Given the complex, dynamic, and urgent problems that sustainability science addresses, research approaches are required that not only improve the understanding of sustainability challenges, but also to support action for sustainable development. In this context, transdisciplinary research has established as an approach that aims not only to generate new knowledge, but also to promote the societal relevance and application of research findings through direct collaboration of scientists and societal stakeholders from different fields in integrative research processes. Despite its increasing prevalence in the field, there remains a gap between theoretical ideal-typical models of transdisciplinary research and its actual application within sustainability science. While scholars generally agree that transdisciplinary research is societally effective, there is scattered and partly conflicting evidence on which aspects of transdisciplinary research foster societal impact. Moreover, the extent to which transdisciplinary research contributes to scientific progress is largely unexplored.
This thesis aims to contribute to a better understanding of the actual implementation of transdisciplinary research in sustainability science. Following three aims, this work likes to (1.) contribute to the measurability of transdisciplinary research processes as well as their societal and academic outputs and impacts, to (2.) demarcate transdisciplinary research from other modes of research in sustainability science and to (3.) identify and examine the determinants that shape the contribution of transdisciplinary research to societal action for sustainable development and to scientific knowledge production.
To serve these aims a mixed methods approach is applied that combines strong quantitative elements with in-depth qualitative analyses that integrate the perspectives of practitioners. This thesis provides a broad set of indicators to describe and assess transdisciplinary research that translate theoretical concepts form transdisciplinarity theory into observable variables. The indicators offer a holistic perspective on transdisciplinary research by representing research mode characteristics, societal as well as scientific outcomes of research projects and their specific context.
To theoretically demarcate transdisciplinary research from other forms of research, a narrative literature review first elaborates the differences between ‘normal science’, political use of scientific knowledge and transdisciplinarity in their underlying logics of problem definition, knowledge production and research utilization. Subsequently, these concepts were compared with perspectives and expectations of practitioners in the forest sector on integrative research settings, showing that practitioner perspectives align the most with conceptualizations of political use of scientific knowledge.
Moreover, a cluster analysis of data from 59 research projects identified five research modes that empirically demarcate ideal-typical transdisciplinary research from other research modes within sustainability science: (1) purely academic research, (2.) practice consultation, (3.) selective practitioner involvement, (4.) ideal-typical transdisciplinary research and (5.) practice-oriented research. Based on this finding, transdisciplinary research can be characterized as an intensive, but balanced involvement of practitioners. It incorporates not only the needs and goals of the practitioners but also their norms and values. Ideal-typical transdisciplinary research goes beyond mere consultatory research approaches and must be distinguished from what is conceptualized as applied research.
Regression analysis of 81 research projects and statistical group comparisons of the five research mode clusters show that societal and academic outputs and impacts vary with specific project characteristics and combinations of project characteristics defined as research modes. The findings indicate that more interactive research modes reach more societal impacts. In particular, the involvement of practitioners in early project phases and the targeted dissemination of the research results positively affect societal impacts. This finding also aligns with practitioner expectations on integrative research and research utilization, provided by qualitative analysis. Moreover, the quantitative results show that scientific outputs and impacts decrease with the intensity of interactions, indicating a trade-off between societal and scientific outcomes and impacts.
Overall, the empirical results of this thesis support the claimed effectiveness of transdisciplinary research in providing societally relevant, applicable knowledge and encourage further funding of transdisciplinary research by funding agencies. The relationships discovered in this study between research mode characteristics and societal as well as academic outputs and impacts can help researchers design and reflect on their research and can inform funding agencies in the design of project calls and research programs. However, the observed lower academic outputs and impacts of more integrative research modes raise the question of how to further strengthen the systematic documentation and accessibility of the results of transdisciplinary sustainability research. Additionally, the observed trade-off between societal and academic impacts of transdisciplinary research highlights the need for strategies to mediate between the dual aim of transdisciplinary research to contribute to societal problem solving and scientific knowledge production.
Keywords: transdisciplinarity, sustainability science, transdisciplinary research, societal impact, scientific impact, research mode, research evaluation
The energy sector is regarded as one of the decisive subsystems influencing the future of sustainable development. Consequently, there is a need for a comprehensive transformation of energy generation, conversion and use. The importance of building capacities for energy policy development in developing countries is bound up with the need to formulate global strategies to meet the challenges that humanity face, especially to achieve the targets manifested in the Agenda 2030 and Paris Agreement. The aim of this research is to better understand how to empower marginalised key societal actors, co-produce alternative discourses about energy futures and articulate those discourses to influence policy change within a context of illiberal democracies in Latin America. The research concerns the design, function and effectiveness of scientifically grounded participatory process, which has been justified theoretically and tested empirically. The process presupposes theoretical perspectives relating to theory, method and empirical application. The first draws on theories of sustainability transition and transformation, including transition management. The second draws on ideas taken from the knowledge co-production and transdisciplinary sustainability research. The empirical application, concerns the implementation of a Transdisciplinary Transition Management Arena (TTMA) and its effectiveness, measured by potential for the co-production of knowledge and for stimulating collective action. As result of the process, a conceptual model of the energy system, long-term visions and transformation strategies were developed. The TTMA processes demonstrated that cross-sectoral and inter-institutional, combined efforts, can help actors visualize possible, future alternatives for sustainable energy development and how to realize such alternatives. The structures provided were helpful for the emergence and empowerment of new sustainable-energy-transition coalitions in both Ecuador and Peru. Chapter 1 describes the general context in which this scientific project is developed and presents a synthesis of the processes and its main outcomes. The research results are described in detail in the scientific papers presented in chapters 2,3 and 4.
Sustainability transitions research proposes fundamental changes of societal systems´ organisation to overcome persistent societal challenges, such as climate change or biodiversity loss, and allowing systems to become more sustainable. This thesis adresses an underlying tension in sustainability transitions research: between transitions as an open-ended process of fundamental change and the normative direction of this change: sustainability. In doing so, three themes so far underexplored in sustainability transitions scholarship are in the focus of the research: individual agency, normativity and transdisciplinary collaboration. Thereby, the thesis aims to strengthen process-oriented and potentially transformative approaches to sustainability transition research, in contrast to primarily descriptive-analitical approaches. Transition management as a recent and salient example of transdisciplinary transition research is chosen to provide research framework and application context. Based on conceptual-theoretic, empirical case study and reflexive work, three main results are contributed: First, a psychologically enriched understanding of individual and sustainability related agency in conceptual and empirical understandings of transition management is developed. This builds on two perspectives: a psychologically enriched capability approach as well as the analysis of social effects (social learning, empowerment and social capital development) of transition management to capture sustainability oriented agency increases. As second main result, normative considerations, namely sustainability, are included into transition management on conceptual and empirical levels. Therein, substantive, procedural and intentional aspects of sustainability are combined: Substantive aspects are covered by proposing capabilities, behavioral freedoms to live a valuable life, as normative yardsticks to measure developments. Procedural aspects include a detailed understanding of facilitating a learning journey towards making sustainability meaningful in the local transition management cases and setting up experiments for its realiziation. Intentional aspects are addressed by linking social effects of transition management to awareness, motivations and feelings of responsibility towards sustainability. As a third main result, the transdisciplinary collaboration in transition management of creating an arena as an interactive learning space is conceptualized and explored, as well as the roles of the researchers therein. Key issues of this learning space, the community arena, are drawn out and ideal-type roles and activities of researchers in addressing these issues are proposed and empirically analysed. As synthesis of thesis results, ten principles of sustainability transition management are proposed.