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Since its establishment, the African Union (AU) has assumed an important role in matters of peace and security on the continent. This doctoral dissertation is dedicated to its conflict and crisis interventions and seeks to identify as well as subsequently explain the broader patterns that have emerged. The dissertation posits that neither the AU’s regime-serving roots, which emphasize the primacy of incumbents’ parochial interests, nor the AU’s problem-solving commitment, which emphasizes the pursuit of its declared organizational mission, can convincingly explain these patterns on their own. Instead, we should understand the AU as being driven by two different logics of cooperation at the same time: a problem-solving and a regime-serving logic. Across its three constitutive articles, the dissertation makes empirical as well as theoretical contributions to the existing literature. Empirically, it offers a broad and systematic analysis of AU interventions over time, across different intervention types, and without bias towards high-profile cases. The novel dataset, on which the dissertation builds, constitutes the hitherto most comprehensive effort to capture the AU’s responses to crises and conflicts. Theoretically, the dissertation develops a set of testable theory-driven expectations based on the notion of two different logics of cooperation. While identifiable in the literature on the AU and linking to broader existing debates on international cooperation, the dissertation breaks ground by clearly outlining the implications of each logic and bringing them together under a single theoretical framework. Jointly, the articles provided strong evidence that the AU is indeed driven by both a problem-solving and a regime-serving logic of cooperation, and that this serves as the foundation for explaining the AU’s broader intervention patterns. This contributes not only to a better understanding of AU interventions but also has a chance to enrich other important debates, including the debates on African regionalism, comparative regionalism, and multilateral interventions.
Motivation: Artificial intelligence, most prominently in the form of machine learning, is shaping up to be one of the most transformational technologies of the 21st century. Auditors are among the professions forecasted to be the most affected by artificial intelligence, as the profession encompasses many highly structured and repetitive tasks. Automating such tasks would naturally increase the efficiency of financial statement audits. By allowing auditors to focus on higher value-added tasks, and the capability to analyze large volumes of data at a fracture of the time a human would need, artificial intelligence would also benefit the effectiveness of auditing. Despite these benefits, to this day, the actual adoption of artificial intelligence in the audit domain remains rather limited. The audit profession is highly regulated and has to consider requirements regarding, e.g. the application of professional standards, codes of conduct, and data protection obligations. Hence, the question arises of how audit firms can be supported in their efforts to adopt artificial intelligence and how machine learning systems can be designed to comply with the specific demands of the audit domain.
Research Approach: The goal of this dissertation is to better understand the adoption of artificial intelligence in the audit domain and to actively support the adoption of artificial intelligence in auditing based on this understanding. To this end, we employ a mixture of research methods. On the one hand, the research presented here adopts a qualitative approach, examining the adoption of artificial intelligence and other advanced analytical technologies of the audit domain through taxonomy development and grounded theory. The findings of these studies inspire the second stream of work within this dissertation, which adopts a quantitative and design-oriented approach: It focuses on using machine learning to extract information from invoices for tests of details. Tests of details are essential substantive audit procedures used in nearly every audit. This dissertation proposes a new machine learning model architecture for information extraction from invoices, compares different machine learning models, and proposes design principles for machine learning pipelines for an audit application addressing the test of details through action design research.
Contribution: This dissertation presents several contributions to the research on the adoption of artificial intelligence in auditing. To form an initial understanding of the problem environment around the application of artificial intelligence to auditing, we developed a taxonomy. The taxonomy integrates the audit and technology perspective in a structured manner and supports the description of use cases in the audit domain. The dissertation further presents a process theory that illustrates how audit firms adopt artificial intelligence and other advanced data analytics technologies. The study uses a previously unused theoretical perspective, which allows for contextualizing known technology adoption factors in the audit domain. Based on the understanding of the problem environment obtained through the taxonomy and process theory, we engaged in developing artifacts and methods for applying information extraction from invoices. Here, we offer the first contribution by developing a novel graph-based neural network architecture and showing its ability to extract information accurately from invoice data sets with a significant layout variance. The second contribution deepens the understanding of the effects of layout distributions on the generalization ability of neural networks: We compared different model types and disaggregated the evaluation into in-sample and out-of- sample layouts. We show that the gap in accuracy between in- and out-of-sample layouts varies across models. To arrive at these results, we developed an end-to-end machine learning pipeline. As part of the last contribution of this dissertation, we automatically orchestrated this pipeline which serves as a structured approach to evaluate and deploy machine learning models for information extraction from invoices. We designed it such that new models from the continuously flowing stream of research are easily integrated. By reflecting on the genesis of the pipeline and the design choices that guided its emergence, we also propose a set of design principles for information extraction pipelines in audit tools.
Limitations: The results presented in this dissertation must be seen in the light of some limitations. First, we obtained the taxonomy’s dimensions and characteristics to describe use cases from the scientific literature. Use cases only identified in practice might not be characterized in their entirety by the taxonomy. The presented process theory is grounded in data obtained from expert interviews. Hence, the sampling of interview partners can affect its generalizability. For instance, most of our interview partners are located in Germany and take on roles in the upper management of their respective organizations. The results presented in the design-oriented studies are limited by the characteristics of the available data sets. These characteristics include the languages of the documents, which is primarily English, their quantity, and the recurring vendor layouts. Finally, we conducted the action design-oriented research within a large multinational audit firm. Hence, the requirements for the developed artifact and the proposed design principles might not be transferable to smaller firms.
Future Research: Several threads are laid out in the presented body of work that may be picked up in future research endeavors. The taxonomy could be updated to the most recent developments in artificial intelligence, such as generative and conversational systems. In the process theory, the nature of the relationship between the contextual factors and the adoption process could be explored in more detail. Concerning information extraction for the test of details, future research could explore how the extraction results could be parsed into standardized formats or how they could be internally validated. Larger audit firms have clients from a variety of countries, which begs the question of whether language-specific models or multilingual models are better. In this context, the need for labeled training data poses a challenge for adapting models to different languages. Therefore, future inquiries could explore how the utilization of training paradigms such as active learning to reduce the need for labeled training data.
Over the past two decades, transitions research has witnessed rapid development. However, there is still a notable gap in our understanding of sustainability transitions in conflict settings and the role of international organizations in these transitions. Little is known about the dynamics of power, limiting and facilitating factors, and the role of (international) actors in sustainability transitions in conflict settings. This dissertation seeks to make contributions to these discussions by examining energy transitions in Afghanistan, a conflict-affected country, between 2001 and 2021. It specifically focuses on the involvement of international development organizations, shedding light on their role in energy access, institutional change, and imagining Afghanistan’s future energy system development.
After security, access to affordable energy is frequently reported to be Afghanistan’s most pressing need. Following the fall of the first Taliban regime in 2001, billions of dollars and dozens of international development organizations poured into Afghanistan to support the reconstruction of the country including its energy sector. In the twenty years between 2001 and 2021, the government of Afghanistan and the international development organizations worked on various aspects of energy system development despite on-going insurgency and threats against infrastructural projects. After two decades of armed opposition, the Taliban regained power on August 15, 2021, resulting in the suspension of operations for most development organizations, with only a few humanitarian agencies remaining active. Within this context, this thesis explores topics such as the country’s energy potential and policy, the role of international development organizations in the energy sector, and visions for a future energy system in Afghanistan.
The research conducted for this thesis employed a qualitative case study approach, utilizing semi-structured interviews and document analysis. The key findings of this research can be summarized as follows: Afghanistan possesses a renewable energy potential exceeding 300 GW, encompassing 23 GW of hydro power (across all scales), 220 GW of solar power, 67 GW of wind power, and 4 GW of biomass. However, the domestic installed capacity remains limited, ranging between 600 and 700 MW, mainly sourced from large hydro facilities and thermal plants, with renewable energy playing a minor role. Throughout the period of 2001-2021, Afghanistan heavily relied on electricity imports from Central Asian countries, fulfilling around 80% of its electricity needs. International development organizations played a crucial role in assisting the governments of Afghanistan in establishing a regulatory framework for the energy sector. Notably, they contributed to the development of key laws and policy documents, such as the Renewable Energy Policy, which outlines Afghanistan's objective of sourcing 95% of its electricity from renewable sources by 2032.
Further findings of this research concern firstly the role of international organizations in institutional change and secondly the energy imaginaries in the conflict-affected setting of Afghanistan. Throughout their 20-year involvement, international organizations sought
VIII International Organizations and Energy Transitions in Afghanistan
wide-ranging institutional changes in relation to the energy sector of Afghanistan. These included (a) the development of a regulatory framework for the sector involving several organizational and regulative changes, (b) extensive privatization efforts including corporatization of the state-owned energy utility DABS, and (c) empowerment of women in both general and energy-specific contexts.
In terms of energy imaginaries, a dominant imaginary is that of ‘Afghanistan as an energy corridor’ between Central Asia and South Asia, which is supported by the government and several powerful actors. When considering energy sources, experts advocate for a least-cost supply approach, regardless of the specific energy sources. Additionally, experts recommend implementing small-scale off-grid projects in remote and sparsely populated rural areas, while advocating for grid-connected large-scale projects in urban areas. The suggestion for off-grid projects stems from their resilience in the face of armed conflicts, such as the numerous attacks documented on energy projects in Afghanistan. This research contributes to literature on the role of international organizations in sustainability transitions, transitions in conflict settings, and the energy sector of Afghanistan.
Keywords: Afghanistan; International development organizations; Energy Transitions; Sustainability transitions; Fragile and conflict settings
The emergence of sustainability as a guiding principle for tourism development came along with needs to introduce instruments that can monitor the actual impacts of tourism. Sustainability assessments in tourism (SAT) have gained popularity in recent years with a range of measurement schemes being introduced for national and subnational tourism destinations. With the help of sustainability indicators these schemes intend to guide decision-makers in making better evidence-informed decisions and to improve the overall sustainability performance of tourism. Yet, sustainability assessments have hardly led to changes in organisational or management structures in tourism in the last years.
With this dissertation I aim to contribute to a deeper understanding of the implementation and performance of sustainability assessments, by linking transformative needs of tourism with necessary assessment approaches that can serve as effective instruments for a shift towards a more sustainable tourism development. Thus, the research is part of recent efforts to establish profound and effective measurement approaches for sustainable tourism.
I employ a mixed-methods approach combining qualitative, quantitative, set-theoretic, and review methods, with the aim of maximising the validity of results. First, I explore the general progress and current state of research on sustainability assessments in tourism, with the intention to identify patterns, key elements and research gaps within assessment approaches This is followed by subsequent detailed analyses that examine specific environmental and socio-economic sustainability issues with the aim of providing conceptual, methodological and empirical solutions for assessing them in detail.
My dissertation highlights that concrete assessment tools are needed for evidence-informed decision-making and the establishment of effective actions in destination management. The findings indicate that assessments will be more successful in terms of serving as tools for decision-making, if they tackle main drivers of change and encourage management or policymakers to take decisions that affect multiple sustainability issues. It also reviews different concepts and accounting principles and rises awareness of a cautious selection of methods and measurement approaches, as this may affect overall results. The thesis empirically evaluates and applies different measurement approaches in specific destinations, with the help of quantitative and qualitative data collection methodologies. In general, my thesis provides further clarification about key environmental and socio-economic measurement methodologies, which supports ongoing debates about sustainability impacts of tourism. Thus, the research contributes to knowledge, frameworks, methodologies and practical application for tourism governance and tourism sustainability science.
Despite warnings from scientists and from society starting in the 1970s, we have long overshot our planetary boundaries – eroding biodiversity, changing our landscapes, and polluting our soil and atmosphere. Yes, efforts to change the unsustainable trajectories of our Earth system have increased through, for example, the Millennium Goals, the Sustainable Development Goals, or the Aichi Targets, but to no avail. The interventions to increase sustainability are conflicting on local, national and global levels, and often prioritise quick-fixes and short-term solutions instead of tackling the root causes of the “sustainability gap”. We, hence, need to find “places to intervene in complex systems that bring about transformative change” (Meadows 1999) – a premise and concept that Donella Meadows calls “leverage points”. Based on her seminal work, a team from the Leuphana University has identified three “realms of leverage” in which changes may lead to system transformation (Abson et al. 2017). One of these realms is the reconnection of humans to nature. In this habilitation, I focus on this realm of leverage and aim to (1) enhance the understanding of the influence of landscape change on human-nature relations through empirical, place-based research and comparisons across landscapes in different countries and continents; (2) identify and clarify the new concepts of relational values and leverage points; and (3) highlight empirical evidence on leverage points to foster human-nature relations for sustainability transformation, building mainly on empirical work done in six landscapes in Transylvania, Romania and Lower Saxony, Germany, but also including case studies from Ethiopia and India, systematic literature reviews and conceptual pieces. This thesis showed that cultural landscapes are changing with astonishingly comparable trajectories toward unsustainable futures. Our earth’s current environmental and climate crisis will continue to erode the fundaments of sustainability, hence, re-connecting humans to nature is of outstanding significance for transformative change. Identifying leverage points and implementing an intervention to strengthen human–nature relations will be a great challenge in the coming years. One possible leverage point can be strengthening experiential and emotional dimensions, as they specifically shape the connections people have with cultural landscapes. Further, this thesis highlighted the importance of the interlinkages between shallow and deep leverage points. Our results show that structurally complex landscapes and structurally rich social relations mediated by nature are interlinked and strengthening one, may strengthen the other. Moreover, strengthening sense of place and a sense of agency may enable self- and re-organization of cultural landscapes by opening the possibility to renegotiate people’s values for values and the goals of the social-ecological system, which, in turn, may enhance the structural diversity of landscapes and small-scale agriculture. Our results presented in this thesis also lay the ground for the hypothesis that degrading landscapes might also degrade social relations, which, in turn, can lead to contrasts and conflicts between actors and social groups. Although much work is still necessary to foster transformative change, this thesis offers innovative approaches. This thesis created and popularised the “Leverage points perspective”, including “chains of leverage”, as well as producing novel insights on human-nature relations – such as the distinction of human-nature connectedness and relational values, classifying relational value groups and empirically assessing dimensions of human-nature connectedness and relational values concerning landscape change and landscape features. These novel contributions can have wide-ranging impacts on the scientific discussions and societal implementation of interventions for sustainability.
Leverage points to foster human-nature relations for sustainability transformation
Considering the historical relationship of subordination from the Global South countries to the Global North countries, this research aims to understand how culture is instrumentalized in the Peruvian political arena looking to achieve Western development standards. By focusing on the Commission of Culture and Heritage of the Congress of Peru, period 2016-2017, as its case study, it will do a discourse analysis to try to find the spheres in which developmental ideology is produced and reproduced. Those findings will be later discussed under decolonial thought and dependency theories.
The global loss of biodiversity has been widely studied, yet it has many different facets depending on the context. Key drivers for biodiversity loss are anthropogenic, including agricultural intensification, expansion and land abandonment. Though the loss of biological diversity is an ecological phenomenon, it also has a social dimension. This makes the study of the social landscape, encompassing the multitude of perspectives and aspirations by different stakeholders, highly relevant for better navigating trade-offs between biodiversity conservation and other land use objectives. Engaging with and addressing contextual understandings of biodiversity is vital to develop socially palatable solutions for biodiversity loss. This dissertation, therefore, takes a place-based approach to studying biodiversity conservation trade-offs and seeks to understand how the perspectives and aspirations of different stakeholders shape them. First, it aims to identify shared viewpoints as ensembles of perceptions and meanings about human-nature relations and biodiversity (research aim 1). Second, it aims to understand how biodiversity is valued and constructed in stakeholders’ aspirations towards their landscape (research aim 2). To this end, a convergent mixed methods approach and case study design are used. Two cases were selected that face different underlying drivers of land-use change, resulting in loss of biodiversity. The Muttama Creek Catchment area is a farming landscape in south-eastern Australia where the ongoing intensification of agricultural production threatens native biodiversity. In the Spreewald Biosphere Reserve in north-eastern Germany, land abandonment and the resulting loss of the biodiversity-rich wet meadows presents a key challenge for biodiversity conservation. Narratives and discourses provide conceptual lenses through which I study biodiversity conservation trade-offs. Drawing on Q-methodology, this dissertation identifies biodiversity-production discourses for the first case study and cultural landscape narratives for the second case study. Moreover, based on a participatory futures approach, the Three Horizons Framework, it elicits narratives of change that highlight opportunities for biodiversity conservation in farming landscapes.
The findings highlight that despite some overlap in how stakeholders perceive biodiversity, contrasting problem framings and different biodiversity priorities present hindrances to concerted action to protect biodiversity and for collaboration (research aim 1). The findings also identify shared values among stakeholders (research aim 2). However, there is polarity and contestation around the role and importance of biodiversity in rural development. In conclusion, the findings contribute to three key themes in sustainability science and conservation debates: (1) They support calls for more inclusive and pluralistic biodiversity governance and highlight the need to engage holistically with multiple trade-offs with biodiversity conservation. (2) The empirical findings highlight the potential for stewardship as a broad value for place-based actions and biodiversity disvalues as another realm of engagement to improve conservation outcomes. (3) This dissertation demonstrates how a participatory approach helped identify opportunities for change and supported collective sensemaking about current issues and ways forward. Arts-based research is suggested as an avenue for future research to engage with different ways of knowing and thinking. In conclusion, this dissertation highlights how people value biodiversity differently based on their relative perspectives, the role of biodiversity in aspirations for the future and what this means for governing the transformative changes needed to address the issue of biodiversity loss.
As human rights evolved to become part of a dominant moral discourse in world politics, regional organisations (ROs) often portray themselves in the language of human rights. Facing growing contestation and politicisation, they have also gradually begun to legitimate their authority drawing on human rights. Yet not all ROs do so to the same extent, in the same manner, or consistently over time. ROs with a long tradition in human rights work and democratic membership, such as the Council of Europe use it highly consistently. ROs with no historical record of human rights protection and autocratic membership, such as the Arab League (LoAS) use it too, although more irregularly. This begs the question: why and how do ROs use human rights for self-legitimation? To answers this research question, I combine a macro analysis using qualitative comparative analysis (QCA) on 23 ROs from 1980 to 2019 with a micro analysis via process-tracing in two cases – LoAS and the Caribbean Community (CARICOM).
Ultimately, ROs use human rights in their legitimation because they strive for congruence. When norms, values, and moral principles purported and embodied by the RO are congruent with those of its core constituency and all relevant audiences, I observe human rights legitimation. I argue that the degree of congruence combines with different degrees of delegitimation stemming from the distinct constellation of agents and audiences of legitimation. I circumscribe this via four types of human rights legitimisers. Testing existing theories on legitimacy, legitimation, and human rights, the QCA suggests that ‘Self-containing Legitimisers’ are ROs with a status quo of congruence between the RO and its core constituency. ‘Signalling Legitimisers’ irregularly use human rights legitimation as a signal to respond to additional audiences. Thanks to the case studies, I further refine existing theory. CARICOM constitutes a case of a ‘Reviving Legitimisers’ where delegitimation towards their core constituency occurs to which it reacts by reviving what it embodies which entails including human rights in its legitimation. With LoAS, I observe a ‘Brokering Legitimisers’ in which case delegitimation is on the verge of a legitimacy crisis, but its Secretary General manages to broker human rights to two diverging audiences thanks to localisation. Thus, this book contributes to existing research first by providing an explanation of how a distinct norm is used in self-legitimation, second by nuancing our understanding of agents and audiences of legitimation, and third by introducing the concept of localisation to the study of legitimation.
Key words: Human Rights, Self-Legitimation, Regional Organisations, Legitimacy, International Authority, Norm Diffusion, League of Arab States, Caribbean Community, Global South, International Institutions
Tropical ecosystems are critical for biodiversity conservation and local people’s livelihood sustenance. However, these ecosystems are under high pressure from land-use and land cover (LULC) change, which is further projected to intensify and increase rapidly, thereby affecting biodiversity and the provisioning of vital ecosystem services (ES). It is thus important to understand how LULC might change in the future and how such changes could affect biodiversity and ES provisioning in a given landscape of tropical ecosystems. Scenario planning has become an increasingly popular tool and technique to produce narrative scenarios of the future landscape change. Thus, quantifying changes under different land-use scenarios could be a means to elucidate the synergies and trade-offs within the scenarios. In this dissertation, I examine the future of biodiversity and ES provisioning for different plausible land-use scenarios in southwestern Ethiopia.
First, I translated four future plausible narrative social-ecological land-use scenarios (namely, ‘Gain over grain’, ‘Coffee and conservation’, ‘Mining green gold’ and ‘Food first’) developed for southwestern Ethiopia by participatory scenario planning into spatially explicit LULC scenario maps. Results showed distinct LULC changes under each scenario. For instance, forest cover under the ‘Gain over grain’ and ‘Coffee and conservation’ scenarios remained similar to the current landscape covering about half of the landscape, in contrast it decreased by 27% and by about 18% under ‘Mining green gold’ and ‘Food first’ scenarios, respectively. Coffee plantation and arable land for cereal crop production covered about half of the landscape under ‘Mining green gold’ and ‘Food first’ scenarios, respectively. Second, I investigated the impact of these land-use scenarios on biodiversity by specifically modelling woody plant species richness in farmland and forest. Both indicators of human disturbance and environmental conditions were used. The results indicated that the ‘Mining green gold’ and ‘Food first’ scenarios would result in strong losses of biodiversity, whereas the ‘Gain over grain’ scenario largely maintained biodiversity relative to the baseline. Only the ‘Coffee and conservation’ scenario showed positive changes for biodiversity that are likely viable in the long run. Third, I also investigated the effect of these land-use scenarios on woody plant-based ES provisioning by combining woody plant species with household surveys on how woody plants were used by the local community. I modelled and predicted the current and future availability of woody plant-based ES under the four scenarios of landscape change. The results showed that land-use scenarios with intensified food or cash crop cultivation would lead to the contraction of woody-plant based ES from farmland to forest patches, implying increased pressure on remaining forest patches. In such a context, attempts to ‘spare’ forest patches from local people will likely be ineffective or alternatively, will have serious negative consequences for local livelihoods. I further modelled and mapped the spatial distribution of six ES: two regulating services (erosion control and carbon storage), three provisioning services (coffee production, crop production and livestock feed) and a supporting service (woody plant richness) for the current landscape and the four land-use scenarios. Results showed smallholder farmers specializing on cash crops (‘Gain over grain’ scenario) would likely cause little change to ES generation, but major losses in ES would result from intensification scenarios (‘Mining green gold’ and ‘Food first’). Finally, the ‘Coffee and conservation’ scenario appears to be the most sustainable scenario because it would secure diverse ES in the long run. This study provides methodological and empirical contributions to the developing fields of scenario planning, social-ecological systems analysis, conservation and landscape change sciences. In addition, it has practical implications for local stakeholders and decision-makers, who can draw on findings for a better-informed land-use management.
Overall, the findings of this dissertation showed the importance of integrating future land-use mapping with participatory, narrative-based scenarios to assess the social-ecological outcomes of alternative futures. The spatially explicit maps of LULC change, biodiversity and ES (at different scales) could be used as a valuable input to support stakeholders and decision-makers to weigh the advantages and disadvantages of different development trajectories on ecosystems and human well-being and to avoid or minimize future undesirable consequences. To this end, apart from the benefits of coffee production under ‘Mining green gold’ and crop production under ‘Food first’ scenarios, the findings under these scenarios of large-scale agricultural intensification point to a potentially high loss of biodiversity and ES. These two scenarios could have a negative long-term impact on ecosystems and human well-being. Finally, the ‘Coffee and conservation’ scenario, which involves the creation of a new biosphere reserve, appears to be the most sustainable scenario. This scenario could result in a sustainably managed, diversified landscape which could make major contributions to biodiversity conservation and human well-being in the region and beyond.
This thesis deals with sustainability in African Higher Education Institutions (HEIs) and the influence of language in achieving sustainable development. Several authors highlighted the existing imbalance of sustainability research in higher education, with most publications focusing on the so-called Global North. Little is known about sustainability in the so-called Global South, and in African educational institutions in particular. The first article of this thesis investigated existing sustainability activities in African HEIs. Rather than focusing on the shortcomings, the paper took a positive stance, opposing the predominant language of deficits in research on Africa. In the Delphi study conducted, 32 experts from 29 HEIs in 16 African countries described the sustainability activities they are engaging in. Experts provided information about their experiences in their respective HEI, while language and culture emerged as areas in need of further research. The second article therefore focused on the relationship between language and education for sustainable development in African educational institutions, and systematically reviewed scholarly literature regarding this connection. Authors of the reviewed 33 papers approached this connection mainly on a theoretical and philosophical level, focusing on education and Africa as a whole rather than specified forms of education in specific countries. The third article examined the views of Tanzanian higher education students and graduates regarding language and sustainability. Participants explained how they integrate sustainability and the Sustainable Development Goals (SDGs) into their research and how they approach translations in the process. In the ensuing interviews, participants estimated that only a fraction of people outside of academia are aware of sustainability and the
SDGs, rendering the achievement of target 4.7 unlikely. This thesis therefore contributes to a better understanding of the current challenges in implementing sustainability and the SDGs in African educational institutions. It highlights the need to integrate (local) African languages in order for sustainability activities as well as the SDGs to be successful, and to keep the pledge to leave no one behind.
The ethical apparatus: The material-discursive shaping of ethics, autonomy, and the driverless car
(2023)
This research argues that the emergent driverless car, as a kind of autonomous vehicle, is a Foucault-ian ‘ethical apparatus’, working as an epistemic device to materially embody and enable discursive power by generating notions of ‘autonomy’ and ‘ethical decision-making’. The ethical implications of AI, algorithmic, and autonomous technologies are topics of current regulatory and academic concern. This concern relates to the lack of meaningful oversight of black boxes inside AI systems, liabilities for manufacturers, and inadequate frameworks to hold AI-based socio-technical systems to account.
One recent artefact, the driverless car, has taken on these concerns quite literally in the shaping of a niche discourse of the ‘ethics of autonomous driving’. Ambitions to produce a fully autonomous vehicle based on AI technologies are constrained by speculative concerns that its decision-making in unexpected accident situations cannot be assumed to protect humans. ‘The ethics of autonomous driving’ evaluates proposals to build ‘ethical machines’ by examining the relationship between structures of human values and moral decision-making, and how they comport to computational architectures for decision-making.
This is the first case this work takes up, chiefly organised around an analysis of a thought experiment, the Trolley Problem, and the online game, Moral Machine, that crowdsourced values to suggest approaches to an ‘ethics of autonomous driving’. Rather than evaluate the feasibility or appropriateness of these two approaches, this work attends to the more critical issue that ethics is being proposed in terms of technologies turning on the logics of risk, speculation, and probabilistic correlations that are fundamental to how machine learning makes decisions. The concern in this work is less a normative framework or approach for a better or more appropriate ethics of autonomous driving. Rather, this work argues that what we understand as ‘the ethical’ is being transformed when architected by, through, and for AI/autonomous technologies to become their own regulators.
Hence the production of autonomous driving necessitates computational infrastructures that are creating a world legible to and for the navigation of a driverless car. I argue that this is fostering computational governance that has implications for human bodies and social relations, chiefly that conventional approaches to regulation and accountability attend to human values and decision-making rather than computational ones.
A second case that this research examines is that of driverless car crashes, to examine how ‘autonomous’ driving requires substantial embodied human knowledge and micro-work. Taken together, these two cases - the ethics of autonomous driving, and crashes - make an argument for how myriad practices of knowledge-production are translating the human world into something legible to the navigational needs of the car, producing changes in the human world through the actions of the car on that basis, and advancing notions of ‘autonomy’. This work concludes with arguments for a critical reconceptualisation of ethics and ethical decision-making in AI/autonomous systems.
Companies are invited to contribute to the United Nations’ 17 Sustainable Development Goals (SDGs) and sustainability management accounting (SMA) has an important role to play in achieving them. However, if companies are to address the SDGs and linkages beyond organizational boundaries, SMA needs a broader scope than is conventionally assumed. Therefore, I advance a multi-level framework that addresses context, action-formation, and transformative contributions (CAT) in the following directions: first, an innovative systematic method that allows screening company-related SDGs and assessing corporate contributions to selected SDGs is introduced; second, management control systems are integrated to support managers in guiding employee behavior to make contributions to the SDGs; and, third, self-reinforcing mechanisms of the path-dependence theory are incorporated to serve as a guide to identifying barriers to individuals and groups becoming involved in SMA. This advanced CAT framework contributes to corporate practice and research by providing a multilevel framework that offers concrete management guidance for SMA to address the SDGs. It also facilitates analysis of both enabling and inhibiting factors at the organizational level. The advanced CAT framework has several implications for SMA: it promotes backcasting from the SDGs for benchmarking purposes, integrates different social, environmental, and economic issues, facilitates future-oriented action and transformation planning, addresses different layers such as the company as well as individuals and groups within it and enables to identify barriers hindering individuals and groups from becoming involved in SMA.
This dissertation deals with the increasingly recognized role of incumbent firms in advancing sustainability-oriented industry transitions. Incumbent firms are understood as firms-in-industries, which are embedded in established market structures and thereby contrast new entrant firms. The purpose of this research is twofold. First, to provide empirical evidence of barriers to and success factors of incumbent-driven industry transitions. Second, to unify hitherto dispersed descriptions of transition-related firm behaviour in a new understanding of incumbent firms in industry transitions. To this end, theoretical concepts are discussed and extended on the basis of different empirical studies in the German meat industry. The meat industry serves as suitable research setting due to its diverse sustainability challenges, ranging from climate change and pollution to animal welfare and public health, as well as its current developments towards sustainable protein alternatives. The meat context also offers opportunities to delve into individual-level processes influencing transition-related behaviour. The main contribution of this dissertation is a Multi Embeddedness Framework (MEF) that details processes and outcomes of integrated incumbent firm behaviour, including passive, reactive and proactive behaviors. The framework acknowledges the diversity in incumbent firm behaviors within industries and firms and provides new insights into transition-related behaviors at firm and individual level. With regard to the latter, the potential of learning about and from innovative start-up firms as well as shared sensemaking processes are discussed. The contents of this dissertation provide valuable contributions to the transition literature as well as important management implications with regard to the stimulation and promotion of proactive behaviors
One of the key challenges of our era is to halt biodiversity loss and foster the sustainable use of nature. The Sustainable Development Goals (SDGs) recognize the importance of the inextricable link between social and ecological systems and human quality of life (QoL) and biodiversity. Therefore, understanding the feedback and interactions between biodiversity, nature’s contributions to people (NCP), and QoL plays a central role in advancing toward sustainability. In this context, the social-ecological systems (SES) approach has advanced on the subject, particularly in recent decades; however, much remains to be done to comprehensively understand these relationships and interactions, especially at local decision-making scales. In this thesis, through the lenses of the SES approach, I investigate connections between biodiversity, NCP, and QoL in a tropical dry forest (TDF) on the Western coast of Mexico. This place is one of the best-known Neotropical TDF and has been the focus of SES research in the past 20 years, making it an excellent case study for exploring these connections.
First, to approach the need for dialogue among different global and local scales and between global and local frameworks, the thesis identifies five key components of the SES dynamics-(1) ecological supply, (2) co-production of NCP, (3) management, (4) demand, and (5) benefits- and three local decision-making scales of analysis- individual plot, smallholder, and land tenure or governance units. A literature review was performed on the social-ecological indicators for the last 11 years in the Chamela-Cuixmala region to operationalize this framework. The representability of the framework shows that research has emphasized the components of NCP co-production (42% of indicators) and SES management (21%). By analyzing SES dynamics through this new framework, we can support the monitoring of NCP and potentially detect regime shifts or radical changes before they happen. The framework is simultaneously context-specific and operationable across global contexts, providing an opportunity to inform discussions on global sustainability from local contexts.
Second, this thesis uses social-ecological information to identify social-ecological systems units (SESU) spatially explicitly. A methodology was provided to spatially identify the components of social-ecological systems that environmental conditions and management practices have shaped at three previously stated relevant decision-making scales: plots owned by individuals, plot owners, and governance units. To do so, we identified and characterized: (1) ecological clusters (EC), (2) social-management clusters (SC), and (3) SESU in a TDF in western Mexico. Our findings suggested that decision-makers (ejidatarios, i.e., type of ownership (related to agrarian reform), that in most cases the land allocated is small-smallholders-) are bounded by the topographical characteristics and the public policies that determine communal (or private) governance and the number of resources available to them. The methodology can be applied to other contexts and nested decision-making scales. The spatial identification of these interdependencies is critical for landscape planning since it can contribute to reconciling productive activities and biodiversity conservation.
Finally, the thesis examines the self-perceived QoL across the different SESU, finding 48 QoL items, which were grouped into six categories: 1) social capital, 2) economic capital, 3) agency, 4) nature, 5) peasant non-work activities, and 6) government and services; and two additional dimensions referred to obstacles and enablers of QoL. We found that the more land cover transformation, the more enablers, and obstacles of QoL are identified; emphasis was put on economic capital to achieve QoL. As management is intensified and governance fosters individualism across SES, the higher the Current Welfare Index, and the lower the self-perceived material and non-material satisfaction. We discuss the need for governance structures promoting smallholders´ worldviews that move beyond utilitarianism and foster commons. The social-ecological systems approach employed throughout this dissertation contributed towards crosscutting insights; the testing of new frameworks and methodologies represent important steps towards unraveling the connections between biodiversity, NCP, and QoL and contributes to achieving sustainable scenarios such as the ones proposed by the SDGs.
Environmental governance beyond borders: Governing telecoupled systems towards sustainability
(2023)
Globalization has increased the speed, volume and spatial scale of global flows of people, information, finance, goods and services. Economic globalization is closely linked to the globalization of environmental problems, with the underlying causes and directly visible effects of environmental problems becoming increasingly geographically dispersed. For example, the products consumed in one place can have negative environmental effects in distal places of production. This poses challenges to territorially-based governance systems. Governments do not have legal authority to regulate environmental problems in other jurisdictions, even if their own policies or actions of domestic companies contribute to these problems. Likewise, companies face challenges with overseeing and governing the environmental effects that occur along their supply chains. Nevertheless, state and non-state actors increasingly aim to govern environmental problems outside their jurisdictional and organizational boundaries that arise from long-distance interactions between social-ecological systems – so-called telecoupled systems.
This doctoral dissertation analyses the environmental governance of long-distance social-ecological interactions in telecoupled systems in two issue domains: global commodity chains and infrastructure projects as part of China’s Belt and Road Initiative (BRI). Although both domains involve different governance actors, institutions and processes, they both concern the question of how the involved actors develop governance structures and institutional responses to telecoupling. This dissertation aims to contribute to a deeper understanding of how to govern environmental problems that are associated with global flows. Since many multilateral environmental governance initiatives have not yet produced the desired solutions to global problems, particular attention is directed at unilateral state-led governance approaches. This dissertation addresses the questions of (1) how to achieve a spatial fit between the scale of telecoupled systems and the scale of governance institutions, (2) how governance actors exercise agency in governing telecoupled systems, and (3) how state actors can govern the domestic and foreign environmental effects of telecoupled flows. This dissertation draws upon, and contributes to, two fields of research: research on telecoupling and research on global environmental governance.
The results show that creating a spatial fit in the governance of global commodity flows is challenging because boundary and resolution mismatches can emerge. Boundary mismatches denote situations where social-ecological problems transcend established jurisdictional boundaries, whereas resolution mismatches refer to governance institutions that have too coarse a spatial resolution to allow them to address the specific aspects of social-ecological problems effectively. No single governance institution is likely to avoid all mismatches, which highlights the need to align multiple governance approaches to effectively govern telecoupled systems.
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Telecoupled flows are often governed at places where they originate and places where they arrive for processing, final consumption, or investment. If governance in the jurisdiction experiencing the environmental issue is weak, external governance actors can aim to fill this governance gap by introducing due diligence legislation and by promoting sustainability standards in international (trade) relations. State actors often rely on the actions of non-state actors to govern beyond jurisdictional borders. Despite efforts to govern environmental outcomes in distant jurisdictions, it is important to recognize the agency of governments that experience the direct environmental effects of telecoupling. They have great leverage to steer telecoupled systems towards sustainability through the formulation, implementation, monitoring and enforcement of stringent regulatory frameworks, in the context of both commodity supply chains and BRI projects.
The findings of this dissertation are relevant for scholars and policy makers interested in what can be termed external environmental governance, which refers to the governance structures and institutions to shape environmental outcomes outside the borders of a given jurisdiction. This dissertation sets
Depressive disorders are highly prevalent mental disorders associated with an enormous individual and societal burden. The efficacy of both; treatment and prevention of depression have been meta-analytically demonstrated. Over the past two decades, an increasing number of internet-based interventions for depression has been developed and their efficacy was also metaanalytically shown. However, the uptake of such interventions – despite all the suggested advantages of internet-based interventions – is still rather low. The stigma still associated with “depression” may be one major barrier also to internet-based interventions. To overcome this barrier and potentially increase uptake, the paradigm of indirect interventions has been proposed recently. Indirect interventions primarily address common mental health problems, which are presumed to be less stigmatizing, and are suggested to reduce depressive symptoms indirectly. Targeting common mental health problems that are transdiagnostic risk factors for depression and other mental disorders – such as stress or repetitive negative thinking – seems especially promising.
This dissertation evaluated the efficacy of three different internet-based interventions that can be regarded as indirect interventions to reduce depression since they primarily targeted risk factors for depression. For this purpose three registered randomized controlled trials were conducted. In addition to assessing the efficacy of the interventions regarding the primary outcomes, the efficacy to reduce depression and further secondary outcomes was studied. In Study I (N = 200) the efficacy of an internet-based stress management intervention (iSMI), which was adapted and tailored to career starting teachers, was compared to a waitlist control group (WLG). The participants of the intervention group (IG) reported significant reductions on the primary outcome perceived stress at post-intervention (T2), ΔWLG-IG = 3.5, d = 0.52, 95% CI [0.24, 0.80], and threemonth follow-up (3-MFU), d = 0.49, 95% CI [0.21, 0.77]. Furthermore, it was shown that the intervention indirectly also reduced depression at T2, d = 0.66, 95% CI [0.38, 0.94], and 3-MFU, d = 0.47, 95% CI [0.19, 0.75], nad produced significant clinically meaningful reductions of depression with a number needed to treat (NNT) of 3.9 at T2. The effects were sustained at an extended 6-MFU. Besides efficacy, the feasibility to complement the iSMI with a newly developnedte rinet-based classroom management training was shown. Moreover, mediation analyses corroborated the role of problem- and emotion-focused coping skills in the intervention’s effect on stress and the indirect effect of the intervention on depression through stress.
Study II (N = 262) demonstrated the efficacy of an internet- and app-based gratitude intervention on the reduction of primary assessed repetitive negative thoughts at T2, ΔWLG-IG = 6.6, d = 0.61, 95% CI [0.36, 0.86], and 3-MFU, d = 0.75, 95% CI [0.50, 1.00], as compared to a WLG. The participants of the IG also reported significantly reduced depressive symptoms at T2, d = 0.38, 95% CI [0.13, 0.62], and 3-MFU, d = 0.40, 95% CI [0.15, 0.64], with significant clinically meaningful effects with an NNT of 4.3 at T2. The effects were sustained at an extended 6-MFU. Besides efficacy, mediation analyses showed that repetitive negative thinking mediated the gratitude intervention’s effect on depression.
Finally, Study III N( = 351) showed that an interneta-sbed intervention, tackling worries at the beginning of the COVID-19 pandemic, was effective as compared to an active mental health advice group. At T2, two weeks after randomization, the IG reported significantly reduecveedl sl on the primary outcome worry as compared to controΔlsW, LG-IG = 5.0, d = 0.38, 95% CI [0.17, 0.59]. Participants of the IG also reported significantly reduced levels of depression at T2, d = 0.47, 95% CI [0.26, 0.68], with significant clinically meaningful reductions with an NNT of 3.6. The extended follow-ups in the IG indicated that the improvements from baseline were sustained until the 2-MFU and the 6-MFU. In a mediation analysis, worry was shown to mediate the intervention’s effect on depression.
Across all three studies a reliable deterioration of depression was occasionally observed ranging from 3% to 5% in the IGs and from 5% to 12% in the control groups at T2. In summary, the studies in this dissertation demonstrated the efficacy of various indirect interventions focusing on rather common psychological problems to indirectly reduce depressive symptoms. The extent to which depression severity could be reduced is comparable to reductions found within participants with comparable baseline depression severity, in internetbased interventions directly addressing depressive symptoms. Indirect interventions are suggested to increase the uptake of interventions that reduce depressive symptoms, since they might be perceived as less stigmatizing and might broaden the range of interventions to choose from. Future research needs to compare indirect interventions for depression with direct interventions in head-to-head studies regarding uptake, efficacy and potential harmful effects. The indirect interventions examined in this dissertation could then complement the existing range of care for depression and thereby contribute to a reduction of the treatment gap and the burden of disease associated with depression.
The research described in this dissertation focuses on developing a process to remove oligomers and suppress their formation by intercepting the aging procedure's precursors using adsorbents when biodiesel and its blends are used as fuel. There has been the search for various energy sources due to the increasing awareness of the depletion of fossil fuel resources, environmental issues, and more urgently is the need to mitigate climate change. Biodiesel has become more attractive in recent times (Daming et al. 2012, Abdullah et al., 2007) as an alternative fuel. Biodiesel, a methyl ester of vegetable oil, is a renewable, low environmental impact, green alternative fuel for diesel engines (EU Regulation, 2012, Ghosh and Dutta, 2012). In addition to its renewable status, biodiesel, compared to fossil fuel, has advantages such as its biodegradability, reduced exhaust emissions, higher cetane number, lubricity, and safer distribution and storage due to its higher flash point (Pereira et al. 2015, Monyem and Van Gerpen, 2001). Biodiesel fuel is chemically fatty acid methyl ester (FAME) derived from different plant oils. It varies slightly in molecular structures due to the degree of unsaturation of the fatty acids in the different sources compared to conventional diesel fuel (Pereira et al. 2015, 2013, Sharma and Singh, 2009). Biodiesel fuels contain significant amounts of esters of oleic, linoleic, or linolenic acids, which influence their oxidative stability. A small percentage of more highly unsaturated fatty compounds have a disproportionately strong effect in reducing oxidation stability and promoting oligomers formation. The oxidation products of the biodiesel in the engine sump influence the degradation of the lubrication oil.
In past digital health interventions, an issue has been that participants drop out over time which is referred to as the "law of attrition" (Eysenbach, 2005). Based on this, the study proposes that though initially, participants respond to the intervention, there is a hypothesized second diminishing effect of an intervention. However, the study suggests that on top, there is a third effect. Independent of the individual notification or nudge, people could build the knowledge, skills and practice needed to independently engage in the behavior themselves (schraefel and Hekler, 2020). Using behavioral theory and inspired by prior animal computational models of behavior, the thesis proposes a dynamical computational model to allow for a separation of intervention and internalization. It is targeted towards the specific case of the HeartSteps intervention that could not explain a diminishing immediate effect of the intervention, second hypothesized effect, while a person’s overall steps remained constant, third effect (Klasnja et al., 2019). The study incorporates a habituation mechanism from learning theory that can account for the immediate diminishing effect. At the same time, a reinforcement mechanism allows participants to internalize the message and engage in behavior independently. The simulation shows the importance of a participant’s responsiveness to the intervention and a sufficient recovery period after each notification. To estimate the model, the study uses data from the HeartSteps intervention (Klasnja et al., 2019; Liao et al., 2020), a just-in-time adaptive intervention that sent two to five walking suggestions per day. The study runs a Bayesian estimation with Stan in R. Additional validation tests are needed to estimate the accuracy of the model for different individuals. It could however serve as a template for future just-intime adaptive interventions due to its generic structure. In addition, this model is of high practical relevance as its derived dynamics can be used to improve future walking suggestions and ultimately optimize notification-based digital health interventions.
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 computational analysis and the optimization of transport and mixing processes in fluid flows are of ongoing scientific interest. Transfer operator methods are powerful tools for the study of these processes in dynamical systems. The focus in this context has been mostly on closed dynamical systems and the main applications have been geophysical flows.
In this thesis, we consider transport and mixing in closed flow systems and in open flow systems that mimic technical mixing devices. Via transfer operator methods, we study the coherent behavior in closed example systems including a turbulent Rayleigh-Bénard convection flow and consider the finite-time mixing of two fluids. We extend the transfer operator framework to specific open flows. In particular, we study time-periodic open flow systems with constant inflow and outflow of fluid particles and consider several example systems. In this case, the transfer operator is represented by a transition matrix of a time-homogeneous absorbing Markov chain restricted to finite transient states. The chaotic saddle and its stable and unstable manifolds organize the transport processes in open systems. We extract these structures directly from leading eigenvectors of the transition matrix. For a constant source of two fluids in different colors, the mass distribution in the mixer and its outlet region converges to an invariant mixing pattern. In parameter studies, we quantify the degree of mixing of the resulting patterns by several mixing measures. More recently, network-based methods that construct graphs on trajectories of fluid particles have been developed to study coherent behavior in fluid flow. We use a method based on diffusion maps to extract organizing structures in open example systems directly from trajectories of fluid particles and extend this method to describe the mixing of two types of fluids.