG factors in activities and decision-making by resource managers (Anbima, 2020, p. 19). In this sense, Kofi Annan, as Secretary-General of the United Nations, took the initiative to develop guidelines for responsible investments, together with financial institutions that were convinced that greater consideration for environmental, social and governance factors contributes to the resilience of the markets, for the sustainable development of societies, for trust in institutions and awareness and understanding of the multiple interests involved (The Global Compact, 2004, p. V). These guidelines, set out in the Who Cares Wins (2004) report, prepared by the UN Global Compact together with the World Bank, encompass human, labor, environmental, governance and anti-corruption rights, both in terms of prevention, repression and accountability. Still within the scope of the United Nations, institutional investors consolidated six Principles for Responsible Investment—PRI, which has thousands of signatories, evidencing the growing relevance of ESG worldwide. In the 2021–2024 strategic plan, the PRI states that “if we are successful in our vision, we can expect that by 2024 investors will consider, in their investment decisions, the impact they have on the real economy and the world in which their beneficiaries live and plan to retire. ESG will be integrated into financial policy and regulation in key markets” (UNPRI, 2021). Responsible investment, therefore, incorporates environmental, social and governance (ESG) matters, in addition to economic-financial metrics, as criteria in the analysis and final decision. When companies are dedicate to these matters, it leads to a series of benefits, such as: (i) early identification of threats, emerging risks or management failures;
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(ii) early identification of new business opportunities; (iii) customer satisfaction and loyalty; (iv) reputational aspects to attract employees, consumers and investors; (v) alliances and partnerships with other companies that share these values; (vi) brand appreciation; (vii) cost reduction in the medium and long term; (viii) reduction in the need for state intervention; (ix) greater access to capital at a lower cost; (x) risk management (The Global Compact, 2004, p. 12). However, it is still a challenge to define and materialize ESG in the day-to-day reality of each company. There are different, non-excludable strategies that can be adopted, depending on the activity, as well as different methodologies to fulfill the requirements for the purposes of ESG compliance. Implementing ESG policies should be a process of continuous development and constant improvement. In the capital market, company managers are induced to implement these strategies in order to maximize share value, considering that companies that do not meet investors’ expectations will naturally be eliminated by the market (Jensen & Meckling, 1976, p. 358). Investors look for a structure that provides conditions for the alignment of interests. That is, companies need to ensure that the company’s management will be carried out in line with investor’s expectations. As resources are scarce and companies compete for investments, those that are able to demonstrate the greatest alignment with the interests of investors will excel in attracting these resources, as a competitive differential. As investors monitor if companies are complying with ESG standards, it tends to be represented by the maximization of economic results. Alongside these market demands, governments play a role in inducing behavior through law and regulation. In Brazil, there have been advances in the regulations in force to impose compliance with ESG factors. By the National Monetary Council, the Resolution 4,327, of 2014, determines that financial institutions, and others that are authorized to operate by the Brazilian Central Bank, must adopt a Social and Environmental Responsibility Policy; and Resolution 4,661, of 2018, determines that Private Pension Entities must consider, in the risk analysis, whenever possible, aspects related to the economic, environmental, social and governance of investments. From the environmental perspective, Law No. 12,817/2009, regulated by Federal Decree No. 9,578/2018, established the National Policy on Climate Change. And at the international level, Brazil adhered to the 2030 Agenda of the Sustainable Development Goals—SDGs of the United Nations and to the Paris Agreement, to mitigate climate change. The Brazilian Securities and Exchange Commission, in order to reduce information asymmetries, included socio-environmental factors among the information to be disclosed by companies issuing shares or bonds. Companies must provide data related to ESG aspects, including: (i) individualized identification of socio-environmental risk factors in separate items for social, environmental and climate matters; (ii) the issuer’s position on whether or not to adopt a materiality matrix and key performance indicators for environmental and social matters; (iii) the issuer’s position on which of the Sustainable Development Goals are relevant in the context of its business; (iv)
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adoption of “comply or explain” for the dissemination of sustainability reports and key performance indicators for environmental and social matters; (v) presentation of aggregated data on the diversity of management bodies; (vi) indication of the ombudsman channels, if any, through which critical facts regarding environmental and social aspects can be reported to the board of directors; (vii) presentation of clarifications on whether the remuneration of managers is affected by environmental and social indicators; (viii) presentation of information on workforce diversity and remuneration parameters. These regulations seek to align Brazilian companies with more developed international markets, with greater clarity regarding the definitions of ESG aspects and the procedures for monitoring compliance with these requirements. In each jurisdiction, legislation and regulations reflect the goals and commitments assumed, providing concepts, indicators and instruments to be used to meet them (Anbima, 2020, p. 33). Regulation must take into account the context and particularities of the region and economic activity under analysis, when seeking to create efficient frameworks that establish incentives for ESG policies in companies. Considering that the Brazilian authorities already indicate that the relevance of ESG is being perceived, it is necessary to analyze, in the national context, what are the most efficient incentive policies for the Sustainable Development Goals to be achieved through the implementation of the ESG pillars in the private sector. Implementing ESG strategies is challenging and may require adjustments or additions to current regulation and applicable legal instruments, which imply changes in the business environment. Indeed, the essence of regulation is to change the behavior of economic agents, comparing to what they would have if there were no regulation (Moreira, 1997, p. 36). Therefore, for this change in behavior to take place in the most desirable way, it is necessary to be clear about the means that can be used to effectively achieve the objectives that are sought, that is, sustainable development.
3 Decree 10.086/2022 In this regard, on January 17th, 2022, a pioneering decree was issued in Paraná, Brazil—which is the Decree 10.086/2022 further advancing the aforementioned guidelines that focused mainly on public procurement governance, to regulate contracting with public administration defining that the proposals that take into account sustainability aspects, foreseeing sustainable practices and standards that can be implemented by companies, will be analyzed and serve as a selection criterion in contracting with the state government. It follows the new federal legal framework for public procurement and addresses important topics such as the description of the competences of the agents who take
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on the essential functions for public bidding and contracting, in addition to the procedures for bidding for goods, services in general, works, engineering services, leases, alienations, among other aspects. According to the decree, from now on, processes and structures must be implemented to deal with risk management and internal controls, to evaluate, direct and monitor the performance during the contract. For this to happen, the decree defines that sustainable practices will be used as a selection criteria for companies in public procurement, regarding issues such as the impact on natural resources; preference for locally sourced materials, technology and raw materials; greater efficiency in the use of natural resources such as water and energy; greater jobs creation, preferably with local labor, among others. Bids will now require a preliminary technical study that shall contain a description of possible environmental impacts and respective mitigating measures, including low energy consumption requirements and of other resources, as well as reverse logistics and recycling, when applicable. As an example, there is a subsection in the decree, which is entitled “Criteria for Sustainable Development-Centered Contracts”, that expressly foresees that the contracts with the public administration should be planned and designed centered on sustainable development, with a balance between economic development, preservation of the environment, respect for culture, democratization of public policies, aiming at the social development of present and future generations. Socio-economic, socio-environmental, socio-cultural and socio-political criteria are established as parameters to support a choice throughout the process of contracting. In the analysis of one of these criteria, the impact of possible implications on the others must be verified, in order to assess the binomial possibility and necessity. There must be an interconnection and weighting between them, so that there is balance in the sense of aiming at sustainable development. Furthermore, when there is a tie between two bidders, the tie-breaking criterion will be the implementation of equity actions between men and women in the workplace, the development of an integrity program, among others. Regarding the actions for equity between men and women in the workplace, the following are considered equity actions: (i) gender affirmative actions; (ii) measures of equal participation, with the presence of men and women in all areas of decisionmaking; (iii) policy of benefits aimed at protecting maternity, paternity and adoption, seeking to balance professional and personal life; (iv) practices in organizational culture to disseminate women’s rights, to prevent and repress moral or sexual harassment, to combat domestic and family violence and education programs focused on gender equity; (v) adequate physical structure for pregnant and lactating workers; (vi) occupational health and safety measures that consider differences between genders; and (vii) reserve of 2% (two percent) of job vacancies in the bidding company for women victims of domestic and family violence. The bidder who presents the largest number of equity actions at the time of submission of the proposal will be considered the winner. Moreover, all bidders should demonstrate reservation of employee positions for people with disabilities or rehabilitated. The percentage of disabled or rehabilitated
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workers must always be maintained in relation to the updated staff, under penalty of termination of the contract. A percentage of the workforce responsible for the contract’s object must be constituted by women victims of domestic violence and ex-prisoners. The criteria for variable remuneration linked to the performance of the contracted party is set to be based on goals and deadlines, quality standards and environmental sustainability criteria. Regarding more specific provisions, as an example, public administration will adopt, whenever possible, sustainable practices and/or criteria, among them: (i) less impact on natural resources such as flora, fauna, air, soil and water; (ii) preference for materials, technologies and raw materials of local origin; (iii) greater efficiency in the use of natural resources such as water and energy; (iv) greater generation of jobs, preferably with local labor; (v) longer useful life and lower maintenance cost of the asset; (vi) use of innovations that reduce pressure on natural resources; (vii) sustainable origin of the natural resources used in the contracted goods and services; and (viii) use of forest products originating from sustainable forest management or reforestation. The public administration will favor environmentally and socially sustainable products and services, when compared to other products and services that serve the same purpose. In the case of acquisition of goods or provision of services, the following sustainability practices should be adopted, when applicable: (i) that the goods consist, in whole or in part, of recycled, non-toxic, biodegradable material; (ii) implementation of measures to avoid waste of treated water; (iii) a training program for its employees to reduce consumption of electricity, water consumption and production of solid waste, in compliance with current environmental regulations; (iv) separation of recyclable waste discarded and its destination to the associations and cooperatives of recyclable material collectors. Other environmental sustainability practices may be established if justified. A list of goods and services will be published on the public administration website, regarding the compliance with environmental and sustainability requirements. Also, the decree determines that the contracted party is obliged to present a declaration of service and responsibility with the reverse logistics of products, packaging and post-consumer services—understood as the instrument of economic and social development characterized by a set of actions, procedures and means aimed at enabling collecting and returning of solid waste to the business sector, for reuse in its cycle or in other production cycles—within the limit of the proportion that supplies the public administration, assuming full responsibility for the environmentally adequate final destination. All necessary measures must be adopted by the public administration to evaluate, direct and monitor the bidding processes and the respective contracts, with the aim of, among other things, ensuring that public procurement constitutes an effective instrument for promoting sustainability in its environmental, social and economic dimensions.
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Lastly, the company’s integrity program must be structured, applied and updated in accordance with the current characteristics and risks of the activities, which in turn must guarantee the constant improvement and adaptation of said program, in order to guarantee its effectiveness. Nowadays, especially after the Covid-19 pandemic, many people realized, more clearly, the interdependence of economic activities, the public sector and their personal lives, leading consumers to be more concerned about precautions that are taken to reduce risks and undesirable impacts, demanding effective actions by the companies. The reputation of a company is now also based on these reflections. Furthermore, considering that many of these companies are publicly traded, the financial market also drives compliance with these requirements, due to the demands of investors who will be attentive to this competitive differential. For companies, therefore, concerns about ESG factors also convert into greater economic value, especially in the long term, concluding that, in fact, purpose and profit are increasingly linked to each other.
4 Nudges, Incentives and ESG by Design As discussed above, economic agents can be induced to adhere to these standards of good practices, either by legal impositions or voluntary adherence, when following market trends. Either way, institutional frameworks are determinant for this. Douglass North explains about adaptive efficiency, according to which a society will be more efficient the greater its ability to adapt to changes that occur over time (Gala, 20043). Changes happen deeply and quickly in the economic sphere, demanding promptness from regulators regarding this adaptive efficiency. There is an evolution permeated by trial and error over countless generations that allows some learning about aspects that work and about others that do not work in economic activities (North, 1994). Although each country constitutes a complex system of variables circumstances, there are some recognized fundamental factors for sustainable development around the world. Therefore, it makes sense that governments nudge this trough regulation. In Brazil, public procurement regulation also evolves over time, aiming to meet the needs and yearnings of the population. Through this regulation, Brazilian companies are not obliged to immediately implement the ESG pillars in their activities. However, if they do, there will be greater market opportunities, including contracting with the public administration. It can be good for society that those in power guide companies to make better decisions, with more beneficial results for all. Authorities are responsible for designing the decision-making environment. The objective is not to impose, but to create a situation or opportunities in which economic agents are pushed towards the best choice. Therefore, it is not necessary to have a larger governmental structure to achieve these
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sustainable goals, just some incentives or a nudge in the right direction (Thaler & Sustein, 2009, pp. 40–42). Government incentives such as exemptions, assistance and credits induce companies to adopt sustainability initiatives (Blum & Legey, 2012). Local government needs to provide adequate resources for high economic growth, sustainable development and environmental activities (Anwar et al., 2020, p. 1287). Public administration must constantly seek efficiency, striving for the best performance with the minimum of errors and expenses in the execution of its tasks. In order to meet current needs and safeguard future needs, these new ESG-focused regulations were enacted. This is because governments needs to be concerned with future generations, and companies with long-term profitability. Therefore, regulatory instruments establish well-designed and effective mechanisms to encourage companies to pursue their objectives in a compatible manner and in line with the interests of society, such as sustainable development (Schapiro, 2010). It can be said that, through Decree 10.086/2022, there will be an implementation of ESG by design, that is, from the conception of the legal transaction that will be signed with the public administration, throughout the process of drafting the contract and proposals, ESG aspects are relevant at all stages. That is because it is a new framework where central purpose is to incorporate environmental, governance and social aspects into all projects. As if the principles “by design” presented by Cavoukian (2011) can be transplanted to the scope of ESG and public procurement: (i) proactive, not reactive; and preventive, not remedial; (ii) ESG as the default; (iii) ESG embedded into public procurement; (iv) positive-sum, not zero-sum; (v) lifecycle protection; (vi) transparency; (vii) respect for interests and needs of the population. It is necessary to analyze how economic agents respond to different incentive structures, influencing their decision-making and dictating market dynamics. There is a logic in the decision-making of economic agents, which weigh costs and benefits, and respond to perceived incentives and the circumstances in which they are inserted. In this sense, there must be incentives to align stakeholders interests with adequate contractual mechanisms. The purpose of regulation is to seek the best behavioral incentives to prevent economic agents from being victims of their own choices in the long run (Ribeiro & Domingues, 2018, p. 464). Incentives established through regulations are able to shape the behavior of these agents, so that they interact by allocating scarce resources more efficiently (Rocha & Ribeiro, 2018, p. 216). The incentive structure also needs to be considered fair and adequate by the regulated companies, in order to generate spontaneous compliance (Filho, 2012, p. 6). Therefore, the incentive structure depends on the institutional arrangement (Davis & North, 1971, p. 7), that is, “the rules that define the particular way in which a specific set of economic activities is coordinated in a society” (Fiani, 2011, p. 4), and how economic agents cooperate or compete with each other.
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Establishing the right incentives is crucial to stimulate compliance and to achieve pre-defined goals. Decree 10.086/2022, considering the increasing relevance of environmental, social and governance aspects, is now designed to support economic activity that is aligned with sustainable development goals. These new incentives are expected to support purposeful work and economic growth, building resilient infrastructure, fostering innovation and promoting a positive-sum, by encouraging investment in ESG aspects.
5 Conclusion ESG criteria have emerged as a response to the challenges of contemporary society, consisting of a set of requirements, standards and good practices that, when adopted by a company, expand perspectives beyond profit and monetary terms, to embrace sustainability and the concern for generating positive social and environmental impacts—which is determinant in the medium and long term outcomes. It has been evident that raising and acting on concerns about environmental, social and corporate governance issues, ultimately translate into greater economic value for companies. This agenda has influenced the decision-making of managers, investors and consumers. Alongside these market demands, governments play a role in inducing behavior through law and regulation. In this regard, on January 17th, 2022, Decree 10.086/2022 was issued in Paraná, Brazil, further advancing the previous public procurement guidelines—that focused mainly on governance—to regulate contracting with public administration defining that the proposals that take into account sustainability aspects, foreseeing sustainable practices and standards that can be implemented by companies, will be analyzed and serve as a selection and tie-breaking criterion in contracting with the state government. Establishing the right incentives is crucial to stimulate compliance and to achieve pre-defined goals. Decree 10.086/2022, considering the increasing relevance of environmental, social and governance aspects, is now designed to support economic activity that is aligned with sustainable development goals. However, given that the decree was recently enacted, it is still too early to afirm whether these incentives through regulation will deliver the expected results—that is, the acceleration of the implementation of ESG policies in Paraná’s companies— or, if there will be an increase in bureaucracy and barriers to competition in public procurement. New research may be carried out to identify the effective impacts of this regulation in the sector and if it has contributed for the integration of the economic and social agendas.
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Sediment Transport Study for the Establishment of Erosion, Deposition, and Undermining Zones in the Manglaralto Riverbed, Santa Elena-Ecuador F. Javier Montalván, Joselyne Solórzano, Emily Sánchez, Jennyffer Baque-Pozo, Lissette Barzola-González, Carolina Loor-Flores de Valgas, and Paul Carrión-Mero
Abstract Rivers play an essential role in basin management. Manglaralto River is a natural agent in the water supply of the Manglaralto parish. The undermining, transport, and sedimentation processes are fundamental in the hydraulic dynamics of Manglaralto River, and it impacts the underground hydrology of the basin. This F. J. Montalván · J. Baque-Pozo · L. Barzola-González Facultad de Ciencias de la Ingeniería, Universidad Estatal Península de Santa Elena (UPSE), La Libertad 240204, Ecuador e-mail: [email protected] J. Baque-Pozo e-mail: [email protected] L. Barzola-González e-mail: [email protected] F. J. Montalván Department of Biology and Geology, Physics and Inorganic Chemistry, Higher School of Experimental Sciences and Technology, Rey Juan Carlos University, C/Tulipán S/N, 28933 Móstoles, Spain J. Solórzano (B) · E. Sánchez · C. Loor-Flores de Valgas · P. Carrión-Mero Centro de Investigación y Proyectos Aplicados a las Ciencias de la Tierra (CIPAT), ESPOL Polytechnic University, P.O. Box 09-01-5863, Guayaquil, Ecuador e-mail: [email protected] E. Sánchez e-mail: [email protected] C. Loor-Flores de Valgas e-mail: [email protected]; [email protected] P. Carrión-Mero e-mail: [email protected] J. Solórzano · P. Carrión-Mero Facultad de Ingeniería en Ciencias de la Tierra, ESPOL Polytechnic University, P.O. Box 09-01-5863, Guayaquil, Ecuador © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_30
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study aims to evaluate the sediments transport in the suspension of the Manglaralto riverbed, using hydrological and hydraulic information of the basin, with the HECRAS 5.0.3 software for determining accumulation, undermining, and balance zones and identifying flood risk areas. The methodology consisted of (i) Revising information base, (ii) Obtaining hydraulic data and defining scenarios for simulation, and (iii) performing sediment transport Simulation with HEC-RAS version 5.0.3. The results indicate the presence of balance, sedimentation, and undermining zones. The study reveals that sedimentation along the channel is mainly related to the Manglaralto River speed and water flow rate that produce accumulation, erosion, and balance areas. This analysis is the first guidelines for determining and developing protection perimeters, which must be supported by complementary studies to create an early warning for the population. Keywords Modeling · Transport · Sediment · Undermining · Velocity · Manglaralto rivers · HEC-RAS
1 Introduction The movement of coastal sediment particles influenced by tides, wind, and waves is difficult to predict due to dynamics and factors such as sediment type, shape, and velocity (Van Rijn et al., 2013). The dynamics of river sediments study allow their hydraulics and morphology understanding (Yang, 1977). Accordance the proportion of sediments in the riverbed, flood zones can be created, affecting the design of structures near the riverbeds (Berghout & Meddi, 2016). Hence, the morphology and the grain size of sediment in the bed of alluvial rivers are essential for sedimentary transport studies (Dade & Friend, 1998). Sediment transport consists of the downhill movement of organic and inorganic material eroded at the earth’s surface (Vercruysse et al., 2017). According to the alluvial sediment structure, coarse particles are carried on or near the bed, and fine particles are suspended in the flow (Allen, 1965). The unpredictable change in local conditions, speed, and degree of turbulence in natural rivers influence the variation of sediment size (Bogen, 1992), and change the river’s physical form and chemical processes (Prosser et al., 2001). Salinas-Salas and Espinosa-Fuentes (2012), address a physico-mathematical model that explains the sedimentation process through the forces experienced by the particles, such as inertial forces (weight), thrust force, and viscous drag force. Aguirre et al. (2000), explain that sediment transport calculation in channels with large loose particles considers tracks of a high hydraulic gradient. Escobar and
C. Loor-Flores de Valgas Department of Geological and Mining Engineering, Higher Technical School of Mining and Energy Engineers, Polytechnic University of Madrid, Calle de Alenza 4, 28003 Madrid, Spain
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Velásquez-Montoya (2018), show that sediments’ transport in water occurs in two ways: a bottom load and suspension. The displacement of a particle starts when a low transport rate occurs, and the shear stress exceeds a critical value (Papangelakis et al., 2019). Undermining and sedimentation occur due to the particles transport, modifying the cross-section of the channel, changing flow conditions, and lowest drag (Gomez, 1991). Field experimentation showed that the highest transport rates occur in the centre of the channel under uniform flow conditions (Pitlick, 1988). Methodologies based on algorithms describe sediment transport processes and incorporate erosion models based on physics (Merritt et al., 2003). The most common use is the steady-state sediment flow equation (Hairsine & Rose, 1992), the fundamental energy transport equation, and the steady-state continuity equation for detachment and deposition in and between furrows (Nones, 2019). Currently, some software allows modelling any mathematical or physical problem (Hamzeh Haghiabi & Zaredehdasht, 2012) and obtaining a simulation of the phenomenon under study. In addition, the software facilitates obtaining behaviour modelling in the case study, considering boundary conditions, such as hydraulic and hydrodynamic forces (Delphi et al., 2010). Hence, modelling entails a particular uncertainty since it is impossible to include all the elements (Hazlinger, 2008). Among the software packages for physics-based equations widely used is the Hydrologic Engineering Center-River Analysis System (HEC-RAS), developed by the US Army Corps of Engineers (Costabile et al., 2020). This model addresses flood risk problems, such as the extent of the flood simulated by satellite images in the Bolivian Amazon (Quirogaa et al., 2016). A similar hydrodynamic study modelled the flood event induced by the volume of water released from the Ukai Dam (India) using the HEC-RAS model (Patel et al., 2017). In 2016 in Saudi Arabia, a sediment transport model with the HEC-RAS software and hydrometric data (liquid flows and solid flows) obtained 50 cross-sections eroded and 46 experiencing sedimentation (Berghout & Meddi, 2016). In 2020, the study with the numerical model in HEC-RAS software on the Al-Gharraf river, simulated the flow and transport of sediments in the upper part of the channel from the river (Hadi Daham & Abed, 2020). A sediment transport study along the Napo River with four hydrological cycle assimilations in Ecuador analyzed sediment concentration (Li et al., 2020). Furthermore, considering the vulnerability to environmental changes of tropical mountain systems in the Paute river, south of Ecuador, (Vanacker et al., 2007) studied the concentrations of suspended sediments by modeling in HEC-RAS (Merchán-Sanmartín et al., 2022). Furthermore, Santa Elena is a province in southwestern Ecuador, a semi-arid coastal región (García-Garizábal, 2017). This province comprises several communities affected by the lack of water (Carrión-Mero et al., 2021a), including the Manglaralto commune that works with educational entities and the Manglaralto Regional Potable Water Management Board (JAAPMAN, acronym in Spanish) (Carrión-Mero et al., 2021b) to improve water management. Manglaralto’s primary water source is the aquifer, located in the lower basin and where ecological (Berrezueta et al., 2013),
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geological (Morante et al., 2019) and local-community development (Herrera et al., 2018). Therefore, the researchers pose the following question: Does a sediment transport study of the definition of accumulation, undermining, and balance zones identify flood zones? This research aims to evaluate the transport of bottom and suspended sediments of the Manglaralto riverbed, through the revision of the basin’s hydrological and hydraulic information, using the HEC-RAS 5.0.3 software to determine accumulation, undermining, and balance zones and identify risks of flooding areas.
2 Study Area, Geological and Hydrogeological Context Manglaralto rural parish head belongs to the Santa Elena province in Ecuador, with 60 km2 and approximately 5000 inhabitants (Herrera-Franco et al., 2018). This parish extracts water by exploiting the Manglaralto coastal aquifer (Herrera et al., 2019). The aquifer has a surface extension of approximately 508 ha, while the Manglaralto river basin has an extension of 13,238 ha (Herrera et al., 2019). Figure 1 shows the aquifer location, the basin that comprises the aquifer, and the extraction wells. The Manglaralto aquifer is west of the Chongón-Colonche Mountain range. The alluvial deposits, with thicknesses of 3–30 m, corresponding to the aquifer’s storage
Fig. 1 Location map of the study area. Source Basemap was adapted from Google Earth
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rock. The stratigraphic sequence from base to top is: Cayo Fm. with a volcanicsedimentary series that outcrops in the upper basin and the Guayaquil Fm. cancels the Cayo Fm., with a sequence of flint-type shales (Nuñez del Arco, 2003). In the Manglaralto river basin, materials such as gravel, sand, silt, and clay are deposits in which the aquifer (alluvial terrace) develops. The groundwater flow infiltrates into the alluvial terrace of the middle basin and stretches to the lower basin (Manciati et al., 2021; Morante et al., 2019). Porosity fluctuates between 0.2 and 0.3, permeability between 1.6 and 5 m/day, and the storage coefficient is 0.002 (Herrera et al., 2019; MacNeill, 2011). The hydrogeological system of the Manglaralto basin is chemically constituted of the Ca–Na–Cl and Ca–Na–CHO3 groups. The aquifer water is refreshed with water from recharge in the basin (Carrión-Mero et al., 2021c). The system comprises three hydrogeological units, a unit with low permeability and high slopes, a semipermeable material with medium slopes, and unit three made up of porous materials and low slopes (Carrión-Mero et al., 2021d). The numerical simulation of the surface flow in the Manglaralto River determined that the overflow depends on the basin’s physical factors, such as rainfall and topography (Catuto Quinde et al., 2020). Finally, the numerical model of flow and transport under constant and variable density shows the existence of marine intrusion advancing towards the basin approaching wells P2, P3, and P4 (Carrión-Mero et al., 2021e).
3 Methodology The methodology used was divided into three phases described in Fig. 2.
3.1 First Phase: Base Data Analysis The stage consists of revising previous studies on hydraulic and sediment transport, a bibliography related to the subject, projects, and scientific articles (Carrión-Mero et al., 2021a, 2021b, 2021c, 2021d, 2021e; Herrera et al., 2018; Herrera-Franco et al., 2020; Van Rijn, 1984; Van Rijn et al., 2013; Vercruysse et al., 2017). The hydraulic geometry used in this study is based on the topography at a scale of 1:5000, obtained through satellite images of Google hybrid, defining a slope of 1% (Catuto Quinde et al., 2020). Moreover, from the same source, data were taken for hydrogeological modelling using the Manglaralto basin map divided into two sections with a total length of 13,875 km (Catuto Quinde et al., 2020). The first section corresponds to the low medium basin and the second section to the medium-high basin. Hydrological data was taken from (Catuto Quinde et al., 2020), using International Water Services (Interagua) formula to calculate the return periods and determine the flow design.
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Fig. 2 Methodology applied in the research study. Source The authors
3.2 Second Phase: Data Processing For the simulation of sediment transport, the HEC-RAS 5.0.3 software was used, considering the parameters of geometry, temperature, slope, granulometry and simulation period. For the geometric condition of the riverbed, a length of 13,875 km was assumed, of the approximate 18 km length of the Manglaralto River. With the extension of HEC Geo RAS, 187 cross-sections were obtained, each with ten minimum points of topographic information (X, Y, Z), and Manning values for each section of 0.028 on the left and right edges and 0.03 for the centre of the river or in irregular areas. The fines percentage value was used based on the granulometric similarity with other sediment transport studies (Catuto Quinde et al., 2020). Therefore, this simulation used the same granulometry in all sections. For the sediment transport model, the authors calculated the maximum flows of the entire basin for return periods of five, ten, and one hundred years (Table 1), considering the rainfall intensity, runoff coefficient, and basin area. Three study scenarios were established, with their respective return time. After loading the geometry into the software, the Manning value was entered. The almost non-permanent flow was used for the sediment transport calculation based on maximum flows. The boundary conditions (upstream, the flow series edge type was obtained, and downstream the typical depth edge type): the friction slope (0.01), temperature (25 °C), and grain the same value for all sections. Three sediment transport simulations were conducted to compare the river’s behaviour in different scenarios.
Sediment Transport Study for the Establishment of Erosion, Deposition … Table 1 Characteristics for sediment transport simulation in different scenarios. Source The authors
Scenario 1
Scenario 2
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Scenario 3
Return period Rt = 5 years Rt = 10 years Rt = 100 years Design flow
205 m3 /s
241 m3 /s
361 m3 /s
3.3 Third Phase: Results Analysis and Conclusions The correlation of data and base information was performed for the simulation of particle sediment transport, which contains the flow of the Manglaralto riverbed. In addition, three scenarios were analyzed to identify sedimentation, undermining, and balance zones. Finally, these scenarios were correlated to determine the return period when the sediment accumulations that could trigger flooding are generated.
4 Results and Analysis The analyzed sections in Fig. 3 correspond to section 1 (2625), section 2 (3750), and section 3 (10575), which were a representative sample of the sections since they show significant changes in their geometry. In addition, the basin’s location provided a broad vision of the behaviour in the lower and middle parts of the basin where flooding can affect the population. For each section, three scenarios (S1, S2, and S3), according to the chosen return period generated qualitative (profile model) and quantitative (amount of material undermined or sedimented) results.
Fig. 3 River profile, the numbered red boxes correspond to sections 1, 2, and 3 of the modeling. Source The authors
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Fig. 4 Profiles for section 1 showing undermining zones. a Shows the transversal profile of the section for S1, where the undercut is observed, and b shows section 1 for S2. Source The authors
Table 2 Quantitative analysis for sections 1, 2 and 3 in their corresponding scenarios with different return times and flows. Source The authors Sections
Scenario 1 (Tr = 5 year)
Scenario 2 (Tr = 10 year)
Scenario 3 (Tr = 100 year)
1
Bed change: −0.308 m (undermining)
Bed change: −0.308 m (undermining)
Bed change: 0 m (balance)
2
Bed change: 0 m (balance) Bed change: 0 m (balance) Bed change: 0 m (balance)
3
Bed change: 0.098 m (sedimentation)
Bed change: 0.098 m (sedimentation)
Bed change: 0.153 m (sedimentation)
4.1 Undermining Zones The sediment transport modelling results for a return period of 5 years with a maximum flow of 205 m3 /s are illustrated in Fig. 4a and 10 years with a flow of 241 m3 /s in Fig. 4b. The undermining process occurs in the same section for both cases. However, the graph does not show a significant change, and the process remains constant during the five years although the speed increases. In Table 2, this outcome is reflected in the quantitative result where the variation of the undermining from one scenario is small.
4.2 Sedimentation Zones The sedimentation process is identified in section 3 in the three proposed return periods 5, 10, and 100 years, with flows of 205, 241, and 361 m3 /s. The sections show similar behaviour. However, for scenario 3, an increase in sedimentation is observed in Fig. 5c following the quantitative results obtained in Table 2.
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Fig. 5 Profiles for section 3 show sedimentation zones. a Shows the cross-section profile for S1, b shows section 3 for S2, and c shows section 3 for S3. Source The authors
4.3 Balance Zones The balance occurs in the lower zone of the Manglaralto river for section 2. This process occurs for the three proposed return periods 5, 10, and 100 years, with flows of 205, 241, and 361 m3 /s. The sections in Fig. 6a–c show similar behaviour in the riverbed. In addition, section 1 for scenario 3 shows a balance, unlike the other scenarios where a period of undermining occurred.
4.4 Quantitative Analysis The quantitative analysis was carried out for the most representative sections, and the calculation was made using an HEC-RAS tool. Thus, the input values such as the geometry of the river and the speed of the transport flow (flows) were considered. The undercut and sediment volumes were calculated in meters, as shown in Table 2. The values obtained correspond to the profiles analyzed in the previous Sect. 4.3. For scenario 1 (S1), with a return period of five years and a maximum flow of 205 m3 /s, the undermining, balance, and sediment zones were identified for the three sections analyzed with undermining and sedimentation of less than 1 m. Three transport processes are observed in the same section as in case S1, with a return period of 10 years and a maximum flow of 241 m3 /s for the scenario 2 (S2). However, the undermining value decreases by 0.035 m and the sedimentation value increases by 0.017 m.
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Fig. 6 Section 2 profiles represent balance zones a shows the cross-sectional profile for S1, b shows section 2 for S2, c shows section 2 for S3, and d the balance zone for S3 in section 1. Source The authors
In scenario 3 (S3), with a return period of 100 years and a maximum flow of 361 m3 /s, sections 1 and 2 are in balance. Therefore, section 3 presents a higher sedimentation rate than the previous scenarios. Three sections of the 187 obtained in the simulation were considered for the quantitative analysis. The variation of the sediment transport processes in the other sections of the river profile was not considered. The flow value for each simulation period was constant throughout the profile. Therefore, depending on the location of the analyzed section, the transport process (sedimentation, undermining and balance) will be associated with the flow change and the river’s geometry. The reference places of analysis are possible to control points in the middle and lower part of the basin due to population settlements since these points have a possible flood risk. The analyzed sections provide a general view of the three sediment transport processes in the area. Moreover, the authors identified that in the lower basin, the undermining process is the one that appears the most. In the upper part, sedimentation, which can cause changes in the geometry of the river affecting the inhabitants of the middle and lower basins, predominates.
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5 Conclusion The hydrological and hydraulic information HEC-RAS 5.0.3 computer tool indicates that the study of sedimentation along the Manglaralto riverbed is mainly related to the flow speed according to the basin’s physical environment and the basin the flow, which allows the zoning of the balance, undermining and sedimentation areas. The predominant factors in the sediment transport processes are channel geometry and flow. Thus, the geometry changes in the upper basin, where the narrow channel, produces sedimentation. However, undermining occurs in the lower-middle basin when the channel and the speed increase. In scenario 1, the most significant accumulation process in the channel is sedimentation with 51%, followed by balance with 33% and undermining with 16%. In the second scenario, sedimentation decreases to 44%, balance increases to 40%, and undermining remains at 16%. Eventually, in the third scenario, the sedimentation (42%) decreases by 2%, while the balance (41%) and undermining (17%) increase by 1% compared to scenario 2. The sediment transport simulations in this study contribute to the recognition of risk areas in the surroundings of the Manglaralto riverbed, encourage the creation of early warnings and the identification of shelter areas for the inhabitants. Their activities are related to livestock and agriculture, which implies their proximity and use of the basin’s water resources. In addition, these results contribute to selecting suitable places for the design and construction of civil works, both in the riverbed (dam) and on the terraces (housing infrastructure), without being affected by extreme rainfall events. This study is an initial diagnosis of the sedimentation situation in different parts of the Manglaralto River Basin, which could be complemented with other methodologies that integrate more factors and provide a complementary vision that helps in decision making. Furthermore, different methods can be used to complement and realise specific studies about this investigation exist. For example, the combination of HEC-RAS 2D and WASP (Water Quality Analysis Simulation Program) allows the extraction of hydrodynamic data associated with the transport model. Also, the combination of methods is helpful for the temporal monitoring of erosion, transport, and particle deposition processes in river basins. Acknowledgements The authors are grateful to the project titled “Geophysical and hydrochemical characterization of the Manglaralto aquifer for the sustainability of the water resource”, code: 91870000.0000.382444, and to the project “Incidence of artificial recharge on piezometric levels and saline intrusion in the Manglaralto coastal aquifer for sustainable water management”, with code 91870000.0000.385426, and the research center CIGEO of the Santa Elena Peninsula University (UPSE). In addition, we are grateful to the project entitled “Water Sowing and Harvesting in the face of COVID-19, Manglaralto 2021” with code: PG03-PY21-03, and the project “Geodiversity Registry of geological and mining heritage and its impact on the defence and preservation of geodiversity in Ecuador” academic research project by ESPOL University under grant nos. CIPAT01-2018, for the valuable contribution to this investigation.
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Vulnerability to Contamination of the Olón Aquifer Using the GOD Method, Olón-Ecuador F. Javier Montalván, Joselyne Solórzano, Emily Sánchez-Zambrano, Idania Bailón-Piguave, Héctor Tomalá-Guale, Carolina Loor-Flores de Valgas, and Paul Carrión-Mero
Abstract Vulnerability is an indicator of foreseeable risks in aquifer’s quality, considering the environment and anthropogenic implications. This measure is determined by different conditions and realities of a system, such as air and water quality, economic studies, health and hygiene and landslides. Aquifers are prone to contamination by extrinsic and extrinsic factors affecting water quality. This work focuses F. Javier Montalván · I. Bailón-Piguave · H. Tomalá-Guale Facultad de Ciencias de La Ingeniería, Universidad Estatal Península de Santa Elena (UPSE), La Libertad 240204, Ecuador e-mail: [email protected] I. Bailón-Piguave e-mail: [email protected] H. Tomalá-Guale e-mail: [email protected] F. Javier Montalván Department of Biology and Geology, Physics and Inorganic Chemistry, Higher School of Experimental Sciences and Technology, Rey Juan Carlos University, C/Tulipán S/N, 28933 Móstoles, Spain J. Solórzano (B) · E. Sánchez-Zambrano · P. Carrión-Mero Centro de Investigación y Proyectos Aplicados a Las Ciencias de La Tierra (CIPAT), ESPOL Polytechnic University, Campus Gustavo Galindo Km. 30.5 Vía Perimetral, P.O. Box 09-01-5863, Guayaquil, Ecuador e-mail: [email protected] E. Sánchez-Zambrano e-mail: [email protected] P. Carrión-Mero e-mail: [email protected] J. Solórzano · P. Carrión-Mero Facultad de Ingeniería en Ciencias de la Tierra (FICT), ESPOL Polytechnic University, Campus Gustavo Galindo Km. 30.5 Vía Perimetral, P.O. Box 09-01-5863, Guayaquil, Ecuador C. Loor-Flores de Valgas Departamento de Ingeniería Geológica y Minera, Escuela Técnica Superior de Ingenieros de Minas y Energía, Universidad Politécnica de Madrid, Calle de Alenza 4, 28003 Madrid, Spain © The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Sustainability in Practice, World Sustainability Series, https://doi.org/10.1007/978-3-031-34436-7_31
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on determining the vulnerability to contamination of the Olón aquifer, using the Groundwater Overlaying Depth (GOD) method for zoning the areas susceptible to contamination. The methodology consisted of three phases: (i) gathering of basic hydrogeological information; (ii) Application of geographic information systems according to the GOD method in the Olón aquifer; (iii) Analysis of the findings and elaboration of the vulnerability map. The results indicate that the aquifer, in its entire domain, has a high vulnerability index, mainly due to its intrinsic conditions and their relationship with anthropic activities in the sector. This methodology has made it possible to detect predominant factors that influence contamination and provides details for strategic planning of measures to be considered to preserve the resource and its nature. The extreme vulnerability near the coastline is caused by human settlement and tourist activities. This methodology made it possible to detect the predominant factors polluting the aquifer.; therefore, measures for protecting the community and its resources must be taken. Keywords Groundwater · Contamination susceptibility · Water quality · Anthropogenic activities · Vulnerability map
1 Introduction The term “vulnerability” has been defined according to its applications in different research, such as disaster management, environmental studies, territorial planning, and coastal management (Kim et al., 2021). Brennan (2017) and Adger (2006) define vulnerability as the situation of fragility or susceptibility of the human being and the environment to suffer changes or damage due to external or intrinsic factors. Meanwhile, the World Health Organization (WHO) defines vulnerability as the degree of the inability of a system to anticipate, resist and recover from damage caused by disasters or negative changes (Wisner et al., 2002). According to the Intergovernmental Panel on Climate Change (IPCC), the vulnerability in coastal management can be defined as the degree of susceptibility and inability of a coastal aquifer to resist the negative impacts caused by sea-level rise or groundwater abstraction (Ferguson & Gleeson, 2012). Anthropic activities on the earth’s surface generate contamination in underground systems, such as aquifers, affecting freshwater quality (Carrión-Mero et al., 2021a; Foster et al., 2002; Manciati et al., 2021; Nasri et al., 2021; Taghavi et al., 2022), which is considered limited and serves to supply the urban and rural populations (Morante-Carballo et al., 2022). According to Fuentes (2017) and Akhtar et al. (2021), agriculture, livestock, and industries are the most common human activities causing contamination in aquifers. Catuto Quinde et al. (2020) mentions that rainfalls can have beneficial and detrimental effects on aquifers, contributing to pollution due to the flooding of rivers and their interaction with the surface. Solid waste landfills also pose water, air, and quality risks, so they must be adequately and sustainable managed (Morante-Carballo et al., 2021).
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The intrinsic vulnerability of an aquifer is determined by its physical, geological, and hydrogeological characteristics, such as the inaccessibility of the saturated zone, hydraulic features, and soil attenuation capacity (Foster & Hirata, 1991; Rodriguez-Galiano et al., 2014). On the contrary, extrinsic vulnerability is determined by anthropogenic factors such as land use and the type of pollutant (Li et al., 2015). An aquifer system is subject to overexploitation conditions, which can increase the concentration of salts, affecting the quality of groundwater (Vandenbohede et al., 2009) and the population’s health (Kumar et al., 2020). According to the World Health Organization (WHO), 80% of parasitic and infectious gastrointestinal diseases are related to one-third of deaths caused by the consumption of non-potable water (World Health Organization, 2022). Since precipitation is the primary source of water supply to the aquifer (Carrión-Mero et al., 2021a), it is essential to implement recharge systems for continuous water supply in small communities (Dillon, 2005). Unconventional water resources, such as reclaimed water and impaired surface water, include microbial, inorganic, and organic contaminants (Díaz-Cruz & Barceló, 2008). In addition, stormwater collected through conventional urban drainage systems also contains chemical and microbial pollutants, since they are often contaminated by wastewater (Lim et al., 2015; Page et al., 2016). Therefore, aquifers are highly vulnerable to contamination when these waters infiltrate the subsoil. A series of methodologies have been developed to determine groundwater vulnerability to contamination (Machiwal et al., 2018). These mathematical models use equations that approximate the behavior of substances in the underground environment. The best way to represent the vulnerability of an aquifer is through maps, which specify the areas of the greater or lesser extent of contamination (National Research Council, 1993; Oroji, 2018). Among the methods developed to determine the vulnerability to contamination of an aquifer are the DRASTIC methodology (D—Depth; R—Recharge; A—Aquifer media; S—Soil media; T—Topography; I—Impact; C—Conductivity) and GOD (G—Groundwater occurrence, O—Overall aquifer class, D—Depth to groundwater). These methods represent classic approaches for the evaluation of vulnerability, considering the hydrogeological features, that cause a possible source of contamination to the aquifer, through values of vulnerability indexes, to quantify the characteristics of the physical environment (Gogu et al., 2003; Martínez, Delgado, & Fabregat, 1998). These methods allow elaborating aquifer vulnerability maps based on the hydrogeological, geological, and physical environment characteristics. They are an essential tool for managing and protecting groundwater (Rahmani et al., 2021; Voudouris et al., 2018). Foster developed the GOD method in 1987, characterized by a rapid vulnerability assessment of an aquifer (Alsharifa, 2017). This index uses three variables to determine the vulnerability zones: G (degree of hydraulic confinement of the aquifer), O (occurrence of the overlying substrate based on its lithology and degree of consolidation), and D (the depth of groundwater level in the aquifer) (Foster, 1987). The vulnerability of an aquifer is determined through information on the physical and chemical properties related to variables that interfere with the transport of substances,
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interactions with the soil, topography, and characteristics of the aquifer (Boumaiza et al., 2021). Groundwater sustainability is obtained through the prevention and monitoring of contamination of an aquifer, knowing the factors that influence recharge, and adapting them to the four axes of sustainability (Herrera-Franco et al. 2020a) for the generation of a resilient system for the community. The Santa Elena province is located on the coast of Ecuador in an area of 3691 km2 (Herrera-Franco et al., 2020c). It has a permanent population of 308,693 inhabitants (INEC, 2010) and is divided into three cantons: Santa Elena, La Libertad, and Salinas. The commune of Olón belongs to the Manglaralto Parish, and its residents rely on groundwater for household water use. However, this resource is limited since the aquifer recharge only occurs during seasonal rainfall (Carrión-Mero et al., 2021c). Considering that different anthropic activities are carried out in the commune, it is essential to evaluate the possible contamination of the aquifer. Depletion of groundwater in the aquifers in the north of the province of Santa Elena has become a problem that significantly affects families. The Administrative Board of the Olón Regional Potable Water System (acronym JASRAPO in Spanish, from here onwards water board of Olón commune) has 12 wells to extract water from the subsoil, each with a depth between 25 and 30 m. However, since November of last year (2021), water scarcity has been aggravated, causing spring water to decrease (Carrión-Mero, Morante-Carballo, Herrera-Franco, et al. 2021c). Given the preceding information, the research question of this study is posed: does the GOD method allow defining vulnerable areas to aquifer contamination and, providing strategic input for prevention, control, and corrective measures? This research focuses on determining the vulnerability to contamination of the Olón aquifer, using the GOD method through the zoning of areas susceptible to contamination, establish a proposal for sustainable aquifer use.
2 Study Area, Geological and Hydrogeological Context The study area is located in the Olón community of the province of Santa ElenaEcuador (Fig. 1), which covers an area of 70 km2 along the Olón River sub-basin (Herrera-Franco et al., 2020c). It limits to the north with Curia, the south with Montañita, the east with Pajiza, and the west with the Pacific Ocean. The Santa Elena Peninsula (SEP) with 308,693 inhabitants, and an arid to semi-arid tropical climate. The Olón community has diverse natural heritage and is characterized by clay soil (Carrión-Mero et al., 2021b). In this commune, groundwater is obtained by wells exploiting the coastal aquifer (Carrión et al., 2018), to supply water to the inhabitants of the area, under the management of the JASRAPO. This water board is responsible for the administration of 12 wells. In addition, it has a delegate for each commune who manages the exploitation and exploration of aquifers, water supply, purification, and marketing (Herrera-Franco et al., 2020a).
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Fig. 1 Location map of the Olón coastal aquifer. Source Basemap was adapted from Google Earth
The Olón aquifer has been exploited for approximately 25 years. The extracted water is marketed in three categories: commoners (Type 1), Residential (Type 2) and Industrial (Type 3). The exploitation rate of the wells ranges from 5 l/s to 12 l/s (Carrión-Mero et al., 2021a, 2021b, 2021c, 2021d). JASRAPO supplies the communities of Olón, Curía, San José, La Núñez and La Entrada, from the same underground source. These communities together have a local population of approximately 29,512 people (Herrera-Franco et al., 2020a). The Olón aquifer is free-coastal porous. It is located on sediments of alluvial origin that vary in composition along the alluvial terrace, with conglomerates somewhat brecciated, enclosed in a silt-sandy matrix. The aquifer has high hydraulic conductivity and a saline wedge resting on its base. Its free type makes it vulnerable to anthropogenic, livestock and agricultural activities since vulnerability increases as the water table gets closer to the surface. Therefore, it is essential to identify potentially polluting elements and zone the areas where preventive actions must be taken to protect the aquifer of the Olón river basin (Carrión-Mero et al. 2020, 2021b).
3 Methodology The methodology used in this research was divided into three phases that comprise different physical aspects of the system described in Fig. 2.
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Fig. 2 Methodology used in the investigation. Source The authors
3.1 Phase I: Basic Information To develop this study phase collected existing information from previous studies, articles in indexed databases, scientific journals, graduate and postgraduate dissertations, and reports made by technicians from ESPOL and the water board of Olón commune. These studies allowed identifying the current situation of the Olón hydrogeological system, the number of wells from which groundwater is extracted, and the materials that make up the aquifer.
3.2 Phase II: Data Collection and Information Processing (a) Delimitation of the hydrographic basin The hydrographic basin of the Olón River was delimited considering the levels and slopes of the land using the QGIS 3.16.9 software with the System for Automated Geoscientific Analyses (SAGA) GIS 2.3.2 software package. Furthermore, starting from the satellite image from Google Hybrid (Fig. 3), the deterministic method was used to obtain the basin delimitation in a raster file (Fig. 4). These tools and software were useful as they made it possible to delimit the hydrography basins of the study area. QGIS (also known as Quantum GIS) is a free Geographic Information System (GIS) that allows users to try various tools for viewing, editing, analyzing, and publishing by creating their own geospatial information. In addition, it provides detailed functions of these geospatial features to meet the user’s needs by integrating a wide range of extensions in geographic information sciences such as Geospatial
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Fig. 3 Satellite image of the Olón basin and clipped region of the study area in raster file. Source Basemap adapted from Google Earth
Data Abstraction Library (GDAL), Geographic Resources Analysis Support System (GRASS), and SAGA. (b) GOD method The water board of Olón commune has 12 wells to extract water from the subsoil. The study area was surveyed to locate the wells using a GPS with the datum in UTM WGS84 coordinates. In the GOD method, parameter G (Groundwater occurrence) corresponds to the type of aquifer in which the twelve Olón water wells are located. This variable is considered constant over time. The variable O (Overlying lithology of the aquifer) requires the identification of the lithology in the area and the geological structures. This parameter was obtained through a field survey in the Olón river. As a result, certain sections could be observed mainly in the lower basin, to identify the thickness of the alluvial materials and the strata corresponding to the vadose zone or unsaturated zone. The parameter D (Depth to groundwater table) corresponds to the groundwater table. This variable depends on the location of the wells since the thickness of the soil layers is not constant. For this parameter, the static piezometric levels in the wells were measured using a probe (Fig. 5), considering the measurement of the pipe curb. In addition, geophysical prospecting in the middle and upper basin helped determine the material in the subsoil and the inference of the water table.
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Fig. 4 Definition of the drainage basin of the study area. Source Basemap adapted from Google Earth and QGIS
3.3 Phase III: Results and Conclusions With the information obtained in the first phase and the data from the field, the vulnerability estimation was carried out (Table 1), using the hydrogeological parameters of the Olón aquifer. The physical properties of porosity, permeability, and unsaturated zone allowed defining the characteristics of the hydrogeological physical environment, used in this methodology. The GOD method helps map large areas with high vulnerability contrasts (Mfonka et al., 2018). The lowest level of vulnerability to contamination of an aquifer corresponds to values 0.7, considered extreme. The scores are assigned to each of the three variables dependent on the characteristics of the study area (Table 1). They are then multiplied to obtain a result (Ghazavi & Ebrahimi, 2015). The GOD index can be divided into five categories: negligible (0–0.1), low (0.1–0.3), moderate (0.3–0.5), high (0.5–0.7), and very high (0.7–1) (Foster et al., 2002). Finally, the map indicating the areas vulnerable to contamination of the aquifer was prepared using
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Fig. 5 Measurement of the static piezometric level in the wells of the Olón community. Source The authors
the free access software QGIS and identifying the different regions by their degree of vulnerability.
4 Results 4.1 Physical Properties of the Aquifer The physical properties correspond to the variables used by the GOD method. These results are described below: (a) G (Groundwater occurrence) From the results of the field survey and data collection, the necessary information on the vulnerability parameters of the Olón aquifer using the GOD method. The coastal aquifer of Olón is composed mainly of gravel and sand and, is considered an unconfined aquifer due to its hydrogeological characteristics. The aquifer has a porosity between 20 and 30% due to the amount of silt and clay. The permeability of this hydrogeological system is approximately 15–20 m/d. These magnitudes let the water in the subsoil flow freely through the conduits forming the pores of the alluvial materials. Water recharge occurs primarily by seasonal rainfall
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Table 1 Summary the GOD method applied to the case study of the Olón River aquifer Parameters
Description
Weight
G (Groundwater occurrence)
None
0
Dipped
0–0.2
Confined 0.2–0.4 Semi-confined 0.4–0.6 Unconfined (covered) 0.6–1.0 Unconfined O (Overlying lithology of the aquifer)
Unconsolidated (sediments) Residual soils
0.4–0.5
Alluvial silts, glacial tills 0.5–0.6 Wind sands 0.6–0.7 Alluvial and fluvioglacial sands 0.7–0.8 Colluvial gravel 0.8–1 Unconsolidated (sediments) D (Depth to groundwater table)
>50 m
0.6–0.7
20–50 m 0.7–0.8 5–20 m 0.8–0.9