Urban Transition Management Manual

Transcription

1 Urban Transition Management Manual Navigator of the MUSIC project MUSIC: Mitigation actions to reduce CO2 emissions in Urban Areas and the creation of Solutions for Innovative Cities Version 2 April 13 th 2011

2 This document is written by DRIFT (Dutch Research Institute for Transitions, Erasmus University Rotterdam) and comprises a guiding document for Urban Transition Management. This approach will be explored and implemented in the MUSIC project. The current document will eventually become a Manual for Urban Transition Management and it will become available for all cities in Europe that will strive for climate adaptation policies and efforts. The DRIFT-team working in the MUSIC project consists of: Niki Frantzeskaki (frantzeskaki@fsw.eur.nl) Pepik Henneman (pepik@meneerdeleeuw.nl) Derk Loorbach (loorbach@fsw.eur.nl) Chris Roorda (roorda@fsw.eur.nl) Frank van Steenbergen (vasteenbergen@fsw.eur.nl) Julia Wittmayer (wittmayer@fsw.eur.nl)

3 Table of Contents 1. Introduction The challenge Introduction to Transition Management The importance of local action and urban transitions to sustainable innovation Implementation Overview of Urban Transition Management Approach Navigator of the MUSIC project Background: Transitions and Transition Management Transitions and Transitions Approach Transition Management... 7 The Transition Management Cycle... 7 Transition Arena Urban Transition Management Phase 1: Preparation & Exploration Phase 2: Problem Structuring & Envisioning Phase 3: Backcasting, Pathways & Agenda Building Phase 4: Experimenting & Implementing Phase 5: Monitoring & Evaluation UTM-meetings Appendices Appendix A: Methodology of systems analysis for UTM Appendix B: Methodology of actor analysis for UTM Appendix C: Objectives and methods for UTM-meetings Appendix D: Monitoring & Evaluation Framework

4 1. Introduction 1.1 The challenge The major sustainability challenges that our Western societies face are experienced at the level of cities. Problems in the fields of energy, mobility, construction and water management as well as in education, social cohesion and cultural diversity appear at the local level and relate in multiple ways to urbanization. Moreover, cities offer the opportunity for decisive local action to address the sustainability challenges. Cities aim for a sustainable and robust urban development, albeit confronted with barriers when trying to realize their ambitions. For overcoming those barriers, a new governance approach is needed. A proposed successful governance approach is Urban Transition Management. In the MUSIC project, this approach will be explored and applied. 1.2 Introduction to Transition Management Transition Management is a governance approach that goes beyond project-based incremental solutions. Its basis lies in complex systems theory and the study of societal transitions: fundamental changes in structure, culture and practices of a societal system. Transition Management is based on the assumption that transitions can never be fully controlled; they can however be steered by influencing, adapting and monitoring processes. The transition management approach is based on a multi-stakeholder learning process that aims at exploring tangible small-scale interventions to big problems. Urban Transition Management is the adapted approach to city-specific challenges and contexts that adheres to the same principles and guidelines as Transition Management. The cities in the MUSIC project will be trained on what Urban Transition Management entails, as well as how to implement it in their own city-context. From our experience, it has become evident that the transition management approach can aid policy makers and practitioners: 1. to apply systems thinking in making a integrated analysis to the cities sustainability challenges; 2. to formulate an inspiring vision using a participatory approach; 3. to develop a shared agenda and discourse to guide short-term action, while building a network of change agents; 4. to implement a transition-agenda and start up transition experiments; and Urban Transition Management Manual 1

5 5. to learn from the developments and bring the lessons to a higher level. 1.3 The importance of local action and urban transitions to sustainable innovation At present the transition-approach includes research experience and empirical experience at national and mainly sectoral policy transformation (e.g. energy, water, mobility). Recently, the application at regional level is being explored. We believe that it can be a suitable governance approach for urban transitions to sustainability and especially for climate-proofing of urban metropolis. Action taken at city level has a local impact with a global meaning. Effective and successful combating of climate problems at city level can impact not only the well-being of the citizens in a direct way but also illustrate good practices that can be undertaken at national level. On the other hand, the increasing complexity of society hurdles the influence of local governments on the urban context. More diverse stakes have to be taken into account and on several (former) public service domains, privatization has replaced the role of governments by companies. Cities aim for a sustainable and robust urban development, albeit confronted with barriers when trying to realize their ambitions. For overcoming those barriers, a new governance approach is needed. A proposed successful governance approach is Urban Transition Management. In the MUSIC project, this approach will be explored and applied. Elements of the Urban Transition Management approach include: integration of perspectives and domains, mobilization of various stakeholders, using long-term values as guideline for short-term action and fundamental change of underlying processes (e.g. financing, institutional organization). Urban sustainability transitions are non-linear, uncertain and long-term processes of change. Consequently, there is no guarantee of the success of every urban sustainability transition. Nevertheless, the least cities can do for pursuing urban sustainability is to try to guide and accelerate emerging innovations and changes towards sustainability. These changes may include physical and technological change, but also institutional and behavioral change. Transition Management especially aims at the latter. The MUSIC project focuses on mitigation actions to reduce CO2 emissions, but unavoidably many other aspects of sustainability will be Urban Transition Management Manual 2

6 considered as well. Often it is even necessary to rethink and rephrase the challenges in order to come to an inspiring vision that stimulates action. It is the MUSIC s ambition that the Urban Transition Management approach will be adopted by local governments and urban practitioners as a common practice for maintaining a continuous pursuit to sustainability. 1.4 Implementation DRIFT will further elaborate the Urban Transition Management approach and the associated supporting methods throughout the MUSIC project. The DRIFT city-coaches will advise the partner cities in making the approach context specific and fit to the city specific challenges. The cities will implement pilots to put the strategies and methodology into practice. Lessons learnt will be taken forward to the European level. MUSIC partners will participate in each other s transition arenas, to encourage mutual learning and cross-fertilization of knowledge and experiences. Urban Transition Management Manual 3

7 1.5 Overview of Urban Transition Management Approach Urban Transition Management includes a number of basic governance starting points, a governance framework and specific policy instruments applied in the specific context of urban areas. The Urban Transition Management cycle is operationalized into five phases: Table 1.1: Overview of Urban Transition Management Phases and associated activities and expected output. Phases of Urban Transition Management 1. Preparation & Exploration 2. Problem structuring & Envisioning 3. Backcasting, Pathways & Agenda Building 4. Experimenting & Implementing Key activities A. Transition Team formation B. Process design C. System analysis D. Actor analysis (long-list and short-list of relevant actors) incl. interviews E. Set up Monitoring framework A. Transition Arena formation B. Participatory problem structuring* C. Selection of key priorities* D. Participatory vision building* A. Participatory backcasting* & definition of transition paths B. Formulation agenda and specific actions* A. Dissemination of visions, pathways and agenda (transition narrative) B. Coalition forming & broadening the network C. Conduct transition experiments & implementation in regular policy and projects 5. Monitoring & Evaluation A. Participatory evaluation of method and content (process)* B. Reflection on vision & strategy * meeting C. Monitoring interviews Key output A. Transition Team B. UTM-process plan C. Insightful view on major issues/tensions to focus on D. Actor identification and categorisation E. Monitoring framework A. Frontrunner network B. Shared problem perceptions and change-topics C. Guiding sustainability principles D. Shared vision A. Backcasting analysis & transition paths B. Transition agenda and formation of possible sub-groups A. Broader public awareness & extended involvement B. Change agents network & experiment portfolio C. Learning & implementation A. Adaptation of methodological framework and lessons learned for local and EU context B. Adaptations of strategy C. Learning & process feedback Urban Transition Management Manual 4

8 1.6 Navigator of the MUSIC project This handout comprises the navigator of the MUSIC project. It will guide the partner cities through the different phases of the Urban Transition Management approach and introduces methodology, instruments and backgrounds of this approach. The navigator is a living document and will be updated regularly and extended during the project. The end product will be a Manual for Urban Transition Management, including concrete examples from the MUSIC project that will become available for all cities in North-Western Europe that will strive for climate adaptation policies and efforts. The current version contains an introduction to Transitions and Transition Management (Section 2), the basic phases of an Urban Transition Management process in detail (Section 3), the monitoring and evaluation framework and the methodologies of systems analysis and actor analysis. Future versions and the forthcoming sections will more in detail elaborate on the process and will include extra examples. Urban Transition Management Manual 5

9 2. Background: Transitions and Transition Management 2.1 Transitions and Transitions Approach Transitions are societal processes of fundamental change in culture, structure and practices (Frantzeskaki and De Haan, 2009) 1. History has witnessed numerous transitions in economy, agriculture, mobility, and energy, but also in areas such as education, health care, and social structure (Geels, 2004; Rotmans et al, 2001) 2. In these domains, relatively long temporal stretches of stability alternated with relatively short periods of rapid social change. In transition thinking, the central assumption is that societal systems go through long periods of relative stability and optimization that are followed by relatively short periods of radical change. In this process, existing structures (values, institutions, regulations, markets etc.) fade away while new ones emerge (Elzen and Geels, 2004; Loorbach, et al 2008) 3. Two points need to be addressed early for understanding the transitions approach: First, the transitions approach agrees with and supports the values of sustainability while allowing variety in ways of pursuing it. Second, the transitions approach argues that current top-down governance mode requires change and reorientation in order to allow a change towards sustainability. The transitions approach agrees with the values of sustainability (e.g. intergenerational justice, environmental justice and conservation, social equity) and brings them on the foreground to comprise the determinants of the desirable transition goal (while allowing for both the process and the goal to be adaptive and reflexive to the diverting contexts). The plurality of context characteristics results in a variety of societal innovations that are possible so as to pursue sustainability. At national and regional level, the transitions approach brings forward two aspects that are important when considering transitions to sustainable development: (a) the importance of the societal sphere in achieving sustainability, and (b) the linkage of sustainability and 1 Frantzeskaki, N., and H. de Haan, (2009), Transitions: Two steps from theory to policy, Futures, 41, Geels, F. (2004). Sectoral systems of innovation to socio-technical systems; Insights about dynamics and change from sociology and institutional theory. Research Policy, 33, Rotmans, J., Kemp, R., & Van Asselt, M. (2001). More evolution than revolution: Transition management in public policy. Foresight, 03(01), Loorbach,m D., van der Brugge, R., and M. Taanman, (2008), Governance in the energy transition: Practice of transition management in the Netherlands, Int. J. Environmental Technology and Management, Vol.9, Nos.2/3, pp Elzen, B., Geels, F.W., and Green, K., (2004), System innovation and the transition to sustainability, Edward Elgar Publishing. Urban Transition Management Manual 6

10 innovation. First, achieving sustainability requires coordination and commitment from different actors that work at different levels and different domains. Inclusion and active involvement of multiple actors is important for co-constructing pathways to achieve sustainability and for ensuring societal cohesion and equity. What is important however is not only to create a common vision but to commit to it and coordinate so as to bring about the change needed to achieve the sustainability goals. Second, innovation and sustainability are interlinked. More particular, to develop sustainably means to continuously innovate and redefine existing cultures, structures and practices in an evolutionary manner. The understanding that governing an open-ended process of societal change needs to allow diversity of ways to achieve it and diversity of visions, implies that innovations at different levels and different domains can enable the transition to sustainability. A focus on sustainability could thus trigger innovations that comply with sustainability values as well as that these innovations can be the stimuli for initiation of multidomain processes for societal transitions to sustainability. These two aspects become critical when considering the challenge of governing transitions to sustainable development. Both the importance of the societal sphere and the role of innovation have been investigated and operationalized within Transition Management (Loorbach 2007; Rotmans and Loorbach, 2009; Van Buuren and Loorbach, 2009; Van den Bosch, 2010) Transition Management Transition Management is a governance approach that includes a portfolio of tools that have as a common objective to enable change in practices and structures (institutions) directed towards sustainable development targets. The Transition Management Cycle In transition management, the governance process is a cyclical process of development phases at various scale levels. The core idea is that four different types of governance activities can be distinguished when observing actor behavior in the context of societal transitions: strategic, 4 Loorbach, D., (2007), Transition management, New mode of governance for sustainable development, PHD Dissertation, Erasmus University Rotterdam, International Books. Rotmans, J., and Loorbach, D., (2009), Complexity and transition management, Journal of Industrial Ecology, Vol.13, No.2, pp Van den Bosch, S., (2010), Transition experiments, Exploring societal changes towards sustainability, PhD Thesis, Erasmus University Rotterdam, The Netherlands. Van Buuren, A., and Loorbach, D., (2009), Policy innovation in isolation? Conditions for policy renewal by transition arenas and pilot projects, Public Management Review, Vol.11, Issue 3, pp Urban Transition Management Manual 7

11 tactical, operational and reflexive. In short, these different types can be described as: - Strategic: activities at the level of a societal system that take into account a long time horizon, relate to structuring a complex societal problem and creating alternative futures often through opinion making, visioning, politics. - Tactical: activities at the level of sub-systems that relate to buildup and break-down of system structures (institutions, regulation, physical infrastructures, financial infrastructures and so on), often through negotiation, collaboration, lobbying etc. - Operational: activities that relate to short-term and everyday decisions and action. At this level actors either recreate system structures or they choose to restructure or change them. - Reflexive: activities that relate to the evaluation/reflection of the existing situation at the various levels and their interrelation or misfit. Through debate, structured evaluation, assessment and research societal issues are continuously structured, reframed and dealt with. Problem structuring, establishment of the transition arena and envisioning Monitoring, evaluating and learning Developing images coalitions and transitionagendas Mobilizing actors and executing projects and experiments Figure 1.1: Transition Management cycle Transition Arena In general, Transition Management comes down to creating space for frontrunners (niche-players and regime-players) in transition arenas. A transition arena is based on the promises of increased group-learning and group-effectiveness of small-groups and aims at creating an advocacy coalition that stewards a persistent problem and commits to a Urban Transition Management Manual 8

12 vision of sustainable development and to an agenda for tackling the persistent problem. The transition arena is a small group of actors (10 15 persons) that are characterized as frontrunners, with different backgrounds. Within the transition arena various perceptions of a specific persistent problem (e.g. congestion, climate change) and possible alternatives can be confronted with each other and integrated. The actors that are involved in the transition arena participate on a personal basis and not as delegates or representatives of their institution, and are selected based on the necessary competencies. As presented in great detail in Loorbach, (2010, p ) 5, the competencies of the arena participants include their ability to understand and reflect upon complex problems, the ability to understand and learn from different disciplines, enjoy a certain level of authority within various networks, ability to establish, communicate and explain visions of sustainable development within their own networks, willingness to work in a group, and to welcome innovative means and ways to deal with complex problems (that means they do not participate so as to advocate a pre-decided solution to the problem at hand). The group needs to be limited in size to allow quality of the debate and for group-dynamics to be productive (Bazerman and Neale, 1983; Watkins, 1999) 6. Our experience in transition arenas show that small groups can have a large impact based on the amplified effect that small-actions have in complex adaptive social systems. At the same time however, the groups need to be diverse and heterogeneous, in terms of different perspectives and views that actors bring in, and also in terms of roles and competencies. More specifically, it means that the people involved need to represent the different ways of thinking as well as the different values and stakes present in the social system. Therefore, in order to include the different interests, views and perceptions, openness in participation is essential and required. 5 Loorbach, D., (2010), Transition Management for Sustainable Development: A Prescriptive, Complexity-Based Governance Framework, Governance: An International Journal of Policy, Administration, and Institutions, 23(1), Bazerman, M.H., and Neale, M., (1983), Heuristics in negotiation: Limitations to Effective dispute resolution, in Negotiation in Organizations (Edited by M.Bazerman and R.Lewicki), Sage, Beverly Hills, CA. Watkins, M., (1999), Negotiating in a Complex World, In Theory, Negotiation Journal, July 1999, pp Urban Transition Management Manual 9

13 3. Urban Transition Management In this chapter we present the basic phases of an Urban Transition Management process in detail: the steps to undertake, the data to be gathered, the kind of meetings to organize, etc. Urban Transition Management (UTM) includes a number of basic governance starting points, a governance framework, and specific policy instruments applied in the context of urban and/or regional areas. The Urban Transition Management cycle consists of five phases. Table 1 shows these phases and the respective objective of every phase and relates every phase with key activities and key (expected) outputs. How to realize every phase (in terms of specific methods) is city-dependent; hence can be decided/tailored by the local transition team and process facilitator. Table 3.1: Overview of Urban Transition Management Phases and associated activities and expected output. Phases of Urban Transition Management 1. Preparation & Exploration 2. Problem structuring & Envisioning 3. Backcasting, Pathways & Agenda Building 4. Experimenting & Implementing 5. Monitoring & Evaluation * meeting Key activities A. Transition Team formation B. Process design C. System analysis D. Actor analysis (long-list and short-list of relevant actors) incl. interviews E. Set up Monitoring framework A. Transition Arena formation B. Participatory problem structuring* C. Selection of key priorities* D. Participatory vision building* A. Participatory backcasting* & definition of transition paths B. Formulation agenda and specific actions* A. Dissemination of visions, pathways and agenda (transition narrative) B. Coalition forming & broadening the network C. Conduct transition experiments & implementation in regular policy and projects A. Participatory evaluation of method and content (process)* B. Reflection on vision & strategy C. Monitoring interviews Key output A. Transition Team B. UTM-process plan C. Insightful view on major issues/tensions to focus on D. Actor identification and categorisation E. Monitoring framework A. Frontrunner network B. Shared problem perceptions and change-topics C. Guiding sustainability principles D. Shared vision A. Backcasting analysis & transition paths B. Transition agenda and formation of possible sub-groups A. Broader public awareness & extended involvement B. Change agents network & experiment portfolio C. Learning & implementation A. Adaptation of methodological framework and lessons learned for local and EU context B. Adaptations of strategy C. Learning & process feedback Urban Transition Management Manual 10

14 3.1. Phase 1: Preparation & Exploration 1. Preparation & Exploration Key activities A. Transition Team formation B. Process design C. System analysis D. Actor analysis (long-list and short-list of relevant actors) incl. interviews E. Set up Monitoring framework Key output A. Transition Team B. UTM-process plan C. Insightful view on major issues/tensions to focus on D. Actor identification and categorisation E. Monitoring framework The first phase consists of several elements that result in a better understanding of the city context, its challenges and in organizing the forthcoming phases of the urban transition management process. A. Transition team formation Based on the focus of the transition process, the main challenges and the desired outputs, a transition team is formed by the initiating party. The transition team is the driver of the UTM-process. Ideally, the transition team consists of 3 to 5 members and is a strategic and content-based mix of employees of the initiating organization, experts in the field under study (e.g. energy policy experts), transition management experts, change oriented representative from the local government, and a process facilitator. The transition team manages and facilitates the UTM-process, organizes the internal and external communication(s), and relates the UTM-process to (respective) ongoing (policy) processes. Moreover, this team prepares both the organization and content of the arena sessions and elaborates the outcomes. Subsequently, the transition team deals with demanding and time-consuming tasks. However, the team can delegate some of its tasks to (external) executive parties or meeting moderators. A small group of policy actors (i.e. public administrators and officials) can support the transition team, for example with their expertise, time-investment, communication channels and contacts. It is very important to clarify the roles and responsibilities of every team member as well as clarify that the time every team member need to invest/allocate on the UTM-process tasks and activities. Urban Transition Management Manual 11

15 B. Process design First, some basic decisions have to be taken by the transition team including the focus of the transition process, the spatial demarcation and the objectives of the process, and subsequently the expected intensity of the phases. The transition team will work on aligning the approach to other activities/ambitions and getting funding and support for the whole process (or at least the first phase). The team formulates the basic future steps, the time planning, the communication, etc. in broad terms, specific for the city and the context. This all leads to a UTM-process plan (output 1B), in which the following themes are covered: - The objectives of the arena process are made clear: domain of focus or sustainability topics are chosen. - Estimated planning of meetings (number of meetings and timing) - Relation to relevant ongoing process and planned activities - Role of a moderator during meetings, plus a first consideration of the methods that can be used during meetings (see appendix C) - Modes and level of documentation and communication - Determine amount of resources for process (human, financial, etc.) - Set up division of tasks within the transition team - How and when to involve external parties and supporting policy actors. The process plan will guide the whole process, but undoubtedly it needs to be adapted in the course of time. Urban Transition Management Manual 12

16 C. Systems Analysis A systems analysis is a method to attain an overview and integrated perspective of the system under study, the city in this case. It is necessary to do a systems analysis before continuing to the following phases of the UTM-approach. In order to define the problem and create a vision, having an integrated overview of the system is essential to identify the main system s properties, interactions and problems. The method results in a report that gives an overview of relevant data to describe the main properties of the system and analyses sharply the current situation, persistent problems, and challenges for the future. Moreover, the system analysis stimulates an integral way of thinking and a long-term perspective. It makes actors look beyond their own expertise and perspectives to understand the interconnectedness of the system. The system analysis provides a shared knowledge base and language for cooperation between actors with different backgrounds. The system analysis is build up in four steps: First define the focus of your UTM-process: define the boundaries of the system in space, time and themes (e.g. reduction of CO2 emissions from mobility sector or from the built environment). After delineating the system boundaries, structure the system according to the three domains of sustainability (social, environmental and economic capital domains. Select relevant stocks of the system (e.g. labor force, air quality, housing stock), covering social, environmental and economic capital stocks. Define the basic characteristics and indicators for each of these, and the relationships between them. Collect data to be able to evaluate the selected indicators and stocks. This involves qualitative and quantitative data from studies, policy documents and statistics databases. In-person interviews can bring diverse perspectives into the system analysis (most relevant are interviews with potential candidates for the arena, as selected in the actor analysis). Analyse the data. This can be done by the transition team, possibly extended with external advisors or policy makers. Also stakeholder meetings or expert sessions can be applied when analyzing and structuring the data. Urban Transition Management Manual 13

17 The analysis in the last step should lead to an: Analysis of the current state of the system. Description of the core values of the city. Selection of provocative quotes or propositions, based on interviewees' perspectives on the city. Analysis of the relationships and flows between stocks. Analysis of the current situation from a historical perspective, showing development of the stocks over time. Analysis of the dominant culture, structure and practices (regime), as well as emerging alternatives (niches) and major landscape pressures. Analysis of the main strengths, weaknesses, opportunities and threats in the city for the current situation and/or future situation. For an elaborate step-by-step version of the system analysis see appendix A. Urban Transition Management Manual 14

18 D. Actor Analysis The main role of the actor analysis (in this phase) is to prepare the selection of participants for the transition arena. The actor analysis is related to the system analysis: the actor analysis shows which actors are relevant to interview, the system analysis provides the boundaries of the system. Several methods for actor analysis exist. In the urban transition management process it is relevant to cluster actors based on competences instead of their resources, to approach actors as individuals, not as representatives and to distinguish several types of power. The actor analysis is build up in four steps: (i) First of all, a set of rough basic criteria is made to assess the relevance of actors. A first long list of relevant actors is generated using suggestions from the transition team and the system analysis. The long list is extended via the snowball-method, by asking the actors (of the long list) who else they think fit to the criteria. (ii) After creating a long list, the actors on this list are analysed by using various categories as well as mapping tools. The mapping helps to determine categories of actors that have differing backgrounds, competences, interest profile and interests. Another mapping distinguishes between different types of power: innovative power (the power of new ideas), transformative power (capacity to mobilize others for change), and reinforcive power (position within the dominant hierarchy). It also helps in distinguishing between differing groups and in determining gaps in the representation. (iii) The third step is the actor selection outlining criteria and identifying appropriate actors for each of the phases of the UTM-process. This results in a short list. (iv) When preparing the selection of participants for the transition arena, the fourth step includes the interviewing of the potential candidates, and possibly inviting them to join the arena. The result of this selection task is the list of frontrunners as identified by the transition team. A total of about frontrunners will be joining the transition arena. They are filtered out throughout the analysis and selection process. Ideally, transition arena participants are frontrunners who combine creativity and imagination with the openness to evaluate and appreciate other Urban Transition Management Manual 15

19 perspectives (and policy alternatives). As a whole, a transition arena should include actors with a diversity of competences and backgrounds. For an elaborate step-by-step version of the actor analysis see appendix B. E. Set up a Monitoring & Evaluation Framework Monitoring is necessary from the very start of the project. A monitoring and evaluation planning should be formulated together with the process plan. It helps to adjust and improve the UTM-process, aids communicating with stakeholders, justifying investments to investors and assists learning from the approach. The monitoring & evaluation framework is described in phase 5 (see section 3.5) and elaborated in appendix D. The planning can be set up by the transition team in dialogue with the city coach so that it best fits to your city s needs. Urban Transition Management Manual 16

20 Box 3.1: An example of preparation & exploration: Texel, The Netherlands The Dutch island of Texel has big ambitions for sustainability, for example in the field of energy. In 2020 the island wants to use renewable energy only and become independent from energy imports from the mainland. However, renewable energy and self-sufficiency are not the only constituents of sustainability on the island. In order to find out what sustainability means for Texel and for Texelaars the inhabitants of the island a transition arena was formed. Urgenda, a Dutch action organization for sustainability and innovation, formed a transition team to initiate, design and manage the transition process. Thirty interviews with frontrunners and out-of-the-box thinkers from the island marked the start of the transition process. They were asked what they thought a sustainable Texel in 2040 would look like, but also who else they think are pioneers or innovators. Who embrace and advocate sustainability? After many interviews and questions, 15 actors who fit the profile of pioneer and who together form a diverse group were selected to participate in the transition arena. With this group, the possibilities and opportunities for Texel as an experimental lab for sustainability were examined. The systems analysis was structured along two storylines: the core values and dynamics of the island, and sustainable development. Five important drivers of the system were identified: agriculture & fisheries water & climate energy tourism cultural heritage & nature The storylines were used to identify the problems and the need for change. From these problems and needs, the sustainability challenge was defined, which can be synthesized as: How can Texel evolve from the image of the Netherlands of yesterday, become the beacon of the Netherlands of tomorrow? In other words, how can the slightly backward island Texel become the innovative breeding ground for the Netherlands? Urban Transition Management Manual 17

21 3.2. Phase 2: Problem Structuring & Envisioning 2. Problem structuring & Envisioning Key activities A. Transition Arena formation B. Participatory problem structuring* C. Selection of key priorities * D. Participatory vision building* Key output A. Frontrunner network B. Shared problem perceptions & change-topics C. Guiding sustainability principles D. Shared vision The second phase includes three participatory arena meetings, one for problem structuring and two for envisioning. A. Transition Arena Formation The second phase starts after the arena participants are selected and invited to join based on the actor analysis. The UTM-arena is formed, and thereby a frontrunner network is created (output 2A). B. Participatory problem structuring (meeting) During the first meeting, the UTM-arena group (of frontrunners) is brought together with the objective to reach a shared perception of the problem through a strongly interactive process. The open discussion and interaction can be initiated by a short and inspiring presentation of the system analysis. A discussion can evolve around the identified challenges, for example: What is (un-)sustainable use of energy? What does this mean to the participants? What are the most evident drivers and barriers to CO2-reduction? The shared perception of the problem can create a positive group effect of a common mission and further group motivation and engagement to the process. Furthermore, the transition team can reflect on the composition of the group and possibly invite new people with qualities that are not represented yet, or even to ask a participant who disturbs the chemistry of the group not to join the other meetings. This leads to a shared problem perception (output 2B) and the definition of the main change topics (change topic is an aspect of the system or element of the system that may require modification or radical change as perceived and suggested by the arena group). Urban Transition Management Manual 18

22 C. Selection of key priorities (meeting) The second (and also the third) meeting has as an objective for the arena group to create a shared vision. In the meeting, all kinds of ideas for the future will emerge. Some ideas will be embraced and elaborated in a lively discussion. A good starting point is the shared problem perception that can lead to a selection of key priorities and then translated in guiding sustainability principles (output 2C). By working on visionary images, these principles can be enriched. The enrichment of the guiding sustainability principles with visionary images can be done in an interactive way with the UTM-team (or facilitator) asking open and reflective questions to focus the discussion. For example: What does closing material loops mean for Ghent? What is the future look of Aberdeen if the city is optimized for walking and cycling? Which surfaces (roofs, roads, etc) can be utilized for a energy-autonomous city of Rotterdam?. D. Participatory vision building (meeting) In the third meeting, the problem perception and the guiding sustainability principles are further consolidated. The focus is on the formulation and discussion of a coherent vision, elaborating on the visionary images created in the last session. Between the two sessions, the transition team has to work hard to process all the ideas. The meeting can start with a presentation that structures, recapitulates and enriches the intermediate results. The meeting is meant to lead to a convergence of ideas and to a combination of the images to a coherent vision. In addition to this, the meeting aims at answering more general questions like: How people live in an energy-neutral neighbourhood? How do they travel? How does the green economy of the future look like? The transition team uses the discussion as an input to work on a vision (elaboration) document, possibly supported by a motivated subgroup of the UTM-arena or external parties that can contribute to the visualization of the vision(e.g. artist, graphic designer). This vision document is a first output of the arena and is an important management instrument that gives direction to thinking and to the initiatives of both arena participants and outsiders. The vision itself is not the only important outcome: the process of envisioning is just as important as the vision itself since it contributes to a positive group group dynamics and alignment of perspectives. Urban Transition Management Manual 19

23 Box 3.2: An example of problem structuring & envisioning: Merwe-Vierhavens, Rotterdam The Merwe-Vierhavens, part of City Ports of Rotterdam, is expected to transform from a desolate port area to a flourishing city district in the coming decades. DRIFT was asked to start a limited arena process, restricted to problem structuring and envisioning. The aim was to create an inspiring vision and transition paths, giving extra attention to the sustainable development of the area. A group of twenty frontrunners was selected. This group consisted of experts in very diverse fields, but all have a passion for sustainability and the future of Rotterdam. Three creative sessions provided an open setting for the emergence of innovative ideas. Manyideas emerged, some were embraced, some needed elabortation, and some were rejected. All in all, this led to a number of very interesting building blocks for a future vision of the Merwe-Vierhavens. A transition team formed by employees of DRIFT and Doepel Strijkers Architects (DSA) prepared the meetings. The arena sessions were fuelled by street interviews, a historic analysis, an analysis of existing plans and the identification of core values of the area. After each session, the transition team elaborated the arguments and the views expressed as a starting point for the next session. The process resulted in an inspiring vision document describing two intertwined development paths for the area: the Free Zone facilitates pioneers and attracts investments, while the City Oasis accommodates communities that develop parts of the area as a place to live, work and produce together. The ultimate goal is that this vision affects the thinking of diverse actors involved in the development of the Merwe-Vierhavens area, becoming more future-oriented and more sustainable-minded, and influences decisions and initiatives. Urban Transition Management Manual 20

24 3.3. Phase 3: Backcasting, Pathways & Agenda Building 3. Backcasting, Pathways & Agenda Building Key activities A. Participatory backcasting* & definition of transition paths B. Formulation agenda and specific actions* Key output A. Backcasting analysis & transition paths B. Transition agenda and formation of possible sub-groups In the backcasting phase, the arena group builds upon the shared problem definition and visions (points of departure and destination, guiding principles, visionary images) to develop actions and targets. A. Participatory backcasting (meeting) & definition of transition paths Based on the sustainability vision developed earlier in the process, a process can be initiated in which a backcasting analysis is conducted and transition paths are developed. Transition paths are possible routes from the present towards the envisioned future and include short- and mid-term goals. The backcasting meeting revolves around the following questions: What changes (cultural, structural-institutional, technologicalinfrastructural & organizational) are needed to bring about the vision? How can these changes take place (looking back from the future vision)? What drivers and stepping stones would have been supportive for realizing these changes? Which parties (stakeholders or not-yet-involved actors) and collaborations are needed to support and/or realize these changes? What actions can be taken in the short-term by the supportive parties and collaborations? Urban Transition Management Manual 21

25 Box 3.3: An example of Backcasting: Sustainable Household Nutrition Source: Quist and Vergragt (2006) and Quist et al (2010) The EU funded SusHouse (Strategies towards the Sustainable Household, ) project was concerned with developing and evaluating strategies for transitions to sustainable households. One of the cases was Sustainable Household Nutrition (SHN) in the Netherlands, which focused on the food system from a household and consumer perspective. Key stakeholders were consumers, retailers, food processors, packaging producers, kitchen equipment and appliances producers and government. After a phase of problem structuring and envisioning, backcasting techniques were applied during two workshops. One of the possible scenario s was the Intelligent Cooking and Storing (ICS): a sustainable household that can be characterised by high-tech, convenience, doit-yourself and a fast way of living. Kitchen and sustainable food management is optimised with help of intelligent technology. During the backcasting exercises the following necessary changes were agreed upon for the scenario to become possible: - Technological: novel kitchen technology and appliances (including a huge efficiency increase), new ICT for kitchen systems and production chain management, plastic chips, biodegradable packaging, cascade usage for water and energy, sustainable transportation, distribution and delivery systems. - Cultural/behavioural: sustainability is taken for granted, further shift towards ready-mades and convenience, acceptance of new technologies, shift towards more sustainable substitutes, shift towards services. - Structural/Organisational: the role of supermarkets will change due to large-scale delivery and a shift towards food management services, kitchen manufacturers deliver complete automated systems that communicate instead of single kitchens and single appliances, close cooperation and joint management throughout the complete production chain plus making information available to consumers; sustainable food production. B. Formulation agenda & specific actions (meeting) During this meeting, feedback on the final drafts of the backcasting analysis is received and a common action agenda is defined. In this step, the interests, motives, and policy of the various actors involved come out into the open; there will be negotiations about investments, and individual plans and strategies will be fine-tuned (Loorbach, 2010). Urban Transition Management Manual 22

26 During this meeting, the members of the transition arena are divided into different sub-groups. Every sub-group will take forward one of the developed transition paths. Step-by-step, the sub-groups will organize their work themselves going from transition paths towards agenda formulation and subsequently putting this into action, without full process-facilitation or active involvement by the transition team. It is very important in this phase to stimulate the self-organizational process. The encouragement of the self-organization process requires patience and trust in the process. This meeting focuses on the following guiding questions: What new initiatives/experiments can we initiate as arena-group, to make progress on the transition path? Which people/parties would be helpful to involve in these new initiatives? And who are already in our networks? What ongoing initiatives/developments of ourselves or parties within our network can be adjusted so they contribute to progress on the transition path? What policy alternative(s) is needed to support the transition path? Which external parties (stakeholders or not-yet-involved) and new collaborations can be supportive? How can these external actors be involved in the process? How can we disseminate our transition narrative to motivate actors to use it as a guidance for action, plus to get support for the action agenda? The UTM-team helps the sub-groups to structure and prioritize the proposed action into a common transition agenda. A way of doing this is to ask the participants to assess whether an action is easy/hard to realise; has high/low impact and receives high/low enthusiasm from arena participants. The transition team can choose to involve a broader group of people in this meeting, by inviting relevant parties and asking the UTM arenaparticipants to invite people from their networks. The outcome of this phase functions as a compass for future actions and experiments. By building coalitions and networks in the next phase, the conditions for desired experiments are designed. As part of the monitoring activities this phase is an ideal moment for a preliminary interview. The objective of such an interview is for the UTM-team to gain insights about the (potentially) changed perceptions, interests, networks, activities and views of the UTM-arena participants. For more information on monitoring and evaluation see section 3.5. Urban Transition Management Manual 23

27 The transition narrative In the third phase, the transition narrative can be compiled. The transition narrative summarizes the problem structuring, vision and transition paths. The transition narrative can be considered as the main outcome of the transition arena and can together with the transition agenda be presented as a guiding document for a joint future action. The transition narrative forms the long-term context for short-term actions (and policy). Urban Transition Management Manual 24

28 3.4. Phase 4: Experimenting & Implementing 4. Experimenting & Implementing Key activities A. Dissemination of visions, pathways and agenda (transition narrative) B. Coalition forming & broadening the network C. Conduct transition experiments & implementation in regular policy and projects Key output A. Broader public awareness & extended involvement B. Change agents network & experiment portfolio C. Learning & implementation A. Dissemination of the transition narrative The tangibility and visibility of this process is of great importance to: keep arena participants from abandoning the process create and maintain support from external actors That is why the process of the first three phases (e.g. the transition narrative combining the system analysis, vision, pathways and agenda) have to be disseminated. Communicating the results in the UTM-arena itself and to the outside (e.g. to local policy makers, newspapers, etc.) will demonstrate the effectiveness and will maintain momentum. It can also generate broader public awareness and extended involvement. An indicative way in which this dissemination can be done includes a public coalition building event when the UTM-team and/or arena participants present the transition narrative and invite people to take action themselves. B. Coalition forming & broadening the network Around the subgroups established in phase 3 strategic coalitions should be created. This change agent s network may co-develop with transition experiments into the next phase and broaden the overall network. Information on who to include in this coalition forming and broadening comes from previous phases, in particular the actor analysis, as well as the personal networks of the persons in the transition arena. The execution of specific actions in transition experiments should be done through the existing networks of arena participants to ensure direct involvement of the frontrunners within participating organizations. In this way, the experiments may be fed by the previous phases (visions, agenda, etc.). The newly involved participants are active in creating a portfolio of related experiments that can complement and strengthen each other as much as possible. Urban Transition Management Manual 25