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This research report presents a transdisciplinary student research project on the development of climate resilience of communities on the Caribbean Island Dominica.
The research was conducted through a partnership between the Leuphana University Lüneburg and the Sustainable Marine Financing Programme (SMF) of the GIZ.
For the GIZ, the research project aimed at improving the understanding of the socio-ecological resilience framework for tackling problems of Marine Managed Areas and Marine Protected Areas. Also, it enabled new thoughts on how the GIZ and other development agencies can more effectively assists island states to better cope with the challenges of climate change.
The role of the students from the “Global Environmental and Sustainability Sciences” programme of Leuphana University included the design of four transdisciplinary research projects to research aspects of resilience of Caribbean communities.
The developing island states in the Caribbean are extremely vulnerable to more frequent and intense natural hazards while relying on the ecosystem services that are also at risk from extreme weather events, in particular Hurricanes. Low economic stability leads to a dependency of the states on international assistance. To decrease the vulnerability to shocks, counteracting measures that encourage learning and adaptation can increase the resilience against extreme weather events and their consequences.
Concepts that were considered during the design of the transdisciplinary research projects were the adaptation of systems, diversity and stakeholder participation and resilience-focused management systems. Also, the students critically assessed the concept of foreign aid and how it can be successful, mitigating the risk of introducing neo-colonial structures. Flood Management, Biodiversity, Small-Scale Agriculture and Foreign Aid on Dominica were the topics of the transdisciplinary projects. The research methods of a literature review, stakeholder mapping, interviews, scenario development and visioning were used in the projects.
In four scenarios developed in the ‘Flood Management’ project, it became evident that a broad as well as coordinated stakeholder engagement and a variety of measures are required for community resilience. A key finding of the ‘Biodiversity’ project was the identity dimension of community resilience, underlining the importance of the relationship between individuals and nature. The interlinkage of social identity processes and a resilient disaster response was also stressed by the project ‘Foreign Aid’, which highlighted that financial support is similarly important to inclusivity and reflexivity in the process of resource distribution. To recover from extreme weather events, the social memory also plays an important role. The project on ‘Small-scale Agriculture’ concluded, that the memory-making of local communities is as vital to community resilience as formal plans and trainings.
The research project was based on the research approach of transdisciplinarity because of its solution-orientation. It links different academic disciplines and concepts, and non-scientific stakeholders are included to find solutions for societal and related scientific problems. In the four projects, principles of transdisciplinary research were party applied, but some challenges arose due to the geographical distance, time constraints and a strong focus on the scientific part in some phases. Nonetheless, the findings of the projects provide valuable learning lessons to be applied in practice and that can prove useful for future research.
This research report presents a transdisciplinary student research project on developing climate resilience of communities in Marine Protected Areas in the Lesser Antilles. For the second time, the Leuphana University Lüneburg and the Sustainable Marine Financing Programme (SMF) of the Deutsche Gesellschaft für internationale Zusammenarbeit (GIZ) partnered up. The first project on the Caribbean Island Dominica showed that community resilience is a complex concept that is not yet well understood. Building on these findings, this year’s project broadened the scope in addressing the effect of varying local conditions on climate resilience on four different Caribbean islands: Dominica, Grenada, St Lucia, and St. Vincent and the Grenadines. For the GIZ, the research project aimed at improving the understanding of the socio-ecological resilience framework for tackling problems of Marine Managed Areas (MMA) and Marine Protected Areas (MPA). Also, it enabled new thoughts on how the GIZ and other development agencies can more effectively assist island states to better cope with the challenges of climate change. The role of the students from the “Global Environmental and Sustainability Sciences” programme of Leuphana University included the design of four transdisciplinary research projects to study the effect of varying local conditions in disaster-prone regions in the Southern Caribbean on climate resilience. The developing island states in the Caribbean are extremely vulnerable to more frequent and intense natural hazards while relying on ecosystem services that are threatened by extreme weather events, in particular Hurricanes. After such adverse events, low economic stability leads to a dependency of the states on international assistance. To decrease the vulnerability to shocks, counteracting measures that encourage learning and adaptation can increase the resilience against extreme weather events and their consequences. Concepts that were considered during the design of the transdisciplinary research projects were the adaptation of systems, diversity and stakeholder participation and resilience-focused management systems. Building on the results from last year in Dominica, the establishment of a four islands design allowed for greater comparison to better understand community approaches to solve a concrete sustainability problem: securing livelihoods while protecting natural and cultural resources. The research methods of a literature review, stakeholder mapping, semi-structured interviews, scenario development and visioning were used in the projects. A comparison of the four TD projects revealed four overarching lessons. First, all countries recognise a need for restoration and conservation projects, i.e., nature-based solutions implemented and managed by the local community in the MPA. Furthermore, all four cases show that the limited participation of local people in the management and organisation of the MPA is a factor constraining community resilience. Third, this TD project highlights the importance to distinguish climate change as an event or as a process. When climate change occurs as a series of disaster events (e.g., hurricanes, floodings, and heatwaves) in combination with s gradual degradation of natural ecosystems (e.g., coral bleaching and ocean warming), people in MPA communities show highly adaptive and restorative behaviour. Finally, this project was an attempt to realize a cross-cultural and virtual transdisciplinary project. The research approach of transdisciplinarity links different academic disciplines and concepts, and non-scientific stakeholders are included to find solutions for societal and related scientific problems. A major learning was that in virtual TD projects particular attention needs to be paid to setting clear boundaries and be explicit about success criteria. Nonetheless, the findings of the projects provide valuable learning lessons to be applied in practice and that can prove useful for future research.
In this dissertation, a multi-proxy study, which included palaeoecological, lithological, geochemical and geochronological methods, was carried out to investigate climatic and environmental changes and their interaction during the Quaternary in formerly glaciated and non-glaciated areas. The information obtained will be used to provide a better understanding of the regional stratigraphic framework and to establish broader regional terrestrial correlations within the global marine isotope stage (MIS) framework. This study was conducted on two key drillings, the Garding-2 research drill core in the German North Sea coastal area of Schleswig-Holstein and the GBY#2 archaeological core at the Gesher Benot Ya'aqov (GBY) site, in the Upper Jordan Valley in Israel. The results of this study are presented in three papers. Papers I and II focus on the study of the Garding-2 core, while the multi-proxy study of the GBY#2 core is presented in Paper III. The results of a variety of analyses conducted on the 240 m long Garding-2 sequence show interglacial-glacial cycles that are mainly controlled by variations in temperature. This sequence is composed of mainly fluvial-shallow marine sediments intercalated by muddy-peaty deposits. Based on the palynological and lithological findings, the Pliocene-Pleistocene transition was observed at 182.87 m. It is overlain by Praetiglian and the subsequent sediments of the Waalian and Bavelian Complexes. The boundary of either the second or third Cromerian Interglacial with younger sediments, which still belong to MIS 19, is marked by the last occurrence of Tsuga at 119.50 m and the development of mixed-deciduous forests. The palynologically equivalent sediments of the Bilshausen Interglacial were found below two Elsterian till layers, at 89.00 m-82.00 m. These sediments showed high and increased percentages of Pinus and Picea and scattered occurrences of Abies and Carpinus, which are similar to the features of the beginning of the Bilshausen or Rhume interglacial. An unconformity occurred at 80.29 m, at the bottom of late Holsteinian deposits, characterised by the occurrences of Fagus and Pterocarya, with low percentages of Abies and Carpinus and the absence of Buxus. These deposits are succeeded by sediments of the Fuhne cold period that shows higher percentages of NAP and occurrences of Ericales, Helianthemum and Selaginella selaginoides, which are unconformably overlain by Drenthian till at 73.00 m-71.00 m. A single peaty sample at 69.25 m with Pinus-Picea-Abies assemblage is correlated with the late Eemian Interglacial. This deposit is overlain by Weichselian glaciofluvial sediments. Middle-late Holocene sediments occurred from 20 m upwards, following a hiatus, which was caused by the Early Holocene transgression. A subsequent thin layer of marine Atlantic sediments is unconformably overlain by marine-tidal flat deposits up to 11.00 m. The first occurrence of Fagus (at 15.97 m) and Carpinus (at 15.03 m), which was optically stimulated luminescence (OSL)-dated to 3130 +/- 260 BP (at 16.22 m, Zhang et al., 2014), gives evidence for a Subboreal age for these deposits. Sandy sediments of the early Subatlantic, which were deposited between 11.00 m and the top of the Garding-2 sequence, indicate that local salt marshes, dunes and tidal flat vegetation expanded during this period. Due to regional features and the peculiarities of the local coastal environment, the expansions of Fagus and Carpinus, which are characteristic for the Subboreal-Subatlantic transition at about 2700 BP in northern Germany, are not clearly reflected in the Garding-2 pollen diagram. In the Mediterranean area, a 50 m long core of GBY#2, was drilled at the Acheulian site of Gesher Benot Ya'akov. The GBY#2 core provides a long Early-Middle Pleistocene geological, environmental and climatological record, which also enriches the knowledge of hominin-habitat relationships documented at the margins of the Hula Palaeo-lake. The sediment sequence of GBY#2 is under- and overlain by two basalt flows that are 40Ar/39Ar dated: two samples at the bottom of the core dated to 1195 +/- 67 ka (at 48.30 m) and 1137 +/- 69 ka (at 45.30 m), and another one at the top dated to 659 +/- 85 ka (at 14.90 m). With the additional chronological identification of the Matuyama Brunhes Boundary (MBB) and the correlation with the GBY excavation sites, the sedimentary sequence of GBY#2 provides the climatic history during the late part of the mid-Pleistocene transition (MPT, 1.2 Ma-0.5 Ma). Multi-proxy analyses including those of pollen and non-pollen palynomorphs, macro botanical remains, molluscs, ostracods, fish, amphibians and micromammals provide evidence for lake and lake-margin environments during MIS 20 and MIS 19. During MIS 20, relatively cool semi-moist conditions were followed by a pronounced dry phase. During the subsequent MIS 19, warm and moist interglacial conditions were characterised by Quercus-Pistacia woodlands in this area. The depositional environment changed from an open water lake during MIS 20 to a lake margin environment in MIS 19. This finding is at odds with changing climate conditions from relatively dry to moist. This discrepancy could be explained by the prograding pattern of the lake shore due to the infilling of the basin, which resulted in shallower water. Climatic changes during the Late Tertiary and the Quaternary in the high latitude regions in northwest Europe and during the Early-Middle Pleistocene in the mid latitude regions of the Middle East follow the patterns of global climatic changes, which are mainly controlled by orbital obliquity (+/-41 ka cycle) during the Early Pleistocene and by orbital eccentricity (+/-100 ka cycle) during the MPT (1.2 Ma-0.5 Ma) and the younger periods of the Quaternary. The results of this study also provide reliable evidence for long distance correlation of stratigraphic and climatic events of the Quaternary, which extends knowledge of regional and global impact of climatic fluctuations on the environment.
Does grass-roots civic engagement improve the quality of public services in countries in which formal oversight institutions are weak? It is obvious that formal oversight institutions are weak in developing countries, which causes low-quality public services. This weakness is particularly critical in the health sector - a service domain of crucial relevance for development. This observation has led practitioners to believe that the direct engagement of the beneficiaries of public services is a means to compensate the weakness of oversight institutions and to improve the quality of these services. Given that beneficiaries have incentives to demand good quality services, it is indeed logical to assume that their participation in the monitoring of public services helps to improve the quality of these very services. This positive view of grass-roots civic engagement resonates with the idea that an active civil society helps a political system to build up and sustain a high institutional performance In the eyes of the donors of development aid, this idea nurtures the expectation that strengthening civic engagement contributes to increased aid effectiveness. Accordingly, donor countries have increased their efforts to strengthen beneficiary participation since the 1990s, which moved the concepts of voice and accountability center-stage in the international development discourse. However, whether citizens' capacity to exercise pressure on service providers and public officials really improves the effectiveness of development aid remains an unresolved question. Building upon recent experimental and comparative case study evidence, the thesis examines the role of citizens' engagement in the effectiveness of development interventions. The focus is on such interventions in the health sector because population health is particularly critical for prosperity and development, and ultimately for democratization. The key question addressed is if and under what conditions ordinary people's engagement in collective action and their inclination to raise their voice improves the effectiveness of development assistance for health (DAH). I analyze this question from an interactionist viewpoint, unraveling the complex interplay of civic engagement and health aid with three key institutional variables: (i) state capacity, (ii) liberal democracy and (iii) decentralized government. Drawing upon social capital theory, principal-agent theory, and selectorate theory, I provide compelling evidence that health aid effectiveness depends on (a) bottom-up processes of demand from service users as well as (b) formal processes of top-down monitoring and horizontal oversight arrangements. In other words, the very interaction of behavioral and institutional factors drives the accountability in public service provision and thus the effectiveness of development assistance for health in recipient countries.
Comparable collaborations between farmers and institutions with communal catering have been less in research focus so far. Within the region of Lüneburg, an example for such a regional-organic cooperation is not known yet. Thus,this work represents the starting point to fill the research gap within the field of sustainable food systems in urban living labs as part of the research project GLOCULL (Globally and Locally-sustainable food-water-energy innovation in Urban Living Labs). The work aims at building up such a regional-organic food cooperation between a local farmer and a kindergarten community catering servicebased on scientific insights and practical persons’ knowledge.
In this dissertation the relation between time headway in car following and the subjective experience of a driver was researched. Three experiments were conducted in a driving simulator. Time headways in a range of 0.5 to 4.0 seconds were investigated at 50km/h, 100km/h, and 150km/h under varied visibility conditions and at differing levels of driver control over the car. The main research questions addressed the possible existence of a threshold effect for the subjective experience of time headways and the influence of vehicle speed, forward visibility, and vehicle control on the position of time headway thresholds. Furthermore, the validity of zero-risk driver behavior models was investigated. Results suggest that a threshold exists for the subjective experience of time headways in car following. This implies that the subjective experience of time headways stays constant for a range of time headways above a critical threshold. The subjective experience of a driver is only influenced by time headway once this critical time headway threshold is passed. Speed does not influence preferred time headway distances in self- and assisted-driving, i.e. time headway thresholds are constant for different speeds. However, in completely automated driving preferred time headways are influenced by vehicle speed. For higher speeds preferred time headways decrease. A reduction of forward visibility leads to a shift in preferred time headways towards larger time headways. Results of this dissertation give credence to zero-risk models of driver behavior.
This paper-based dissertation deals with capital structures and tax policies of German family businesses. Family firms as the predominant company form in Germany are mainly characterized by the overlapping of the two spheres family and business, both having different goal systems and preferences. This also has an impact on decision making with regard to corporate finance including the application of tax avoidance policies. In Germany, bank finance is the dominant financing source for family firms but there is a preference for internal finance since it comes along with more external independency. Extant research usually bases its results on samples of publicly listed companies. These studies come up with different results regarding family firms' actual financing preferences and capture their heterogeneity only to a very little extent. In this light, the present dissertation and its three papers examine different research questions in the context of capital structure decisions and tax avoidance in family firms. All the three papers apply a quantitative empirical research design. The first paper is a comparison between capital structures of family firms and non-family firms. The paper examines differences in bank debt and trade credit ratios. Overall, the findings show that family firms have significantly higher overall and long-term debt levels compared to their non-family counterparts. The identity as a family firm, which leads to a leap of faith by banks, can be a possible explanation for these results. The second paper is an in-depth examination of drivers of bank debt levels within the group of family firms. Further, it addresses heterogeneity amongst family firms and combines survey results and corresponding financial information. This represents a first attempt to capture family firm heterogeneity and its link to financial issues. The study shows that the more power in the company is exerted via management or supervisory board by the family, the less bank debt is used. Paper three is an extension of the previous two studies as it sheds light on tax avoidance, a significant instrument to strengthen the internal financing capability of a firm. This also takes up a research gap as there is very little research on taxation in family firms. Contrary to the expectation, the study reveals that private family firms might pay less tax than their non-family peers.
Crowdfunding is considered a promising instrument for transforming existing socio-technical regimes by financing radical innovations of such entrepreneurs. However, this potential has not yet been fully explored. Therefore, this dissertation addresses the overarching research question of how sustainable entrepreneurs can exploit the full potential of investment-based crowdfunding to develop from niche operators to actors in the socio-technical regime. Five journal articles and one book chapter are included in this PhD project, which use a wide range of quantitative methodologies. In the framework paper, the findings are conceptually evaluated on a meta-level by applying the multi-level perspective. The key insights can be assigned to four categories, including the financing and marketing function, the target group, and the project presentation. The analysis shows that investment-based crowdfunding is suitable to equally fund and market the business ideas of environmental entrepreneurs, since the quest for entering the mass market is highest for such ventures. In contrast, purely social entrepreneurs tend to conduct crowdfunding projects on a smaller scale and probably aim to stay in the niche. Nevertheless, profit-oriented social entrepreneurs are still encouraged to use investment-based crowdfunding for funding and marketing purposes. The prominent display of environmental effects (e.g. the amount of compensated greenhouse gases) and financial incentives (e.g. high interest rates) has a high impact on the investment decision of individuals on investment-based crowdfunding platforms. The case of fairafric is used as a best practice example to demonstrate how crowdfunding can be a stepping stone for sustainability-oriented niche actors to enter the mass market. The fair-trade and organic chocolate manufacturer has undergone six crowdfunding campaigns which enabled it to grow and build a strong community of supporters. The outcomes of this dissertation clarify how sustainable entrepreneurs can unleash the potential of investment-based crowdfunding for financing and marketing purposes.
Business Models for Sustainability Innovation: Conceptual Foundations and the Case of Solar Energy
(2013)
This dissertation deals with the relationships between the increasingly discussed business model notion, sustainability innovation, and the business case for sustainability concept. The main purpose of this research is to identify and define the so far insufficiently studied theoretical interrelations between these concepts. To this end, according theoretical foundations are developed and combined with empirical studies on selected aspects of the solar photovoltaic industry. This industry is particularly suitable for research on sustainability innovation and business models because of its increasing maturity paired with public policy and market dynamics that lead to a variety of business model-related managerial and entrepreneurial business case challenges. The overarching research question is: How can business models support the commercialisation of sustainability innovations and thus contribute to business cases for sustainability? A theoretical and conceptual foundation is developed based on a systematic literature review on the role of business models in the context of technological, organisational, and social sustainability innovation. Further, the importance of business model innovation is discussed and linked to sustainability strategies and the business case for sustainability concept. These theoretical foundations are applied in an in-depth case study on BP Solar, the former solar photovoltaic subsidiary of British Petroleum. Moreover, because supportive public policies and the availability of financial capital are known to be the most important preconditions for commercial success with innovations such as solar photovoltaic technologies, the solar studies include a comparative multiple-case study on the public policies of China, Germany, and the USA as well as a conjoint experiment to explore debt capital investors’ preferences for different types of photovoltaic projects and business models. As a result, the main contribution of this work is the business models for sustainability innovation (BMfSI) framework. This framework is based on the idea that the business model is an artificial and social construct that fulfils different functions resulting from social interaction and their deliberate construction. The BMfSI framework emphasises the so-called mediating function, i.e. the iterative alignment of business model elements with company-internal and external requirements as well as with the specific characteristics of environmentally and socially beneficial innovations. Against this backdrop, it becomes clear that practically-oriented knowledge based on BMfSI research might provide new and effective ways to support the achievement of corporate sustainability.