Handbook of Sustainability Science in the Future: Policies, Technologies and Education by 2050 [1st ed. 2023] 3031045599, 9783031045592

Table of contents :
Preface
Note
Contents
About the Editor-in-Chief
Editors
Associate Editors
Contributors
Part I: Sustainability and Institutions
1 Sustainability Science for the Future
1 Introduction: Advantages to Pursue Sustainable Development at Institutions
2 Challenges to Pursue Sustainable Development
3 Some Future Trends on Sustainable Development
3.1 Category 1 Trends Associated with the COVID-19 Pandemic
3.2 Category 2 Technological Trends
3.3 Category 3 Societal Changes and New Behaviours
4 Conclusions
References
2 International Cooperation
1 Introduction
2 Research Method
3 Definition of International Cooperation
4 International Cooperation for Public Goods Provision
5 International Cooperation and Global Governance
6 International Cooperation for Sustainable Development
7 International Cooperation and ODA
8 Some Global Debates on ODA
9 Some Benefits ODA
10 Economic Growth an Alternative to ODA
11 Conclusion
References
3 Labour Market Sustainability: Technological Change and Decent Work
1 Introduction
1.1 The General Framework
2 Technology, Economic Sustainable Growth and Labour Market
3 Technologic Advancement and Decent Work
3.1 Innovation and Productivity
3.2 Working from Home
3.3 Multi-sided Platforms Companies
4 The New Scenario: Challenges and Opportunities for Sustainability
4.1 Levels of Affectation by Technology
4.2 The Importance of Population Awareness About Long Term Policies for Sustainability
5 Conclusions
References
4 Equitable Distribution of Sustainable Energy in Small Island Developing States (SIDS)
1 Introduction
2 Literature Review
2.1 Energy Landscape in SIDS
2.2 Mapping of Energy Distribution in SIDS
3 Methodology
4 Results
4.1 Institutional Capacity
4.2 Technological Appropriateness
4.3 Financial
4.4 Technological and Technical Expertise
4.5 Development Assistance
4.6 Complex Investment Landscape
4.7 Social
5 Discussion and Recommendations
5.1 Institutional Framework
5.2 Financing Mechanisms
5.3 Technology Suitability
5.4 Community Development
5.5 Monitoring and Evaluation
6 Conclusion
References
5 Future Food Production and Food Security Policy in Malaysia
1 Introduction
2 Food Security: Concepts and Definitions
3 Food Security Policy in Malaysia
4 Food Production and Food Security
5 Food Security and Challenges to Malaysia
6 Conclusion
References
6 Towards Ensuring Food Security and Sustaining Farmers´ Livelihoods
1 Introduction
2 Paddy and Rice Policies to Ensure Food Security
2.1 Self-Sufficiency Level
2.2 Pricing Mechanism
2.3 Stockpile
2.4 Entry Point Projects
3 Paddy and Rice Policies in Improving the Livelihood of Farmers
3.1 Setting up Various Government Agencies
3.2 Setting a Guaranteed Minimum Price
3.3 Providing Various Incentives and Subsidies
4 The Intervention Policy and Its Dilemmas
5 Conclusion
References
7 Sustainability of the Palm Oil Industry in Ensuring Food Safety
1 Introduction
2 Bio-economy in Malaysia
3 Research Related to Palm Oil Chain and Sustainability Issues
4 Smallholders and Sustainability Agriculture Farming
5 Methodology
6 Why the Sustainability of Palm Oil Industry Is Crucial and How It Is Related to the Sustainable Development Goals Agenda and...
7 SDGs Related to Palm Oil Industry and Ensuring Food Safety
8 How Malaysian Palm Oil Industry Related to Bio-economy?
8.1 National Biodiesel Policy and Food Versus Fuel
9 Findings
9.1 Actors Along the Malaysian Palm Oil Industry, Chain Governance, and Potential System for Chain Upgrading
10 International Initiative: Roundtable on Sustainable Palm Oil
11 National Initiative: Malaysian Sustainable Palm Oil (MSPO)
12 The Existing System in Malaysian Palm Oil Industry
13 Why MSPO Is More Feasible by Designed for Smallholders Than RSPO?
14 Policy Apathy in the Implementation of Bio-economy Policy
15 Conclusion
References
8 Melting Pot: The New Sustainability in a World of Emerging Pandemics
1 Introduction
2 Conceptual Framework
2.1 Sustainability: More than an Environmental Question
2.2 Pandemic and the New Normal
2.3 The Future
3 Methodology
4 Results
4.1 Interviews: Sample Characterization
4.2 Views of the Interviewees
4.2.1 Labor Market
4.2.2 The Future in 2050
4.2.3 Sustainability
4.2.4 Challenges Towards 2050
4.2.5 Lessons from Pandemic: A Change in World Vision
5 Discussion
6 Final Considerations
References
9 Tackling the Climate Emergency with Urban Sustainability Approaches
1 Introduction
2 Method and Approach for Determining Pathways for Urban Areas
3 Pathways for Urban Areas in Developed Countries and Eurasia
4 Pathways for Urban Areas in Asia and Developing Pacific
5 Pathways for Urban Areas in Latin America and the Caribbean
6 Pathways for Urban Areas in Africa and the Middle East
7 Climate Action Based on Sustainable Urbanization Pathways
8 Conclusions for the Realization of Sustainable Urbanization Pathways
9.8 Appendices on Urban Mitigation Actions and SDEWES Index Indicators
References
10 Implementing Sustainability Strategies, Programs, and Practices for the Communities in Higher Education Institutions
1 Introduction
2 Literature Review
3 Implementation of Sustainability
3.1 Case Study: Universiti Sains Malaysia (USM)
3.2 Result and Discussion
3.2.1 Sustainability Assessment Methodology (SAM)
3.2.2 PIMPIN Siswa
Logical Framework Approach (LFA)
World Café
Creativity Index (CI)
3.2.3 Risk Reduction and Knowledge Transfer Projects
The Knowledge and Knowledge Gap
The Disaster Risk Management for Sustainable Development (DRM-SD) Model
Knowledge Transfer
3.2.4 Pedagogical Innovations for Sustainability Integration into Curriculum
Online Collaboration in Sustainability Programs Among Students
RCE Penang Webinar Series: Introducing ESD in Schools - Inspiring Teaching and Learning Strategies, Projects, and Stories
3.2.5 Role of Policy to Set Direction and Affirm Action
4 Conclusions
References
11 Sustainability in Australian Universities: The Road to 2050
1 Introduction
2 Universities in Australia
3 Higher Education and Sustainability
4 Sustainability in Australian Universities
5 The Built Environment in Australia
6 Built Environment Education
7 Discussion
8 Conclusion and Recommendations
References
12 Sustainability Futures
1 Introduction
2 Harmony with Nature
2.1 Nature
2.2 Nature and Ancient Humans
3 Nature and Capitalism
3.1 Capitalism and Otherness
3.2 Consumerism
4 Robbery of Nature
4.1 Re-engineering of Earth
4.2 Todays Earth
4.3 Capitalism and Natures Agency
5 Sustainability Futures: Rebuilding Relation with Nature
6 Final Remarks
References
13 Circular Economy
1 Introduction
2 Just Transitions
2.1 Birth of the Concept
2.2 Conflicting Visions
2.3 Just Transition Policies
3 Just Transitions in the Context of Circular Textile Economy
3.1 Reshoring and Livelihoods
3.2 Vulnerable Regions
3.3 Quality of Work
3.4 Circular Business Practices and Wealth Distribution
3.5 Power Imbalances
3.6 Gender
3.7 Textile Waste Trade
4 Discussion
5 Conclusion
References
14 Digital Transformation in Microfinance as a Driver for Sustainable Development
1 Introduction
2 Micro-credit Delivery Mechanisms and Issues
3 Conceptualizing the Digitalization of Microfinance
3.1 Components of Microfinance Digitalization
3.2 Concept of Blockchain and its Components
3.3 Benefits of Digitalization
3.4 Challenges and Risks Related to Digitalization
4 Some Examples of Digital Innovations in Microfinance
4.1 Case-1: Performance Improvement of MFIs by Using Digital Service in Kenya
4.2 Case-2: Agency Banking Model in Senegal and Mozambique
4.3 Case-3: Digital Credit Facility through MFI & FinTech Partnership in Senegal
5 Key Learnings, Strategies, and Mechanisms
6 Integrated Framework for Sustainable Digital Transformation
6.1 Assurance in Operation
6.2 Audit-Friendly Framework
6.3 Resource Effectiveness
6.4 Digital Agreement
7 Conclusion
References
15 Education Research Facing a Future Marked by Climate Emergency: Analysis of Recent Scientific Production
1 Introduction
2 Methodology
3 Results
3.1 Evolution of Climate Change Research in the Educational Field
3.2 The Geographical Context of Scientific Production
3.3 Collaboration Network
3.4 Main References
3.5 The Main Climate Change Education Themes
4 Discussion
5 Implications for Climate Change Education Research
6 Conclusions
References
16 Commitment of Brazilian Public Universities to the Sustainable Development Goals
1 Introduction
2 Strategic Commitment for Sustainable Development in HEIs
3 Sustainability Assessment in HEIs
4 Brazilian HEIs and the SDGs
5 Conclusions
References
17 Organic Waste Management in Educational Institutions: A Systematic Review
1 Glossary
2 Introduction
2.1 Background
2.2 Problematization
2.3 Aim and Objectives
2.4 Scope of the Study
2.5 Significance and Novel Aspects
3 Methodological Approach
4 Results and Discussion
5 Sustainability Indicators Related to Organic Waste for Educational Institutions
5.1 Disposal of Waste for Composting
5.2 Existence of Programs for Preventing Food Waste in Cafeterias
5.3 Existence of Energy Recovery of Organic Waste (Biogas)
5.4 Reduction in the Volume of Organic Waste Destined for Landfill
5.5 Training of Employees Who Provide Service in the Restaurant in Relation to Selective Collection
5.6 Proper Disposal of Organic Waste
5.7 Selective Collection of Organic Waste
5.8 Existence of Practices of Waste Minimization and Diversion
5.9 Sustainability Measurement Method
6 Conclusion
References
18 Using a Problem-Based Learning Approach to Develop Sustainability Competencies in Higher Education Students
1 Introduction
2 Theoretical Framework
2.1 Sustainability Competencies in Higher Education
2.2 Assessment of Sustainability Competencies in Higher Education
2.3 Real-Life Problems and Education for Sustainable Development
3 Research Methodology
3.1 Research Design
3.2 Participants and Context
3.3 Design of the Problem-Based Learning Approach
3.4 Data Collection
3.5 Data Analysis
4 Findings
4.1 Beginner Level
4.2 Advanced Level
4.3 Expert Level
5 Discussion
6 Limitations
7 Conclusion
References
19 Exploring Sustainability Science, the Agenda 2030, and the UN SDGs from the Social Sustainability Handprint Perspective
1 Introduction
2 Materials and Methods
3 Results
3.1 Sustainability Science
3.2 The UN SDGs and the 2030 Agenda for Sustainable Development
4 Discussion
5 Conclusions
References
20 Interdisciplinary Education Against Eco-anxiety: Learning How to Know About Bodying, Fascias, and Ecological Embeddedness
1 Introduction: Linking Eco-anxiety, Interdisciplinarity, and the Human Body
2 Embedding Human Bodies in Sustainable, Generative Ecologies
2.1 What is Eco-anxiety?
2.2 Defining the Body
2.3 The Fascia Tissue-System as ``Both/And´´: Tissue and System, Fibre, and Fluid
2.4 Fascia: Academic Research Investigation and Transformative Learning Vocabularies
3 The Future of Transformative Learning and Eco-sensitivity
4 Toward an Embedded Interdependence of People and Planet
References
21 Challenging Transformation for Universities
1 Introduction
2 Transformational Context
3 Change Within the HEI
3.1 Governance
3.2 Research and Teaching
3.3 Operations
4 Stimulating Behavior Change Among HEI Members
5 Bringing About Change in Other Systems and Organizations
6 Conclusion: Lessons Learned
References
22 The Key Role of Alliances and Multi-stakeholder Collaboration for Climate Action Implementation Within Higher Education Ins...
1 Climate Change and the Role of Multi-stakeholder Collaboration
2 Alliances for Climate Action at the University Level
2.1 International Networks and Initiatives
2.2 The Red Campus Sustentable
3 Methodology
4 Results
4.1 The Carbon Neutrality Working Group Pathway
4.2 Perspectives on the RCS Critical Issues
5 Discussion
6 Conclusions
References
23 Practical Aspects of Sustainability and Its Relationship with the Valorization of Coffee Grounds Generated in a Brazilian E...
1 Introduction
2 An Opportunity Amid the Problem of Organic Waste
3 Method Description
3.1 Selection of Sectors and Definition of Collection Routes
3.2 Mass Reduction of Treatments
3.3 Yield of the Compounds Obtained
3.4 Aspects of Sustainability
3.4.1 Potential for Diversion of Landfill Waste
3.4.2 Monetary Value of the Organic Compounds Obtained
4 Results
4.1 Reduction of the Mass and Yield of the Organic Compounds Obtained
4.2 Sustainability Aspects
4.2.1 Potential for Diversion of Coffee Preparation Waste from Landfills
4.2.2 Estimation of Monetary Value Related to the Potential of Compost Production
5 Conclusion and Recommendations
References
24 A Sustainable Circular Economy for Australia: Bringing the Circular Economy into the Doughnut
1 Introduction
1.1 Positioning Circular and Doughnut Economics for Sustainable Development
1.2 Circularity as Sustainability Transition: Coalitions, Governance, and Change
2 Circular Discourses and Promises in Australia: Making the Mainstream
3 Federal, State, and Other Initiatives
4 Intermediaries in Sustainability Transitions
5 Methodology: Qualitative Interview Recruitment and Thematic Analysis
6 Themes
6.1 Definitions: History and Geography Matters
6.2 Benefits and Enablers of a Circular Australia
6.3 Barriers
6.4 Waste Management and Recycling Policy Narrative
6.5 (Multilevel) Governance Relations
6.6 Circular Within a Doughnut Economics Umbrella
6.7 Potential for Sustainable Transition in Five Years
7 Conclusion
References
25 Toward Best Practices of Implementing Campus Sustainability in US Universities
1 Introduction: The Changing Nature of Campus Sustainability
2 The Variable Dimensions of Campus Sustainability
3 The Transformational Role of Leadership and Planning for Campus Sustainability
4 Operationalizing Leadership for Campus Sustainability
5 Methodology
5.1 Using an Indicator-Based Approach to Assess Sustainability Effectiveness
5.2 Case Studies Selection
6 Case Studies Presentation
6.1 American University, Washington, D.C.
6.2 Carnegie Mellon University, Pittsburgh, Pennsylvania
6.3 George Washington University, Washington, D.C.
6.4 New York University, New York, New York
6.5 University of Pennsylvania, Philadelphia, Pennsylvania
6.6 Columbia University, New York City, NY
6.7 Case Western Reserve University, Cleveland, Ohio
6.8 Boston University, Boston, Massachusetts
6.9 Saint Louis University, Saint Louis, Missouri
7 Findings from the Case Studies and Discussion
7.1 Limitations
7.2 Further Research
8 Conclusion
References
26 Governance for Sustainability in Higher Education Institutions
1 Introduction
2 Analytical Grounds
3 Analytical Methodology
4 Presentation and Analysis of Results
4.1 Document Types
4.2 Dynamics of Green Campuses in University Management
4.3 Elements of Institutional Governance to Promote Sustainability
4.4 General Challenges
5 Conclusions
References
27 Waste Generation and Management at the University of A Coruña
1 Introduction
2 Materials and Methods
2.1 The Main Campus of UDC
2.2 Sources of Information and Study Approach
2.3 Obtaining Waste Quantities from Collection Frequencies and Emptied Volumes
2.4 Determination of the Quality of Selective Collection and Other Aspects of the Study
3 Results and Discussion
3.1 Waste Streams, Origin, and Agents Involved
3.2 Type and Number of Waste Containers and Frequency of Waste Collection in the UDC
3.3 Generation and Management of Waste at UDC in 2011 and 2019
3.3.1 Generation of CDW, WEEE, HW, B, and PW at UDC
3.3.2 Selective Collection of Waste Paper/Cardboard, Glass, and Batteries
3.3.3 Quantity and Composition of OFMW and NOFMW Streams in 2011
3.3.4 Generation and On-site Composting of Bio-waste from Canteen Services
3.3.5 Total Waste Generated at the UDC in 2011 and 2019 and Distribution by Material Type and Collection Mode
3.3.6 Per Capita Waste Generation and Comparison with Other HEIs
3.4 New Selective Collection Model for PC-OFMW-NOFMW in the Centers
4 Overall Assessment and Main Challenges
5 Conclusions
References
28 Academic Motivation and Previous Academic Achievement in Higher Education
1 Introduction
2 Theoretical Framework
2.1 The Academic Motivation Construct
2.2 Prior Academic Achievement and Academic Motivation
2.3 The Present Study
3 Materials and Methods
3.1 Participants
3.2 Variables and Instruments
3.3 Procedure
3.4 Data Analyses
4 Results
4.1 Previous Achievement and Academic Goal Orientation
4.2 Previous Academic Achievement, Self-Efficacy, and Expectancy for Success
4.3 Previous Academic Achievement and State Anxiety
5 Discussion
6 Conclusion
References
29 In Times of Uncertainty
1 Introduction
2 Higher Education Sustainability Model
3 Sustainability of the Hong Kong Higher Education System
4 Methodology
5 Research Findings
6 Discussion
7 Limitations
8 Conclusive Remark
References
30 The Contribution of the Circular Economy to the Fulfillment of the 2030 Agenda in Higher Education Institutions
1 Introduction
2 CE Role at HEIs
2.1 CE with University Social Responsibility Support
2.1.1 Importance of the Institutionalization Programs at HEIs
2.1.2 Importance of Education for the Success of the Programs
3 Link Between 2030 Agenda, CE, and HEIs
3.1 SDGs at University Research and Academic Training and CE
3.2 SDGs at Campus Operations and CE
4 Methodology for Data Collection
5 Results and Discussion
5.1 Implementation of CE Initiative in the Operational Pillars of HEIs
5.2 SDGs Addressed at HEIs
6 Conclusions
7 Limitation of the Study and Future Line of Research
8 Future Lines of Research
References
Websites
31 Linking Low Family Income to Waste Recycling in a Brazilian Public University
1 Introduction
2 Waste Pickers´ Cooperatives
3 Recyclable Solid Waste
4 Method
5 Results and Discussion
6 Conclusions
References
32 Post-Sustainability, Regenerative Cultures, and Governance Scale-Up: Transformational Learning Cases of Sociocracy 3.0 in P...
1 Introduction
2 Transformation, Margins, and Centers: Communities of Practice, Local Governance, and Scale-Up Governance
2.1 Sociocracy 3.0
3 Methodology
4 Results and Discussion
4.1 Learning from the Learner: Narratives from the Field
4.2 Phases of a Journey: Learn from Whom Learned
4.2.1 First Turning Point: Failures in the Educational and Society Model
4.2.2 Second Turning Point: The Journey, Holistic Learning, Permaculture, and Ecovillage Design
4.2.3 Third Turning Point: A Pioneer Project
4.2.4 Fourth Turning Point: Between the Journey and Relocation
4.2.5 Fifth Turning Point: Breaking the Traveler´s Pattern
4.2.6 Sixth Turning Point: Discovering S3
4.2.7 Seventh Turning Point: S3 Practitioners and Part of a Network
4.2.8 Eighth Turning Point: Applying and Spreading S3
4.2.9 Ninth Turning Point: ``Artful Participation´´
4.3 Mapping Sociocracy 3.0 in Portugal: Eight Learning Cases
5 Final Remarks
References
33 Advancement in Social Technologies in Brazil: Regional Concentration and SDG Representation
1 Introduction
2 Social Technologies
2.1 Social Technologies: Concept Definition and Characteristics
3 Brazilian Bank Foundation Database
3.1 Bank of Social Technologies of Banco do Brasil
4 Statistical Analysis
4.1 Methodology and Data
4.2 Social-Economic Data
4.3 Findings and Discussion
4.3.1 Geographical Distribution
4.3.2 Themes and SDGs
5 Conclusion
33.5 Appendix
References
34 Sustainability in Engineering Education: Experiences of Educational Innovation
1 Introduction
2 Education on Sustainability. Incorporating Sustainability in Engineering Studies
3 Experiences of Educational Innovation
3.1 Connecting Green Skills and Educational Innovation
3.2 Flipped Classroom
3.3 Challenge-Based Learning
3.4 Creativity
4 Problems Detected and Limitations
4.1 On the Part of the Professors
4.2 On the Part of the Students
5 Concluding Remarks
References
35 How Cities and Universities Approach the Sustainable Development Goals
1 Introduction
2 The SDGs, Cities, and Field of Knowledge
2.1 Economic and Educational Challenges
2.2 Universities Approaching Sustainable Development
3 Challenges in Designing New Educational Paths
3.1 Case Study from Germany
3.2 Case Study from Poland
3.3 Case Study from Italy
3.4 Case Study from Ukraine
3.4.1 Ukraine Integration in the EU Area
3.4.2 Sustainable City Development: An Area That Requires Experienced Professionals
4 Conclusions and the Road Ahead
References
36 Sustainable Development Goals and Urban Health Challenges in Informal Settlements of Mangaung Municipality, South Africa
1 Introducing the Sustainable Development and Health Challenges in Informal Settlements
2 Sustainable Development Goals and Health Challenges in Informal Settlements: A Review of Literature
2.1 SDG 1 and Health Challenges in Informal Settlements
2.2 SDG 3 and Health Challenge in Informal Settlements
2.3 SDG 6 and Health Issues for Informal Settlements
2.4 Sustainable Development Goal 11 and Health Challenges
2.5 Sustainable Development Goal 13 and Health Challenges
3 Methods and Materials
3.1 Description of the Study Area
3.2 Research Design and Methodology
4 Geography of the Informal Settlements in Mangaung Municipality
4.1 Physical and Spatial Conditions of the Informal Settlements
4.2 Provisioning of Basic Services (Water and Sanitation)
4.3 Governance and Management of Informal Settlements and Climate Risks
5 Findings from Caleb Motshabi Informal Settlement
5.1 Reflections on SDG 1: Poverty and Unemployment
5.1.1 Inability to Pay for Services
5.2 Health SDG 3: Insights on Primary Health Facilities and Services in Caleb Motshabi
5.3 SDG 6 in Caleb Motshabi
5.4 SDG 11 Seen Through Caleb Motshabi Informal Settlement
5.5 SDG 13 and Climate-Related Health Risks in Mangaung Metropolitan Municipality
6 Discussion and Implications for Sustainable Development Goals
7 Conclusion and Policy Recommendations
References
37 Business Practices and Trends in the Transition to Sustainability: Case of Ecuador
1 Introduction
2 Literature Review
2.1 Sustainability Transitions
2.2 Integrating Sustainability into Business Practices
3 Case Studies
3.1 Electricity Generation
3.1.1 The Challenge of Balancing Long-Term Goals and Economic Objectives
3.2 Metallic Mining
3.2.1 With a Larger Scale Comes a Greater Demand for Environmental Sustainability
3.3 Shrimp Aquaculture
3.3.1 New Sustainability Practices in a Long-Established Exporting Industry
4 Discussion
5 Conclusions
37.5 Appendix: List of Interviewees
References
38 Science and Technology Parks and Environmental Governance: An Exploratory Analysis of the International Hub for Sustainable...
1 Introduction
2 Challenges of Contemporary Environmental Governance: Guiding Principles of HIDS
3 Technology Parks: Implementation Models and Sustainability Dimensions
4 The International Hub for Sustainable Development (HIDS): A Pioneering Experience in Latin America
5 Final Considerations
References
39 Focusing on the Future: Current Practices and Future Perspectives in Implementing Sustainable Development Goals in the Regi...
1 Introduction
2 Redefining the Mission of Higher Institutions
3 Envisioning More Sustainable Futures
4 Students as Co-creators of Sustainable Changes
5 Methods
6 Findings and Discussions
7 Conclusion
8 Further Research and the Limitations of This Study
References
40 Challenges and Opportunities for UK Seaports Toward Future Sustainability
1 Introduction
2 The Smart Ports Testbed Pilot Project
2.1 Why Was the Smart Ports Testbed Project Innovative?
2.2 What Are the Competing Solutions?
2.3 What Is the Benefit to the Industry Partner?
3 Project Roadmap
4 Why Ports?
5 Connectivity: Linking Hinterland and Region
5.1 Labor Market and Training
6 Port Governance
7 The Gradual Transition to Smart Ports
8 What Is a Smart Port?
9 Smart Port Innovation Overview
9.1 Analysis of Intertwined Aspects of Smart Port Innovation
9.2 What Is the Role of the North East of England?
9.3 North East of England Ports Research Summary
10 North East of England Ports SWOT Analysis
11 Port Size Comparison
11.1 Ports Analysis
12 Relevant Projects and Funded Research Initiatives
13 Relevant Projects and Funded Research Initiatives Analysis
14 Key Results from Interviews and Workshops with Local Ports
14.1 Main Outlines
14.2 Toward Future Smart Ports
14.2.1 Resilience
14.2.2 Technologies
15 Conclusion
References
Part II: Approaches and Methods to Foster Sustainability
41 Global Models of Sustainability and Values
1 Introduction: Backcasting and Forecasting
2 Two Sides of Normativity: Sub-jectivity and Retro-jectivity
3 Two Cases: ``World 3´´ and ``Bariloche´´
4 Conclusion: Toward New Global Models of Sustainability?
References
42 The Role of Innovation in a Postgrowth Society
1 Introduction
2 Interdependency Between Innovation and Growth
3 Technical Innovation and Postgrowth
4 Service Innovation and Postgrowth
5 Social Innovation and Postgrowth
6 Innovation and Well-Being Under Postgrowth Conditions
7 Conclusions and Outlook
Literature
43 Impacts of Social Hazards on Urban Sustainability
1 Introduction
2 Linking Sustainability and Resilience in Urban Settings
3 Characterization of Social Hazards with Regard Resilience Thinking
4 The Complex Nature of Urban Adaptive Systems
5 Digital Cities to Manage Complex Adaptive Urban Systems
6 Impacts of Coronavirus Pandemic on Urban Sustainability
7 Conclusions
References
44 Young Children´s Understanding of Environmental Issues
1 Introduction
2 Environmental Education
3 Environmental Education in Early Childhood
4 Young Children in Environmental Research
4.1 Environmental Perceptions
4.2 The Natural Environment
4.3 Environmental and Sustainability Issues
4.4 Environmental Attitudes and Values
4.5 Educational Interventions and Future Directions
5 Concluding Comments
References
45 Investigating the GreenMetric World University Ranking as an Equitable Tool
1 Introduction
1.1 Sustainability Assessment Tools for Higher Education Institutions
1.2 Issues Related to Sustainability Assessment Tools for Higher Education Institutions
2 GreenMetric World University Ranking
3 Vulnerabilities of the GreenMetric World University Ranking: A Bibliometric Survey
4 Conclusion
References
46 Environmental Communication and Health Promotion
1 Introduction
2 The Importance of Natural Ecosystem Services
3 A New Geological Epoch: The Anthropocene
3.1 Climate Change: ``The Leader of All Risk Factors´´
4 An Eco-Cultural Health Perspective
5 The Need to Change Our Mind Settings
6 Environmental Communication Necessity
6.1 Environmental Communication Field
6.2 The Role of Communicator Concerning Environmental Issues
6.2.1 Motivation
6.2.2 Locus of Control
7 Health Promotion and New Public Health Approaches
8 Discussion
9 Conclusion
References
47 Future-Oriented Methodologies for Sustainability
1 Introduction
2 Why Are Future-Oriented Methodologies Needed?
3 Working with Insufficient Data
4 Reductionist Representations of Real-World Events
5 Challenges in Dealing with Nonlinear, Delayed, and Distributed Consequences of Actions
6 Outliers, Extremes, and Weak Signals
7 The Communicative Function of Methodology
8 Research as Communities of Practice and Implications for Cross-Disciplinary Collaboration
9 Methodological Lock-In and Anticipatory Methodology Development
10 Purposes and Problems of Methodological Boundaries
11 Power and Ethics
12 Inertia of Knowledge Systems and Conditions for Methodological Innovation
13 New Approaches for Challenging Times
14 Conclusion
References
48 Future Interdisciplinary Waste Ecological Challenges
1 Introduction
2 Interdisciplinary Ecological Challenges
3 Domestic Waste Indicators and Future Directions
4 Conclusions
References
49 Historical Memory and Eco-centric Education: Looking at the Past to Move Forward with the 2030 Agenda for Sustainable Devel...
1 Introduction: Historical Roots of Education in Western Culture
2 Education for Sustainability in the Digital Age
3 Eco-centric Curricula in Sustainability Education
4 Environments for Teaching and Learning in Sustainability Education
5 Reorganizing Education for a Sustainable Development
6 Conclusion
References
50 Sustainable Materials for Advanced Products
1 Introduction
2 New Sustainable Materials: From Earth to Earth
3 General Properties of Biocomposite Materials
3.1 Natural Fibers
3.1.1 Classification
3.1.2 General Properties
3.1.3 Economic Value
3.1.4 Advantages and Disadvantages
3.2 Bio-based Matrixes
3.2.1 Cellulose
3.2.2 Starch
3.2.3 Casein
3.2.4 Polylactic Acid
4 Invasive Plant Species: A New Source of Natural Fibers
5 Conclusions
References
51 Applying Data Analytics in Food Security
1 Introduction
2 Food Security
3 What Is Data Analytics?
4 Data-Driven Decision-Making
5 Data Analytics Framework
6 Types of Analytics
7 Predictive Analytics in Food Safety for Food Security
8 The Role of Crop Yield in Ensuring Sustainable Food Security from Machine Learning Perspective
9 Steps for Data Analytics in Food Security
10 Conclusion
References
52 Artificial Intelligence and Technology for Sustainable Food Production and Future Consumption
1 Introduction
2 Artificial Intelligence for a Sustainable Food System
2.1 Agricultural Cultivation
2.2 Food Processing and Manufacturing
2.3 Food Quality Control
2.4 Distribution and Logistic
2.5 Work Labor
2.6 Food Consumption
3 Challenges of Embedding AI in Food Supply Management
4 Conclusion
References
53 Sensoriality, Arts, Poetry, and Sustainability
1 Introduction - Precursors to Sustainable Development Definition
2 The Need for Multi (inter) Disciplinarity to Realize Agenda 2030 Goals
3 Sensoriality and Beauty as Educational Tools for Sustainable Development
3.1 Design Considerations
3.2 Beauty and Responsibility to Act
3.3 Beauty, Cynicism, and Desire - A New Definition of Sustainable Development
4 The Arts and Sustainable Science
5 Poetry and a Sustainable Wor(l)d
6 Poetry as a Tool for Understanding Science of Sustainability
6.1 The Practical Experiences of Senses, Poetry, and Theater Labs for Sustainability
6.2 The University Course Experience
6.2.1 Course Curriculum
6.2.2 Sensory Experiences
Theater-Like Experiments
6.2.3 Poetry as a Tool
6.3 Urban Workshops
7 Conclusions
References
54 Robotized Pre-recycling for Improved Material Recovery
1 Introduction
2 Traditional E-Waste Recycling
3 Robotized Pre-recycling Technique
4 Barriers for the Implementation of Robotized Pre-recycling
5 Conclusion
References
55 Diagnosis and Prognosis in the Management of the Environmental Impacts of a Sanitary Landfills from the Perspective of the ...
1 Introduction
2 Literature Review
3 Knowing the Landfilling
3.1 Delimitation of the Place of Study
3.2 Groundwater and Surface Quality of the Spring
3.3 Statistical Evaluation of the Data
3.4 Determination of the Potential for Contamination of the Local Aquifer
4 Diagnosis of Environmental Impacts of Sanitary Landfills
4.1 Vulnerability of the Local Aquifer to Potential Landfill Pollution
4.2 Monitoring of Ground and Surface Water
5 The Implementation of the SDGs as a Contribution to Accelerating the Management and Improvement of Landfills
6 Final Considerations
References
56 Relating the Metrics and Indicators of the Living Building Challenge and Urban Ecosystem Services for Regenerative Design
1 Introduction
2 Urban Ecosystem Services
3 Living Building Challenge
4 Methodology
5 Results
5.1 Proposed Urban Ecosystem Services Categories
5.2 Design Metrics and Indicators
6 Conclusion
References
57 Methodology for Selecting Agile Methods in Transdisciplinary Sustainability Projects
1 Introduction
2 Agile Methods in Transdisciplinary Research
2.1 Transdisciplinary Research and Development
2.2 Agile Methods
2.3 Cluster of Agile Methods
2.4 Methodology for Selecting Agile Methods
2.5 Application of a Methodology for Selecting Agile Methods Within a Project
3 Conclusion
References
58 The Gaps for Future Studies in Life Cycle Assessment (LCA) of Single-Use Plastic Bags: A Literature Review
1 Introduction
2 About the Polymers Used in Single-Use Plastic Bag Production
3 Background on Single-Use Plastic Bag Production
4 Background on Life Cycle Assessment (LCA)
5 About the Studies of Life Cycle Assessment of Single-Use Plastic Bag
6 Conclusion
References
59 Ambient Air Quality Within Urban Communities of South Africa
1 Introduction
1.1 Impacts of Air Pollution on Human Health
1.2 Impacts of Air Pollution on the Environment
1.3 South African National Ambient Air Quality Standards (NAAQS)
2 Analysis Approach
3 Air Quality Monitoring and Management Case Studies in South Africa
4 Discussion
5 Study Implications for Sustainability in the Future
6 Conclusion
References
60 Toward Forests´ Sustainability and Multifunctionality: An Ecosystem Services-Based Project
1 Introduction
2 Forests´ Conservation: Take Action
3 Forests Ecosystem Services: A Brief Overview
4 Toward Forests´ Sustainability and Multifunctionality: Ecosystem Services-Based Approaches
4.1 The MultiForest Project
4.2 Conceptual Approach
4.2.1 Mapping and Assessment of Forest Ecosystem Services
Study Areas Addressed in the Project
Most Relevant Forest Ecosystem Services (In the Scope of MultiForest Analysis)
Assessing Ecosystem Condition: Definition of Indicators
Modelling of Forest Ecosystem Services
4.2.2 Perceptions of the Forests´ Ecosystem Services Value
4.2.3 Forestry Practices for Fostering Ecosystem Services and Biodiversity: Some Considerations
5 Conclusions
References
61 Reflective Thinking in Business Courses
1 Introduction
1.1 Reflective Thinking and the Business Courses
1.2 Reflective Thinking Measurement Questionnaire
2 Method
3 Results
4 Discussion
5 Conclusions
References
62 Geospatial Ecological Footprint Calculators Through Participatory and Collective Processes
1 Introduction
2 Main Aims of Emapic-OMA Calculators of Carbon Footprint
2.1 Emapic: Locate on the Map the Knowledge and Feelings of the Participants
2.2 Emapic-OMA-Water: Mapping Efficiency in Water Consumption Devices
2.3 Emapic-OMA-Waste: Waste Management and Prevention Practices
2.4 Aims of Mobility and Energy Calculators
3 Methodology
3.1 Reference Values, Emission Factors, and Indicators for Domestic Waste Carbon Footprint
3.2 Water Use Efficiency Indicators
3.3 Emission Factors for Transport Modes
3.4 Electricity and Fuel Emission Factors
3.5 Reference Values for Domestic Use of Energy in Galiza
3.6 Carbon Footprint Expression from CO2 Emissions
3.7 Calibration and Verification of the Operation of Calculators
4 Results and Discussion
4.1 The Tools: Emapic-OMA Calculators of Carbon Footprint
4.1.1 Emapic-OMA General Portal
4.1.2 How Users Manage the Tool: The Forms of Emapic-OMA Calculators
4.1.3 Emapic-OMA Maps: Results Available to All People, Users, or Not
4.1.4 Collective Projects with Emapic-OMA
4.1.5 The Use of Emapic-OMA Calculators over the Time
4.2 Knowledge and Practices Related to Waste in Galiza from Emapic-OMA-Waste Calculator
4.3 Water-Efficient Practices Related in Galiza from Emapic-OMA-Water Calculator
4.4 Mobility and Energy Footprint Calculators
5 Conclusions
References
63 Perceptions of Women Waste Handlers in Ghana, Africa
1 Introduction
2 Background
2.1 Perspective of Sustainable Development Goal 5 (SDG 5): 2030 Agenda
2.2 Bioethical Paradigm Related to Gender Equality
3 Methodology
3.1 Sample Characterization
3.2 Data Related
3.3 Ethical Considerations
4 Discussion
5 Conclusions
References
64 Sustainable Pharmaceutical Waste Management: Pharmacist and Patient Perception in Ghanaian Hospitals
1 Introduction
2 Management of Pharmaceutical Waste in Ghana, Africa
2.1 Policy
2.2 Pharmaceutical Waste at Medical Facilities
2.3 Household Pharmaceutical Waste Management
3 Material and Methods
3.1 Study Area
3.2 Method
3.3 Instruments
3.4 Study Sampling
3.5 Ethical Issues
4 Results
4.1 Pharmacists´ Perception
4.2 Patients´ Perception
4.3 Assessment of Medicare Facilities Regarding PW Management Practices
5 Discussion
6 Conclusions
References
65 Recovering from COVID-19 Environment and Social Impacts in Sub-Saharan Africa: The Role of Social Engagement
1 Introduction
2 Literature Review
2.1 COVID-19: The Originating Source
2.2 COVID-19: Prevention Measures and the Effect in Africa
3 Methodology
4 Findings and Discussion
4.1 Social Engagement Impacts of COVID-19 Crisis in Sub-Saharan Africa
4.1.1 Social Protection Engagement: Cushioning Actions
4.1.2 Impact of Business on COVID-19
4.1.3 Impact of Covid-19 Crises on Children
4.1.4 Trust in Government and Stigmatization for Sustainability
4.1.5 Social Engagement for Sustainability
5 Conclusions
References
66 Geotourism Social Constraints and Protection Instruments from a Sustainability Perspective
1 Introduction
2 Theoretical Foundation
2.1 Tourism and Sustainable Geotourism
2.2 Factors Favoring and/or Limiting the Implementation of Geotourism
2.3 Formal Instruments Regulating the Geotourism Activity in Brazil
3 Material and Methods
3.1 Study Area
3.2 Geological, Geomorphological, and Landscape Potential of Mucajaí
3.3 Data Collection
4 Results
5 Discussion
6 Conclusions
References
67 Technology Design for a Sustainable Circular Economy: Research and Practice Consequences
1 Introduction
1.1 Sustainable Development and Technology
1.2 Sustainable Technology in Transitions Theory
1.3 Toward Sustainable Circular Economy
1.4 Design for Sustainable Circular Economy
1.5 How Design Can Contribute to a Sustainable Circular Economy
1.6 Illustrative Case Studies: Envisioning Sustainable Circular Futures Through Industrial Design
1.6.1 Passive, Preventative Exoskeleton
1.6.2 Cyber-physical Agricultural Swarm System
1.6.3 Last-Mile Automated Mobility System
1.7 Conclusion
References
68 Circular Economy in the Built Environment of North America: Toward Housing Affordability and Sustainability
1 Introduction: Homebuilding and the Environmental Challenge
1.1 Material Phase - Resource Extraction, Manufacturing, and Transportation
1.2 Operational Phase - Homebuilding Performance
1.3 End of Use Phase - Waste Generation
1.4 A Circular Economy in Homebuilding
1.4.1 Housing Affordability; A Need for a New Paradigm
2 The Circular Multi Family (CMF) Housing Design
3 Introducing a Choice Menu
4 Building Exterior Flexibility
5 Prefabrication for Circularity
6 Toward Sustainable Development in Housing
7 Understanding the Environmental Impacts of CMF: Life Cycle Analysis
8 Understanding the Economic Potential of CMF: Cost Analysis
9 Understanding the Social Impacts of CMF: Occupancy Type and Configuration Analysis
10 Implementing Circular Building Practices
10.1 Practicality
10.2 Marketability
10.3 Quality, Durability and Maintenance
10.4 Cost
11 Conclusion
References
69 Toward the Implementation of SDG12 to Ensure Sustainable Consumption and Production Patterns: Opportunities and Neglected I...
1 Introduction
2 How Different Visions of Development Shaped SDG12
2.1 Indicators as an Expression of Political Priorities
2.2 Means of Implementation
2.3 Common Elements in the SDG12 Implementation Initiatives
3 Sustainable Production
3.1 Applying Circular Economy Principles to Sustainable Production
3.2 Voluntary Sustainability Standards (VSS)
4 Sustainable Consumption
4.1 Applying Behavioral Economics to Sustainable Consumption
4.2 Green Nudges for Overcoming Behavioral Hurdles
5 Carbon Pricing Supports SDG12 Beyond Voluntarism
6 Discussion
6.1 Salient Opportunities and Neglected Issues in SCP
6.2 Implications for Unaddressed Means of Implementation
7 Conclusion
References
70 Sustainable Recovery: Analysis of the Perception of Engineers in the Brazilian Amazon
1 Introduction: Sustainable Recovery in the Brazilian Amazon
2 Driving Sustainability and Innovation in Engineering Education
3 Experiences of Recovery for Sustainability: A Vision of Engineers of the Amazon About Innovation and Sustainability Practices
4 Contributions
5 Conclusions
References
71 Circular Economy in Olive Oil Industry: The Case of Greece
1 Introduction
2 Circular Economy (CE)
2.1 The Transition to a CE
2.2 Implementation of the CE
3 Circular Economy in Agri-food Industry
4 Circular Economy in Olive Oil Industry
4.1 Olive Oil Industry
4.2 Olive Oil Mill Waste (OOMW)
4.3 Olive Oil Mill Waste (OOMW) Management
4.4 Valorization of Olive Oil By-products and Waste
5 The Case of Greece
5.1 Waste Management and CE in Greece
5.2 CE in Greek Agri-food Sector
5.3 CE in Greek Olive Industry
5.3.1 Waste Management of Greek Olive Oil Mills
5.3.2 Circular Economy in Greek Olive Oil Mills
6 Conclusions
References
Part III: Sustainability Strategies and Tools
72 Dematerialization: Needs and Challenges
1 Introduction
2 Assessment Methodologies
2.1 Material Flow Analysis (MFA)
2.2 Life Cycle Assessment (LCA)
2.3 Input-Output Analysis (IOA)
2.4 Statistical and Econometric Methods
3 Dematerialization and Development
4 Variations in Industrial Sectors
5 Challenges
6 Conclusions
References
73 From Agroecology to Food Systems Sustainability: An Evolutionary Path Shifting Toward Sustainable Agriculture and Developme...
1 Introduction
2 Industrial Agriculture and the ``Risky Business´´ of Agribusiness
3 The Paradox of Agriculture Intensification and Increasing Hunger
4 Food Supply and Lessons Learned from the Covid-19 Pandemic
5 Micro- and Urban Farming as New Trends in Agroecology
6 Agroecology Education in the Twenty-First Century
7 Conclusion
References
74 Geographical Information Systems and Open Data
1 Introduction
2 Open Data
2.1 General Remarks
2.2 FAIR Data
2.2.1 Usability Concerns
2.2.2 Quality Concerns
2.3 Open, Spatial Data
2.4 Citizen Science and Volunteered Geographic Information
2.4.1 Citizen Science
2.4.2 Volunteered Geographic Information (VGI)
2.5 Open Data Provided by Administrations and Enterprises
2.5.1 Spatial Data Infrastructures
2.5.2 Open Geodata Provided by Private Enterprises
2.6 Open, Spatial Data by Default and Request
3 Integration of Open Spatial Data, CS, and VGI in an Interactive Mapping Service Supporting Regional Sustainable Development
3.1 A Project to Support Sustainable Development on a Regional Level
3.1.1 Setting Up a Transdisciplinary Geographical Database, Including Open, Spatial Data
3.1.2 Deciding on Sustainable Regional Measures to Adapt to Climate Change, Based on Administrative and Open Spatial Data
3.2 Quality Concerns Revisited
4 Conclusions
References
75 Fostering Global Partnerships for Sustainable Development
1 Introduction
2 Millennium Development Goals: The First Step in Forming Global Partnerships for Sustainable Development
3 Official Development Assistance (ODA)
4 Global Partnership in the 2030 Agenda
4.1 Financial Support
4.2 Development of Institutional Environment
4.3 Training and Institutional Capacity
4.4 Ensuring Access to Technologies
5 Public-Private Partnerships for the SDGs
6 Public Authorities, Business and Society: New Roles and Realities to Ensure Sustainable Development
6.1 Public Authorities
6.2 Private Business
6.3 Civil Society Institutes
6.4 Role of Science in the Development of Public-Private Partnerships and Sustainability
7 Summary Remarks
References
76 Imagining a Prosperous Periphery for the Rural in 2050 and Beyond
1 Introduction
2 Overview of the Rural-Urban Relationship
3 The Diverse and Sustainable Rural
4 Rural Futures Imagined Through Metaphors
4.1 Heart Attack Scenario
4.2 Cancer Scenario
4.3 Healing Scenario
5 Conclusion
References
77 Certified Sustainable Palm Oil
1 Introduction
2 Sustainability Challenges, Issues of Oil Palm Industry, and Importance of Certifications
3 Stakeholders´ Ongoing Debates Towards Palm Oil Sustainability Practices and Certifications
3.1 Environmental Nongovernment Organizations (ENGOs) and NGOs Debates
3.2 Debates Against Growers/Smallholders
3.3 Debates Against Palm Oil Producers
3.4 Debates Against Top Management Certification Policies
3.5 Ongoing Debates by Consumers
4 The Investors´ Main Perception About Certifications and Their Practices to Overcome These Debates
5 Conclusion
References
78 Structural Relationship Between Techno-finance and Waste Management Treatment (WMT) for Re-designing Sustainable Production
1 Introduction
2 Sustainability Challenges Due to Waste Management Treatments
3 Proposed Structural Relationship Between Techno-finance and Waste Management Treatment with Composite Sustainability Indicat...
4 The Proposed Structural Relationship Between Techno-finance and Waste Management Treatment
5 Conclusion
References
79 Using Agile Management (Scrum) for Sustainability Transformation Projects
1 Introduction
2 Background
2.1 Sustainability Transformations and Transitions
2.1.1 Circular Economy
2.1.2 Sustainability Science Projects
2.2 Agile Project Management
2.2.1 Scrum Framework
2.2.2 Scrum in Research
2.3 Prosperkolleg Project
2.4 Research Questions
3 Methods
3.1 Research Design
3.1.1 Case Study - Using Scrum in Prosperkolleg
4 Results
4.1 Inductive-Conducted Category System
4.1.1 Transformation Towards a Circular Economy
Holistically Accepted Approach
Collaboration Between Relevant Stakeholders
Realization
4.1.2 Sustainability Transformation Projects
Research Approach
Collaboration
Implementation
Impact
4.1.3 Scrum Advantages and Disadvantages
4.1.4 Scrum Advantages
Scrum Disadvantages
4.2 Deductive Matching with Scrum Framework
5 Discussion
6 Conclusion
References
80 Machine Learning in Food Security and Sustainability
1 Introduction
2 Food Security and Sustainability
3 Food Security in Malaysia
4 Overview of Machine Learning
5 Application of Machine Learning on Food Security and Sustainability
5.1 Livestock Management
5.2 Irrigation Management
5.3 Crop Yield
5.4 Disease Detection
5.5 Weather Prediction
5.6 Transportation
6 Conclusion
References
81 Role of Circular Economy in Achieving Sustainable Growth in Agriculture and Food Sector
1 Introduction
1.1 Circularity in Food Production
1.2 Circularity in the Consumption of Food
1.3 Circularity in Food Waste Management
1.4 Circularity in Supply Chain Management
2 Research Design
2.1 Identification of Past Studies
2.2 Selection of Articles and Their Evaluation
2.3 Descriptive Analysis
3 Application of CE in Agri-Food Sector: State-of-the-Art Research
3.1 Country of Research
3.2 Methodologies Used in Past Studies
3.3 Field of Research
3.4 Tools and Technique Implemented
3.5 Focus on the Type of Supply Chain
4 Conclusion
References
82 Moving from Conventional Plastics to Sustainable Solutions: Assessing Human Willingness to Change Current Practices
1 Introduction
2 Methodology
3 Results and Discussion
3.1 Demographic Information
3.2 Assessing the Frequencies and Modalities of Plastic Consumption
3.3 Attitude toward Plastic Consumption
3.4 Receiving Information and Thinking about the Impacts of Plastic on Health
3.5 Availability of Information on the Impacts on Health
3.6 Willingness to Reduce Plastic Consumption
3.7 Ways to Increase the Awareness of Impacts of Plastic Consumption
3.8 Responsibility to Adapt Buying Behavior
4 Conclusions
References
83 Neighborhood Sustainability Assessment (NSA) Tools
1 Introduction
2 Sustainability
3 The Cities and Development
4 The Neighborhoods
5 Neighborhood Sustainability Assessment
6 Ability to Adapt Local Indicators
7 Methodology
8 Results
8.1 Identification of Publication Information
8.2 Interpretation of the Tools
8.3 Comparative and Similarity Analysis
9 Conclusions and Recommendations
References
84 Urban Oasis
1 Introduction
2 Past, Present, and Future in Focus
2.1 Sustainability Panorama
2.2 Site
2.3 Intervention Proposal
2.3.1 Concept
2.3.2 The Project
3 Conclusions
References
85 Challenges and Opportunities for Scaling Up Global Upcycling Towards Sustainable Production and Consumption
1 Introduction
2 Methodology
3 Results and Discussion
3.1 Descriptive Analysis
3.2 Challenges and Opportunities
4 Conclusion
References
86 SDG 6 and Industry 4.0
1 Introduction
2 Data Collection and Consolidation
3 Development of Artificial Neural Networks
4 Results
5 Conclusion
References
87 Future Research Trends on the Water-Energy-Food Nexus Approach
1 Introduction
2 Methodology
2.1 Content Evaluation
2.2 Data Extraction, Cross Search, and Results Synthesis
3 An Overview of the Water-Energy-Food Nexus Definition
4 WEF Nexus Methods and Metrics
4.1 Case Studies, Geographical Scale, Place of Analysis, and Objectives
4.2 Description of the WEF Nexus Metrics and Methodologies
4.2.1 Indicators
4.2.2 Input-Output Analysis
4.2.3 Other Models
5 Discussion
6 Conclusions
References
88 Education for Sustainable Development
1 Introduction
1.1 Methodological Approach
1.2 Limitations of this Study
2 Sustainable Development and Higher Education
2.1 Pedagogical Research
2.1.1 SD as Civic Education
2.1.2 Methods for Integrating ESD
2.1.3 Resistance to Adopting ESD
2.1.4 In Sum
3 Examples of Work with Sustainable Development at Higher Education Institutions
3.1 The Swedish Defense University
3.2 Examples from Other Universities
4 Analysis and a Way Forward
4.1 Recommendations in Relation to Governance and Management
4.2 Recommendations in Relation to Research
4.3 Recommendations in Relation to Education
5 Discussion
6 Conclusions
References
89 Future Design for Sustainable Nature and Societies
1 Introduction
2 What Have We Been Doing?
3 Why Do Future Failures Occur?
4 Experiments and Practices
5 The Future of FD
References
90 Sustainability Accounting and Integrated Reporting as Drivers for Comprehensive SMEs Disclosure and Growth
1 Introduction
2 The Evolution of Corporate Reporting
2.1 From Financial Statements to Stand-Alone Social Reports and Integrated Reports
2.2 Integrated Reporting
2.3 The Seven Guiding Principles and the Eight Content Elements of Integrated Reporting
2.4 Accounting and Integrated Reporting Support to SDGs
3 Integrated Reporting in Small and Medium-Sized Enterprises
3.1 Motivations for Integrated Reporting and why in SMEs
3.2 Ongoing Issues that Hinder Integrated Reporting in SMEs
4 Integrated and Sustainability Reports in SMEs: Evidence from Practice
5 Concluding Remarks
References
91 Towards a Circular Building Industry
1 Introduction
2 Increasing Circularity
2.1 Applying Circular Strategies
2.1.1 Extending Building Lifetimes
2.1.2 Sharing
2.1.3 Reuse
2.1.4 Renovation
2.1.5 Design for Disassembly (DfD)
2.2 Upcycling
2.2.1 Deconstruction
2.2.2 Recycling
2.3 Enabling Circular Strategies
2.4 Policies Driving Circularity
2.4.1 Construction and Demolition Waste Recycling Target and End-of-Waste Criteria
2.4.2 Selective Demolition
2.4.3 Pre-demolition Audits
2.4.4 Economic Instruments
2.4.5 Construction Product Standards
2.4.6 Environmental Product Declarations (EPDs)
2.4.7 Building Codes
2.4.8 Building Certification and Standards
2.4.9 EU Circular Economy Tools
3 Challenges to Upscaling
3.1 Policy Challenges
4 Changes Needed
5 Outlook
References
92 Sustainable Technology Design for Future 6G Mobile Communications
1 Introduction
1.1 Role of ICT and Mobile Communications in Modern Society
1.2 Triple Bottom Line of Sustainability
1.3 UN SDG Framework and ICT
1.4 6G as an Emerging Technology Bringing Together Sustainability and ICT
2 Towards Sustainable ICT Development
2.1 Perspectives of Sustainability in the Context of ICTs
2.2 Understanding the Role of Future 6G Systems
2.3 Connecting 6G with the UN SDGs
2.4 Design Guidelines for Future Mobile Communications
3 Conclusions
References
93 Blockchain as a Sustainability Booster in Supply Chain Management
1 Introduction
2 Methodology
3 Sustainable Supply Chain Management
3.1 Environmental Dimension of Sustainability
3.2 Social Dimension of Sustainability
3.3 Economic Dimension of Sustainability
4 Blockchain Technology, Its Features and Capabilities
4.1 Blockchain Background
4.2 Blockchain General Features
4.3 Impactful Blockchain Features on Sustainable Supply Chain Management
4.4 Decentralization
4.5 Immutability, Transparency, and Traceability
4.6 A Use Case of Blockchain Capabilities
4.7 Smart Contracts
5 Blockchain Impact on Supply Chain Management Sustainability
5.1 Blockchain Effects on Social Values
5.2 Blockchain Effects on Environmental Values
5.3 Blockchain Effects on Economic Values
6 Challenges of Blockchain Application in a Supply Chain
7 Conclusion
References
94 Sustainability Challenges with a Bottom-Up Perspective: Analysis of Social Entrepreneurship in Emerging Economies
1 Introduction
2 A Bottom-Up Approach to Addressing Sustainability Challenges
2.1 Sustainability-Oriented Social Entrepreneurship
2.2 Social Entrepreneurship and Innovation in Emerging Economies
2.3 Bottom-Up Initiatives as Complementors to Top-Down Efforts to Empower the Sustainability Impact
3 How Do They Make It Work? Illustrative Case Studies of Sustainability-Oriented Social Entrepreneurship in Emerging Economies
3.1 The What: What Is the Core of the Phenomenon of Sustainability-Oriented Social Entrepreneurship in an Emerging Economy Con...
3.2 The Why: Why Is Sustainability-Oriented Social Entrepreneurship So Important, Both Generally and in an Emerging Economy Co...
3.3 The Where: Where Does Sustainability-Oriented Social Entrepreneurship Concept Appear Particularly Relevant?
3.4 The How: How Is Sustainability-Oriented Social Entrepreneurship Achieved in an Emerging Economy Context?
3.5 The Who: Who Is Behind Sustainability-Oriented Social Entrepreneurship Initiatives in an Emerging Economy Context?
4 Discussion and Conclusions
94.4 Appendix 1
References
95 20-Minute Neighborhoods: Opportunities and Challenges
1 Introduction
2 The Rise of 20-Minute Neighborhoods
3 Portland, The United States
4 Melbourne, Australia
5 Paris, France
6 20-Minute Neighborhoods: Opportunities
6.1 Functional Opportunities
6.2 Health Opportunities
6.3 Social Opportunities
6.4 Economic Opportunities
6.5 Environmental Opportunities
7 Challenges for Delivering 20-Minute Neighborhoods
7.1 Political Visions and Governance
7.2 Buy-in from Local Communities
7.3 Changes to the Existing Urban Form
7.4 Acknowledging Inequality and Difference
8 Conclusion
References
96 Management of Food Waste for Sustainable Economic Development and Circularity
1 Introduction
2 Valorization of Agroindustrial Byproducts and Wastes
3 Food Waste
4 Life-Cycle Assessment of Food Waste
5 Crops and Food Wastes of Socioeconomic and Environmental Importance in the Tropics as a Case Study
6 Methodology
7 Results
8 Conclusions
References
97 The Role of Life Cycle Assessment in Supporting the Transition Towards Sustainable Production and Consumptions Systems: The...
1 Introduction
2 Counterintuitive Lessons from Hard Systems Analysis
3 Applying LCA for Quantifying the Climate Change Impacts of Bioenergy Systems
3.1 LCA as the Appropriate Tool for Supporting Decisions Regarding Bioenergy Expansion
3.2 Uncertainties in Estimating GHG Savings
3.2.1 Goal and Scope Definition
3.2.2 Reference Systems for Meeting Global Energy Demand from Fossil and Bioenergy Feedstocks: Land-Use Implications on Climat...
3.2.3 Life Cycle Impact Assessment
4 Distinguishing Between Precision and Accuracy in the Assessment of Bioenergy Systems
5 Conclusions and Outlook
References
98 AI Optimized Solar Tracking System for Green and Intelligent Building Development in an Urban Environment
1 Introduction
2 Literature Review
2.1 Advancement of Green Building Development in an Urban Environment: Integrating Solar Power Generation into Green Buildings
2.1.1 Green Building Development
2.1.2 Development of Solar Tracking Technologies
2.2 Use of AI to Optimize Solar Tracking
2.3 Battery System for Storing Solar Power
2.4 Self-Sufficient Green Building for Power Consumption in Smart Grid [Andrew]
3 Toward an Integrated Solution and Business Model for Energy-Smart Green Building for Self-Sufficiency and EV Charging
3.1 Green and Intelligent Building for EV Charging
3.2 Integrating the Use of PV and Energy Storage for EV Charging
4 The Experience in China
5 Concluding Remarks
References
99 Moving Forward: Visions on the Future of Sustainable Development
1 Introduction: Definitions of Sustainable Development
2 The Status of Sustainable Development Today
3 Some of the Challenges in Implementing Sustainable Development
4 Conclusions: Future Trends and Themes in Sustainable Development
References
Index

Citation preview

Walter Leal Filho Editor-in-Chief Anabela Marisa Azul Federica Doni Amanda Lange Salvia Editors

Handbook of Sustainability Science in the Future Policies, Technologies and Education by 2050

Handbook of Sustainability Science in the Future

Walter Leal Filho Editor-in-Chief

Anabela Marisa Azul • Federica Doni • Amanda Lange Salvia Editors

Handbook of Sustainability Science in the Future Policies, Technologies and Education by 2050

With 592 Figures and 150 Tables

Editor-in-Chief Walter Leal Filho FTZ-ALS HAW Hamburg Hamburg, Germany Editors Anabela Marisa Azul University of Coimbra Coimbra, Portugal

Federica Doni Department of Business and Law University of Milano-Bicocca Milan, Italy

Amanda Lange Salvia Graduate Program in Civil and Environmental Engineering University of Passo Fundo São José, RS, Brazil

ISBN 978-3-031-04559-2 ISBN 978-3-031-04560-8 (eBook) https://doi.org/10.1007/978-3-031-04560-8 © Springer Nature Switzerland AG 2023 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland

Preface

Handbook of Sustainability Science in the Future: Policies, Technologies, and Education by 2050 Humanity will have to cope with many problems in the coming decades: for instance, the world population is likely to grow to 8.8 billion people by 2035. Also, changing climate conditions are negatively affecting the livelihoods of millions of people. In particular, environmental disasters are causing substantial damages to properties. From a social perspective, the inequalities between rich and poor nations are becoming even deeper, and in many countries, conflicts between national and international interest groups are intensifying. The above state of affairs suggests that a broader understanding of the trends which may lead to a more sustainable world is needed, especially those which may pave the way for future developments. In other words, we need to pave the way for sustainable futures. Consistent with this reality, the Handbook of Sustainability Science in the Future by 2050 aims to document and disseminate ideas, experiences, and visions from scientists, member of nongovernmental organizations, decision-makers, industry representatives, and citizens, on themes and issues which will be important in pursuing sustainable future scenarios. In particular, this publication focuses on scientific aspects, as well as on social and economic ones, also considering matters related to financing and infrastructures, which are important in pursuing a sustainable future. This book entails contributing authors from across a wide range of disciplines, e.g., education and social sciences, natural sciences, engineering, the arts, languages, etc., with papers adopting a long-term sustainability perspective, with a time horizon until 2050. The focus is on themes which are felt as important in the future, and the chapters are expected to interest and motivate world audience. For instance: (a) Outlining how human activities influence sustainable development (b) Describing the socio-economic and environmental impacts of some interventions (c) Illustrating some of the measures which may be deployed to change current trends (e.g., a greater emphasis to sustainability in the curriculum)

v

vi

Preface

(d) Showcasing innovative teaching approaches, methods, and tested solutions to foster the cause of sustainable development in the future I thank the Deputy Editors, Dr. Amanda Lange Salvia and Dr. Mariza Azul, as well as the Associate Editors and the many Reviewers, for their support in the peer-review of the papers. I also thank the authors for sharing their knowledge and their experience by means of their chapters. Due to its design and the contributions by experts from various areas, providing a rich content basis, this handbook provides a welcome contribution to future efforts to develop the rapidly growing field of sustainability science in the future, and it may inspire further works in this field. Hamburg, Germany Spring/Summer 2023

Walter Leal Filho Editor-in-Chief

Note

Note on the quality assurance and peer review of this publication: Prior to publication, the works published in this book are initially assessed by the editorial team, and checked by in-house staff. If suitable for publication, manuscripts are sent for further review, which includes a combined effort by the editorial board and appointed subject experts, who provide independent peer review. The feedback obtained in this way was communicated to authors, and with manuscripts double checked upon return before finally accepted.

vii

Contents

Volume 1 Part I

Sustainability and Institutions . . . . . . . . . . . . . . . . . . . . . . . . .

1

1

Sustainability Science for the Future . . . . . . . . . . . . . . . . . . . . . . . Walter Leal Filho

3

2

International Cooperation Thomas Kaydor

...............................

11

3

Labour Market Sustainability: Technological Change and Decent Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Xose Picatoste and Isabel Novo-Corti

29

Equitable Distribution of Sustainable Energy in Small Island Developing States (SIDS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dinesh Surroop and Doorgeshwaree Jaggeshar

49

Future Food Production and Food Security Policy in Malaysia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nooriah Yusof

71

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . R. B. Radin Firdaus and Siti Rahyla Rahmat

87

Sustainability of the Palm Oil Industry in Ensuring Food Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Siti Rahyla Rahmat and Radin Firdaus Radin Badaruddin

105

4

5

6

7

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Isabel Abreu dos Santos, Albertina Raposo, Anabela Durão, Cândida Rocha, and Lia Vasconcelos

125

ix

x

Contents

9

10

Tackling the Climate Emergency with Urban Sustainability Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Şiir Kılkış

147

Implementing Sustainability Strategies, Programs, and Practices for the Communities in Higher Education Institutions . . . . . . . . . Siok Yee Chan, Theam Foo Ng, and Siti Fairuz Mohd Radzi

175

11

Sustainability in Australian Universities: The Road to 2050 . . . . . Usha Iyer-Raniga, Thelma Raman, Kendra Wasiluk, and Tahl Kestin

195

12

Sustainability Futures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Qudsia Kalsoom and Sibte Hasan

213

13

Circular Economy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Anna Härri, Jarkko Levänen, and Lassi Linnanen

231

14

Digital Transformation in Microfinance as a Driver for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Anirban Pal, Shiladitya Dey, Anirban Nandy, Shifa Shahin, and Piyush Kumar Singh

15

16

17

18

19

20

Education Research Facing a Future Marked by Climate Emergency: Analysis of Recent Scientific Production . . . . . . . . . . Mercedes Varela-Losada, Uxío Pérez-Rodríguez, María Lorenzo-Rial, and Pedro Vega-Marcote Commitment of Brazilian Public Universities to the Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Carolina Grano, Vanderli Correia, and José Carlos Curvelo Santana Organic Waste Management in Educational Institutions: A Systematic Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yasmin Coelho de Freitas, Adriana Marcia Nicolau Korres, and Fernanda Aparecida Veronez Using a Problem-Based Learning Approach to Develop Sustainability Competencies in Higher Education Students . . . . . . Bento Cavadas and Elisabete Linhares Exploring Sustainability Science, the Agenda 2030, and the UN SDGs from the Social Sustainability Handprint Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Roope Husgafvel Interdisciplinary Education Against Eco-anxiety: Learning How to Know About Bodying, Fascias, and Ecological Embeddedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Doerte Weig

251

273

299

321

339

367

393

Contents

xi

21

Challenging Transformation for Universities . . . . . . . . . . . . . . . . . Silke Rühmland, Julius Brinken, and Hartwig Haase

22

The Key Role of Alliances and Multi-stakeholder Collaboration for Climate Action Implementation Within Higher Education Institutions: A Chilean Experience . . . . . . . . . . . . . . . . . . . . . . . . . Claudia Mac-lean, Maryon Urbina, Óscar Mercado, Pablo Yañez, Cecilia Campos, Cristopher Toledo, Juan Carlos Aravena, and Rodolfo Sapiains

23

24

25

26

27

28

407

425

Practical Aspects of Sustainability and Its Relationship with the Valorization of Coffee Grounds Generated in a Brazilian Educational Institution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Isael Colonna Ribeiro, Jacqueline Rogéria Bringhenti, Poliana Daré Zampirolli Pires, and Adriana Marcia Nicolau Korres

449

A Sustainable Circular Economy for Australia: Bringing the Circular Economy into the Doughnut . . . . . . . . . . . . . . . . . . . . . . . Gavin Melles

465

Toward Best Practices of Implementing Campus Sustainability in US Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Maria A. Petrova, Olivia Kleier, and May Tan

489

Governance for Sustainability in Higher Education Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Paulo Guilherme Fuchs, Elaisa Ana Stocco Buhr, Ana Regina de Aguiar Dutra, Robert Samuel Birch, and José Baltazar Salgueirinho Osório de Andrade Guerra Waste Generation and Management at the University of A Coruña . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Verónica Torrijos and Manuel Soto Academic Motivation and Previous Academic Achievement in Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Carolina Rodríguez-Llorente, Tania Vieites, Rocío González-Suárez, and Isabel Piñeiro

511

531

557

29

In Times of Uncertainty Tamara Savelyeva

.................................

575

30

The Contribution of the Circular Economy to the Fulfillment of the 2030 Agenda in Higher Education Institutions . . . . . . . . . . N. G. Faitani, S. L. Galvan, and R. O. Bielsa

593

31

Linking Low Family Income to Waste Recycling in a Brazilian Public University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rives Rocha Borges, Maria Alzira Pimenta Dinis, and Nelson Azevedo Barros

617

xii

32

33

34

35

36

37

38

39

40

Contents

Post-Sustainability, Regenerative Cultures, and Governance Scale-Up: Transformational Learning Cases of Sociocracy 3.0 in Portugal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Xana Piteira, Diogo Guedes Vidal, Ricardo Cunha Dias, and Paulo Castro Seixas

631

Advancement in Social Technologies in Brazil: Regional Concentration and SDG Representation . . . . . . . . . . . . . . . . . . . . Paulo van Noije and Julia Swart

655

Sustainability in Engineering Education: Experiences of Educational Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . César García-Aranda, Agustín Molina García, Javier Pérez Rodríguez, and Jorge Rodríguez-Chueca How Cities and Universities Approach the Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Antonio Comi, Norbert Gruenwald, Viktor Danchuk, Olga Kunytska, Kateryna Vakulenko, and Malgorzata Zakrzewska Sustainable Development Goals and Urban Health Challenges in Informal Settlements of Mangaung Municipality, South Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Abraham R. Matamanda, Verna Nel, Mischka Dunn, Abongile Mgwele, Siphokazi Rammile, Lucia Leboto-Khetsi, Jennilee Kohima, and Palesa B. Ngo Business Practices and Trends in the Transition to Sustainability: Case of Ecuador . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Michelle Viera-Romero and Theresa Selfa Science and Technology Parks and Environmental Governance: An Exploratory Analysis of the International Hub for Sustainable Development (HIDS/UNICAMP) . . . . . . . . . . . . . . . . . . . . . . . . . . Thais Dibbern, Evandro Coggo Cristofoletti, Felipe Bertuluci, Amanda Trentin, Denis dos Santos Alves, Milena Pavan Serafim, Jaqueline Nichi, and Leila da Costa Ferreira Focusing on the Future: Current Practices and Future Perspectives in Implementing Sustainable Development Goals in the Regional University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dzintra Iliško Challenges and Opportunities for UK Seaports Toward Future Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Matteo Conti, Marco Zilvetti, and Richard Kotter

679

699

721

749

773

791

805

Contents

Part II

xiii

Approaches and Methods to Foster Sustainability . . . . . . .

845

41

Global Models of Sustainability and Values . . . . . . . . . . . . . . . . . . Bertrand Guillaume

847

42

The Role of Innovation in a Postgrowth Society . . . . . . . . . . . . . . Christian Sartorius, Elisabeth Dütschke, Hendrik Hansmeier, Nils B. Heyen, Sabine Preuß, Philine Warnke, and Andrea Zenker

855

43

Impacts of Social Hazards on Urban Sustainability . . . . . . . . . . . . Jose Manuel Diaz-Sarachaga

873

44

Young Children’s Understanding of Environmental Issues . . . . . . Jane Spiteri

887

45

Investigating the GreenMetric World University Ranking as an Equitable Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nathália Hipólito Cardozo and Sérgio Ricardo da Silveira Barros

903

46

Environmental Communication and Health Promotion . . . . . . . . . C. Skanavis, C. Sardi, and G.-T. Zapanti

921

47

Future-Oriented Methodologies for Sustainability . . . . . . . . . . . . . Helen Avery

945

48

Future Interdisciplinary Waste Ecological Challenges . . . . . . . . . . Maria Alzira Pimenta Dinis, Diogo Guedes Vidal, and Halima Begum

965

49

Historical Memory and Eco-centric Education: Looking at the Past to Move Forward with the 2030 Agenda for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Bruno Borsari and Jan Kunnas

985

Volume 2 50

Sustainable Materials for Advanced Products . . . . . . . . . . . . . . . . 1001 Helena Cristina Vasconcelos and Telmo Eleutério

51

Applying Data Analytics in Food Security . . . . . . . . . . . . . . . . . . . 1019 Sin Yin Teh, Theam Foo Ng, and Shir Li Wang

52

Artificial Intelligence and Technology for Sustainable Food Production and Future Consumption . . . . . . . . . . . . . . . . . . . . . . . 1035 Shir Li Wang, Sin Yin Teh, and Theam Foo Ng

53

Sensoriality, Arts, Poetry, and Sustainability . . . . . . . . . . . . . . . . . 1053 Silvana Kühtz

54

Robotized Pre-recycling for Improved Material Recovery . . . . . . . 1075 Mike Duddek and Saulo H. Freitas Seabra da Rocha

xiv

Contents

55

Diagnosis and Prognosis in the Management of the Environmental Impacts of a Sanitary Landfills from the Perspective of the SDGs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1087 Rafael Burlani Neves, Carla Arcoverde de Aguiar Neves, and Luma Schervenski Tejada

56

Relating the Metrics and Indicators of the Living Building Challenge and Urban Ecosystem Services for Regenerative Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1111 Clara Barbosa Monteiro and Clarissa Ferreira Albrecht

57

Methodology for Selecting Agile Methods in Transdisciplinary Sustainability Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1129 Andrea Heilmann, Rebecca Spaunhorst, and Felix Schulz

58

The Gaps for Future Studies in Life Cycle Assessment (LCA) of Single-Use Plastic Bags: A Literature Review . . . . . . . . . . . . . . . . 1139 Matheus Tavares Lacerda and Marcell Mariano Corrêa Maceno

59

Ambient Air Quality Within Urban Communities of South Africa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1159 Newton R. Matandirotya, Electdom Matandirotya, Tonderai Dangare, and Gaathier Mahed

60

Toward Forests’ Sustainability and Multifunctionality: An Ecosystem Services-Based Project . . . . . . . . . . . . . . . . . . . . . . 1179 Paula Castro, José Paulo Sousa, and Joana Alves

61

Reflective Thinking in Business Courses . . . . . . . . . . . . . . . . . . . . 1201 Rodrigo Libanez Melan, Thais Accioly Baccaro, and Saulo Fabiano Amâncio-Vieira

62

Geospatial Ecological Footprint Calculators Through Participatory and Collective Processes . . . . . . . . . . . . . . . . . . . . . . 1215 Francisco-Alberto Varela-García, Verónica Torrijos, Jorge López-Fernández, Domingo-Javier Calvo-Dopico, and Manuel Soto

63

Perceptions of Women Waste Handlers in Ghana, Africa . . . . . . . 1235 Ivaní Nadir Carlotto, Justice Kofi Debrah, and Maria Alzira Pimenta Dinis

64

Sustainable Pharmaceutical Waste Management: Pharmacist and Patient Perception in Ghanaian Hospitals . . . . . . . . . . . . . . . . 1249 Justice Kofi Debrah, Diogo Guedes Vidal, and Maria Alzira Pimenta Dinis

Contents

xv

65

Recovering from COVID-19 Environment and Social Impacts in Sub-Saharan Africa: The Role of Social Engagement . . . . . . . . 1269 Justice Kofi Debrah, Diogo Guedes Vidal, and Maria Alzira Pimenta Dinis

66

Geotourism Social Constraints and Protection Instruments from a Sustainability Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1285 Ana Sibelonia Saldanha Veras, Diogo Guedes Vidal, Nelson Azevedo Barros, and Maria Alzira Pimenta Dinis

67

Technology Design for a Sustainable Circular Economy: Research and Practice Consequences . . . . . . . . . . . . . . . . . . . . . . . 1307 Gavin Melles, Christian Wölfel, and Lenard Opeskin

68

Circular Economy in the Built Environment of North America: Toward Housing Affordability and Sustainability . . . . . . . . . . . . . 1327 Naomi Keena and Avi Friedman

69

Toward the Implementation of SDG12 to Ensure Sustainable Consumption and Production Patterns: Opportunities and Neglected Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1353 Aitor Marcos, Patrick Hartmann, and Jose M. Barrutia

70

Sustainable Recovery: Analysis of the Perception of Engineers in the Brazilian Amazon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1377 Diego Marques Cavalcante, Lucas Veiga Ávila, Débora Londero Kieling, and Clayton dos Santos Lima

71

Circular Economy in Olive Oil Industry: The Case of Greece . . . . 1399 Aristea Kounani, Alexandra Pavloudi, and Stamatis Aggelopoulos

Part III

Sustainability Strategies and Tools . . . . . . . . . . . . . . . . . . .

1425

72

Dematerialization: Needs and Challenges . . . . . . . . . . . . . . . . . . . . 1427 Can Baran Aktaş

73

From Agroecology to Food Systems Sustainability: An Evolutionary Path Shifting Toward Sustainable Agriculture and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1441 Bruno Borsari

74

Geographical Information Systems and Open Data . . . . . . . . . . . . 1459 Hardy Pundt

75

Fostering Global Partnerships for Sustainable Development . . . . . 1479 Iryna Zapatrina, Anna Shatkovska, and Marina Marianovych

76

Imagining a Prosperous Periphery for the Rural in 2050 and Beyond . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1501 Todd LeVasseur, Toni Ruuska, and Pasi Heikkurinen

xvi

Contents

77

Certified Sustainable Palm Oil . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1519 Halima Begum and A. S. A. Ferdous Alam

78

Structural Relationship Between Techno-finance and Waste Management Treatment (WMT) for Re-designing Sustainable Production . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1537 Halima Begum and A. S. A. Ferdous Alam

79

Using Agile Management (Scrum) for Sustainability Transformation Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1557 Friederike von Unruh, Paul Szabó-Müller, and Svenja Grauel

80

Machine Learning in Food Security and Sustainability . . . . . . . . . 1583 Wei Chien Ng, Yu Qing Soong, and Sin Yin Teh

81

Role of Circular Economy in Achieving Sustainable Growth in Agriculture and Food Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1601 Shiladitya Dey, Anirban Pal, Anirban Nandy, Kripamay Baishnab, and Piyush Kumar Singh

82

Moving from Conventional Plastics to Sustainable Solutions: Assessing Human Willingness to Change Current Practices . . . . . 1621 Jelena Barbir, Maren Theresa Christin Fendt, Amanda Lange Salvia, Barbara Fritzen, Caroline Paul Kanjookaran, David Sebastian Funk, and Walter Leal Filho

83

Neighborhood Sustainability Assessment (NSA) Tools . . . . . . . . . . 1637 Roberto T. Chimanski, Marcell Mariano Corrêa Maceno, and Shauhrat S. Chopra

84

Urban Oasis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1661 Sulâni Kurtz and Marcos Antonio Leite Frandoloso

85

Challenges and Opportunities for Scaling Up Global Upcycling Towards Sustainable Production and Consumption . . . . . . . . . . . . 1679 Kyungeun Sung and Amal Abuzeinab

86

SDG 6 and Industry 4.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1699 Dominique Nápoli Caliari, Mariângela Dutra de Oliveira, Dejanyne Paiva Zamprogno, and Juscelino Alves Henriques

87

Future Research Trends on the Water-Energy-Food Nexus Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1709 Fernando Caixeta, Pedro Saraiva, and Fausto Freire

88

Education for Sustainable Development . . . . . . . . . . . . . . . . . . . . . 1729 Irja Malmio and Hans Liwång

89

Future Design for Sustainable Nature and Societies Tatsuyoshi Saijo

. . . . . . . . . . . 1751

Contents

xvii

90

Sustainability Accounting and Integrated Reporting as Drivers for Comprehensive SMEs Disclosure and Growth . . . . . . 1767 Selena Aureli, Monica Bartolini, and Federica Farneti

91

Towards a Circular Building Industry . . . . . . . . . . . . . . . . . . . . . . 1787 Ulla Janson, Jessika Luth Richter, Leonidas Milios, and Dennis Johansson

92

Sustainable Technology Design for Future 6G Mobile Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1811 Marja Matinmikko-Blue, Seppo Yrjölä, and Petri Ahokangas

93

Blockchain as a Sustainability Booster in Supply Chain Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1827 Bahar Bahramian Dehkordi, Daria Podmetina, and Marko Torkkeli

94

Sustainability Challenges with a Bottom-Up Perspective: Analysis of Social Entrepreneurship in Emerging Economies . . . . 1849 Daria Podmetina, Ekaterina Albats, and Maria Nemilentseva

95

20-Minute Neighborhoods: Opportunities and Challenges Kate Mackness, Iain White, and Patrick Barrett

96

Management of Food Waste for Sustainable Economic Development and Circularity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1895 Noé Aguilar-Rivera and L. A. Olvera-Vargas

97

The Role of Life Cycle Assessment in Supporting the Transition Towards Sustainable Production and Consumptions Systems: The Case of Biofuels and Climate Change . . . . . . . . . . . . . . . . . . . 1919 Miguel Brandão

98

AI Optimized Solar Tracking System for Green and Intelligent Building Development in an Urban Environment . . . . . . . . . . . . . 1935 Artie W. Ng, Andrew. Wu, and Edmund T. M. Wut

99

Moving Forward: Visions on the Future of Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1953 Walter Leal Filho, Valerija Kozlova, and Lucas Veiga Ávila

. . . . . . 1873

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1967

About the Editor-in-Chief

Walter Leal Filho Professor Walter Leal Filho (BSc, PhD, DSc, DPhil, DEd, DL, DLitt) holds the Chairs of Environment and Technology at Manchester Metropolitan University (UK) and of Climate Change Management at the Hamburg University of Applied Sciences (Germany), where he directs the Research and Transfer Centre “Sustainability Development and Climate Change Management.” His main research interests are in the fields of sustainable development and climate change, also including aspects of climate change and health. He holds various doctoral degrees. He is a member of the Royal Society of Biology, Royal Geographical Society (FRGS), and The Linnean Society (FLS). His field experience, in over 70 countries, involves missions undertaken on behalf of various international organizations (e.g., European Union, World Bank, OECD, UNESCO, UNEP) and attendance to specialized events in North America, Latin America/Caribbean, Europe, Africa, Asia and Pacific Region, and the Middle East. Among the many awards he has received, it can be mentioned the 1999 “Leading Editor of the Year Award” and the 2000 “Editor of the Year Award,” by MCB University Press, the “Eco-Citizen Award” (2001) in Rio de Janeiro and the Aurelio Giuseppe Prize awarded by the Italian Council of Ministers for his environmental work. Moreover, he was awarded the “Golden Page Award” (April 2003) in London for his editorial work and the North Sea Star Award (2006) by the EU-Interreg Secretariat for his project work in the North Sea Region. In the field of sustainable development, Professor Walter Leal is the founder of the European School of Sustainability Science and

xix

xx

About the Editor-in-Chief

Research and of the Inter-University Sustainable Development Research Programme (IUSDRP). Apart from being author, co-author, editor, or co-editor of over 190 books and journals, Professor Leal has published in excess of 400 articles in journals. Having undertaking sustainability and climate change projects round the world, he is a seasoned editor and project manager.

Editors

Anabela Marisa Azul University of Coimbra Center for Neuroscience and Cell Biology (CNC) Center for Innovative Biomedicine and Biotechnology (CIBB) Institute for Interdisciplinary Research (IIIUC) Coimbra, Portugal

Federica Doni Department of Business and Law University of Milano-Bicocca Milan, Italy

Amanda Lange Salvia Graduate Program in Civil and Environmental Engineering University of Passo Fundo São José, RS, Brazil World Sustainable Development Research and Transfer Centre Hamburg University of Applied Sciences Hamburg, Germany

xxi

Associate Editors

Noor Adelyna Mohammed Akib Universiti Sains Malaysia, Penang, Malaysia Can Baran Aktaş Department of Civil Engineering, TED University, Ankara, Turkey Rosley Anholon University of Campinas, Campinas, Brazil Usama Awan Lappeenranta-Lahti University of Technology Industrial Engineering and Management, Lappeenranta, Finland Anabela Marisa Azul Center for Neuroscience and Cell Biology (CNC), Center for Innovative Biomedicine and Biotechnology (CIBB), Institute for Interdisciplinary Research (IIIUC), University of Coimbra, Coimbra, Portugal Talib E. Butt Faculty of Engineering and Environment, Northumbria University, England, UK Talib E. Butt Northumbria University, Newcastle upon Tyne, UK Paulo Roberto Borges de Brito College of Business, Colorado State University, Fort Collins, CO, USA Jose Manuel Diaz-Sarachaga GTDS Research Group, University of Oviedo, Oviedo, Spain Maria Alzira Pimenta Dinis UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa, Porto, Portugal Federica Doni University of Milano-Bicocca, Milan, Italy Arminda Maria Finisterra do Paço Universidade da Beira Interior and NECE, Covilhã, Portugal Kay Emblen-Perry Worcester Business School, University of Worcester, Worcester, UK Neil A. Gordon University of Hull, Hull, UK xxiii

xxiv

Associate Editors

Neslihan Kulözü-Uzunboy Department of City and Regional Planning, Atatürk University, Erzurum, Turkey Violeta Orlovic Lovren Faculty of Philosophy, University of Belgrade, Belgrade, Serbia Evangelos Manolas Department of Forestry and Management of the Environment and Natural Resources, School of Agricultural and Forestry Sciences, Democritus University of Thrace, Orestiada, Greece Joost (Johannes) Platje WSB University in Wrocław, Wrocław, Poland Wendy Purcell Harvard T.H. Chan School of Public Health, Harvard University, Boston, MA, USA Izabela Simon Rampasso School of Mechanical Engineering, University of Campinas, São Paulo, Brazil Justyna Rybak Wrocław University of Technology, Wrocław, Poland Ulla A. Saari Jönköping International Business School, Jönköping University, Jönköping, Sweden Department of Industrial Engineering and Management, Tampere University, Tampere, Finland Amanda Lange Salvia University of Passo Fundo, São José, RS, Brazil João Miguel Simão Department of Social Sciences and Management, Universidade Aberta, Lisboa, Portugal Stella Tsani Department of Economics, University of Ioannina, Ioannina, Greece

Contributors

Amal Abuzeinab Architecture, De Montfort University, Leicester, UK Stamatis Aggelopoulos Program of Agricultural Economics and Entrepreneurship, Department of Agriculture, International Hellenic University, Thessaloniki, Greece Ana Regina de Aguiar Dutra University of Southern Santa Catarina – UNISUL. Centre for Sustainable Development/Research Group on Energy Efficiency and Sustainability (GREENS), Florianópolis, Brazil Noé Aguilar-Rivera Facultad de Ciencias Universidad Veracruzana, Córdoba, Mexico

Biológicas

y

Agropecuarias,

Petri Ahokangas Martti Ahtisaari Institute, Oulu Business School, University of Oulu, Oulu, Finland Can Baran Aktaş Department of Civil Engineering, TED University, Ankara, Turkey A. S. A. Ferdous Alam School of International Studies (SOIS), Universiti Utara Malaysia (UUM), Sintok, Kedah, Malaysia Ekaterina Albats LUT University, Lappeenranta, Finland Clarissa Ferreira Albrecht Departamento de Arquitetura e Urbanismo, Centro de Ciências Exatas, Universidade Federal de Viçosa, Viçosa, Brazil Joana Alves Centre for Functional Ecology – Science for People and the Planet, TERRA Associate Laboratory, Department of Life Sciences, University of Coimbra, Coimbra, Portugal Saulo Fabiano Amâncio-Vieira Administration lecturer at State University of Londrina – UEL, Londrina, Brazil José Baltazar Salgueirinho Osório de Andrade Guerra University of Southern Santa Catarina – UNISUL. Centre for Sustainable Development/ Research Group on Energy Efficiency and Sustainability (GREENS), Florianópolis, Brazil

xxv

xxvi

Contributors

Juan Carlos Aravena Gaia Antarctic Research Center, University of Magallanes, Punta Arenas, Chile Selena Aureli Department of Management, Alma Mater Studiorum University of Bologna, Bologna, Italy Helen Avery Researcher at the Centre for Environmental and Climate Research, Lund University, Lund, Sweden Lucas Veiga Ávila Federal University of Santa Maria – UFSM, Santa Maria, Brazil Thais Accioly Baccaro Administration lecturer at State University of Londrina – UEL, Londrina, Brazil Radin Firdaus Radin Badaruddin Universiti Sains Malaysia, Penang, Malaysia Bahar Bahramian Dehkordi LUT University, Kouvola, Finland Kripamay Baishnab Center for Rural Development and Innovative Sustainable Technology, Indian Institute of Technology (IIT), Kharagpur, West Bengal, India Jelena Barbir Research and Transfer Centre Sustainability & Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany Patrick Barrett University of Waikato, Hamilton, New Zealand Nelson Azevedo Barros UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa (UFP), Porto, Portugal Jose M. Barrutia Faculty of Economics and Business Administration, University of the Basque Country UPV/EHU, Bilbao, Spain Monica Bartolini Department of Management, Alma Mater Studiorum University of Bologna, Bologna, Italy Halima Begum School of Economics, Finance & Banking (SEFB), Universiti Utara Malaysia (UUM), Sintok, Kedah, Malaysia Felipe Bertuluci Center for Environmental Studies and Research, University of Campinas, Campinas, Brazil R. O. Bielsa Instituto del Conurbano, Universidad Nacional de General Sarmiento, Los Polvorines, Buenos Aires, Argentina Robert Samuel Birch University of Liverpool – School of Engineering, Liverpool, UK Rives Rocha Borges University Fernando Pessoa (UFP), Porto, Portugal Federal University of Bahia (UFBA), Bahia, Brazil Bruno Borsari Department of Biology, Winona State University, Winona, MN, USA

Contributors

xxvii

Miguel Brandão KTH Royal Institute of Technology, Stockholm, Sweden Jacqueline Rogéria Bringhenti Sanitary and Environmental Engineering Department, Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Espirito Santo, Brazil Julius Brinken Institute of Logistics and Material Handling Systems, Otto von Guericke University, Magdeburg, Germany Elaisa Ana Stocco Buhr University of Southern Santa Catarina – UNISUL. Centre for Sustainable Development/Research Group on Energy Efficiency and Sustainability (GREENS), Florianópolis, Brazil Fernando Caixeta Sustainable Energy Systems, University of Coimbra, Coimbra, Portugal Federal Institute of Triangulo Mineiro, Uberlândia, Brazil Dominique Nápoli Caliari Sanitary and Environmental Engineering Department, Federal Institute of Espírito Santo, Vitória, Espírito Santo, Brazil Domingo-Javier Calvo-Dopico Universidade da Coruña, Group of Competitiveness and Development, Department of Business, A Coruna, Spain Cecilia Campos Dirección de Sustentabilidad, Pontificia Universidad Católica de Chile, Santiago, Chile Nathália Hipólito Cardozo Instituto de Geociências, Universidade Federal Fluminense (UFF), Niterói, RJ, Brazil Ivaní Nadir Carlotto Department of Biology and Health Sciences, College of Science and Health Professions, Edinboro University, Edinboro, PA, USA Paula Castro Centre for Functional Ecology – Science for People and the Planet, TERRA Associate Laboratory, Department of Life Sciences, University of Coimbra, Coimbra, Portugal Bento Cavadas Polytechnic Institute of Santarém, Santarém, Portugal Lusófona University, CeiED, Lisbon, Portugal Diego Marques Cavalcante Federal University of Santa Maria – UFSM, Santa Maria, Brazil Siok Yee Chan School of Pharmaceutical Sciences, Universiti Sains Malaysia, Penang, Malaysia Roberto T. Chimanski Federal University of Parana, Curitiba, Brazil Shauhrat S. Chopra City University of Hong Kong, Hong Kong, China Yasmin Coelho de Freitas Sustainable Technologies, Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Brazil Antonio Comi University of Rome Tor Vergata, Rome, Italy

xxviii

Contributors

Matteo Conti School of Design, Northumbria University, Newcastle upon Tyne, UK Vanderli Correia Postgraduate Program in Production Engineering, Federal University of ABC (UFABC), Sao Bernardo do Campo, Brazil Leila da Costa Ferreira Center for Environmental Studies and Research, University of Campinas, Campinas, Brazil Evandro Coggo Cristofoletti Department of Science and Technology Policy, University of Campinas, Campinas, Brazil Viktor Danchuk National Transport University, Kiev, Ukraine Tonderai Dangare Department of Electronics and Telecommunications, University of Zimbabwe, Harare, Zimbabwe Mariangela Dutra de Oliveira Sanitary and Environmental Engineering Department, Federal Institute of Espírito Santo, Vitória, Espírito Santo, Brazil Justice Kofi Debrah Faculty of Science and Technology, University Fernando Pessoa (UFP), Porto, Portugal Shiladitya Dey Research Scholar at the Centre for Rural Development and Innovative Sustabale Technologies (CRDIST), Indian Institute of Technology (IIT), Kharagpur, WB, India Ricardo Cunha Dias Center of Administration and Public Policy, ISCSP, University of Lisbon, Lisbon, Portugal Jose Manuel Diaz-Sarachaga GTDS Research Group, University of Oviedo, Oviedo, Spain Thais Dibbern Department of Science and Technology Policy, University of Campinas, Campinas, Brazil Maria Alzira Pimenta Dinis UFP Energy, Environment and Health Research Unit (FP-ENAS), University Fernando Pessoa (UFP), Porto, Portugal Mike Duddek Institute of Energy Systems and Energy Management, University of Applied Sciences Ruhr West, Bottrop, Germany Mischka Dunn Department of Geography, University of the Free State, Bloemfontein, South Africa Anabela Durão Institute of Earth Sciences, Polytechnic Institute of Beja, Beja, Portugal Elisabeth Dütschke Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Telmo Eleutério Faculdade de Ciências e Tecnologia, Universidade dos Açores, Ponta Delgada, Açores, Portugal

Contributors

xxix

N. G. Faitani Consejo Nacional de Investigaciones Científicas y Tecnológicas (CONICET)-Instituto del Conurbano, Universidad Nacional de General Sarmiento, Buenos Aires, Argentina Federica Farneti Department of Sociology and Business Law, Alma Mater Studiorum University of Bologna, Bologna, Italy Maren Theresa Christin Fendt Research and Transfer Centre Sustainability & Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany Walter Leal Filho European School of Sustainability Science and Research, Hamburg University of Applied Sciences, Hamburg, Germany Manchester Metropolitan University, Manchester, UK Research and Transfer Centre Sustainability and Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany Marcos Antonio Leite Frandoloso Engineering and Architecture, University of Passo Fundo, Passo Fundo, RS, Brazil Fausto Freire University of Coimbra, ADAI, Department of Mechanical Engineering, Coimbra, Portugal Saulo H. Freitas Seabra da Rocha Institute of Energy Systems and Energy Management, University of Applied Sciences Ruhr West, Bottrop, Germany Avi Friedman Peter Guo-hua Fu School of Architecture, Faculty of Engineering, McGill University, Montréal, QC, Canada Barbara Fritzen Research and Transfer Centre Sustainability & Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany Paulo Guilherme Fuchs Federal Institute of Santa Catarina – IFSC, Florianópolis, Brazil David Sebastian Funk Research and Transfer Centre Sustainability & Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany S. L. Galvan Consejo Nacional de Investigaciones Científicas y Tecnológicas (CONICET)-Instituto del Conurbano, Universidad Nacional de General Sarmiento, Buenos Aires, Argentina César García-Aranda Department of Surveying Engineering and Cartography, Escuela Técnica Superior de Ingenieros en Topografía, Geodesia y Cartografía, Universidad Politécnica de Madrid, Madrid, Spain Rocío González-Suárez University of A Coruña, A Coruña, Spain

xxx

Contributors

Carolina Grano Postgraduate Program in Production Engineering, Federal University of ABC (UFABC), Sao Bernardo do Campo, Brazil Svenja Grauel Ruhr West University of Applied Sciences, Bottrop, Germany Norbert Gruenwald University of Applied Science: Technology, Business and Design, Wismar, Germany Bertrand Guillaume University of Technology of Troyes (UTT), Troyes, France Hartwig Haase Institute of Logistics and Material Handling Systems, Otto von Guericke University, Magdeburg, Germany Hendrik Hansmeier Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Anna Härri LUT University, Lahti, Finland Patrick Hartmann Faculty of Economics and Business Administration, University of the Basque Country UPV/EHU, Bilbao, Spain Sibte Hasan Freelance Researcher, Lahore, Pakistan Pasi Heikkurinen University of Helsinki, Helsinki, Finland Andrea Heilmann Department of Automation/Computer Sciences, Harz University of Applied Sciences, Wernigerode, Germany Juscelino Alves Henriques Edifications Department, Federal Institute of Sertão Pernambucano, Ouricuri, Pernambuco, Brazil Nils B. Heyen Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Roope Husgafvel Department of Bioproducts and Biosystems, Aalto University, Espoo, Finland Dzintra Iliško Canter of Sustainable Development, Daugavpils University, Daugavpils, Latvia Usha Iyer-Raniga School of Property, Construction and Project Management, RMIT University, Melbourne, VIC, Australia Doorgeshwaree Jaggeshar Department of Chemical & Environmental Engineering, University of Mauritius, Moka, Mauritius Ulla Janson Division of Building Services, Lund University, Lund, Sweden Dennis Johansson Division of Building Services, Lund University, Lund, Sweden Şiir Kılkış The Scientific and Technological Research Council of Turkey, Ankara, Turkey Silvana Kühtz DICEM, Università degli Studi della Basilicata, Matera, Italy

Contributors

xxxi

Qudsia Kalsoom School of Education, Beaconhouse National University, Lahore, Pakistan Caroline Paul Kanjookaran Research and Transfer Centre Sustainability & Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany Thomas Kaydor New University, Nova Goric, Slovenia University of Liberia Graduate Studies & Research, Monrovia, Republic of Liberia Naomi Keena Peter Guo-hua Fu School of Architecture, Faculty of Engineering, McGill University, Montréal, QC, Canada Tahl Kestin Monash Sustainable Development Institute, Monash University, Clayton, VIC, Australia Débora Londero Kieling Federal University of Santa Maria – UFSM, Santa Maria, Brazil Olivia Kleier School of Foreign Service, Georgetown University, Washington, DC, USA Jennilee Kohima Department of Architecture and Spatial Planning, Namibia University of Science Technology, Windhoek, Namibia Adriana Marcia Nicolau Korres Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Espirito Santo, Brazil Richard Kotter Department of Geography and Environmental Sciences, Northumbria University, Newcastle upon Tyne, UK Aristea Kounani Program of Agricultural Economics and Entrepreneurship, Department of Agriculture, International Hellenic University, Thessaloniki, Greece Valerija Kozlova Faculty of Business and Economics, RISEBA University of Applied Sciences, Riga, Latvia Jan Kunnas Department of History and Ethnology, School of Resource Wisdom, University of Jyväskylä, Jyväskylä, Finland Olga Kunytska National Transport University, Kiev, Ukraine Sulâni Kurtz Engineering and Architecture, University of Passo Fundo, Passo Fundo, RS, Brazil Jorge López-Fernández Universidade da Coruña, cartoLAB, Advanced Visualisation and Cartography Group, Departament of Civil Engineering, Higher Technical School of Civil Engineering, A Coruna, Spain Matheus Tavares Lacerda Federal University of Parana, Curitiba, Brazil Amanda Lange Salvia Graduate Program in Civil and Environmental Engineering, University of Passo Fundo, São José, RS, Brazil

xxxii

Contributors

Lucia Leboto-Khetsi Department of Urban & Regional Planning, University of the Free State, Bloemfontein, South Africa Jarkko Levänen LUT University, Lahti, Finland Todd LeVasseur College of Charleston, Charleston, SC, USA Clayton dos Santos Lima Federal University of Santa Maria – UFSM, Santa Maria, Brazil Elisabete Linhares Polytechnic Institute of Santarém, Santarém, Portugal University of Lisbon, UIDEF, Lisbon, Portugal Lassi Linnanen LUT University, Lahti, Finland Hans Liwång Systems Science for Defence and Security Division, Swedish Defence University, Stockholm, Sweden María Lorenzo-Rial University of Vigo, Pontevedra, Spain Marcell Mariano Corrêa Maceno Federal University of Parana, Curitiba, Brazil Kate Mackness University of Waikato, Hamilton, New Zealand Claudia Mac-lean Gaia Antarctic Research Center, University of Magallanes, Punta Arenas, Chile Gaathier Mahed Department of Geosciences, Faculty of Science, Nelson Mandela University, Port Elizabeth, South Africa Irja Malmio Systems Science for Defence and Security Division, Swedish Defence University, Stockholm, Sweden Aitor Marcos Faculty of Economics and Business Administration, University of the Basque Country UPV/EHU, Bilbao, Spain Marina Marianovych Academy of Public-Private Partnership, Kyiv, Ukraine Abraham R. Matamanda Department of Geography, University of the Free State, Bloemfontein, South Africa Newton R. Matandirotya Department of Geosciences, Faculty of Science, Nelson Mandela University, Port Elizabeth, South Africa Centre for Climate Change Adaptation & Resilience, Kgotso Development Trust, Beitbridge, Zimbabwe Electdom Matandirotya Department of Space Sciences and Applied Physics, University of Zimbabwe, Harare, Zimbabwe Marja Matinmikko-Blue Centre for Wireless Communications (CWC), University of Oulu, Oulu, Finland Rodrigo Libanez Melan Administration lecturer at State University of Londrina – UEL, Londrina, Brazil

Contributors

xxxiii

Gavin Melles Swinburne University of Technology, Melbourne, Australia Óscar Mercado Programa de Sustentabilidad, Metropolitana del Estado de Chile, Santiago, Chile

Universidad

Tecnológica

Abongile Mgwele Department of Urban & Regional Planning, University of the Free State, Bloemfontein, South Africa Leonidas Milios International Institute for Industrial Environmental Economics, Lund University, Lund, Sweden Siti Fairuz Mohd Radzi Centre for Global Sustainability Studies, Universiti Sains Malaysia, Penang, Malaysia Agustín Molina García Department of Surveying Engineering and Cartography, Escuela Técnica Superior de Ingenieros en Topografía, Geodesia y Cartografía, Universidad Politécnica de Madrid, Madrid, Spain Clara Barbosa Monteiro Departamento de Arquitetura e Urbanismo, Centro de Ciências Exatas, Universidade Federal de Viçosa, Viçosa, Brazil Anirban Nandy Research Scholar at the Centre for Rural Development and Innovative Sustabale Technologies (CRDIST), Indian Institute of Technology (IIT), Kharagpur, WB, India Verna Nel Department of Urban & Regional Planning, University of the Free State, Bloemfontein, South Africa Maria Nemilentseva LUT University, Lappeenranta, Finland Rafael Burlani Neves Universidade do Vale do Itajaí, Florianópolis, Brazil Carla Arcoverde de Aguiar Neves Instituto Federal de Educação, Ciência e Tecnologia de Santa Catarina | IFSC, Florianópolis, Brazil Artie W. Ng Centre for Sustainable Business, International Business University, Toronto, ON, Canada Theam Foo Ng Centre for Global Sustainability Studies, Universiti Sains Malaysia, Minden, Penang, Malaysia Wei Chien Ng School of Management, Universiti Sains Malaysia, Penang, Malaysia Department of Accountancy and Business, Tunku Abdul Rahman University College, Penang, Pulau Pinang, Malaysia Palesa B. Ngo Department of Geography, University of the Free State, Bloemfontein, South Africa Jaqueline Nichi Center for Environmental Studies and Research, University of Campinas, Campinas, Brazil

xxxiv

Contributors

Adriana Marcia Nicolau Korres Sanitary and Environmental Engineering Department, Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Brazil Paulo van Noije School of Applied Sciences, University of Campinas, Limeira, Brazil Isabel Novo-Corti EDaSS Research Group on Sustainable Development and Social Sustainability, Department of Economics, Faculty of Economics and Business, University of A Coruña, A Coruña, Spain L. A. Olvera-Vargas Centro de Investigación y Asistencia en Tecnología y Diseño del Estado de Jalisco, Guadalajara, Mexico Lenard Opeskin Technische Universität Dresden, Dresden, Germany Javier Pérez Rodríguez Department of Industrial Chemical & Environmental Engineering, Escuela Técnica Superior de Ingenieros Industriales, Universidad Politécnica de Madrid, Madrid, Spain Uxío Pérez-Rodríguez University of Vigo, Pontevedra, Spain Anirban Pal Centre for Rural Development and Innovative Sustabale Technologies (CRDIST), Indian Institute of Technology (IIT), Kharagpur, WB, India Alexandra Pavloudi Program of Agricultural Economics and Entrepreneurship, Department of Agriculture, International Hellenic University, Thessaloniki, Greece Maria A. Petrova Georgetown Environment Institute, Georgetown University, Washington, DC, USA Xose Picatoste EDaSS Research Group on Sustainable Development and Social Sustainability, Department of Economics, Faculty of Economics and Business, University of A Coruña, A Coruña, Spain Isabel Piñeiro University of A Coruña, A Coruña, Spain Poliana Daré Zampirolli Pires Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Espirito Santo, Brazil Xana Piteira Orla Design, Lagos, Portugal Daria Podmetina LUT University, Lappeenranta, Finland Sabine Preuß Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Hardy Pundt Dept. of Automation and Computer Science, Harz University of Applied Sciences, Wernigerode, Germany R. B. Radin Firdaus School of Social Sciences, Universiti Sains Malaysia, Gelugor, Malaysia

Contributors

xxxv

Siti Rahyla Rahmat School of Social Sciences, Universiti Sains Malaysia, Gelugor, Malaysia Thelma Raman Property and Sustainability, Macquarie University, Marsfield, NSW, Australia Siphokazi Rammile Department of Urban & Regional Planning, University of the Free State, Bloemfontein, South Africa Albertina Raposo MARE – Marine and Environmental Sciences Center, Polytechnic Institute of Beja, Lisbon, Portugal Isael Colonna Ribeiro Master of Science in Sustainable Technologies, Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Espirito Santo, Brazil Jessika Luth Richter International Institute for Industrial Environmental Economics, Lund University, Lund, Sweden Cândida Rocha DREAMS – Centre for Interdisciplinary Development and Research on Environment, Applied Management and Space, Lusofona University, Lisbon, Portugal Jorge Rodríguez-Chueca Department of Industrial Chemical & Environmental Engineering, Escuela Técnica Superior de Ingenieros Industriales, Universidad Politécnica de Madrid, Madrid, Spain Carolina Rodríguez-Llorente University of A Coruña, A Coruña, Spain Silke Rühmland Sustainability Office, Otto von Guericke University, Magdeburg, Germany Toni Ruuska University of Helsinki, Helsinki, Finland Tatsuyoshi Saijo Research Institute for Future Design, Kochi University of Technology, Kochi, Japan Research Institute for Humanity and Nature, Kyoto, Japan José Carlos Curvelo Santana Postgraduate Program in Production Engineering, Federal University of ABC (UFABC), Sao Bernardo do Campo, Brazil Isabel Abreu dos Santos MARE – Marine and Environmental Sciences Center, Lusofona University, Lisbon, Portugal Denis dos Santos Alves School of Applied Sciences, University of Campinas, Limeira, Brazil Rodolfo Sapiains Gaia Antarctic Research Center, University of Magallanes, Punta Arenas, Chile

xxxvi

Contributors

Pedro Saraiva Department of Chemical Engineering, CIEPQPF, University of Coimbra, Coimbra, Portugal NOVA University of Lisbon, Lisbon, Portugal C. Sardi Research Unit of Environmental Education and Communication, School of Public Health, University of West Attica, Athens, Greece Christian Sartorius Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Tamara Savelyeva The Hong Kong Institute of Education for Sustainable Development, Hong Kong, China The World Institute for Sustainable Development Planners, UNESCO Hong Kong Association, Hong Kong, China Felix Schulz Department of Automation/Computer Sciences, Harz University of Applied Sciences, Wernigerode, Germany Paulo Castro Seixas Center of Administration and Public Policy, ISCSP, University of Lisbon, Lisbon, Portugal Theresa Selfa SUNY College of Environmental Science and Forestry, Syracuse, NY, USA Milena Pavan Serafim School of Applied Sciences, University of Campinas, Limeira, Brazil Shifa Shahin Research Scholar at the Vinod Gupta School of Management (VGSoM), IIT, Kharagpur, WB, India Anna Shatkovska Academy of Public-Private Partnership, Kyiv, Ukraine Sérgio Ricardo da Silveira Barros Instituto de Geociências, Universidade Federal Fluminense (UFF), Niterói, RJ, Brazil Piyush Kumar Singh Center for Rural Development and Innovative Sustainable Technology (CRIDIST) and Dept. of Agricultural and Food Engineering (AgFE), Indian Institute of Technology (IIT), Kharagpur, WB, India C. Skanavis School of Public Health, University of West Attica, Athens, Greece Yu Qing Soong School of Management, Universiti Sains Malaysia, Penang, Malaysia Manuel Soto Universidade da Coruña, Group of Chemical and Environmental Engineering, Department of Chemistry, Faculty of Science, Center of Advanced Scientific Research, A Coruna, Spain José Paulo Sousa Centre for Functional Ecology – Science for People and the Planet, TERRA Associate Laboratory, Department of Life Sciences, University of Coimbra, Coimbra, Portugal

Contributors

xxxvii

Rebecca Spaunhorst Department of Automation/Computer Sciences, Harz University of Applied Sciences, Wernigerode, Germany Jane Spiteri Department of Early Childhood and Primary Education, Faculty of Education, University of Malta, Msida, Malta Kyungeun Sung Product Design, De Montfort University, Leicester, UK Dinesh Surroop Department of Chemical & Environmental Engineering, University of Mauritius, Moka, Mauritius Julia Swart Utrecht School of Economics, Utrecht University, Utrecht, The Netherlands Paul Szabó-Müller Ruhr West University of Applied Sciences, Bottrop, Germany May Tan School of Foreign Service, Georgetown University, Washington, DC, USA Sin Yin Teh School of Management, Universiti Sains Malaysia, Minden, Penang, Malaysia Luma Schervenski Tejada Instituto Federal do Ceará, Bom Progresso, Brazil Cristopher Toledo Programa de Sustentabilidad, Universidad Tecnológica Metropolitana del Estado de Chile, Santiago, Chile Marko Torkkeli LUT University, Kouvola, Finland Verónica Torrijos Office for the Environment, Universidade da Coruña, A Coruña, Spain Amanda Trentin Department of Science and Technology Policy, University of Campinas, Campinas, Brazil Maryon Urbina Dirección de Sustentabilidad, Pontificia Universidad Católica de Chile, Santiago, Chile Kateryna Vakulenko O. M. Beketov National University of Urban Economy in Kharkiv, Kharkiv, Ukraine Francisco-Alberto Varela-García Universidade da Coruña, cartoLAB, Advanced Visualisation and Cartography Group, Departament of Civil Engineering, Higher Technical School of Civil Engineering, A Coruna, Spain Mercedes Varela-Losada University of Vigo, Pontevedra, Spain Helena Cristina Vasconcelos Faculdade de Ciências e Tecnologia, Universidade dos Açores, Ponta Delgada, Açores, Portugal Laboratório de Instrumentação, Engenharia Biomédica e Física da Radiação (LIBPhys-UNL), Monte da Caparica, Caparica, Portugal

xxxviii

Contributors

Lia Vasconcelos MARE – Marine and Environmental Sciences Center, NOVA University of Lisbon, Lisbon, Portugal Pedro Vega-Marcote University of A Coruña, A Coruña, Spain Ana Sibelonia Saldanha Veras University Fernando Pessoa, Porto, Portugal Fernanda Aparecida Veronez Sanitary and Environmental Engineering Department, Federal Institute of Education, Science and Technology of Espirito Santo, Vitoria, Brazil Diogo Guedes Vidal Center for Functional Ecology - Science for People & the Planet (CFE), TERRA Associate Laboratory, Department of Life Sciences (DCV), Faculty of Sciences and Technology, University of Coimbra (UC), Calçada Martim de Freitas, Coimbra, Portugal Faculty of Science and Technology, University Fernando Pessoa, Porto, Portugal Tania Vieites University of A Coruña, A Coruña, Spain Michelle Viera-Romero SUNY College of Environmental Science and Forestry, Syracuse, NY, USA Universidad de Guayaquil, Guayaquil, Ecuador Friederike von Unruh Ruhr West University of Applied Sciences, Bottrop, Germany Christian Wölfel Technische Universität Dresden, Dresden, Germany Shir Li Wang Department of Computing, Faculty of Art, Computing and Creative Industry, Universiti Pendidikan Sultan Idris, Tanjong Malim, Perak, Malaysia Philine Warnke Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Kendra Wasiluk Buildings and Property Division, Monash University, Clayton, VIC, Australia Doerte Weig Movement Research, Barcelona, Spain Iain White University of Waikato, Hamilton, New Zealand Andrew. Wu Research Centre for Green Energy, Transport and Building, College of Professional & Continuing Education, The Hong Kong Polytechnic University, Hong Kong, China Edmund T. M. Wut Research Centre for Green Energy, Transport and Building, College of Professional & Continuing Education, The Hong Kong Polytechnic University, Hong Kong, China Pablo Yañez Programa UTalca Sustentable, Universidad de Talca, Talca, Chile

Contributors

xxxix

Seppo Yrjölä Centre for Wireless Communications (CWC), University of Oulu, Oulu, Finland Nokia, Oulu, Finland Nooriah Yusof Geography Section, School of Humanities, Universiti Sains Malaysia, Penang, Malaysia Malgorzata Zakrzewska University of Szczecin, Szczecin, Poland Dejanyne Paiva Zamprogno Sanitary and Environmental Engineering Department, Federal Institute of Espírito Santo, Vitória, Espírito Santo, Brazil G.-T. Zapanti Research Unit of Environmental Education and Communication, School of Public Health, University of West Attica, Athens, Greece Iryna Zapatrina Academy of Public-Private Partnership, Kyiv, Ukraine Andrea Zenker Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany Marco Zilvetti School of Design, Northumbria University, Newcastle upon Tyne, UK

Part I Sustainability and Institutions

1

Sustainability Science for the Future Walter Leal Filho

Contents 1 Introduction: Advantages to Pursue Sustainable Development at Institutions . . . . . . . . . . . . . . . 2 Challenges to Pursue Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Some Future Trends on Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Category 1 Trends Associated with the COVID-19 Pandemic . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Category 2 Technological Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Category 3 Societal Changes and New Behaviours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3 4 6 6 7 7 8 8

Abstract

This final chapter describes the advantages of pursuing sustainable development, the challenges associated with it, and presents an overview of future trends.

1

Introduction: Advantages to Pursue Sustainable Development at Institutions

Since the creation of the sustainable development goals, higher education institutions have made a concerted effort to incorporate sustainability into their practices. This was carried out through the development of declarations, design of new curriculum, sustainable campus practices, and formation of partnerships at a regional and global levels (Lozano et al. 2015; Findler et al. 2019). Education for sustainable development is a powerful tool to promote sustainability amongst people and condition their mindsets towards sustainable living (Kopnina 2020). More specifically, it involves equipping people with the necessary skills, W. Leal Filho (*) Research and Transfer Centre Sustainability and Climate Change Management (FTZ-NK), Faculty of Life Sciences, Hamburg University of Applied Sciences, Hamburg, Germany e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_1

3

4

W. Leal Filho

knowledge and attitudes that will aid in creating a sustainable future (Blessinger et al. 2018). Higher education institutions have the ability to implement modules, curricula, tasks and learning that promote sustainable development (Annan-Diab and Molinari 2017). This allows for a targeted approach to sustainability with the advantage that higher education institutions are able to reach more individuals. Furthermore, institutions have the research and expertise that can be used to effectively promote sustainability which may be lacking in community-based engagement (Ferrer-Estévez and Chalmeta 2021). Furthermore, universities can build their own agendas that incorporate sustainability. This involves redefining academic principles, engaging in sustainability research and more importantly carrying out green campus operations (Wu and Shen 2016; Owens 2017). The latter involves identifying activities on campus that negatively affect the environment and finding more sustainable alternatives. This is particularly advantageous as campuses often function as independent communities in terms of regulatory processes, energy usage, transportation and waste removal amongst others. By optimising these processes, a huge contribution to sustainable development is made (Owens 2017). In terms of research, universities are able to acquire public and private funding which helps with carrying out in-depth research that contributes positively to ensuring people understand what is needed for the SDGs to be achieved as well as finding simple optimised solutions to problems (Saeed 2019). More specifically, institutions are able to bridge the gap between what is taught and what needs to be learned through research while taking advantage of technology, educational resources and distance learned which enables a wider population of people to be targeted (UNESCO 2021). Additionally, universities are able to form partnerships with other institutions to educate the general public in terms of lifelong learning which aids in the progression of sustainability (Saeed 2019).

2

Challenges to Pursue Sustainable Development

Despite the fact that the United Nations General Assembly agreed with the Sustainable Development Goals (SDGs) there are many challenges and barriers which are hindering progress in achieving sustainability (Ávila et al. 2019). To achieve sustainable development, global action is essential, and financial constraints need to be accounted for and overcome. Aside from this it has been observed that the achievement of certain SDGs comes at the expense of other SDGs. More specifically, this has been described as trade-offs and acts as a limitation/ challenge to goal achievement (Cernev and Fenner 2020). There are some key barriers to be meet to achieve sustainability, as seen in Table 1. In other instances, proper governance has been highlighted as a key for achieving sustainable development (Biermann et al. 2017). Countries of different economic statuses have different governing systems in place for the achievement of sustainable development. However, certain countries lack proper governance that focusses on sustainability. Furthermore, it has been noted that certain systems account for

1

Sustainability Science for the Future

5

Table 1 Some key barriers to sustainable development Barrier to sustainable development Lack of political will Diverging political priorities Lack of clarity & contradictions of the concept Heterogeneity of attitudes towards sustainability Institutional barriers (e.g. lack of specific regulations) Legislative and institutional difficulties Differing views and conflicts of interest among major players Heterogeneity of attitudes towards sustainability Technical and technological barriers to innovation

Poor monitoring and evaluation systems

Limitations in (or lack of) financial resources Limitations in human resources Deficits in research and thematic gaps Difficulties related to customers (preference for unsustainable and cheap products) Lack of understanding and knowledge among consumers

References Adetunji et al. 2005, p. 620 Stewart et al. 2016, p. 24 Adetunji et al. 2005, p. 616 Costache et al. 2021, p. 5 Browdy and Hargreaves 2009, p. 27 Costache et al. 2021, p. 13 Adetunji et al. 2005, p. 617 Costache et al. 2021, p. 5 Browdy and Hargreaves 2009, p. 65 Zelenika and Pearce 2011, p. 16 Morales Pedraza (2014). von Raggamby and Rubik 2012, p. 4 Costache et al. 2021, p. 13 Stewart et al. 2016, p. 24 Costache et al. 2021, p. 13 Stewart et al. 2016, p. 24 Morales Pedraza 2014 Costache et al. 2021, p. 17 Costache et al. 2021, p. 13 Stewart et al. 2016, p. 25

sustainability but lack essential components that make the sustainability transition easier. These can include lack of implementation, vision, objectives or monitoring and evaluation. This leads to different countries being at different levels of sustainable development posing a challenge to global sustainability initiatives. Countries need collaborative action to fill in the gaps that reside in different nations with regards to sustainability (Morita et al. 2020). Aside from this, corruption within the governing systems of countries may lead to a misuse of funds targeted to sustainable development initiatives. Recovering these funds is not always possible, often worsening situations (Frolova et al. 2019). Additionally, in certain countries it is observed that a little emphasis is placed on a systematic pursuit of sustainable development. Often, many initiatives are short-term and undertaken on an ad hoc basis. Furthermore, it is often ignored that sustainability goals cannot be achieved single-handily but requires the formation of collaborations between organisations, including businesses and other social actors. More specifically, these partnerships need to identify and form synergies to achieve common goals. Without partnerships, it it becomes difficult to progress towards sustainability as a whole, and to effectively implements the SDGs in particular (Ali et al. 2018). One of the biggest challenges in achieving sustainable development is downplaying the role of education in sustainability. Higher education institutions are a

6

W. Leal Filho

powerful tool for spreading awareness about the issue and allowing for collective action. However, many countries do not fully utilise the power of education to achieve sustainability. This slows the progress of sustainable development in the area (Zhou et al. 2020). Furthermore, capacity building is required for sustainable development. Many nations have citizens that lack the skills and tools to carry out sustainable initiatives. This is attributed to lack of finances or resources and thus inhibits the progress of sustainable development in the country (Jaiyesimi 2016). Additionally, some cultures prevent groups of people from being open to new ideas, development, and changes. This seen significantly with indigenous groups which hampers the implementation of strategies (Ashencaen Crabtree et al. 2019). One of the most recent challenges to sustainability is the COVID-19 pandemic. This has led to already existing barriers being placed under stress due to the pandemic. The pandemic has led to a diversion of resources whilst worsening unemployment and poverty in many countries which is not in line with SDGs. The focus has been shifted from sustainability to the pandemic (Barbier and Burgess 2020; Jones and Comfort 2020).

3

Some Future Trends on Sustainable Development

Some recent papers have identified the impacts of the COVID-19 pandemic on sustainability research (Leal Filho et al. 2021a) and teaching (Leal Filho et al. 2021b). There are also some trends related to sustainable development, which are expected in the future. They are a mixture of recent developments such as the COVID-19 pandemic, the evolution of technology, and some societal changes. Due their relevance, they these trends may be clustered into 3 main categories.

3.1

Category 1 Trends Associated with the COVID-19 Pandemic

(i) greater reliance on distance education and on-line teaching, as a means to cope with the restrictions in contacts triggered by the pandemic, (ii) a reduction, at least temporarily, in the number of physical meetings (e.g. seminars, conferences), (iii) more intensive on-line interactions between research teams, to balance the lack of physical contacts, (iv) increases in the number of research projects which take the implications of the pandemic to teaching and research on sustainable development into account, (v) reduced funding for sustainability research projects, due to competing funding priorities triggered by the pandemic, which.

1

Sustainability Science for the Future

3.2

7

Category 2 Technological Trends

(i) wider use of on-line communication programmes such as Zoom, Microsoft Teams, WebEx and many others, whose availability has greatly increased during the COVID-19 pandemic, (ii) further development of on-line formats for evaluation of students´ performance, (iii) more peer-reviewed journals which use open access formats, which may increase access and market penetration, (iv) greater use of on-line tools to evaluate sustainability projects, (v) increased use of IT-based tools for bibliometric analysis, surveys, enquires and other forms of data collection.

3.3

Category 3 Societal Changes and New Behaviours

(i) increased presence of researchers from developing countries in mainstream sustainability research, since the communication divide has been partly addressed and they are becoming more present in the international literature, (ii) a greater engagement of the general public on sustainability affairs, driven by an increased awareness of how individuals can contribute to areas such as sustainable consumption and the impacts of their behaviour, (iii) an increased in the political emphasis to sustainability, as it is more widely taken into account in the political discourse and is increasingly being taken into account in legislation, (iv) the wider use of sustainability as a criterium for public and private-funded projects, often followed by measures to assess progress and measure results, (v) an increased awareness of the fact that true sustainability cannot be regarded as a question of compromising environmental protection with economic development, but that it needs to be perceived as a framework where decisions should be ecologically sound, economically viable, socially just and ethically acceptable. Finally, it is expected that trends associated with climate change, energy generation and use, the emerging of diseases, mobility, circular economy and other areas, will also significantly influence the future of sustainable development. Figure 1 summarises some of these developments. It needs to be acknowledged that, in order to yield the expected benefits, it is important that works are performed in a continuous way. Potential conflicts also need to be addressed in an objective manners, so as to allow things to move forward in a constructive way.

8

W. Leal Filho

Fig. 1 Some elements which influence the future of sustainable development

4

Conclusions

This final paper has illustrated some future trends as they apply for the evolution of sustainable development, which- due to their scope- also have implications to teaching and research on sustainable development. As the field of sustainability moves forward, and as we progress towards the implementation of the UN Agenda 2030 -and especially the UN Sustainable Development Goals-, there are many opportunities for innovation. Indeed, innovative approaches are needed to address current problems, since many of the solutions deployed in the past, have had a limited degree of success. As we strive towards future progress, we need new ideas, the design and use of new technologies, and the adoption of new insights, to as to search, test and implement sustainable solutions to the many environmental and societal problems we experience today, paving the way for a more sustainable living and, inter alia, a more sustainable future.

References Adetunji I, Price A, Fleming P, Kemp P et al (2005) The barriers and possible solutions to achieve sustainable development. In: Proceedings of 2005 2nd Scottish conference for postgraduate researchers of the built and natural environment (PRoBE 2005), Glasgow, Great Britain, pp 611–622. Retrieved from: https://www.irbnet.de/daten/iconda/CIB10669.pdf Ali S, Hussain T, Zhang G, Nurunnabi M, Li B (2018) The implementation of sustainable development goals in “BRICS” countries. Sustainability 10(7):2513. https://doi.org/10.3390/ su10072513

1

Sustainability Science for the Future

9

Annan-Diab F, Molinari C (2017) Interdisciplinarity: practical approach to advancing education for sustainability and for the sustainable development goals. Inter J Manage Educ 15(2):73–83. https://doi.org/10.1016/j.ijme.2017.03.006 Ashencaen Crabtree S, Parker J, Man Z, Garcia Segura A, Sylvester O (2019) Sustainability, development and devastation: new encounters in indigenous dialogues. Discover Soc Ávila LV, Beuron TA, Brandli LL, Damke LI, Pereira RS, Klein LL (2019) Barriers to innovation and sustainability in universities: an international comparison. Int J Sustain High Educ 20(5): 805–821. https://doi.org/10.1108/IJSHE-02-2019-0067 Barbier EB, Burgess JC (2020) Sustainability and development after COVID-19. World Dev 135: 105082. https://doi.org/10.1016/j.worlddev.2020.105082 Biermann F, Kanie N, Kim RE (2017) Global governance by goal-setting: the novel approach of the UN sustainable development goals. Curr Opin Environ Sustain 26:26–31. https://doi.org/10. 1016/j.cosust.2017.01.010 Blessinger P, Sengupta E, Makhanya M (2018) Higher education’s key role in sustainable development. Globalizations. Retrieved from https://www.universityworldnews.com/post.php? story¼20180905082834986 Browdy CL, Hargreaves JA (2009) Overcoming technical barriers to the sustainable development of competitive marine aquaculture in the United States. U.S. Department of Commerce, silver spring, MD USA. NOAA Technical Memo NMFS F/SPO100, p 114. Retrieved from: https:// permanent.fdlp.gov/lps119813/noaanistwpfinal.pdf Cernev T, Fenner R (2020) The importance of achieving foundational sustainable development goals in reducing global risk. Futures 115:102492. https://doi.org/10.1016/j.futures.2019. 102492 Costache C, Dumitrascu D-D, Maniu I (2021) Facilitators of and barriers to sustainable development in small and medium-sized enterprises: a descriptive exploratory study in Romania. Sustainability 13(6):3213. https://doi.org/10.3390/su13063213 Ferrer-Estévez M, Chalmeta R (2021) Integrating sustainable development goals in educational institutions. Inter J Manag Educ 19(2):100494. https://doi.org/10.1016/j.ijme.2021.100494 Findler F, Schönherr N, Lozano R, Reider D, Martinuzzi A (2019) The impacts of higher education institutions on sustainable development: a review and conceptualization. Int J Sustain High Educ 20(1):23–38. https://doi.org/10.1108/IJSHE-07-2017-0114 Frolova I, Voronkova O, Alekhina N, Kovaleva I, Prodanova N, Kashirskaya L (2019) Corruption as an obstacle to sustainable development: a regional example. Entrepreneurship Sustainability Issues 7(1):674–689. https://doi.org/10.9770/jesi.2019.7.1(48) Jaiyesimi R (2016) The challenge of implementing the sustainable development goals in Africa: the way forward. African journal of reproductive health. 20(3):13–18. https://doi.org/10.29063/ ajrh2016/v20i3.1 Jones P, Comfort D (2020) The COVID-19 crisis, tourism and sustainable development. Athens J Tourism 7(2):75–86. https://doi.org/10.30958/ajt.7-2-1 Kopnina H (2020) Education for the future? Critical evaluation of education for sustainable development goals. J Environ Educ 51(4):280–291. https://doi.org/10.1080/00958964.2019. 1710444 Leal Filho W, Azul AM, Wall T et al (2021b) (2021a) COVID-19: the impact of a global crisis on sustainable development research. Sustain Sci 16:85–99. https://doi.org/10.1007/s11625-02000866-y Lozano R, Ceulemans K, Alonso-Almeida M, Huisingh D, Lozano FJ, Waas T et al (2015) A review of commitment and implementation of sustainable development in higher education: results from a worldwide survey. J Clean Prod 108:1–18. https://doi.org/10.1016/j.jclepro.2014.09.048 Morales Pedraza J (2014) What are some of the barriers towards achieving sustainability?. Retrieved from: https://www.researchgate.net/post/What-are-some-of-the-barriers-towardsachieving-sustainability/5352fa7fd039b171198b460a/citation/download Morita K, Okitasari M, Masuda H (2020) Analysis of national and local governance systems to achieve the sustainable development goals: case studies of Japan and Indonesia. Sustain Sci 15(1):179–202. https://doi.org/10.1007/s11625-019-00739-z

10

W. Leal Filho

Owens TL (2017) Higher education in the sustainable development goals framework. Eur J Educ 52(4):414–420. https://doi.org/10.1111/ejed.12237 Saeed S (2019) Education for sustainable development and its benefits to your university. Resources. Retrieved from https://www.qs.com/education-for-sustainable-development/ Stewart R, Bey N, Boks C (2016) Exploration of the barriers to implementing different types of sustainability approaches. Procedia CIRP 48. https://doi.org/10.1016/j.procir.2016.04.063 UNESCO (2021) Higher education and the sustainable development goals. High Educ. Retrieved from https://en.unesco.org/themes/higher-education/sdgs von Raggamby A, Rubik F (2012) Sustainable Development. Evaluation and Policy-Making Edward Elgar Publishing. https://doi.org/10.4337/9781781953525. Retrieved from: https:// evalsdgs.org/wp-content/uploads/2018/07/sustainable-development-evaluation-and-policymaking.pdf Wu Y-CJ, Shen J-P (2016) Higher education for sustainable development: a systematic review. Int J Sustain High Educ 73:633–651. https://doi.org/10.1108/IJSHE-01-2015-0004 Zelenika I, Pearce J (2011) Barriers to appropriate technology growth in sustainable development. J Sust Develop 4(6):12. https://doi.org/10.5539/jsd.v4n6p12. Retrieved from: https://ccsenet. org/journal/index.php/jsd/article/download/12176/9085 Zhou L, Rudhumbu N, Shumba J, Olumide A (2020) Role of higher education institutions in the implementation of sustainable development goals. In: Nhamo G, Mjimba V (eds) Sustainable development goals and institutions of higher education. Springer, pp 87–96

2

International Cooperation Fulcrum for Sustainable Development Thomas Kaydor

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Research Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Definition of International Cooperation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 International Cooperation for Public Goods Provision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 International Cooperation and Global Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 International Cooperation for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 International Cooperation and ODA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Some Global Debates on ODA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Some Benefits ODA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Economic Growth an Alternative to ODA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12 12 13 13 15 16 17 17 19 23 25 26

Abstract

This essay has argued that international cooperation is the fulcrum for sustainable development. First, it has determined that international cooperation impacts sustainable development because it is through cooperation that states can attain mutually beneficial outcomes to address both national and global challenges and problems. Without international cooperation, states will not achieve their national interests singularly. Simply put, all states are interdependent. Second, the essay argued that international cooperation has evolved over time moving beyond the traditional practice of bilateral and multilateral cooperation to now include global governance that involves trans governmental networks; transnational private governance; and transnational public-private partnership processes. These global networks are complex, but help states and non-state actors to cooperate in T. Kaydor (*) New University, Nova Goric, Slovenia University of Liberia Graduate Studies & Research, Monrovia, Republic of Liberia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_2

11

12

T. Kaydor

attaining national and global development outcomes bordered on the security of states and the welling of their people. Third, the essay argued that official development assistance has been one of the functions of international cooperation, and that aid has helped developing countries to attain some development benefits. The essay concludes that there is a need to enhance international cooperation by ensuring that states and non-state actors further commit and fulfill the principles of global partnership as enshrined in goal 17 of the Sustainable Development Goals, and that the developed world must assist developing countries to achieve economic growth and build strong institutions for sustainable development on the one hand, while developing countries themselves must take concrete steps to end extreme poverty and pursue the path of sustainable development on the other. Keywords

Development cooperation · International cooperation · Multilateralism · Global governance · Global cooperation · Multilateral cooperation · Bilateral cooperation · Global partnership · Globalism

1

Introduction

This essay critically examines international cooperation as a fulcrum of sustainable development. It defines international cooperation and discusses how national and international actors engage in international cooperation processes to ensure that mutually agreed outcomes are obtained. It also analyzes how the practice of international cooperation either stalls or enhances the attainment of national and global public goods. Finally, it looks at Official Development Assistance (ODA) processes as one of the key components of international cooperation that remains a key pillar to the achievement of the sustainable development in the mutual interest of stronger and weaker states.

2

Research Method

According to Patricia Leavy (2017), “qualitative research is characterized by inductive approaches to knowledge building aimed at generating meaning” (p. 10). Researchers “use this approach to examine, explore; robustly investigate and learn about social phenomenon to unpack the meanings people ascribe to activities, situations and events” (Ibid). Qualitative research gives researchers “a depth of understanding about some dimension of social life, and the values underlying qualitative research include the importance of people’s subjective experiences and meaning-making processes and acquiring” (ibid). “A Qualitative research is

2

International Cooperation

13

generally appropriate when your primary purpose is to explore, describe, or explain” (Creswell 2018, pp. 75–76). In view of the foregoing, the qualitative research method was used to undertake this research using secondary sources, mainly books, journals, etc. The key research questions addressed in this essay are a). how has international cooperation impacted sustainable development globally? b). Are there areas in which international cooperation has been effective than others? And c). What improvements could be made to make international cooperation more effective and efficient? This essay has attempted to provide answers to these three key questions.

3

Definition of International Cooperation

Axelrod and Koehane (1985) argued that “cooperation occurs when actors adjust their behavior to the actual or anticipated preferences of others” (p. 226). Hence, “international cooperation describes interactions to achieve common objectives when actors’ preferences are neither identical due to lack of harmony nor irreconcilable due to the presence of conflict of interest” (Paulo 2014, p. 3). As Sabastian Paulo (2014) rightfully puts it, “the framework of international cooperation refers here to the structures and processes of policymaking beyond the nation-state and is used synonymously with global governance” (ibid). International cooperation is used in economic theory as a collaborative initiative to analyze how states jointly partner in teams to achieve common goals and objectives and resolve common challenges that might impede collaboration. International cooperation occurs due to the provision or lack of public goods at national or international levels. This brings in the concerns of collective action that places international cooperation above national boundaries to joint international partnership for the production and provision of Global Public Goods (GPG). Additionally, development agencies, academia, and international organizations “have used and developed the concept to grasp deeper insights into trans-boundary or global challenges for development” (Paulo 2014, p. 3).

4

International Cooperation for Public Goods Provision

According to Paulo (2014) “public and private goods are distinguishable based on the properties of the benefits they provide; and those benefits accruing from public goods are non-excludable and non-rival in consumption” (p. 3). A good is non-excludable if no person can be prevented from enjoying its benefits (or at least not at reasonable cost). Accordingly, “a good is non-rival if consumption by one person does not reduce the amount available for another; and goods that fulfil both criteria are ‘pure’ public goods” (Ibid). Such goods are important to

14

T. Kaydor

international cooperation because it is their provision for which states, and non-state actors engage in cooperation to meet the needs of national and global society. For their part, Kaul, Grunberg, and Stern (1999, p. 11) argued that “a pure global public good is marked by universality – that is, it benefits all countries, people and generations. An impure global public good would tend towards universality in that it would benefit more than one group of countries, a broad spectrum of the global population and meets the needs of present generations without jeopardizing those of future generations.” The “goods conferring benefits that could in principle be consumed by the governments and peoples of all states are global public goods” (International Task Force on Global Public Goods 2006, p. 2). Therefore, “goods beyond national borders can be termed as global public goods” (Paulo 2014, p. 4). Such public goods beyond the confines of nation-states can be international, regional, or transnational (Holzinger 2008). Millennium Development Goal 8 and SDG 17 respectively called for global partnership for development indicating that the “international framework conditions, such as developing and furthering an open, rule-based, predictable, non-discriminatory trading and financial system” (Paulo 2014, p. 5). This was solely in the spirit of international cooperation. Now that the SDGs are in full swing, Goal 17 further stresses the need for international cooperation for the achievement of the SDGs. Therefore, Paulo argues that: on the one hand, development cooperation focuses on supporting domestic policies in developing countries with the focus on poverty reduction. On the other hand, all countries irrespective of their level of development have an interest in engaging in international cooperation to provide and preserve GPGs, such as a stable climate.” (Paulo 2014, p. 1)

In view of the above, Keijzer, Krätke, and van Seters (2013) believe that in handling domestic development challenges (inequality, environmental degradation, urbanization, etc., several fragile states will continue to be dependent on ODA, but the provision of this assistance needs to be closely linked with other areas of international cooperation and requires a regional and global environment that is conducive to peace and stability. Additionally, Ray (2009, p. 5) contends that “GPGs are becoming goals of development and that the global community needs to accelerate the economic convergence of developing nations with industrialized economies and provide the human rights and basic needs for all.” For his part, Haddad (2013) asserted that common problems are development issues that all countries, both rich and poor, confront. These include inequality, obesity, and dealing with ageing societies. Such problems cannot provide direct cross-border benefits and are therefore DPGs while collective problems are things that affect everyone and require collective action. Such collective issues include climate change, migration, and food security. In this vein, Barrett (2007, p. 167) contended that “GPGs are provided by rich countries to support poorer ones to help them achieve their development objectives including the SDGs, stable climate, biodiversity, etc.”

2

5

International Cooperation

15

International Cooperation and Global Governance

There are several scholarly arguments regarding the similarities and differences between international cooperation and global governance. Koehane (1984) and other institutionalist scholars argued that cooperation can be more than a shortlived phenomenon, but rather a recurrent happening sponsored by powerful states, but also coordinated by institutions at national and global levels. However, there are fears that international cooperation is static to the point that it does not readjust to instructional dynamisms. According to Risse (2012, pp. 428–430), “global governance recognizes that non-state actors – such as nongovernmental organizations or firms – can be actors of the public steering beyond advocacy or expertise provision.” This means that global governance structures go far beyond international cooperation because the “traditional mechanism of international cooperation is intergovernmental cooperation between states and the implementation of this cooperation through domestic policymaking within states” (Paulo 2014, p. 12). This means that international cooperation and global governance focus on the same outcome of harmonizing competing interests among parties, but international cooperation focuses more on negotiations among state parties why global governance includes other network approaches through which “autonomous, but interdependent actors cooperate, complementarily mobilizing policy resources in situations where these resources are widely dispersed through trans governmental networks; transnational private governance; and transnational public-private partnerships” (Ibid). Global governance has added to the traditional modes of international cooperation other aspects of cooperation. Some of these are the concept of “public-private partnerships that has been transferred from the domestic level to global politics. From this perspective, states remain important actors given that they manage to work together with, and steer, other actors” (Paulo 2014, p. 13). The second element is “trans-governmental networks that constitute the disaggregated state” (Slaughter 2004, p. 12). According to Raustiala (2002, p. 20), “globalization has changed the role of the state, but it has not reduced it; thereby creating a shift in the focus of power – from states to something else termed trans-governmental networks through which state power is deployed and the forms by which states interact.” Slaughter and Zaring (2007, p. 215) asserted that “trans-governmental networks imitate and respond to more flexible, mobile and global forms of interaction engaged in by private actors.” The “disaggregation of the state in functionally distinct parts is closely related to the emergence of the modern regulatory state; consequently, globalization and domestic regulatory structures have increasingly had to reach out beyond their jurisdiction by forming networks with their counterparts in other countries” (Raustiala 2002, p. 13). Based on this, one can argue that there are networks across the world that operate as private governments. Sabastian Paulo (2014, pp. 14–15) defined private governments as “rule-making bodies without governments holding state powers.” The “defining characteristic of transnational private governance is that it potentially organizes political spaces equivalent to the effects that public steering

16

T. Kaydor

mechanisms have” (Pattberg 2007, p. 52). Therefore, “private governance evolves institutional arrangements that structure and direct actors’ behavior in a specific issue area; hence giving governing functions of states and intergovernmental institutions to private actors” (Falkner 2003, pp. 72–73). Büthe and Mattli (2011) referred to such private actors or institutions as private governance institutions that coordinate and monitor global processes from which national, regional, and global actors’ benefit, an argument that Mueller (2010) agreed with. According to Paulo (2014, p. 16), the last aspect of these private governance networks is the Public-Private Partnerships (PPP). Transnational PPPs are “institutionalized trans-boundary interactions between public actors (governments or international organizations) and (for-profit and/or non-profit) private actors with the objective to provide public goods” (Schäferhoff et al. 2009, p. 455). Reinicke and Deng (2000) also like PPPs as global public policy networks that have been elevated as an advanced institutional innovation that helps to fill the operational gap that globalization has caused between intergovernmental cooperation and domestic policymaking. This type of multilateral cooperation often offsets governments’ failures by increasing efficiency and effective service delivery. The “three key functions of PPPs are service provision/implementation; standard setting; and awareness-raising/knowledge exchange” (Beisheim et al. 2010, p. 372).

6

International Cooperation for Sustainable Development

The world agreed on the concept of sustainable development long ago when global leaders resolved at the 1992 United Nations Earth Summit in Rio de Janeiro where sustainable development emerged as one of the most urgent subjects for international policies. This development criterion was introduced in 1976 in the Bariloche Model' and given further impetus in 1987 when the Brundtland Commission proposed that sustainable development is development that satisfies the needs of the present without compromising those of the future. (Ibid)

Griggs et al. (2013) agreed that sustainable development addresses the immediate needs of today while safeguarding Earth’s life-support system, on which the welfare of current and future generations relies. And as the world population continues to grow, there is a need for advocating for a “wholistic process that integrates international cooperation and global collective action for the achievement of sustainable development through the SDGs especially recognizing the challenges including climate change, financial instability, transnational health challenges or food insecurity” (Paulo 2014, p. 1). These global commons justify the need for enhanced international cooperation as a fulcrum for national and global actions to promote development. To be able to achieve the SDGs, emphasis needs to be placed on the achievement of goal 17 that emphasizes partnership for the goals. One key aspect that needs to take place in the framework of international cooperation is the strategic, effective, and efficient delivery and management of official development assistance. It is important to

2

International Cooperation

17

note that the SDGs are one of the greatest efforts made by global leaders, but the 15 years’ timeframe for their implementation seems to be very short if all the goals are to be achieved (Lim et al. 2018), most especially that COVID-19 has disrupted the economies of both rich and poor countries.

7

International Cooperation and ODA

Official Development Assistance has been a function of international cooperation. Developed and wealthy states support developing and middle-income states to help them overcome their development challenges. The fight against global poverty has come a long way. The Millennium Development Goals (MDGs) were part of efforts to combat global poverty. When the MDGs expired by 2015, the SDGS were developed (United Nations 2016). Developed countries continue to provide overseas official development assistance (ODA) or aid to help developing countries overcome extreme poverty. Aid is “a sum total of concessional loans and grants given to poor countries” (Moyo 2009, p. 7). “Concessional loans are monies lent at below market interest rates for longer periods than ordinary commercial loans, while grants are monies given for nothing in return” (Ibid). Aid is divided into three components. First, humanitarian aid is provided in response to catastrophes and calamities like the Ebola virus disease outbreak in West Africa, flus, earthquakes, and tsunamis (Riddle 2014) and the COVID-19 pandemic that is ravaging states. Second, charity-based aid is disbursed through charitable organizations to the needy (Moyo 2009). Last, “systematic aid is payments made to recipient countries through bilateral or multilateral channels” (P. 7). Aid also provides a fiscal space for cash transfer programs that help to reduce extreme poverty (Kaydor 2021). Aid is a post-World War II phenomena which began with the Marshal Plan aimed at Europe’s reconstruction (OECD 2014). Following the reconstruction of Europe, the OECD was founded in 1961 to help newly independent and poor countries undertake development programs. Presently, the OECD has 37 member states; however, these traditional donors have been joined by new ones like China, etc. in providing aid to developing countries. This essay examines whether the world has succeeded or failed very badly in the fight against global poverty in terms of aid effectiveness. It argues that the world has not failed so baldly in using aid to fight against global poverty, but that donors and recipient countries need to target aid towards programs that directly get the extreme poor out of absolute poverty in low-income countries (LICs) and narrow the inequality gap between countries including the middle-income countries (MICs).

8

Some Global Debates on ODA

Jeffery Sachs (2005) argues that developing countries are caught in poverty trap, physical geographic trap, landlocked country trap, fiscal trap, governance trap, cultural barriers, geopolitical trap, lack of innovation, and demographic trap. He

18

T. Kaydor

asserts that “poverty itself can be a trap caused by a lack of capital per person” (p. 56). This means that the poor do not save enough physical and human capital because their entire income is spent on survival. Sachs (2005) concludes that “before the poor can get out of the poverty trap, they need a big push financed by increased foreign aid” (p. 246). Although Sachs (2005) recommends increased aid to address global poverty, he downplays concerns about recipient countries’ ability to effectively manage aid. If ODA will be mismanaged and cannot be used to reduce poverty in poor countries, then there should be no need for aid. Conversely, William Easterly (2006) dismisses the concept of poverty trap arguing that over the last 50 years, GDP per capita in sub-Sahara Africa has increased despite high fluctuations in growth rates. He maintains that “poverty traps are not an outcome of zero growth in low-income countries, and that poor countries have experienced positive growth between 1950 and 1970 at 1.9 per cent annually but have failed to utilize said growth for poverty alleviation” (P. 11). Therefor “it’s not the lack of resources that keeps poor countries poor; weak institutions and corruption do, but the stagnation of the poorest countries has more to do with awful government than with a poverty trap” (pp. 42–43). For instance, countries with high corruption levels grow 1.3% less than those with low corruption levels. The lack of effective socio-political and economic institutions leads to high levels of corruption and state failures in poor countries. Poor states must therefore build effective institutions to achieve growth and reduce extreme poverty. Effective institutions will “allow the poor people take initiatives without experts telling them what to do” (Easterly 2009, pp. 77–79). This position jives with SDG16 that calls for peaceful and inclusive societies; access to justice for all, and effective and accountable institutions at all levels. However, home grown initiatives and the innovative ideas of the poor more often than not perish due to the lack of physical capital to start up. Therefore, the poor need more aid to start up and get out of poverty (Sachs 2005). For his part, Paul Collier (2007) argues that over 980 m people are “trapped in poverty and are heading towards a black hole” (pp. 6–7). Africa hosts “70 per cent of these poor; hence the continent is the core of the problem” (p. 7). The “bottom billion are caught in either one of four poverty traps including conflict, lack of natural resources, bad governance and landlocked geography” (p. 5). These countries “have had no growth, and poverty cannot become a history unless the bottom billion grow” (pp. 11–12). Collier (2007) agrees with Sachs’ poverty trap scenarios; hence the world needs to focus on helping poor countries develop policies that give the poor and their children voice, hope, and the opportunity to grow and prosper. However, such help must be effectively provided by developed countries, and efficiently managed by developing countries. This mutual accountability process must be assured if aid must any significant impact on poverty reduction. Dambisa Moyo (2009) argues that aid “imposes unbearable debts which become a silent killer in poor states, make governments dull, and increase corruption amongst elites” (p. 56). She contends that governments use aid to “fund public sector employment, and replace national revenues thereby leading to a “vicious

2

International Cooperation

19

cycle of aid whereby recipient countries become dependent, as donors enslave poor countries through foreign debt” (pp. 48–50). Moyo (2009) believes that “aid breeds civil wars, diminishes social capital, undermines the effectiveness of civil society, reduces savings and investments, causes inflation, chokes exports, and provides resources for corruption” (p. 52). The foregoing arguments sound reasonable but tend to ignore the enormous contributions development aid makes to poor states including fragile ones. For example, “38 per cent of ODA was devoted to fragile states while 31 per cent was earmarked for all other countries” (Fragile States 2014, p. 24). Moyo’s argument also forgets the quantum role aid plays in humanitarian situations like the Ebola crisis, COVID-19, earthquakes, etc. Cutting aid from fragile states would further drive them into misery and extreme human suffering. Therefore, Moyo’s (2009) argument should not be the basis for cutting aid to poor countries, rather aid should be increased, effectively delivered, efficiently managed, and accounted for by targeting initiatives that directly lift the poor out of poverty. In the words of Carol Lancaster (2007): Foreign aid began as one thing and became another. It began as a realist response to the deepening Cold War between East and West. While continuing to be deployed in the service of national interests, aid eventually created the basis for a new norm in relations between states—that better-of-states had an obligation to provide aid to less-well-of- states to better the human condition in the latter. That norm did not exist in the middle of the twentieth century. It was widely accepted and unchallenged by the end of the century. For those of a theoretical bent, foreign aid must be understood through the lenses of both realism and constructivism. No one theory can adequately explain this twentieth-century innovation in relations between states. (P. 212)

9

Some Benefits ODA

The developed world and global financial institutions used many strategies to deliver ODA to developing countries. First, the basic needs strategy was adopted in the 1970s–1980s (Haynes 2008). This strategy called for “synergies between national development policies, local community development needs, and international development assistance” (p. 29). It focused on the provision of sufficient food, clean water, adequate shelter, affordable healthcare delivery, and the completion of primary education for the poor (Stewart 2006). This strategy failed because it was subsumed into the Cold War ideological divide which made aid a political tool rather than a developmental one, and due to misappropriation of aid by elites in the developing countries (Haynes 2008). Second, the Structural Adjustment Programme (SAP) was adopted in the 1980s–90s (Haynes 2008). It “encouraged fiscal and monetary discipline, free trade, free capital flow and economic cooperation among states” (p. 30). Aid was preconditioned on private sector led development, spending cuts on basic services, reduced wages, limited state intervention in markets, and trade liberalization

20

T. Kaydor

(Haynes 2008). The SAP also failed because “it was externally imposed on developing countries, and it has increased poverty in poor states” (Haynes 2008, p. 31). Third, the “Washington Consensus replaced the SAP in the 1990s-2000” (Thomas and Reader 2001, p. 79). It assumed that “growth and development are contingent on good policies and good institutions” (Ibid; Haynes 2008). Good policies meant “stable macroeconomic policies, liberal trade and investment, privatization, deregulation of state-owned assets; while good institutions meant democratic governance, secured property rights, independent central banks and transparent cooperate governance” (Haynes 2008, P. 33). The Washington Consensus arguably failed because it ignored the strategic and fundamental role of sovereign nations and actors without state authority in delivering human development goals (Haynes 2008), though Williamson (2005, p. 33) argues that “this was not a global policy prescription, but rather a measure for Latin American countries that faced economic challenges beginning 1989.” Notwithstanding, some components of the Washington Consensus like secured property rights, independent central banks, stable macroeconomic policies, etc. remain relevant to date, but are not mutually exclusive in the domain of development. The MDGs were the predecessor of the SDGs in terms of efforts to reduce global poverty. In the MDGs, Goal eight called for global partnership for development. The current SDGs has Goal 17 that focuses on global partnership for development. At the end of the MDGs, “only four targets were met” (World Bank 2013, p. 4). Thus, the successes and failures of the MDGs have sparked controversy. For instance, Munoz (2008, p. 1) argues that “Africa failed to meet the MDGs because it had poor starting conditions including weak institutions, conflict, and inflexible assistance.” This argument sounds good because all regions had different levels of socio-economic and political conditions (Easterly 2009); hence, the need arose to have disaggregated set targets based on the reality in regions and states under the SDGs. However, poor starting conditions cannot be an excuse for Africa and other regions doing poorly in meeting the MDGs. Poor countries need to take responsibility of their own development priorities as agreed in the Accra Agenda for Action (2008). Conversely, Poku and Whitman (2011) argued that the MDGs have significantly reduced global poverty. Those living “below US$1 daily in 1981 reduced from 40% to 18 per cent in 2004; then US$2 daily fell from 67 to 48 per cent in said period” (Chen and Ravaillon 2007, p. 1). Without the MDGs, the current levels of global poverty reduction would not have been possible. The SDGs are still being implemented; therefore, one cannot judge their failures or success. However, “global poverty has reduced mainly due to growth in China and India, but there were more than 700m people living less than US$1 a day by 2015” (Ibid, pp. 1–2). The COVID19 pandemic has even increased global poverty across the globe. About 8 years ago, US$134.8b of net ODA was spent on developing countries (OECD 2013). This showed a decline in aid to LICs and fragile states and tends to support claims that developed countries exploit poorer countries whereby more resources leave developing countries to support development in rich states. For example, Health Poverty Action (2014) argued that “Sub-Saharan Africa receives

2

International Cooperation

21

US$134b each year in aid, but US$192b is the value of resources exploited from Africa; hence, a negative ODA balance of US$58b” (pp. 5–6). Most OECD countries have defaulted on the 0.7% of GNI committed to help developing countries (United Nations 2006). Only Denmark, Luxembourg, the Netherlands, Norway, Sweden, and UK have met the target. The US, Germany, France, Japan, and the rest have defaulted (UN 2013). This raises further questions about the developed countries’ commitment to help their poor counterparts. It has also sparked debate about the relevance of aid among scholars like Jeffry Sachs, William Easterly, Paul Collier, Dambisa Moyo, Roger Riddle, etc. whose views on ODA were discussed earlier. Aid has some positive impacts in developing countries, though its correlation with poverty reduction still demands more empirical research (Kaydor 2021). First, ODA avails funding to undertake discrete development projects like building of schools, clinics, hospitals, roads, bridges, and provision of electricity and safe drinking water (Riddell 2014). Second, aid is used to support refugees, displaced persons, fight diseases, and address disasters (Ibid). Third, it sometimes funds parts of national budgets thereby bridging funding gaps for development programs in poor countries. For example, “donors like the US, EU, WB, and IMF provide direct budget support to fund poor countries’ health sector” (WHO 2008, p. 4). Fourth, ODA helps to build capacity of developing countries. For instance, the Australian Award scholarship trains citizens of developing countries to support their development initiatives. Fifth, ODA supports developing countries to meet global development targets (SDGs 2016). Sixth, donors support civil society organizations (CSOs) to undertake development projects, and advocate for transparency and accountability (Riddell 2014). Conversely, Riddle (2014) argues “that aid works, but neither reaches nor assists the poorest and most marginalized” (P. 7). Moyo (2009) argues that donors continue to give aid amid ODA’s failure arguing that the some “aid monies are being used to pay the salaries of at least 500,000 staff of WB, IMF, UN agencies and registered NGOs” (p. 54). Many times, aid monies are wrongly targeted towards priorities unimportant to recipients and therefore sometimes get corrupted (Moyo 2009). This ties in with donors’ preconditions for aid, which compels recipient countries to agree with donor priorities instead of national development goals. Also, multilateral management of aid undermines recipients’ ability to effectively monitor aid flows and develop national capacity to lead development programs formulation and implementation (Riddell 2014). This also leads to “lack of hard data to measure impact of aid on poverty reduction, hindering evidence to determine whether development outcomes are caused by aid or other factors” (p. 8). Sometimes too, donors can default on funding pledges and commitments based on their domestic interest (Sachs 2005). Therefore, Carol Lancaster (2007) is right to argue that “aid priorities are mostly dictated by donor countries’ national interests rather than the receiving states” (p. 212). These problems associated with ODA increase the need for effective aid management. Donors themselves have acknowledged some of these challenges and have therefore initiated aid effectiveness strategies as agreed in several consensus

22

T. Kaydor

documents on aid effectiveness. Both donors and recipients agreed on the use of country systems and program-based approaches, demand driven capacity development, increased aid predictability and transparency of aid flows, donor harmonization to reduce aid fragmentation, and inclusion of private sector and businesses in aid coordination and delivery. The CSOs must hold both donors and recipients accountable. However, CSOs themselves need to be accountable for donor monies they receive to fund some of their programs. Furthermore, to make aid effective, three fundamental issues need to be addressed. First, aid must address current global poverty dynamics. In 1990, more than 93% of global population of the poor resided in LICs and one-third lived in fragile states; but by 2010 three-fourth lives in middle income countries (MICs) while only one-third lives in LICs, and 23% in fragile states (Sumner 2010). These figures have even more troubling now because of COVID-19 that has increased poverty levels in all countries across the globe. These changes challenge the future design of poverty reduction policies and aid delivery. This heterogeneous poverty context demands that ODA is diversified to strategically meet the needs of MICs and LICs. The problems of MICs are not necessarily the lack of resources, but rather the equitable distribution of resources and the inability of governments to undertake pro-poor and inclusive growth, build effective institutions, and capacitate the poor. Therefore, aid to MICs needs to address social exclusion and inequality to ensure that the benefits of growth are equitably shared among all citizens. For LDCs/LICs, aid needs to focus on social safety nets, social protection, and the determinants of growth including education, health, effective institutions, food security or agriculture, technology transfer, export promotion and fiscal as well as monetary policy reforms. Second, the emergence of non-traditional donors leads to competition in the aid market. Kondoh et al. (2010) argued that these new donors provide more aid alternatives for development. For instance, the Chinese Government sometimes grants aid to countries and ensure that Chinese companies implement the projects. This ensures that the projects are completed in real time. However, Naim (2007) argued that some of the new donors undermine aid effectiveness and promote bad governance, autocracy, and corruption in developing countries. This competition might crowd out old donors and make aid less effective due to unconditional aid modalities by new donors. However, these arguments are contestable due to the following reasons. First, no aid is unconditional. For instance, Chinese government aid is said to be unconditional, but it requires recipient countries to sever all ties with Taiwan. Using aid to restrict the sovereign powers of poor countries from recognizing Taiwan is more conditional then making democracy and human rights a prerequisite to aid. Second, while net ODA was US134b from traditional donors in 2013, China’s aid to Sub-Sahara Africa alone was US$ USD210.2b in the same year (Xinhua Global Times 2013). Most of China’s aid as well as aid from India, Brazil, Russia, and other new donors fund infrastructural projects that traditional donors do not usually fund. Most developing countries therefore favor the new donors who support such infrastructure

2

International Cooperation

23

projects that national budgets cannot undertake. Third, aid is based on moral, economic, and political persuasions; hence no country or group should control the aid environment. The traditional donors must see new ones as partners in development rather than competitors undermining the aid landscape. Both old and new donors need to build synergies and effectively deliver aid to poor countries as agreed under the aid effectiveness modalities. After all, in the view of this researcher, all ODA is conditional. Additionally, aid to fragile states needs to be used to mitigate humanitarian crisis and simultaneously address causes of fragility. Fragile states’ governments do not have the capacity to deliver core state functions (Fragile States 2014). Many are “recovering from conflict and embarking on peace and state building processes, experiencing long term or recurrent conflicts, insecurity, or high levels of criminality and violence” (p. 16). Back in 2014, the OECD reported that about 1.5b people live in fragile states, 70% of which have experienced conflicts since 1989. Presently, the COVID-19 pandemic has worsened the situation by making the entire globe fragile. This fragility undermines the capabilities of donors themselves to presently meet commitments made to developing states. This means global poverty might further increase. This could adversely undermine the achievement of the Sustainable Development Goals (SDGs). Finally, fragile states lack transparent and accountable systems to distribute resources and are forced to institute generous tax exemptions for FDI attraction which affects tax base thereby undermining citizens’ tax payment. They experience distrust in governments, capital flight, high levels of corruption, criminal activities, money laundry, illicit drug trade bribery. Stability and development cannot easily obtain amid such challenges. Therefore, donors need to support fragile states in the areas of peace, security, and ensure that such states commit to country-led, and country owned, transitions out of fragility, effective resource management, alignment of aid with development priorities addressing root causes of conflict, building of trust with emphasis on legitimate politics, peace and security, justice, and economic transformation. If these suggestions are soberly considered by donors and aid recipients, the impact of ODA might far exceed what it is currently. Although ODA is of the essential elements of international cooperation through which developed states help the developing ones to experience economic growth so that poor countries themselves will not remain aid dependent, developing countries too must intentionally apply efforts to invest in alternative economic growth corridors to gain financial resources that will help them leap out of poverty and become contributors to the achievement of sustainable development.

10

Economic Growth an Alternative to ODA

National economic development depends on the availability of fiscal resources. Without economic growth, national development cannot obtain. Hence, Kaydor (2021, pp. 7–8) agrees with Michael Todaro and Stephen Smith that:

24

T. Kaydor economic growth is an increase in a country's real level of national output that is a function of an increase in the quality of resources including education, increase in the quantity of resources & improvements in technology or it is the increase in the value of goods and services produced by every sector of the economy. Economic Growth can be measured by an increase in a country's real Gross Domestic Product (GDP). So, once a country accrues more financial resources, its capability to increase investment in poverty reduction processes is enhanced. This signifies that economic growth accounts for an indicator of wealth that shows the number of resources available to a particular state, region, etc. (Kaydor 2021, pp. 7–8)

Kaydor (2021) therefore argues that “countries can use economic growth to invest in poverty reduction strategies like construction of affordable public schools, clinics, housing, safe drinking water supplies, and other public utilities that might help the extremely poor get out of poverty” (p. 8). Although economic growth does not explain the quality of life that people live in a society, (Hausmann 2015), “what it does is that it increases national wealth and therefore avails the opportunity for countries, regions, and the world to reduce poverty and solve other social, political, economic, and environmental problems” (Kaydor 2021, p. 8). This argument confirms claims by Todaro and Smith (2015) that economic development is mostly dependent on economic growth. Hence, Kaydor (2021) further confirms that: economic growth remains a fundamental entry point to poverty reduction through social cash transfers, subsidies to the poor, and the provision of affordable services. This further supports the argument of Ricardo Hausmann. He argues that there are huge differences in income across countries of the world: the richest countries are 200 to 300 times richer than the poorest countries in per capita terms; and that one of the targets of SDG1 is to ensure that the poor and vulnerable have equal right to economic resources and ownership and control to natural resources. Also, SDG4 calls for ensuring an inclusive and equitable quality education and promotion of lifelong learning opportunities for all while goal two focuses on ending hunger and malnutrition in all forms. Sone of these goals and their targets are not met in several parts of the world. Therefore, some governments sometimes engage in cash transfers to assist poor families to either find food or send their children to school or for them to pay for medical services. (p. 8)

Admittedly, one cannot discuss an end to extreme poverty without referencing international cooperation. Independent nations cannot adequately avail fundamental social services without talking about maximizing economic growth opportunities because economic development cannot obtain without economic growth. Simply put, to gain economic growth, states must export more and import less. This means international cooperation must remain the conduit through which poorer countries can interact with richer countries in the import and export domains to gain economic growth. Emmanuel Boon (2009) rightfully puts it current when he outlined some key objectives of international cooperation as: re-activation of economic growth and development. The coordination of macroeconomic policies should take full account of the interest of all countries, particularly the developing countries and the countries with economies in transition; building an open and credible multilateral trading system is essential for the promotion of growth and sustainable development; scientific and technological capability is increasingly important in the development

2

International Cooperation

25

of developing countries. The international community should therefore support the efforts of developing countries to create and develop endogenous scientific and technological capability; the necessity to respond to the need for satisfying the basic needs (food, health, education, and housing, etc.) of all members of society.; substantial resources are called for to enable developing countries, especially the least developed, to cope with the objectives and operations of Nongovernmental Organizations (NGOs), and threat of human activities to the environment is a common concern of all countries. (p. 16)

Unarguably, Boon (2009) was right to assert that “economic policies should therefore have as their ultimate objective the betterment of human living conditions and ensuring sustainable development” (p. 16). When the living conditions of people around the globe are improved, then peace and security might be fully guaranteed to allow sustainable development to occur.

11

Conclusion

This essay was intended to address three main questions. These questions include a). how has international cooperation impacted sustainable development globally? b). Are there areas in which international cooperation has been effective than others? And c). What improvements could be made to make international cooperation more effective and efficient? This research has found out that international cooperation impacts sustainable development because it is through cooperation that states can attain mutually beneficial outcomes to address both national and global challenges and problems. Without international cooperation, states will not achieve their national interests singularly. Simply put, all states are interdependent. Although international cooperation positively impacts sustainable development, COVID-19 has grossly disrupted progress towards the achievement of the SGDs. Will the world still achieve the global development goals by 2030? What should global leaders do differently to be able to achieve these goals by 2030 despite the raging COVID-19 pandemic? These are contemporary some questions that scholars in the twenty-first century need to find answers to. Unarguably, international cooperation impacts sustainable development. It has evolved over time moving beyond the traditional practice of bilateral and multilateral cooperation to include global governance that involves trans governmental networks; transnational private governance; and transnational public-private partnership processes. Such global networks are complex and sometimes stall progress in mutually attaining common goals for national and global development, but at the same time, they avail opportunities that ease the burdens of nation-states in terms of meeting national and global demands for the wellbeing and security of all peoples across the globe. As things stand, there is a need to enhance international cooperation. States and non-state actors must further commit and fulfill the principles of global partnership as enshrined in goal 17 of the Sustainable Development Goals. Additionally, weaker states must make frantic and deliberate efforts to overcome their development challenges by innovatively spurring economic growth that will avail needed

26

T. Kaydor

resources for national development processes. Stronger states, for their part must assist and support weaker states to overcome their growth challenges by ensuring that strong, effective, and inclusive institutions are built within the context of goal 16 of the Sustainable Development Goals. It is plausible that stronger states can help weaker ones to progress towards sustainable development; however, there are failed states like Somalia and Syria whose conflict situations appear remote to present day conflict resolution mechanisms. Can such states overcome their long-standing crises to gain peace and stability? Will they have time to transition from crises and begin to progress towards sustainable development by 2030? Such questions remain unanswered; hence, the need for further research on how international cooperation should be pursued to end perennial conflicts across the globe, such that all states can pursue the achievement of sustainable development simultaneously. International cooperation is about the interactions among sovereign states relative to how they strive to achieve common objectives when their preferences are neither identical due to lack of harmony nor irreconcilable due to the presence of conflict of interest, and sustainable development is the development focused on socio-political, economic, and environmental conditions that satisfy the needs of current generations without compromising the interest of future generations. To achieve sustainable development, international cooperation needs to be the fulcrum. Without cooperation among states, sustainable development cannot be attained. Therefore, international cooperation must be the fulcrum on which sustainable development must take place as a desired global, regional, and national outcome.

References Axrold R, Keohane O (1985) Achieving cooperation under anarchy: strategies and institutions. World Polit 38(1):226–254 Barrett S (2007) Why cooperate?: the incentive to supply global public goods. Oxford University Press, Oxford Beisheim M, Campe S, Schäferhoff M (2010) Global governance through public-private partnerships. In: Enderlein H, Wälti S, Zürn M (eds) Handbook on multi-level governance. Edward Elgar Publishing, pp 370–382 Boon E (2009) International Cooperation for Sustainable Development in Africa, AREA STUDIES – AFRICA (Regional Sustainable Development Review) – Vol. I Büthe T, Mattli W (2011) The new global rulers: the privatization of regulation in the world economy. Princeton University Press, Princeton Chibba M (2011) The Millennium Development Goals: key current issues and challenges. Dev Policy Rev 29(1):75–90 Collier P (2007) The bottom billion: why the poorest countries are failing and what can be done about it. Oxford University Press, New York Creswell J (2009) Research design: quantitative, qualitative and mixed-method, 3rd edn. Sage, Los Angeles Creswell J (2018) Research design: quantitative, qualitative and ,mixed-methods, 3rd edn. Los Ang Easterly W (2005) ‘Reliving the ‘50s: The big push, poverty traps, and takeoffs in economic development’. Working papers no. 65, Center for Global Development

2

International Cooperation

27

Easterly W (2006) The White Man’s burden: why the west’s efforts to aid the rest have done so much ill and so little good. Penguin Books, New York Easterly W (2009) The poor man’s burden. Foreign Policy (170):77–81 Falkner R (2003) Private environmental governance and international relations: exploring the links. Glob Environ Polit 3(2):72–87 Forman S, Segaar D (2006) New coalitions for global governance: the changing dynamics of multilateralism, in. Glob Gov 12(2, April):205–225 Griggs D, Stafford-Smith M, Gaffney O, Rockström J, Öhman MC, Shyamsundar P, Steffen W, Glaser G, Kanie N, Noble I (2013) Sustainable development goals for people and planet. Nature 495(7441):305–307. https://doi.org/10.1038/495305a Grunberg I, Stem M (1999) Defining global public goods. In: Kaul I, Grunberg I, Stern M (eds) Global public goods: international cooperation in the 21st century. Oxford University Press, New York Haddad L (2013) Development research: the shape of things to come. In: The Guardian 16 Aug. 2013; online: http://www.theguardian.com/global-development-professionals-network/2013/ aug/16/development-research-future-impact. Accessed 10 Oct 2013 Hausmann R (2015) What should we do about inequality?. The Growth Lab, Harvard University; viewed 16 August 2020; https://growthlab.cid.harvard.edu/publications/what-should-we-doabout-inequality Haynes J (2008) Development studies: short introductions. Polity Press, Cambridge Health Poverty Action (2014) Honest accounts? The true story of Africa’s billion dollars loses. London, UK, viewed 10 October 2020, https://www.healthpovertyaction.org/wp-content/ uploads/downloads/2014/07/Honest-Accounts-report-v4-web.pdf Holzinger K (2008) Transnational common goods: strategic constellations, collective action problems, and multi-level provision. Palgrave Macmillan, New York International Task Force on Global Public Goods (2006) Meeting global challenges: International cooperation in the national interest. Report of the International Task Force on Global Public Goods Kaydor T (2021) Cash transfer: a strategic determinant for poverty reduction. In: Leal FW, Azul AM, Brandli L, Lange SA, Özuyar PG, Wall T (eds) No poverty. Encyclopedia of the UN sustainable development goals. Springer, Cham. https://doi.org/10.1007/978-3-319-69625-6_ 107-1 Keijzer, Krätke, van Seters (2013) Meeting in the middle? Challenges and opportunities for EU cooperation with middle-income countries. Maastricht: ECDPM (Discussion Paper No. 140, February) Keohane RO (1984) After hegemony: cooperation and discord in the world political economy. Princeton University Press, Princeton Kindleberger CP (1986) International public good without international government. Am Econ Rev 76(1):1–13 Kondoh H, Kobayashi T, Shiga H, Sato J (2010) ‘Diversity and Transformation of Aid Patterns in Asia’s “Emerging Donors’. Japan International Cooperation Agency Research Institute Research Institute, JICA-IR working paper no 21, October Lancaster C (2007) Foreign aid: diplomacy, development and domestic politics. The University of Chicago Press, Chicago/London Leavy P (2017) Research design: quantitative, qualitative, mixed methods, arts-based, and community based participatory research approaches. The Gilford Press, New York Lim M, Søgaard Jørgensen P, Wyborn CA (2018) Reframing the sustainable development goals to achieve sustainable development in the Anthropocene – a systems approach. Ecol Soc 23(3):22. https://doi.org/10.5751/ES-10182-230322 Moyo D (2009) Dead aid: why aid is not working and how there is a better way for Africa. Farrar, Straus and Giroux, New York Munoz E (2008) The Millennium Development Goals: facing down challenges. Briefing paper, no 2, Bread for the World Institute, Washington DC

28

T. Kaydor

Mueller M (2010) Networks and states: the global politics of internet governance. MIT Press, Cambridge, MA Naim M (2007) Rogue aid: what’s wrong with the foreign aid programs of China, Venezuela, and Saudi Arabia? They are enormously generous. And they are toxic. Foreign Policy, March/April, viewed 27 January 2021 OECD (2013) Aid to developing countries rebounds in 2013 to reach an all-time high. Organization of Economic Cooperation for Development, viewed 20 January 2021. https://www.oecd.org/ newsroom/aid-to-developing-countries-rebounds-in-2013-to-reach-an-all-time-high.htm OECD (2014) Organization for European Economic Co-operation, OECD, viewed 15 October 2021 Pattberg P (2007) Private institutions and global governance: the new politics of environmental sustainability. Edward Elgar, Cheltenham Paulo, S. (2014) International cooperation and development: a conceptual overview, Discussion Paper/German Development Institute/Deutsches Institut für Entwicklungspolitik (DIE), Bonn, Germany Poku N, Whitman J (2011) The Millennium Development Goals: challenges, prospects & opportunities. Third World Q 32(1):3–8 Raustiala K (2002) The architecture of international cooperation: transgovernmental networks and the future of international law. Virginia J Int Law 43(1):1–92 Reinicke WH, Deng F (2000) Critical choices: the United Nations, networks, and the future of global governance. IDRC, Ottawa Riddell R (2014) ‘Does foreign aid really work?’, Keynote address to the Australian Aid and International Development Workshop, 13 February. Australian National University, Canberra Sachs J (2005) The end of poverty: economic possibilities for our time. The Penguin Press, New York Schäferhoff M, Campe S, Kaan C (2009) Transnational public-private partnerships in international relations: making sense of concepts, research frameworks, and results. Int Stud Rev 11(3): 451–474 Slaughter A-M (2004) A new world order. Princeton University Press, Princeton Slaughter AM, Zaring (2007) Networking goes international: an update. Annu Rev Law Soc Sci 2: 211–229 Stewart F (2006) Basic needs. In: Clark D (ed) The Elgar companion to development studies. Edward Elgar, Cheltenham Sumner A (2010) Global poverty and the new bottom billion: three quarters of the world’s poor live in middleincome countries. One pager, no. 120, International Policy Center for Inclusive Growth, UNDP, November Sustainable Development Goals (2016) United Nations Council for Economic and Social Affairs. https://sdgs.un.org/goals; viewed 2 February 2021 Thomas C, Reader M (2001) Development and inequality. In: White B, Little R, Smith M (eds) Issues in world politics. Basingstoke, Palgrave, pp 74–92 Todaro MP, Smith CS (2015) Economic development, 12th edn. Pearson, Boston United Nations (2006) UN Millennium Project 2006, United Nations, New York, viewed 27 October 2021 United Nations (2016) High Level Panel on Post 2015 Development Agenda, United Nations, viewed 22 January 2021, http://www.post2015hlp.org/ Williamson J (2005) Chapter 3: The Washington Consensus as policy prescription for development. In: Besley T, Zagha R (eds) Development challenges in the 1990s: leading policymakers speak from experience. World Bank/Oxford University Press Xinhua Global Times (2013) China-Africa economic and trade cooperation. Information Office of the State Council, People’s Republic of China, viewed 26 January 2021, https://www.safpi.org/ sites/default/files/publications/China-AfricaEconomicandTradeCooperation.pdf

3

Labour Market Sustainability: Technological Change and Decent Work Xose Picatoste and Isabel Novo-Corti

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 The General Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Technology, Economic Sustainable Growth and Labour Market . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Technologic Advancement and Decent Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Innovation and Productivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Working from Home . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Multi-sided Platforms Companies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The New Scenario: Challenges and Opportunities for Sustainability . . . . . . . . . . . . . . . . . . . . . . . 4.1 Levels of Affectation by Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 The Importance of Population Awareness About Long Term Policies for Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

30 31 34 36 37 39 41 42 43 43 45 46

Abstract

Technological change is an opportunity for improving people live and achieving higher welfare standards. Moreover, it can help to improve labour conditions and work-life balance for workers. Nevertheless, it is a challenge for many people who become at risk of losing their jobs. Additionally, some other issues as gender balance, safety at work, long-life training, among others, become a crucial matter for success in the new labour market technological era. In smart cities and green jobs, governance and social innovation are vital issues for achieving sustainability and improving welfare. Awareness of all socioeconomic institutions and citizens is needed to succeed in the disruptive innovation process. The rising productivity due to innovations and the consequent economic growth must reach the whole society. In this work, the influence of technological innovation in social X. Picatoste · I. Novo-Corti (*) EDaSS Research Group on Sustainable Development and Social Sustainability, Department of Economics, Faculty of Economics and Business, University of A Coruña, A Coruña, Spain e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_44

29

30

X. Picatoste and I. Novo-Corti

and economic systems is analysed, from the view of sustainable development as the primary goal, mainly focused on the labour market side, under the light of economic analysis and international institutions recommendations. The results have shown that all agents must be aware of the importance of long-term actions and their interrelationships. Workers must get transversal skills and continue long-life training programs to face the challenges of new innovative production procedures and continue alive al the labour market. Other actions for specific vulnerable groups (youth, women, disabled people, migrants, and others) should be undertaken to avoid poverty and social exclusion and preserve a fair and equalitarian society. Keywords

Decent work · Work after a technological change · Quality of work

1

Introduction

Most countries and societies are concerned about sustainability. However, there is a large part of them identifying sustainability specifically with environmental issues. Other people include in this concept the economic spheres. However, only a few and more conscious groups are aware of social issues. In our view, this is a crucial pillar, at least as important as the other two. The close relationship between the three pillars of sustainability is proved: more than half of the world’s economically active population depends, directly or indirectly, on environmental quality, due to economic activities, such as those related to the primary sector and food. Therefore, the relationship with employment is also proven. The whole social system is understood as a social structure that includes attitudes, values, traditions, political organisation, and power structures. They must take a global approach to preserve nature, employment, and the socioeconomic system. That is, defending sustainable development, avoiding present and future damages, which will affect personal wellbeing. Hence, negative externalities for the environment, caused by productive activity, occupy economists’ concerns with increasing intensity. In sum, the ultimate end of sustainability is achieving a better life for everyone and the future, creating and maintaining healthy, inclusive and more equalitarian societies in a safe and preserved nature (International Labour Office (ILO) 2019). In this context, it is possible to talk about decent work not only as a desirable goal and a driver for sustainability as a whole. It is also a necessary defence of human rights and social justice. Since workers’ rights are also human rights, decent work supports this right based on the defence of the follow-up of the legislation and the norms dictated for the labour market. The expression “decent work” was proposed by the General Director of the International Labour Office (ILO), Juan Somavia. Later, it was popularised by Guy Ryder, who succeeded him. This concept has become part of the body of standards (Tapiola 2021). It was incorporated into the United Nations (UN) Sustainable Development Goals (SDG), employing a consensus of the ILO

3

Labour Market Sustainability: Technological Change and Decent Work

31

World Commission on the Social Dimension of Globalization. Since its inception, it has been part of the SDGs since sustainable and balanced development is not possible without including people and their needs (Halonen and Liukkunen 2021). The main proposal of the World Commission for fair globalisation is to modify globalisation in the sense of moving away from being focused on production-centred thinking and move it towards a broader approach. This approach must be aware of human needs and that together with the stimulation of economic activity, the promotion of democratic societies, human rights, and good governance must be addressed (Halonen 2021). The United Nations Sustainable Development Goals (SDG) (UN General Assembly 2015) gives a holistic perspective of key issues for sustainability and the labour market is linked to several of those goals. Nevertheless, SDG8 “Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all,” points to fostering a new economic development hand-to-hand with decent work, providing “The vision of a sustained, inclusive, and sustainable economic growth, full and productive employment, and decent work for all can only be realised if both public and private actors work hand in hand and if all relevant stakeholders are involved” (Leal Filho et al. 2021).

1.1

The General Framework

The economic world evolution after the industrial revolution strongly impacted earth, water and atmosphere preservation, and people’s lives. This impact would be called “progress,” in the sense of facilitating people life. This progress undoubtedly has friendly faces easily seen. However, another no so lovely face has appeared with industrial advancement, particularly environmental damage and labour market. There is evidence that the relationship between technological change (TC) and structural changes is reflected in employment and wages. Change in the labour market is mainly due to changes in the demand for labour, which lead to inequalities in the market. This change depends on the workers responding (or not) to the skills required by the new demand, related to the corresponding technological advancement (Machin 2001). The production process is associated with environmental and economic sustainability. Both of these areas have been widely recognised and studied in economics and other scientific areas. Nevertheless, ecological economists claim that the traditional focus of economics is dominating. They ask for a detailed view of the present and to the future, as well, and focus their actions non only on “what we have to do” but also y “what we must do” (Hagens 2020). However, the social sustainability is closely linked to the productive activities, since all of them need workers’ involvement. Employees well-being is not a key factor for economic activity but also society’s development. Social sustainability is related to the three aspects of the organisation’s sustainability (people, planet, and benefits), which are equivalent to the three pillars of sustainability (social, environmental, economic). However, some authors demand the attention it deserves,

32

X. Picatoste and I. Novo-Corti

pointing out that in academic research, the area of social sustainability still requires much attention. At this moment, it is the least knowledgeable or weakest pillar of sustainability. They affirm that empirical studies can be carried out in the future to explain and understand the relationship between natural resources management practices and the social line of sustainability in organisations, in which the mediating and moderating effects of possible determinants such as the ecological Beauvoir of workers in the centre where they carry out their professional activity, among others (Amrutha and Geetha 2020). The global impact on workers was also clear, since some employments were replaced by machines. Nevertheless, it took some time to extend the industrial innovations. The new coming generations were aware of training in other new jobs. The typical example of the ride-horses-car driver is clear. Who knows that he will probably be a member of the last horse carriage drivers’ generation. However, his sons and daughters have had time to learn to drive a car or a bus. This situation could be called a “soft transition.” Future society will be increasingly informationbased, and this requires creating opportunities for life-long learning (Halonen and Liukkunen 2021). Nowadays, the so-called fourth revolution is running at different times, with no time to stay at the same craft, profession or trade. That is the effect of the disruptive innovation induced by fast technological advancements. Furthermore, these advancements must be according to the sustainability principles internationally assumed. Following international and national agreements, sustainability is a fundamental reference principle for social and economic policies and the first step towards decent work. Considering that the labour market is an essential political terrain that interacts with many other political spheres, the importance of promoting and maintaining its sustainability is beyond doubt. However, the relationship of the labour market with sustainability has not been studied in the academic field with the intensity it deserves, at least in an interrelated way, without being analysed independently. Therefore, it is necessary to clarify and define what is considered a sustainable labour market and a sustainable policy for it. Clarifying these concepts and their framework of action is essential for a subsequent evaluation of the effectiveness of the policies through precise indicators (Lubk 2016). Garcia-Lopez presents a detailed analysis of the transition to a sustainable labour market policy. Furthermore, he pays special attention to the fundamental viability of the proposed sustainable policies, emphasising the challenges that their implementation entails. He also provides a practical definition of sustainable labour market policy. Lubk (2016) gives a quite complete approach to the definition of the sustainable labour market, employing the clarification of what she understands as “sustainable market policy,” which she defines as follows: “Sustainable labour market policy furthers decent jobs that contribute to sustainable development. It must consider possible tradeoffs between the ecological, economic and social dimensions. It also must regard inter-and intragenerational justice.” Despite that different approaches to the definition of the sustainable labour market were proposed, it is difficult to find one including all involved perspectives, from the maintenance of the welfare of the

3

Labour Market Sustainability: Technological Change and Decent Work

33

county in the long-run, the short-term, or those that claim the necessity of including the quality of jobs and the work-life balance. The Lubk (2016) one can be seen as the complete one. In this context, international organisations agree on the need to achieve the objective of productive employment and decent work for all, as stated in the United Nations SDG8 (UN General Assembly 2015) and as proposed by the International Labour Organization (ILO) in its Program Decent Work in 1999, whose interrelationship is shown in the ILO Centennial Declaration for the Future of Work (adopted by the International Labour Conference in June 2019) (International Labour Office (ILO) 2019), which includes the SDG8 proposals on promoting economic growth inclusive and sustainable, focusing on the pursuit of an inclusive goal of environmental preservation and economic growth, seeking a human-based approach to the future of work that preserves the environmental environment. A new path towards sustainable development is being drawn. But labour market is not isolated in the socioeconomic environment, just is the opposite, it is in the middle of the economic structure, and it is affected for all old and new forces acting in the markets. One of the most important variables for the labour market is the state of technology, since it requires the adequate knowledge and skills for a good performance (Novo-Corti et al. 2019). Technological innovation generally involves a reduction in the workforce, of varying intensity throughout history, and which has sparked more or less intense debates over time. In recent years, the speed of innovations and their intensity has been very high, calling itself “disruptive innovation,” hence this debate is now at the center of academic, business, social and political circles. The situation has evolved substantially since JB Say claimed that the labour required to build machines would guarantee employment (Say 1964). The positions with respect to “technological unemployment” (the one that arises as a consequence of the implementation of an innovation that replaces labour with machines) continue to be very varied and of different signs. On the one hand, the Luddite movement (led by Ned Ludd) has opposed technology, while other positions, based on economic analysis, consider it possible to compensate for this loss of jobs with the same progress implemented since David Ricardo (1955) highlighted the importance of machinery to increase net income and favor accumulation, the debate continues to focus on the compensation between the jobs lost and the benefits obtained. Ultimately, the problem seems to be reduced to an equilibrium of inputs and outputs. However, economic theory has recently pointed to other aspects that must be considered when talking about technological change and employment. Two stand out among them: on the one hand, the possible positive impact of product innovation on the workforce, as opposed to process innovation and, on the other hand, the possible qualitative cut-off effects, related to skills, which would be opposed to the quantitative effect, related to the displacement of labour (Vivarelli 2014). This paper aims to take a further step forward, considering that it is not only important to analyse the balance sheet, but also the distribution of the profits obtained. Assuming social welfare as an objective, inequality must be avoided and the benefits of technological progress must reach all members of society, always

34

X. Picatoste and I. Novo-Corti

INCLUSIVE

LABOR MARKET

TECHNOLOGY

DECENT WORK

ECONOMC GROWTH ACCORDING TO SDG8

SUSTAINED

SUSTAINABLE

Fig. 1 The three dimensions of economic growth for decent work. (Source: Authors own elaboration in base to International Labour Office (ILO) (2019) and UN General Assembly (2015))

under the premium of decent work, only compatible with an inclusive society, sustainable economic growth, and sustained (see Fig. 1). Considering that social system is includes the organisational and institutional structure of a society, including its values, attitudes, power structure, and traditions (Todaro and Smith 2021). Along this paper some characteristics of the relationship among technology, labour market, productivity, income and wages, quality of employment and decent work, in the framework of sustainable development are reviewed, by the revision of the state of the art and the statements of international institutions, under the light of the economic theory and its applied analysis, which lead us to come to some conclusions.

2

Technology, Economic Sustainable Growth and Labour Market

The influence of technology on economic development and people’s wellbeing has also been revealed as a driving force behind the Sustainable Development Goals (SDGs). In the hope that science, technology, innovation and business will drive the achievement of the proposed goals, on May 4, 2021, the Secretary-General of the United Nations, António Guterres, appointed a group of ten experts to support the Technology Facilitation Mechanism to accelerate progress towards the SDGs. The relationship between the degree of penetration of new technologies and labour productivity has been proven in empirical analyses, through the positive correlation of both variables during the last 20 years: they have verified it for the Spanish case, where they have also shown that this The correlation tends to be stronger between the economic activities of the service sector, which is proof of the

3

Labour Market Sustainability: Technological Change and Decent Work

35

asymmetry of technological innovation since it does not affect all sectors of the economy in the same way (Canals and Carreras 2020). This means that policymakers must pay attention to this situation of jobless growth since, despite the fact that per capita growth is acceptable, employment does not follow the same path. This inconvenient situation does not occur in isolation and, precisely for this reason, requires institutional intervention. This occurs, it should not be expected that the growth of productive employment comes solely from economic growth, but rather that complementary policies regarding the labour market should be promoted (Islam and Islam 2015). Then, it is expected a continuous increasing in productivity as far as the innovative procedure is going on, and, as a consequence, a rise in the Gross Domestic Product (GDP), that is, economic growth, which becomes into a higher per-capita GDP. Nevertheless, this doesn’t mean that the benefits of growth will be equally received neither for all productive sector, nor for all productive agents (workers and capitalists). So, this not equalitarian solution will drive to increase inequality and worsening the less favoured people situation, at least in relative terms. Moreover, it could be possible that it increases the poverty gap, precisely for those most vulnerable groups, which are at risk of exclusion and/or poverty. In order for the necessary requirements of sustained and sustainable growth to be met, the economy must undergo structural change, through which it will be possible to respond to the SDGs as a whole, and therefore to SDG8 (the one specifically related to work: “Promote sustained, inclusive and sustainable growth, full and productive employment a decent work for all”). The economy must let go of technological innovation that increases long-term productivity, income and decent jobs. Along this path, society will also acquire new knowledge and technical advances that will promote compliance with other SDGs, including SDG4 (“Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all”) SDG5 (“Achieve gender equality and empower all women and girls”), relating to education and gender equality, or SDG16 (“Achieve gender equality and empower all women and girls”) on institutional quality, without implying that other objectives are not favored due to the increase in knowledge. The three dimensions to support SDG8 are: sustained, inclusive and sustainable growth (see Fig. 1). The social dimension of SDG8 focuses on inclusive growth for all men, women, and all social groups, especially the most vulnerable. The indicators of this dimension, in terms of equality, equity, and social justice, are still far from reaching the desired levels in many countries due to high levels of unemployment rates, gender wage gaps, among other factors that affect specific groups, such as youth unemployment or people with disabilities, who are in a situation of greater vulnerability in all cases, even in countries where the labour market is in better health and does not have high unemployment rates. The case of young people is especially worrying because sometimes it comes from the hand of the so-called NEET phenomenon, that is, that part of the youth that does not work, study, or are receiving training of any kind, whose incidence seems to persist over time, according to the ILO. In this situation, the goal of decent work cannot be assumed as achieved, despite some positive data, such as the decrease in child labour, which should be eradicated by

36

X. Picatoste and I. Novo-Corti

Table 1 Inclusive growth and its essential elements Essential elements of inclusive growth Rapid, stable and sustainable GDP per capita growth Sustained decrease in income poverty Sustained improvement of human development indicators, such as health, nutrition and education Productive employment growth that equals or exceeds the growth of the labour force Reduction of inequality Social protection for all Source: Authors own elaboration from Islam and Islam (2015)

2025, according to SDG8. Regarding the environment, SDG8 underlines the importance of responsible consumption since its trend continued to grow, at least until the onset of the pandemic. (International Labour Office (ILO) 2019). Taking into account what has been explained above, it is clear that all types of growth do not have necessary to be inclusive. Growth is inclusive if it is capable of ensuring that the benefits derived from it reach the whole of society as a whole. This is precisely the difference between growth and inclusive growth. Table 1 summarises the main characteristics that inclusive growth must meet, where employment is an essential part of the concept, as described by Islam and Islam (2015).

3

Technologic Advancement and Decent Work

The issue studied here includes many variables and is certainly complex. Some authors affirm that the proper way to approach the study of development and policies is an enigma that economists have not managed to solve and even understand in all its complexity. The economic theory that studies growth is increasingly faced with the need to include more variables in the analysis, which implies the added difficulty of combining each of the variables and assigning it the place it should occupy. Development is closely linked to the structure of the economy and to the displacement of its factors, moving resources from one sector to another and from one place to another (labour between countries, trade, technology, etc.), in this situation the Policymakers have a significant challenge ahead of them trying to help unleash and steer the forces that drive growth toward inclusive and sustainable growth (Felipe 2012). Technological innovation’s impact on the labour market has several complementary aspects with different repercussions on firms, workers, institutions, and countries. This section presents the most critical aspects of the influence of technology in employment and working conditions related to sustainability and decent jobs. The first and most well-known effect is the one in labour productivity (Bongers and Picatoste 2021). Nevertheless, some authors warn that technological innovations are not disseminated and applied in a uniform way throughout the world, since, on the one hand, they are not available to all of them, and, on the other hand, they point out that the factor endowment of the countries must be taken into account, since the

3

Labour Market Sustainability: Technological Change and Decent Work

37

adoption of technology that may not be adequately adjusted to the factor endowment of a specific country, although it is a more advanced technology, if applied in an inappropriate context (due to factor endowment) could affect the labour market and generate unemployment or be the cause of slow job growth and, therefore, such technology may not be adopted at first. On the other hand, there are factors that condition such adoption: the first is the possibility of access to said technology or the continual emergence of new advances that lead to continuous innovations, which are generally more capital intensive. That is, decision-making must consider both the available technologies and the factor endowment of the country in which they are to be applied (Islam and Islam 2015).

3.1

Innovation and Productivity

Technology influences on employment, productivity and general economics has been studied from different and complement perspectives and geographies and some of the opportunities were underlined (Bongers and Picatoste 2021). Understanding labour productivity as the gross value added per hour worked, we can assess that, in general terms, there is unanimity among economists dedicated to studying the labour market on the increase in labour productivity linked to technological change. This also implies an increase in the demand for qualified workers, who will receive higher wages and, therefore, increase the wage gap. However, sectoral differences have been noted since technological change is not linear but is biased and affects different sectors differently. For example, Apaydin (2018) has pointed that for some specific sectors as the automobile in Argentina and Turkey, the new production technologies brought politics to the forefront in these areas by creating new incentives and generating significant challenges that put politicians to the test, as each struggled to stay and excel in their career by turning limitations into new opportunities. However, researchers such as Cappelli and Carter (2000) consider that other factors contribute to technological innovation, such as high-performance work practices, and affirm that high remuneration corresponds to both technology and such practices, emphasising the importance of proper human resources management. So, in the face of technological change, especially if it is rapid, it is necessary for workers to have skills and adaptability. Hence there are great incentives to invest in workers’ skills to use their skills effectively (Gramlich 2003). It could be synthesised in that knowledge-based companies can be distinguished more by sharing knowledge than by the labour division because their source of wealth is especially related to two aspects; the knowledge and competence or skills of the available human resources. That is its interaction with knowledge, the way it is created and used in interaction with workers, that is, the process of dividing and sharing that knowledge. These companies are currently vital pieces of development and competitiveness in developed economies around the world. In them, the complex process of interaction between work and knowledge is a fundamental pillar (Docherty et al. 2008). In this line, Canals and Carreras (2020) clearly confirm the growth of productivity in Spain

38

X. Picatoste and I. Novo-Corti

due to technology innovation, and suggest that besides its positive impact on productivity, other factors should be taken into account because new technologies can have disruptive effects on the labour market, reflected as job destruction, and also can affect the productive structure, boosting the emergence of super-companies. So, all these possible influences can affect the labour market general framework and the quality of employment. Technological innovation can positively affect workers if it is implemented properly because it promotes higher performance in companies. As long as these returns are distributed equitably, it is expected that they will revert to workers, increasing consumption and growth. On the contrary, if this distribution is unequal, and productivity increases go solely or mostly at the hands of the capitalists, inequality may increase, generating unfair situations and affecting social sustainability. These disruptive innovations, mainly coming from artificial intelligence (AI) and robotisation, make workers be fired without any possibility of finding a job since this job doesn’t exist anymore. The security and safeness at work become more important than ever. Moreover, the long-life-learning is another key issue to face this new scenario. Anyway, this uncertain labour environment needs a social support to make workers confident and safe about their labour life to ensure their personal and family wellbeing. So, a decent job is much more than a well-paid employment, it means a work compatible with a decent life at the present and with a reasonable stability in the future. According to traditional economic theory, when new technologies appear, these will be incorporated into production processes, giving rise to new production processes, which are incorporated into existing ones, increasing the possibilities of choosing the way to produce the final output with different combinations of productive factors. In general, the newest technologies give rise to new production options with labour/capital combinations that lead to substituting labour for capital, to the extent that isoquant-isocost optimisation indicates it. This would be a somewhat simplistic view since a specific sector is being analysed, in which technological innovation has taken place. This implies a loss of labour that will be quantifiable depending on the elasticity of substitution of one factor (labour) for the other (capital). However, in a broader vision, which includes several productive sectors, there will be another sector, precisely the one that has given rise to this new technology, which will have required workers to develop and implement this technology. What happens is that they are other types of workers with different qualifications and skills. The number of work hours lost in one sector and the number of work hours gained in the other cannot be quantified a priori and will be highly variable between different sectors. On the other hand, these hours of work are not homogeneous and, therefore, hardly comparable. In this sense, even under the assumption of work homogeneity, the net balance of lost/gained work hours could not be quantified (Lubk 2016). What is evident is the need of workers in the most labour-intensive sectors of the mechanical type to train and acquire transversal skills, since the risk of being replaced by a machine is more significant than in the case of workers with

3

Labour Market Sustainability: Technological Change and Decent Work

39

special skills that a machine cannot replace. In this sense, the speed of change works against these workers, whose jobs are more vulnerable to mechanisation or robotisation. To a more profound reflection, at least two essential lines should be pointed out: the influence of technological innovation on productivity and the impact of artificial intelligence. In the first line, it should be noted that the expected effect is positive, which would mean an increase in production for the same hours of work. Then, wages and working conditions could remain, just by adjusting the time worked, with a reduction in working hours. Therefore, technological innovation would not harm employment, but quite the opposite, because it would mean that employees would have more free time, which would result in greater possibilities of conciliation and better quality of life. Regarding artificial intelligence, a higher future impact is to be expected and aimed at other types of jobs different from those affected by mechanisation or robotisation; however, in general terms, a situation similar to the one described above could be assumed, where an increase in productivity could compensate for the reduction in hours worked and produce business benefits, to workers and society as a whole. The fear that machines will replace people in their jobs exists and generates anxiety in many workers, who see their job in danger and, on many occasions, do not have the skills to relocate to the job market. For this reason, long-term training becomes essential and must be promoted at the business and social level, as a means to guarantee the re-employability of all workers. If this is not done in this way, personal costs, but also social costs, will be assumed due to the loss of productive resources that are not used; In this way, not only economic development is slowed, but also social development and the wellbeing of societies is reduced, making the system unsustainable since, in the future new and more disruptive technological innovations, greater advantages (increased productivity, increase in wellbeing) should be exploited in the face of their disadvantages (loss of employment in some sectors and risk of affecting certain more vulnerable social groups). Some of the most important aspects in the labour market, which have been related to technology, are discussed below, specifically, those related to work outside the traditional office (work at home or remote work) and others with informality occurring in this new context.

3.2

Working from Home

Working from home has become very widespread lately and since it is a recent expanded working mode, multiple gaps can arise. The first question is related to the lack of homogeneity of work. Therefore at least three types of workers at home must be distinguished: industrial home work, home-based digital platform work, and telework (see Table 2, https://www.ilo.org/wcmsp5/groups/public/%2D%2D-ed_ protect/%2D%2D-protrav/%2D%2D-travail/documents/publication/wcms_765806. pdf).

40

X. Picatoste and I. Novo-Corti

Table 2 Types of home-based work and their characteristics Type of work Industrial home work

Settings Includes all goods production undertaken by homeworkers for local and international markets. Some of this work is “industrial” in the strict sense of the term in that it is often one step, outsourced to a homeworker, of a production process that otherwise occurs in a factory; but production can also be artisanal

Home-based digital platform work,

Refers to service-sector tasks performed by crowd workers according to the specifications of the employer or intermediary, in situations in which the workers do not have the autonomy and economic independence to be considered an independent worker in national law

Telework

Employees use ICT tools to perform their work remotely. Following the delineation of Convention No. 177, the focus is on teleworkers who work at their home (or another location of their choosing) on a permanent basis, and not on those who alternate between home and the office

Characteristics • They are mainly found in informality • Generally, there is national legislation, which is not applied in daily practice • They are not usually registered with social security • They tend to have difficulties exercising their labour rights • They tend to receive wages less than the established minimum wage • They are mostly found in informality • Their employer is usually located in a different area or jurisdiction, so applying the law is somewhat more complicated • Most of them have a contract as independent freelancers who are hired a service • Actually, they are what is known as “disguised employment” or “false self-employed” • This situation leaves them without legal protection, low autonomy, and little possibility of claiming their rights • Telecommuters are employees, by definition • Most have a formal employment contract • They have access to the rights and benefits of an employment relationship according to the law • There may be risks related to excess work time • Risks due to lack of training and professional development opportunities • Risk of misclassification of the employment relationship

Source: Authors elaboration from International Labour Office (ILO) (2021)

The ILO indicates that “there are considerable decent work deficits associated with home work.” There are deficits for all types of workers at home, both industrial, digital, or teleworking. However, they are more significant for the first type, and those who suffer the least from these deficits are teleworkers. In reality, what happens is that home-based workers have less access to social security, training, and expectations of professional improvement. On the other hand, the ILO reported that these types of workers lose more hours of work due to illness and cultural and/or

3

Labour Market Sustainability: Technological Change and Decent Work

41

Table 3 Critical takeaways for international action Key international guidance Home Work Convention, 1996 (No. 177) and Recommendation (No. 184) The transition from the Informal to the Formal Economy Recommendation, 2015 (No. 204) Employment Relationship Recommendation, 2006 (No. 198) Social Protection Floors Recommendation, 2012 (No. 202) ILO’s Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy (MNE Declaration), 2017 United Nations Guiding Principles on Business and Human Rights OECD’s Due Diligence Guidance for Responsible Supply Chains in the Garment and Footwear Sector Private compliance initiatives: Lessons learned Move beyond instituting codes of conduct and develop specific actions that ensure compliance with national law and international labour standards, in consultation with supplying firms and workers’ organisations Source: International Labour Office (ILO) (2021)

gender roles, in addition to the fact that they receive abnormally low incomes (International Labour Office (ILO) 2021). On this issue, at the moment, there is no clear national legislation. Hence it is still far from effective regulation compatible with decent work standards, although it is interesting to note that some countries have adjusted, to a greater or lesser extent, to the guidance of Convention No. 177 and Recommendation No. 184 in developing legislation on home work. The compliance and regulation of this work involved all society statements, the ILO (2021). Currently, there are differences in the situation depending on whether the countries have ratified Convention No. 177 and have or have not signed the OECD Guidelines for Multinational Enterprises. There are mechanisms to deal with and resolve possible claims or complaints in the first case, while in the second case, there are not. In any case, compliance with the standards cannot be sustained solely by private entities, nor can it substitute for labour inspection (Table 3).

3.3

Multi-sided Platforms Companies

One of the most widespread impacts of the application of ICT to the labour market is the opportunities that arise from disseminating knowledge of job opportunities for workers and providing a wide supply of labour to employers. Some of the multisided companies can provide job opportunities. These are companies that reduce transaction costs, reducing market frictions (Evans and Schmalensee 2016). It is primarily a match between different parties for mutual benefit and is the main objective of multilateral platform companies. However, this relationship, which pursues a mutual benefit, can be accompanied by perverse effects. Specifically, although unemployed workers can indeed find a job through companies of multilateral platforms. The system of awarding these jobs can give rise to working conditions or salary levels incompatible with a sustainable labour market, and of course,

42

X. Picatoste and I. Novo-Corti

far removed from what can be considered decent work. The operation of these platforms consists of someone launching a request for a job or service through the platform through a detailed description of it. This demand is sent to the possible interested parties through the platform, and they set a price for the performance of that work/service. The applicant selects the offer that he considers most appropriate and closes the agreement with the offeror. The point is that this auction system leads workers to a downward price trend to increase the possibility of getting that work/ service and, it is precisely in this system where both the advantage of getting a job is found as the disadvantage that this is far from a minimum standard of quality in employment since there are incentives for workers to reduce the quality of employment (mainly by lowering their wages) in exchange for increasing the chances of achieving it.

4

The New Scenario: Challenges and Opportunities for Sustainability

One of the issues related to the influence of technological advancements and their effects on the labour market is the international agreements to boost decent work and its legal framework. Complex monitoring and compliance with international regulations persist from the moment these regulations were born. In addition, it is foreseeable that in the future, this task will be complicated due to technological advances, with which new forms of work emerge that also require regulation. So, complexity increases in itself and its monitoring and verification of compliance. It is expected that new technologies will promote new norms, which will be formulated in an international context, among other reasons, due to the relocation of work. In this way, greater cooperation of the states will be necessary for its application (Waas 2021). International organisations usually tried to draw new social scenarios to adapt them to citizens’ and workers’ requirements. Changing conditions to new frameworks have appeared along with the history, boosting new social governance. The crucial role of the international institutions’ acts becomes dramatically important when the faced issues came from unexpected social and economic fields and at speed never seen before. This is precisely the situation with the disruptive technological change. The ILO has traditionally worked to achieve good social governance to attain a sound and complete working life, both for workers and society. It has allowed it to advance substantially. However, the new challenges linked to technology are generally rapid and unexpected (disruptive). This objective requires learning from past advances and looking for new means and tools to advance in the future (Halonen and Liukkunen 2021). The influence of innovations on socioeconomic life has been reflected in economists’ studies, who have followed them closely and incorporated them into their reflections. Thus, the classical economists developed their studies during the first Industrial Revolution, which was vital as an analytical framework in their theories of political economy. At the same time as the second industrial revolution, the triumph

3

Labour Market Sustainability: Technological Change and Decent Work

43

of economic Neoclassicism was the reference framework for economic studies. It started with the Marginalists (1870) and went until the end of the Keynesian revolution. Keynesian thought was crucial for solving the crisis of 1929. Economic thinking has developed according to the requirements of the social and economic problems of the time (Becchetti et al. 2019). The fourth industrial revolution does not solve this situation. Furthermore, off it added more complexity to the scenario at the same time that open new challenges and opportunities. The economics of development and sustainability must count on technology to properly achieve its goals, summarised by the SDG. At this time, new approaches are required to solve new, more complex issues. Once the “invisible hand” mechanisms have been overcome, that the proposals for public intervention have been used and proved in real life, a new time is coming. It is time to incorporate new solutions, which are currently boiling in the minds of all kinds of professionals: economists, sociologists, engineers, biologists, pedagogues, and other professionals interested in achieving a sustainable, sustained, and equitable economic development, that is, that is lasting, respectful with the environment and socially balanced. The new era that economies find themselves in today has been called the “integrated economy.” This economy comes from the fusion of old and new economic thoughts, which include the innovations required by the new situation, particularly concerning the labour market. In this new line, digitisation is no longer limited to automation but also applying information and communication technologies (ICT) collaboratively in process management. Caution must be extreme since the inappropriate use of technologies could have detrimental effects, contrary to those expected and desired, leading to non-optimal solutions (Becchetti et al. 2019).

4.1

Levels of Affectation by Technology

According to the reflections and information given above, a summary of the most general aspects influenced by technology in people’s lives are shown in Table 4. They are grouped in three levels: the worldwide, general or global, that are those affecting everyone and everywhere, the inter-generational, for this and subsequent generations and the individual, those that each one perceives differently.

4.2

The Importance of Population Awareness About Long Term Policies for Sustainability

Sustainability is a long term concept in its essence, concept and definition. This situation does not diminish the importance of short term actions but reinforces the role of long term actions priority. Nevertheless, the multiple instances and groups involved in sustainability can find opposite interests, particularly in the short term context. Politicians are responsible for boosting the policies that they promote. However, these policies do not usually achieve their last goal during the political time of those

44

X. Picatoste and I. Novo-Corti

Table 4 Some aspects of the influence of technology in people’s life General-global-worldwide Technological change as an opportunity to improve labour conditions and work-life balance Technological change will increase labour productivity It could affect the structure of groups of working since TC is not lineal, and it will not affect all groups of workers equally. Maybe some more vulnerable groups need specific social attention: youth, women, older people, disabled, rural people or those without technological skills Brain drain and other population issues could appear Changes in education are needed, and their response must be as fast as possible, particularly at training for professional skills (FP in Spain) Increase of skilled workers wages Inter-generational Most people have to change their jobs along with their labour life Long-life training is necessary Transversal skills are an outstanding support Individual Risk of losing jobs The opportunity of new jobs appearing Insecure/uncomfortable at job Changes in the quality of the job Less labour time due to the increasing productivity Source: Authors elaboration

who boosted them. Remarkably, the long-term nature of sustainable development to no fit well into the 4 or 5 years of the traditional political rotation: “at least as long as voters do not realise that while the realisation of sustainable development might leave more losers than winners in the short term, in the long run, that will change if the right actions are taken” (Lubk 2016). The pay-off matrix resulting of conjugate voters’ and politician’s interests together proposed by Lubk (2016) is reinterpreted by incorporating workers affected by technological innovation (Affected workers) (those who become unemployed because a machine/robot substituted them). Table 5 summarise the results from the three actors and in both short and long-run scenarios. These results shown in Table 5 could be modified in favour of sustainability and the Affected workers if there is a good knowledge of the situation among citizens and good communication and governance to create channels of information and awareness of the importance of timing for sustainability and for acquiring transversal skills through long-life training programs for vulnerable workers in times of disruptive technological changes. Consumers and workers are voters, so their commitment and awareness of the relationship between all spheres of sustainability are crucial. Despite some lacks in this context, society claims for a strong engagement with global social governance to protect our world: people, environment, and the socioeconomic environment to achieve more sustainable and inclusive societies for everyone. Getting a decent job, secure, safe, work-life friendly is a crucial matter.

3

Labour Market Sustainability: Technological Change and Decent Work

45

Table 5 Pay-off matrix short versus long-run term for politicians’, voters’ and workers affected by technological innovation unemployment Pay-off matrix The stage for the three instances involved

Shortterm oriented

Longterm oriented

Political stance Short-term oriented Politician Re-elected Sustainable development Treatment of synthons Affected workers Social coverage Politician Not re-elected Sustainable development Treatment of synthons Affected workers Less social coverage/less unemployment due to innovation

Long-term oriented Politician Not re-elected Sustainable development Not realised Affected workers Structural unemployment due to innovation Politician Re-elected Sustainable development Realised Affected workers No social coverage needed/ no unemployment due to innovation

Source: Authors’ elaboration (inspired in Lubk 2016)

Good social governance will help put the next technological challenges by the side of workers and people.

5

Conclusions

The increase in labour productivity due to technological innovation should translate into improvements for workers, not only in terms of higher wages but also in dignifying work in all its nuances, especially in conciliation and security. Sustainable economic growth can only occur in a balanced way, and the benefits of innovation need to respect this balance. Due to technological innovation, adverse effects may appear in job losses, especially for unskilled workers. Preventing this impact from falling only on workers is a task that corresponds to both politicians and employers since productivity increases will help increase business profits. The population must be educated in awareness of sustainability and aware that it is a long-term work that must be promoted and supported by all social classes. In this way, a responsible citizenry can be built to elect the right politicians to represent them and demand a solid commitment to sustainability and decent employment from their political representatives. The sustainability of work in the future necessarily requires a structural adaptation to promote the acquisition of transversal skills as competencies for everyone involved in the labour market, whose function is acting like an “employment insurance.” These actions make workers more adaptable and versatile. For this reason, the education and training of workers must be part of labour policies. In

46

X. Picatoste and I. Novo-Corti

addition, labour policies must be designed in the light of anticipated technological advances to have a workforce prepared to meet the demand for employment when such innovations are implemented. Education and innovation policies should also be coordinated to stabilise sustained and sustainable growth, compatible with decent and decent employment. Even following all these guidelines, adequate labour protection and regulation are required.

References Amrutha VN, Geetha SN (2020) A systematic review on green human resource management: implications for social sustainability. J Clean Prod 247:119131 Apaydin F (2018) Technology, institutions and labor: manufacturing automobiles in Argentina and Turkey. Palgrave Macmillan, Cham Becchetti L, Bruni L, Zamagni S (2019) The microeconomics of wellbeing and sustainability: recasting the economic process. Academic Press, San Diego Bongers A, Picatoste X (2021) Productivity growth: technological progress and technical efficiency. Atl Econ J 49(1):101–103 Canals C, Carreras O (2020) The role of new technologies in Spain’s productivity (CaixaBank research no. MR02). Available at https://www.caixabankresearch.com/en/economics-markets/ activity-growth/role-new-technologiesspains-productivity Cappelli P, Carter W (2000) Computers, work organization, and wage outcomes. National Bureau of Economic Research, Cambridge, MA. Working paper 7987 Docherty P, Kira M, Shani AR (2008) Creating sustainable work systems: developing social sustainability. Routledge, New York. (2nd edn, 2009) Evans DS, Schmalensee R (2016) Matchmakers: the new economics of platform businesses. Harvard Business Review Press, Boston Felipe J (2012) Inclusive growth, full employment, and structural change: implications and policies for developing Asia. Anthem Press, London Gramlich EM (2003) Productivity and the new economy. In: Technology, growth, and the labor market. Springer, Boston, pp 3–9 Hagens NJ (2020) Economics for the future – beyond the superorganism. Ecol Econ 169:106520. https://doi.org/10.1016/j.ecolecon.2019.106520 Halonen T (2021) Harnessing globalization: an everlasting challenge. In: International Labour Organization and global social governance. Springer, Cham, pp 1–16 Halonen T, Liukkunen U (2021) International Labour Organization and global social governance. Springer, Cham International Labour Office (ILO) (2019) Time to act for SDG 8: integrating decent work, sustained growth and environmental integrity. International Labour Office, Geneva International Labour Office (ILO) (2021) Working from home. From invisibility to decent work. ILO. https://www.ilo.org/wcmsp5/groups/public/%2D%2D-ed_protect/%2D%2D-protrav/% 2D%2D-travail/documents/publication/wcms_765806.pdf Islam R, Islam I (2015) Employment and inclusive development. Routledge, London Leal Filho W, Azul AM, Brabdli L, Lange Salvia A, Wall T (2021) Decent work and economic growth, 1st edn. Springer, Cham. https://doi.org/10.1007/978-3-319-95867-5 Lubk C (2016) Concept of sustainability and its application to labor market policy. Springer, Heidelberg Machin S (2001) The changing nature of labour demand in the new economy and skill-biased technology change. Oxf Bull Econ Stat 63(Suppl 1):753–776

3

Labour Market Sustainability: Technological Change and Decent Work

47

Novo-Corti I, Picatoste X, Țîrcă DM (2019) Sustainable economic development: some reflections on access to technology as a matter of social engagement. In: The international research & innovation forum. Springer, Cham, pp 469–477 Ricardo D (1955) The works and correspondence of David Ricardo: volume 10, biographical miscellany, vol 10. Cambridge University Press, Cambridge, UK Say JB (1964) Treatise on political economy on the production, distribution and consumption of wealth. M. Kelley, New York Tapiola K (2021) What happened to international labour standards and human rights at work? In: International Labour Organization and global social governance. Springer, Cham, pp 51–78 Todaro MP, Smith SC (2021) Economic development. Pearson Education Limited, Harlow UN General Assembly (2015) Transforming our world: the 2030 agenda for sustainable development. United Nations, New York Vivarelli M (2014) Innovation, employment and skills in advanced and developing countries: a survey of economic literature. J Econ Issues 48(1):123–154 Waas B (2021) How to improve monitoring and enforcement of international labour standards? In: International Labour Organization and global social governance. Springer, Cham, pp 79–95

4

Equitable Distribution of Sustainable Energy in Small Island Developing States (SIDS) Dinesh Surroop and Doorgeshwaree Jaggeshar

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Energy Landscape in SIDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Mapping of Energy Distribution in SIDS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 Institutional Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Technological Appropriateness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Financial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 Technological and Technical Expertise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5 Development Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.6 Complex Investment Landscape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.7 Social . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Discussion and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1 Institutional Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 Financing Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3 Technology Suitability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4 Community Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.5 Monitoring and Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

50 52 52 53 55 57 61 61 62 62 62 63 63 63 64 66 67 67 67 68 68

Abstract

Capitalizing on adequate and local resources, Small Island Developing States are prioritizing the renewable energy (RE) resources in their energy generation mix; introducing ambitious RE targets in national strategies. Yet, these islands are lagging behind in implementing SDG 7, ensuring sustainable energy access to all. Widely scattered and isolated areas in small islands are unattainable and D. Surroop (*) · D. Jaggeshar Department of Chemical & Environmental Engineering, University of Mauritius, Moka, Mauritius e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_46

49

50

D. Surroop and D. Jaggeshar

expanding energy access remains a concern. Without an overall improved energy access, or unsuitable technological choices, these areas experience a lower capacity to grid connection. This chapter thus explores and discusses the disparity in energy distribution in remote and non-remote areas, It can be observed that despite being geographically dispersed, similar factors have been identified as barriers to the successful electrification access; primarily in the areas of (i) institutional framework, (ii) technological suitability, (iii) financial mechanisms, (iv) technological and technical expertise, (v) development assistance, (vi) complex investment landscape, and lastly (vii) social. In order to tackle the complexities, it is essential to adopt a holistic approach to understand how sustainable energy distribution interact with rural socio-economic factors within a circular fashion. That is, there is a need to review and address the process of rural electrification from planning phase up to post implementation phase to ensure feasibility and sustainability of the action plans. Thus, we provide in this chapter, a plausible roadmap which identifying the various areas of focus (from planning to post-implementation), which will potentially facilitate increasing energy access within the rural space of SIDS.

1

Introduction

It is common acceptance that energy is one of the fundamental resources, alongside food and water, which determines the global social and economic well-being. We use energy in a myriad of ways on a daily basis, whether for powering our homes, for industrial and commercial development, for transportation, in providing health care services, and for educational facilities, among others. The 2030 Agenda for Sustainable Development embraces a complete goal for energy, the Sustainable Development Goal 7, dedicated to “ensure access to affordable, reliable and modern energy for all by 2030” (UN 2020). Access to energy has emerged as a socially and economically imperative asset, rather than a moral obligation. Statistics suggest that evolving energy access policies have brought positive changes in electrification rates: 770 million people lacked electricity access in 2019; the lowest record achieved in recent years. In developing Asia, 96% of the population gained access to electricity in 2019, while in the African continent, the number of people living without access to electricity has decreased to around 580 million (IEA 2020a). Nonetheless, it would be fallible to say that these numbers provide a basis to believe that achieving universal access by 2030 is feasible; efforts will have to be magnified to reach the underserved. Alarmingly, the global energy access situation has further worsened with the COVID-19 pandemic. IEA (2020b) reported the link between the pandemic, increasing poverty, and increasing population without electricity access in the sub-Saharan region, thereby overturning previous energy progress.

4

Equitable Distribution of Sustainable Energy in Small Island. . .

51

Unsurprisingly, the perpetual issue of energy poverty is emphasized on the international development front. There exists a huge disparity of energy access, as well as consumption patterns, across the globe – among population of differing socio-economic background, high and low gross development product (GDP), and urban and rural communities. This inequitable scenario compromises the ongoing efforts of alleviating energy poverty and represents a multifaceted complexity for all countries and particularly for vulnerable environment in small islands and rural regions of developing nations. Small Island Developing States (SIDS) are commonly known for their vulnerability to the effect of climate change and inherent characteristics such as small in size, limited market expansion, growing population, and narrow resources base. Their level of energy access is gaining significant momentum, since not all SIDS enjoys complete access to energy. While in some (e.g., Mauritius, Barbados, Trinidad, and Tobago), the access rate is 100%, in islands like Haiti, Papua New Guinea, and Guinea Bissau; less than 60% of the population have access to energy. Consequently, this hinders socio-economic improvement in terms of educational facilities, employment, health, and sanitation in small states (Surroop et al. 2018). Being distinct from each other, large variations in energy access can be highlighted in the three SIDS regions, notably the Caribbean, African, and Pacific SIDS. One major concern which should be emphasized is how energy is inequitably distributed within a specific SIDS region; some regions are so geographically distant that ensuring reliable and affordable energy supply is a challenge (Wolf et al. 2016). When we consider the reasons as to why poor and rural areas in SIDS are still not connected to energy supply, at a first instance, we suggest the (i) wide dispersion of regions making connection difficult and (ii) the unaffordable cost of electricity. However, there are other essential layers which contribute towards improving the quality, affordability, and adequacy of energy within a community; these include regulatory frameworks, energy policies, and investment in innovative energy technologies, among others. It is important to address these factors and identify their contribution towards the prevailing energy gap. The biggest challenge in achieving universal energy lies in the capacity to provide energy to those in need; rather than the ability to generate electricity. This chapter thus has as objective to bring forward the energy gap existing within each region of small island states, highlighting majorly on how energy access varies in rural and urban communities, the factors causing this disparity, and how an equitable distribution of sustainable energy can be reached. This chapter is structured as follows: Sect. 2 reviews current energy situation in SIDS and energy distribution profile in rural and urban communities. Section 3 outlines the method of data collection. Section 4 is the results section, highlighting the empirical evidence of factors leading to energy access gap within small islands. Section 5 covers an intricate discussion on the potential measures to promote energy distribution in a more equal manner across different regions of SIDS.

52

2

D. Surroop and D. Jaggeshar

Literature Review

Spread of three primary topographical districts specifically the Caribbean, Pacific, and AIMS, SIDS known to have common inborn characteristics. They are small in measure of area, populace, and economies which restrain the extension of household markets, economies of scale, and state capacity. Besides, being farther from closest worldwide markets, SIDS endure from high transportation and trading expenses and impediment in investments (UN-OHRLLS 2011; Surroop et al. 2018).

2.1

Energy Landscape in SIDS

Primary energy supply of SIDS in the AIMS region is obtained from oil (69%), followed by coal (17%) and the remaining by renewable energy (RE) resources (IRENA 2020). In the case of Caribbean SIDS, both oil (47%) and gas (45%) dominate as primary energy sources (IRENA 2020). The remaining share of energy supply is met by RE sources and coal (IRENA 2020). Primary energy in pacific SIDS is supplied mainly through oil (54%), followed by RE, coal, and gas (IRENA 2020). A vast disparity in the quantity of primary energy supply (as illustrated in Fig. 1) between Caribbean SIDS and the other two regions can be noted; for the year 2017, caribbean SIDS has a total primary energy supply of around 1,588,000 Tera joules (TJ), compared to 117,961 TJ (AIMS region) and 293,209 TJ in Pacific SIDS (IRENA 2020). Renewable energy generation is mostly met by solid biofuels in AIMS SIDS, generating a total of 437 GWh of energy in 2018 (IRENA 2020). The remaining share is met by hydropower, solar, biogas, and wind power. The major RE consumption sector in AIMS is households, accounting for 65% in 2017 (IRENA 2020). RE in Pacific and Caribbean SIDS are dominated by hydropower, whereas in 2018 hydropower generation was 1812 GWh and 2191 GWh, respectively (IRENA 2020). Total Primary Energy Supply in 2017 Energy Supply (TJ)

800000

600000

400000

200000

0 Coal + others

Gas AIMS

Caribbean

Oil

Renewables

Paciific

Fig. 1 Author’s illustration on total primary energy supply in SIDS for year 2017 (data compiled from IRENA database, 2020)

4

Equitable Distribution of Sustainable Energy in Small Island. . .

53

Renewable Energy Generation for year 2018

Pacific Caribbean AIMS 0%

20%

40%

60%

80%

100%

Proportion in the RE generation mix Hydro

Solid Biofuels

PV

Onshore wind

Geothermal

Biogas

Fig. 2 Author’s illustration of the share of RE in SIDS for the year 2018 (data compiled from IRENA Database, 2020)

Pacific SIDS is the only region which include geothermal energy in the RE generation mix. Equally in Pacific SIDS, the major RE consumer sector is households. Unlike the other regions, the industrial sector accounts for being the largest RE consumer in Caribbean SIDS. Figure 2 provides an illustrative representation of RE in the 3 SIDS region.

2.2

Mapping of Energy Distribution in SIDS

More than 70% of the SIDS are classified upper and high-income countries. Only two countries present the low-income category, and yet they account for 20% of the SIDS population. All of Caribbean SIDS features among countries with high income and upper middle income, with the only exception of Haiti, which is classified as a low-income nation. Pacific SIDS vary from low income to high income, with Palau being the only high-income country. In the case of African SIDS, solely Guinea Bissau is categorized as low income while Sao Tome and Principe (STP) is a lower middle-income nation. Vanuatu, Solomon Islands, and STP are further listed as least Developed Countries (LDC) (ITU 2019). When considering human development index, the majority are classified as having high development, to name a few, Antigua and Barbuda, Bahamas, Trinidad and Tobago, Palau, Mauritius, and Seychelles, while others like Guinea Bissau, Haiti, and Papua New Guinea (PNG) register a low human development score (WHO 2017). Based on the abovementioned indicators, it can be deduced that energy heterogeneity in SIDS is nonexistent. The differences in income level and human development factor reflects on the energy access rate in the countries (As shown in Table 1). For instance, Antigua and Barbuda, having both high income and human development level, is 100% electrified; including complete energy access in both urban and rural areas. Similar is the case of Palau and Mauritius. On the contrary,

54

D. Surroop and D. Jaggeshar

Table 1 Authors’ compilation of indicators of energy access rate in SIDS (energy access rate statistics from World Bank 2018) Country Caribbean SIDS Antigua and Barbuda Bahamas Barbados Belize Dominica Grenada Guyana Haiti Jamaica St Kitts and Nevis St Lucia St Vincent and the Grenadines Suriname Trinidad and Tobago Pacific SIDS Fiji Kiribati Marshall Islands Micronesia, Fed. Sts Nauru Palau Papua New Guinea Samoa Solomon Islands Tonga Tuvalu Vanuatu African SIDS Cape Verde Comoros Guinea Bissau Mauritius Sao Tome and Principe Seychelles

National electrification access (%)

Urban electrification access (%)

Rural electrification access (%)

100

100

100

100 100 99.5 100 95.3 91.8 45.3 98.9 100 99.5 100

100 100 98.3 – – 96.9 79 100 100 97.5 97.9

100 100 100 100 100 90 – 97.6 100 100 100

97.4 100

99.0 100

94.3 100

99.6 100 96.4 82.1 99.8 100 59 100 66.7 98.9 100 61.9

99.9 93.7 95.7 93.5 99.9 100 82.1 100 76.7 98.9 100 93.7

99.3 100 98.4 78.7 100 100 55.5 100 63.5 98.9 100 51.1

93.6 81.9 28.7 100 71

91.9 94.0 53.1 100 76.7

96.9 77 10 100 55.7

100

99.6

100

4

Equitable Distribution of Sustainable Energy in Small Island. . .

55

Guinea Bissau has a national electrical rate less than 50%, with a widening energy divide between urban and rural regions. The growing gap in energy access within Pacific SIDS can further be elaborated as follows: Pacific Island Countries (PICs) can be categorized in three distinct groups. The first is the Melanesian countries (PNG, Solomon Islands, Vanuatu, and Fiji) who are largely classified as rural populations, with high unelectrified proportion and having almost no exposure to RE technologies except traditional biomass for cooking purposes. The second group include Kiribati and Federated States of Micronesia. These are a number of isolated islands, defined as rural population. These islands are exposed to solar energy for lighting and basic electrification. The third group (Palau, Nauru, Tonga, Tuvalu, and Samoa) comprises of urban/semi urban population, almost/complete rural electrification, and the countries are familiar with solar power for basic electrification via long-term energy projects (SPREP 2005). The characteristics of the energy markets in PIC again reflect the energy access gap prevailing among countries but equally within urban and rural spheres.

3

Methodology

Information and data were gathered from a desktop search, compiling an assorted run of peer reviewed papers, nation-level publications, universal databases such as the World Development Indicators of the World Bank, United Nations reports on SDG 7 status, International Energy Agency (IEA), and other the national and global reports. Endeavors were made to consolidate up to date data within the methodological strategy, and precision and validity of factual information were guaranteed by comparing with other measurable reports. Collected data have been analyzed and presented in different sections in this chapter (see Fig. 3). The objective of the literature search was to establish a comprehensive status quo of the energy landscape in SIDS, emphasizing on sustainable energy distribution in the islands. From the accumulated list, components of the publications related to the authors’ affiliations, the distribution date, whether energy access has been addressed, the extent to which rural electrification disparity has been portrayed, and lastly the factors leading to a growing energy gap and have been accounted. Many scholars have studied the concept of energy landscape in small island states, and it seems that there are two categories of research work while reviewing publications with keywords “energy” and “SIDS.” While some assess the challenges in the energy sector, including strategy conceptualization for energy security in SIDS, others address the multilayered theme of renewable energy development and energy policy making in these islands: Surroop et al. (2018) set the background for the energy sector in SIDS by comparing the energy systems existing in the three SIDS areas, providing a detail review on the energy generation mix and equally addressing the vulnerabilities of those islands. Through a situational investigation of the energy performances in Fiji and Mauritius, the aspect of energy access is highlighted by Wolf et al. (2016), comparing their existing energy policies to

56

D. Surroop and D. Jaggeshar

Qualitative and Quantitative data collection from different publication sources

Introduction

Literature Review

Deriving energy profile for Caribbean, African and Pacific SIDS

Identifying and assessing commonalities between 3 SIDS regions

Data Analysis and Discussion

Highlighting Rural and Urban Energy Disparity

Fig. 3 Methodological framework adopted for data collection

universally acknowledged criteria for SIDS as well as with each other. Additionally, the authors further elaborated on both the obstructions in achieving energy security and on strategies that would guarantee nonstop energy supply. A similar study has been carried out by Prasad et al. (2017), specifically targeting the energy system in Fiji, where emphasis is laid on the complexities of availability of energy resources, generation, and consumption of energy and the utilization of conventional fuels. Transitioning to sustainable energy is a superseding challenge for small island states. For this reason, Praene et al. (2018) conducted a statistical investigation of sustainable transition in Small Islands from a renewable energy perspective. The dynamics of sustainability is examined through the lens of renewable energy share, the energy sector, financial advancement, and geographical localization. On the other hand, Surroop and Raghoo (2018) identify renewable energy development as a means to enhance energy security and supply in African island states. Furthermore, given the feasibility of renewable sources vary among the countries, the paper provides a roadmap on how to tackle the energy issues and increase the take up of renewable power. Studies by Timilsina and Shah (2016) and Dornan and Shah (2016) both focus on the significance of energy policy aspect to accelerate renewable energy development in small islands and triggering low carbon transition. In respect to energy access, Chirambo (2018) bring forward the essence of creating harmony among the initiatives undertaken by Power Africa, Sustainable Energy for All and Climate Finance, to ensure achieving the universal energy access target by 2030, and subsequently alleviating poverty and improving the African standard of living. A recent study by Teariki et al. (2020) established the impact of energy poverty on children and youngsters in four diverse locations, namely,

4

Equitable Distribution of Sustainable Energy in Small Island. . .

57

developing Pacific islands Kiribati, Samoa, and Tonga and the developed state of New Zealand. The majority of publications reviewed have underlined the issue of energy access in SIDS from an overall perspective, including the barriers preventing expanding energy supply and the strategies that can be implemented to tackle the situation. However, none have accentuated on the growing energy disparity between urban and rural electrification within SIDS regions, where urban energy access is outpacing rural access. Except, the research by Dornan (2014) and Dornan (2015) has pointed out the insignificant success of rural electrification systems in Pacific Islands, associating these failures to ineffective regulatory frameworks.

4

Results

Rural energy access has seen solid supporters for centralized network systems, as well as more decentralized off-grid approaches. Nations have adopted approaches incorporating both grid and off-grid systems, participation from nongovernmental microfinance organizations, whether big or small, and partnerships from public and private institutions. However, the overall picture has a different associated dynamic: how to be connected to energy access, maintain this connection, and ultimately increase energy usage despite constrained supply. Establishing and maintaining a rural electrification program is a complex process. The success of constant expansion of electricity relies on adapting strategies to evolving scenarios of the local environment, while simultaneously retaining certain baseline principles. Successfully narrowing the growing energy gap relies on the core elements which inevitably are interlinked to some extent. These include effective energy polices reflecting the governments’ continuous commitment, proper planning, and implementation of energy technologies, understanding the local needs (social acceptance), funding and developing infrastructures and energy markets, and strong management of resources. These are some indicators which serve as mechanisms to create a permissive situation with regard to rural electrification as elaborated in existing literature pieces. The focus of this chapter is to emphasize the necessity of reviewing rural electrification situation within SIDS and recognize the deficiencies of the existing environment. For this reason, this section summarizes the reported obstructions to pick up more understanding of the essential drivers as well as the hindrances to inequitable energy distribution in rural communities. In spite of the diverse geology, ostensibly comparative variables are highlighted as challenges towards rural energy access. Commonly identified barriers can be categorized into the following aspects, namely, (i) institutional capacity, (ii) technological appropriateness, (iii) financial, (iv) technological and technical and expertise, (v) development assistance, (vi) complex investment landscape, and lastly (vii) social [see Table 2].

Grid extension predominant: areas that main grid can economically reach slowly being exhausted Expensive and poor-quality service Low electricity service provision

Political will not favor rural electrification

–

Pacific SIDS

African SIDS [Guinea Bissau, Cape Verde, STP] Suriname

–

Traditional approaches not suited

Institutional Limited resources to rural electrification

Scope Pacific SIDS

Technological appropriateness –

Burdened by energy expenditures

Upfront costs beyond household capacity Lack of income Poor credit availability –

Financial High upfront costs

–

–

–

–

–

–

Development assistance –

Technology/ technical expertise –

–

–

Complex investment landscape Geographical disadvantage Low power demand Connection to an electricity grid not feasible: low demand, population density, distant

Table 2 provides a summary for the discussed elements of the widening energy gap in rural areas of SIDS

–

–

–

Social –

IDB 2019

SEforAll 2020

Dornan 2014

Reference UNESCAP 2016

58 D. Surroop and D. Jaggeshar

Technical/ nontechnical losses due to electricity fraud and theft –

–

–

Pacific SIDS

African SIDS STP Limited experience with RE

Grid connection is costly and high monthly fee included Upfront cost unaffordable Poor credit facilities Inability to maintain off grid systems

–

Outdated, poorly maintained systems

–

–

–

High transportation costs High electricity costs Small economies –

–

Missing supportive policy and regulatory framework Underdeveloped DRE policy Lack of policy and regulation

Solomon Islands

Haiti

–

–

Off-grid/mini grid/standalone systems not clearly defined in policy –

Comoros

Investment not viable

Grid too far

–

–

–

–

–

–

–

–

–

–

–

–

(continued)

PowerForAll 2017 UNIDO 2020; World Bank 2019

World Bank 2017

Climate investment Funds n.d.

Hadush and Bhagwat 2019

4 Equitable Distribution of Sustainable Energy in Small Island. . . 59

Institutional –

Bureaucracy Ineffective regulatory framework

Scope SIDS

West Africa [Guinea Bissau]

Table 2 (continued)

–

Technological appropriateness –

High capital costs No proper financing mechanisms

Financial –

–

Technology/ technical expertise – Development assistance Limited coordination between partners Funding allocated majorly to centralized grid – –

Complex investment landscape –

Social acceptance

Social –

AntonanzasTorres et al. 2021

Reference Dornan and Shah 2016

60 D. Surroop and D. Jaggeshar

4

Equitable Distribution of Sustainable Energy in Small Island. . .

4.1

61

Institutional Capacity

Rural electrification is hindered by institutional means in two ways, particularly through a (i) a lack of political will to allocate the resources in underserved regions and (ii) the absence of regulatory frameworks catering for rural energy. Allocating the required resources for rural electrification is highly dependent on political commitment to the cause. With low energy demand and consumption and hard-toaccess region, providing network coverage by investing in decentralized ones is less viable. Governmental bodies are more committed to invest available resources in further developing the centralized grid systems, in other terms investing in urban areas who are already connected to electricity. Additionally, setting ambitious targets is one of the vital strategies towards sustainable development in SIDS. However, high reaching objectives can be a hurdle when they are biased towards electricity grid expansion over rural energy investment. Directing lesser resources to unelectrified rural areas, governmental measures prioritize grid extension through renewable energy investment. Such scenarios have greatly contributed to the slow rural uptake of energy in Pacific SIDS (Dornan 2014; UNESCAP 2016). Dornan and Shah (2016) reiterates the importance of regulations in developing feasible rural electrification models, which will subsequently attract public and private stakeholders to invest in power provision in rural areas. The inability to establish such frameworks is resulting in the growing energy divide in Papua New Guinea, Solomon, and Vanuatu. Furthermore, studies tend to indicate a rare influence of relevant and effective national policies in support of decentralized renewable energy (DRE), and such is the case in the African SIDS – Guinea Bissau and Cape Verde. These countries have the most underdeveloped DRE policy frameworks, where governmental strategies tend to be limited by past strategies with respect to regulatory policies, energy generation, transmission, and distribution (PowerForAll 2017).

4.2

Technological Appropriateness

Geographically dispersed, the socio-economic background of SIDS is equally unique. No single arrangement fits all in moving forward towards rural electrification advancement. Instead, rural programs pointed at expanding energy access must be cognizant of rural needs, assets, and existing regulation courses of action and capabilities. Rural electrification arrangements risk being out of date in case they are outlined to fulfill the current needs of the society without anticipating the advancement and financial advancement of the target community. Dornan (2014) stated that Pacific regions beyond urban boundaries have restricted access to infrastructure and conventional approaches centric on grid extension is commonly not viable in these areas. Pilot projects in rural areas and poorer communities are established to improve the access to energy. However, less thought is centered on how to scale up from these small initiatives and exhibit ventures to advertise

62

D. Surroop and D. Jaggeshar

improvement and catering to the requirements of the larger population, as well as in the long run (Pachauri et al. 2012).

4.3

Financial

A majority of the rural population in SIDS relies on agriculture to sustain their livelihoods, such that their monthly income is limited. Financial burden of getting connected to energy supply can have two interpretations: firstly, decentralized off-grid systems comprise significant upfront costs, and thus they are disproportionately affected by high energy expenses. Secondly, while considering the rural energy demand, high upfront costs translate into high electricity tariffs which discourage rural inhabitants from being formally connected to energy. Simply put, they would bother investing if they can barely afford electricity. For instance, IDB (2019) reports that a significant portion of the population in Suriname is spent on energy expenditures. On the other side, there exists also connected poor households which are struggling with maintaining their connection and increasing their energy demand beyond the threshold, due to poor and unreliable energy supply and unaffordable connection costs (Pachauri et al. 2012).

4.4

Technological and Technical Expertise

The successful implementation of decentralized energy systems in rural areas is not limited to providing this connection to the residents; rather the systems should be sustainable and operational in the long run. Unfortunately, operating and maintaining these systems is a major challenge in the rural space. The community does have any knowledge on renewable energy technologies, or their experience might be limited to outdated and colonial systems. Thus, causing improper handling of DRE systems, poorly maintained infrastructures, and poor service quality.

4.5

Development Assistance

Technology choices often made by donor partners are not necessarily compatible with the expectations or needs of the local population. This results from inadequate coordination between development partners, as reported by Dornan and Shah (2016). The authors substantiate the above by providing the example of Tuvalu, where dependence on development aid resulted in the provision of unsuitable and obsolete infrastructures. Another aspect of development aid is highlighted which eventually sidelines the efforts to enhance rural electrification: the funding for renewable energy development is allocated to target the existing grid networks, rather than target those regions with low energy access, supporting the evident historical preference towards centralized networks in SIDS (Dornan 2014; Niles and Lloyd 2013).

4

Equitable Distribution of Sustainable Energy in Small Island. . .

4.6

63

Complex Investment Landscape

Rural societies in SIDS are generally characterized by low levels of energy demand, low population density, and geographical constraints. These factors make off-grid systems less competitive and thus not economically feasible. Moreover, undeveloped infrastructures, for instance, missing transportation links, imply that electrification systems become more costly and complex; (i) extension of networks will require extending road to rural areas, and (ii) in case of failed power systems, technicians/companies do not usually travel to rural areas for repair purposes. In other terms, missing market infrastructure and technical capacity in rural areas of SIDS make the investment risk high.

4.7

Social

Rural communities in SIDS experiences social vulnerability which is linked to low level of education rate, restricted occupational activities in primary sectors, less diversified sources of income, and low accessibility to energy gap or electrification information. Furthermore, with migration of young people towards economic centers, a demographic imbalance is created in rural areas as older people stay behind. And, this accounts for their hesitancy in accepting changes to their routine lifestyle.

5

Discussion and Recommendations

Despite the pronounced energy in rural and remote communities, SIDS have showcased leadership by coming up with strong commitments towards achieving universal energy access. For instance, the Ministry of National Renewable Energy and Efficiency Actions Plans, with the assistance UNIDO, is formulating a holistic sustainable energy plan for Sao Tome and Principe (STP). The action plans will go past and consider the urban and rural dimensions, energy effectiveness, and all spheres of energy and imperative cross-sectors. An all-encompassing energy vision for STP incorporates the urban utility-scale and dispersed small-scale viewpoint and the rustic decentralized and off-grid systems (ALER News Release 2020). In Guinea Bissau, Lighting Africa provides support to the Regional Off-Grid Electrification Project (ROGEP), dedicated in increasing the electricity access to unserved households, business, and communities through modern off grid electrification (Lighting Africa, 2018). International Renewable Energy Agency (IRENA) is providing the required support for SIDS to move towards sustainable energy. The “SIDS DOCK” established in 2015 is helping transform energy sectors in small island states: the first phase of the program has seen investments in energy sector development for Pacific/Vanuatu, Eastern Caribbean, and projects in the pipeline involved Cabo Verde Distributed Solar Energy Systems, among others (ESMAP 2015).

64

D. Surroop and D. Jaggeshar

Nonetheless, taking into account the long times and current speed of energy investment in rural communities and the hindrances (as discussed in Sect. 3) preventing sustainable energy distribution, achieving SDG 7 by 2030 in all SIDS is questionable. In order to reverse the prevailing situation by 2030, vulnerable countries will have double their efforts, implying the number of people gaining access each year will have to tenfold higher in the coming years (UN 2018). From Table 2, it can be deduced that the main barriers span over the lack of institutional measures, the high costs which cannot be borne by rural households, the suitability of the technology being used, and the inability to maintain and operate these systems. The urban and rural landscape of SIDS vary to a great extent; the population density is different, flow of income varies, and the access to facilities and infrastructures differs; thus, the “priority approach” which is deemed logical at urban level is not necessarily justified for rural communities. In such case, it is essential for small island states to adopt an all-encompassing approach in their strategies to narrow the energy divide between urban and rural communities, that is, designing holistic solutions considering a collaboration of society, economics, and governance complexities. The stepping stone to such an approach will depend on the intensive understanding of how sustainable energy distribution interact with rural socioeconomic factors within a circular fashion. In simple terms, there is a need to review and address rural electrification strategies from the embryonic stage (planning phase) up to post-implementation phase to ensure feasibility and sustainability of the action plans. For this reason, we provide a potential roadmap (as shown in Fig. 4), which identifies the different areas of focus, enabling energy access within the rural space of SIDS.

5.1

Institutional Framework

Global rural electrification policy is gaining significant attention as the formulation of national energy policies, with particular focus on rural areas is vital for increasing the effectiveness of energy subsystems; and the collaboration between government, local, and public communities is quintessential for designing rural energy policies (Javadi et al. 2013). The case of SIDS is not different: setting targets is the first step towards expanding sustainable energy access to rural communities. This is achievable by creating effective regulatory frameworks with integrated energy planning. Importantly, national policies need to take into account the energy demand profile and consumption patterns for rural areas, in order to execute cost effective electrification plans. The long-term objective will comprise encouraging transformative sustainable shift, rather than only providing the minimum access to rural households. International organizations acknowledge the aspect of gender inequality in the energy sector, especially in rural communities where the women are responsible for securing water, food, and fuel for cooking and heating purposes. Yet, women

4

Equitable Distribution of Sustainable Energy in Small Island. . .

65

Rural electrification plan

Planning Phase

Implementation

Post Implementation

Institutional Framework

Participatory Process

Monitoring and

Energy policies catering for rural electrification Regulatory Bodies Identification criteria of partner for international assistance Private sector investment Energy market Gender lens

Involvement of inhabitants

Evaluation

Technological transfer

Learning about the technology principles and operation Drawing experience from other countries

Monitoring sustainability of projects Evaluating the impact on the inhabitants [whether positive, negative] Maintenance and Operation of energy systems

Costs / Funding End user funding schemes Incentives and subsidies Technology suitable Evaluating the existing situation/issues Identifying the needs of the community Community Development Capacity building program Participatory approach Training and workshop

Fig. 4 Author’s illustration of the potential success indicators for energy access in rural areas of SIDS

representation in rural energy policies is a rare sight in SIDS (UNEP 2014). By incorporating gender in energy polices, governmental strategies thereby ensure financial empowerment of women by ameliorating energy access to income generating sectors. The quick advancement within the energy sector requires critical modern investments in innovation advancement. It is the responsibility of national governments to require essential activities to move subsidizing priorities and plan empowering arrangements to advance ventures within the energy sector. International monetary agencies, benefactor organizations, and the private partnership ought to play a huge part in giving the monetary assets, moderating technological hazards, and ensuring long term guarantees.

66

D. Surroop and D. Jaggeshar

Investments in the energy sector and diversification of energy markets is possible with relevant regulatory frameworks. Energy authorities often find themselves at a cross road to learn about innovation technologies and energy models that will benefit bridging the rural energy gap. It is quasi-impossible to advance the sector without substantive knowledge of the sector. Private sector participation is thus considered as a key element in providing the much-needed experience and funding opportunities for rural electrification project (Dornan 2014; Williams et al. 2015). Encouraging investment from private institutions will nevertheless be influenced by regulatory reforms ensuring an environment of well operating institutions, transparency, efficient procedures, and credibility with investing bodies. Undoubtedly, development aid from international bodies is essential to promoting sustainable development which SIDS, as due to their limited financial situation and undiversified markets, they cannot advance on their own. Therefore, there is a need for SIDS to have a criteria system, when choosing to partner with international donors. This can be made possible through the establishment of an independent energy regulatory body that will (i) study the rural energy landscape and effectively assess the local community needs, (ii) identify potential energy aid partners, and (iii) select the financial agency based on to which extent their funding principles align with the energy development target of the region.

5.2

Financing Mechanisms

From a fiscal perspective, the high upfront cost associated with getting connected to energy systems is the major drawback for most rural households, coupled with the monthly fees which further burdened their monthly bills. Financing opportunities can be provided in terms of flexible payment, so as to lessen the financial burden of the inhabitants and simultaneously increase the access rate. A survey connected in STP indicated that, should an installment-based payment plan be made available, 82% of unserved households were keen to pay the grid connection cost wholly (World Bank 2019). Tackling solely the upfront connection fee will hardly be sufficient to encourage (i) more unconnected households to get connected and (ii) connected households to stay connected, despite the high monthly energy expenses. Governmental strategies can conceptualize innovative and beneficial schemes, as well as provide subsidies to rural communities, encouraging the uptake of energy services. Pay As You Go (PAYG) is gaining attention in several African countries as a cost optimal pathway to afford modern energy services. PAYG solar system in Africa is allowing rural areas to capitalize on low affordable energy for their daily needs, and users can make micro payments as their cash flow allows for their off-grid solar systems. SIDS can learn from the example of Senegal to increase affordability of rural electrification: Senegal is financing renewable off-grid systems through PAYG solar, and in the absence of local banks to issue loans, the population has adapted repayment methods suited to their income levels (IRENA 2016).

4

Equitable Distribution of Sustainable Energy in Small Island. . .

5.3

67

Technology Suitability

Before undertaking any energy project for rural households, it is essential to examine the prevailing socio-economic landscape, understand the local needs and expectations, and identify the challenges as well as benefits that energy technologies can bring to enhance the standard of living. The choice of technologies will be dictated by the affordability (cost-effective), reliability, and sustainability.

5.4

Community Development

Empowering rural inhabitants is essential before undertaking any energy projects. With a high level of illiteracy in rural areas, it is logical that the inhabitants will not have the knowledge to understand the reasons and benefits behind rural electrifications. This is primarily the reason they show reluctance in adopting changes to their established lifestyle. Governmental strategies should promote a participatory behavior among partners, so that rural communities can get a sense of the administration framework. In the community engagement in decision-making processes during both planning and implantation phases of rural electrification programs, the local individuals will be more open to take part the energy development activities. In addition, authorities will be exposed to recognizable proof of realistic issues, following which complex matters can be tackled more effectively. Capacity building programs are equally important to prepare the rural communities to new energy technologies. Technological and technical expertise can be achieved through (i) training and workshops conducted by experts during planning phase, (ii) getting hands-on experience during implementation of energy projects in their localities, and (iii) lessons and experience drawn through neighboring SIDS countries who have successfully implemented rural electrification programs. For example, vulnerable Pacific islands can learn from the experiences of Fiji who has established energy polices and strategies to address the energy situation of the country (Wolf et al. 2016; Prasad et al. 2017).

5.5

Monitoring and Evaluation

The final and most critical part of any energy development will depend on its sustainability. And, this is determined through proper monitoring and evaluation programs. Regulatory framework should be able to make provision for regular monitoring schedules of rural energy situation. The authorities will thereby be able to assess whether the population are keeping up with the operation and maintenance of the energy systems and identify any technical shortcomings. Evaluating the sustainability through surveys and interviews of the inhabitants will assess to what extent the energy connection services have been beneficial to the local needs and gather feedback for future improvements.

68

6

D. Surroop and D. Jaggeshar

Conclusion

Socio-economic advancement, improvement of livelihoods, and developing a sustainable future for SIDS can accomplished through efficient and equitable distribution of sustainable energy. Ensuring access to and propagation of dependable, cost-effective energy technologies should be prioritized to attain sustainable development and alleviating energy poverty and insecurity in small island states. Access to energy, efficiency, and RE development are three pillars to the enabling the implementation of SDG 7 in SIDS. At present, many vulnerable SIDS cannot afford to focus on one of the three sustainable energy pillars; they still experience challenges to expand their energy access, due to factors including absence of welldesigned regulatory frameworks, high connection fees, and lack of investment, among others. The situation is worsened with the growing energy divide that prevails between urban and rural populations, where rural energy access is significantly lower than urban regions. It should be reiterated that the energy gap coincides with poverty, as the population in unable to use modern energy to improve overall socioeconomic activities. Accelerating their energy uptake, the rural sphere and achieving SDG 7 will require multitude efforts in tackling energy access, RE, and efficiency simultaneously. The prevalent challenge thus remains in delivering energy services to those in need, rather than focusing entirely on expanding energy capacities. To address the inequitable energy dissemination in rural SIDS, developing a holistic rural electrification approach is mandatory, focusing on (i) developing coherent energy policies that cater for rural energy expansion, (ii) unlocking investment in energy sectors and energy market diversification, (iii) addressing the financial constraints through effective financing mechanisms, (iii) partnering with stakeholders, and (v) empowering rural population to ensure sustainability of energy projects. From the previous sections in the review, the most important deduction about enhancing energy access in rural areas is the presence of an effective and coherent institutional framework; political commitment and governmental strategies will influence the successful implantation of abovementioned action plans.

References ALER (Associacao Lusofona de Energias Revovaveis) (2020) Renewable Energy and Energy Efficiency Action Plans in support of the National Vision “São Tomé e Príncipe 2030: the country we need to build'. News Release. Available from: https://www.aler-renovaveis.org/en/communication/ news/renewable-energy-and-energy-efficiency-action-plans-in-support-of-the-national-vision-saotome-e-principe-2030-the-country-we-need-to-build/. Accessed 15 Mar 2021 Antonanzas-Torres F, Antonanzas J, Blanco-Fernandez J (2021) State-of-the-Art of Mini Grids for Rural Electrification in West Africa. Energies 14:990. https://doi.org/10.3390/en14040990 Chirambo D (2018) Towards the achievement of SDG 7 in sub-Saharan Africa: Creating synergies between Power Africa, Sustainable Energy for All and climate finance in-order to achieve universal energy access before 2030. Renew Sust Energ Rev 94:600–608. https://doi.org/10. 1016/j.rser.2018.06.025

4

Equitable Distribution of Sustainable Energy in Small Island. . .

69

Climate Investments Funds (n.d.) Investing in Solomon Islands. Available from: https://www. climateinvestmentfunds.org/country/solomon-islands. Accessed 15 Mar 2021 Dornan M (2014) Access to electricity in Small Island Developing States of the Pacific: Issues and challenges. Renew Sust Energ Rev 31:726–735. https://doi.org/10.1016/j.rser.2013.12.037 Dornan M (2015) Reforms for the expansion of electricity access and rural electrification in small island developing states. AIMS Energy 3:463–479. https://doi.org/10.3934/energy.2015.3.463 Dornan M, Shah KU (2016) Energy policy, aid, and the development of renewable energy resources in Small Island Developing States. Energy Policy 98:759–767. https://doi.org/10.1016/j.enpol. 2016.05.035 ESMAP (2015) SIDS DOCK Support Program. Available from: https://www.esmap.org/sites/esmap. org/files/DocumentLibrary/SIDS%20DOCK_Apr%202015-v3.pdf. Accessed 15 Mar 2021 Hadush SY, Bhagwat SRK (2019) A Comparative Study of Renewable Energy and Electricity Access Policies and Regulatory Frameworks in the Indian Ocean Islands IDB (2019) https://www.iadb.org/en/news/suriname-increase-electricity-coverage-rural-areas-idbsupport IEA (2020a) Energy access Achieving modern energy for all by 2030 is possible. Available from: https://www.iea.org/topics/energy-access. Accessed 15 Mar 2021 IEA (2020b) SDG7: Data and Projections: Access to affordable, reliable, sustainable and modern energy for all. Available from: https://www.iea.org/reports/sdg7-data-and-projections/access-toelectricity. Accessed 15 Mar 2021 IRENA (2016) Pay-As-You-Go Solar Systems in Rural Senegal Give Access to Electricity. News Article. Available from: https://www.irena.org/newsroom/articles/2016/Dec/Pay-As-You-GoSolar-Systems-in-Rural-Senegal-Give-Access-to-Electricity. Accessed 15 Mar 2021 IRENA (2020) SIDS Regional Energy Profiles. Available from: http://islands.irena.org/REProgress/Regional-Profiles. Accessed 15 Mar 2021 ITU (2019) Small Island developing states (SIDS) and ICTs Mid-term review of the Samoa Pathway. ITU Publications. Available from: https://www.itu.int/en/ITU-D/LDCs/Documents/ 2019/SIDS%26ICTS-Midterm-Review-Samoa-Pathway.pdf. Accessed 15 Mar 2021 Javadi FS, Rismanch B, Sarraf M et al (2013) Global policy of rural electrification. Renew Sust Energ Rev 19:402–416. https://doi.org/10.1016/j.rser.2012.11.053 Niles K, Lloyd B (2013) Small Island Developing States (SIDS) & energy aid: Impacts on the energy sector in the caribbean and pacific. Energy Sustain Dev 17:521–530. https://doi.org/10. 1016/j.esd.2013.07.004 Pachauri S, Brew-Hammond A, Barnes DF et al (2012) Energy Access for Development. Glob Energy Assess:1401–1458. https://doi.org/10.1017/cbo9780511793677.025 PowerForAll (2017) Decentralized renewables: from promise to progress. Available from: https:// www.powerforall.org/application/files/8815/3308/6524/Power-for-All-Decentralized-Renew ables-Promise-to-Progress-170328.pdf. Accessed 15 Mar 2021 Praene JP, Payet M, Bénard-Sora F (2018) Sustainable transition in small island developing states: Assessing the current situation. Util Policy 54:86–91. https://doi.org/10.1016/j.jup.2018.08.006 Prasad RD, Bansal RC, Raturi A (2017) A review of Fiji’s energy situation: Challenges and strategies as a small island developing state. Renew Sust Energ Rev 75:278–292. https://doi. org/10.1016/j.rser.2016.10.070 SEforAll (2020) Solar mini-grids set to play critical role in achieving universal electricity access with right policy support. Press Release Available from: https://www.seforall.org/press-releases/solarmini-grids-set-to-play-critical-role-in-achieving-universal-electricity-access. Accessed 15 Mar 2021 SPREP (2005) Financing mechanisms for renewable energy development in the pacific islands. Available from: http://prdrse4all.spc.int/system/files/financingmechanismsforredevelopment_ 000.pdf. Accessed 15 Mar 2021 Surroop D, Raghoo P (2018) Renewable energy to improve energy situation in African island states. https://doi.org/10.1016/j.rser.2018.02.024 Surroop D, Raghoo P, Bundhoo ZMA (2018) Comparison of energy systems in Small Island Developing States. Util Policy 54:46–54. https://doi.org/10.1016/j.jup.2018.07.006

70

D. Surroop and D. Jaggeshar

Teariki MA, Tiatia R, O’Sullivan K et al (2020) Beyond home: exploring energy poverty among youth in four diverse Pacific island states. Energy Res Soc Sci 70:101638. https://doi.org/10. 1016/j.erss.2020.101638 Timilsina GR, Shah KU (2016) Filling the gaps: policy supports and interventions for scaling up renewable energy development in Small Island Developing States. Energy Policy 98:653–662. https://doi.org/10.1016/j.enpol.2016.02.028 UN (2018) Accelerating SDG 7 achievement policy briefs in support of the first SDG 7 review at the UN high-level political forum 2018. Available from: https://www.un.org/ohrlls/sites/www.un. org.ohrlls/files/pb23_0.pdf. Accessed 15 Mar 2020 UN (2020) Affordable and clean energy: why it matters. Available from: https://www.un.org/ sustainabledevelopment/wp-content/uploads/2016/08/7_Why-It-Matters-2020.pdf. Accessed 15 Mar 2021 UNEP (2014) Emerging Issues for Small Island Developing States. Available from: https:// sustainabledevelopment.un.org/content/documents/2173emerging%20issues%20of% 20sids.pdf. Accessed 15 Mar 2021 UNESCAP (2016) Developing renewable energy in Pacific Small Island developing States. MPFD Policy Briefs. Available from: https://www.unescap.org/sites/default/files/MPFD%20Policy% 20Brief%20No42-Jun16.pdf. Accessed 15 Mar 2021 UNIDO (2020) A post-COVID-19 São Tomé and Príncipe: a sustainable future with renewable energy and energy efficiency. News Article Available from: https://www.unido.org/stories/postcovid-19-sao-tome-and-principe-sustainable-future-renewable-energy-and-energyefficiency#story-start. Accessed 15 Mar 2021 UNOHRLLS (2011) SMALL ISLAND DEVELOPING STATES: Small Islands Big(ger) Stakes. Available from: http://unohrlls.org/custom-content/uploads/2013/08/SIDS-Small-Islands-Big ger-Stakes.pdf. Accessed 15 Mar 2021 WHO (2017) Small Island Developing States Health and WHO. Country Presence Profile. Available from: https://apps.who.int/iris/bitstream/handle/10665/255804/WHO-CCU-17.08-eng.pdf; jsessionid¼E17FE1EBB0269CC50C87ED2B3A2299A1?sequence¼1. Accessed 15 Mar 2021 Williams NJ, Jaramillo P, Taneja J, Ustun TS (2015) Enabling private sector investment in microgrid-based rural electrification in developing countries: A review. Renew Sust Energ Rev 52:1268–1281. https://doi.org/10.1016/j.rser.2015.07.153 Wolf F, Surroop D, Singh A, Leal W (2016) Energy access and security strategies in Small Island Developing States. Energy Policy 98:663–673. https://doi.org/10.1016/j.enpol.2016.04.020 World Bank (2017) HAITI: Renewable Energy for All Project. Available from: http://documents1. worldbank.org/curated/en/606711509156039620/pdf/Haiti-Renewable-Energy-for-All-ProjectPAD-10052017.pdf. Accessed 15 Mar 2021 World Bank (2018) World development indicators. Available from: https://data.worldbank.org/ indicator. Accessed 15 Mar 2021 World Bank (2019) São Tomé and Principe: Beyond Connections - SÃO TOMÉ AND PRÍNCIPE Energy Access Diagnostic Report Based on the Multi-Tier Framework. Available from: https:// energydata.info/dataset/fcccab08-9bab-4cc0-b7a3-6808d429be9f/resource/6ea1f629-f8504b35-97c9-4cef49091e19/download/mtf_energy_access_country_diagnostic_report_stp_7. 2019.pdf. Accessed 15 Mar 2020

5

Future Food Production and Food Security Policy in Malaysia Nooriah Yusof

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Food Security: Concepts and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Food Security Policy in Malaysia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Food Production and Food Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Food Security and Challenges to Malaysia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

72 72 74 77 81 83 84

Abstract

Achieving food security means that all members of a population have adequate access to sufficient food to meet their dietary needs. Food is the most basic human requirement for healthy and active survival. Food security is important for a country because providing adequate food and a nutritious diet for the population is one of the key indicators of a country’s economic development. Food security has received a great deal of attention from governments in most countries in an effort to develop strategies and policies specifically related to food production. A sustainable food security and nutrition policy requires a comprehensive food policy. Food production and the agricultural sector play an important role in shaping food security and nutrition to sufficiently supply and satisfy the population’s needs. This chapter will discuss the development of agricultural and food production in Malaysia and to what extent the changes in government policies may affect food security in the future.

N. Yusof (*) Geography Section, School of Humanities, Universiti Sains Malaysia, Penang, Malaysia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_49

71

72

N. Yusof

Keywords

Food security · Agriculture policy · Food production · Self-Sufficiency Level · Malaysia

1

Introduction

Food security has become a major concern especially in developing countries experiencing increasing population growth rates while remaining poor countries. Access to quality and nutritious food is a fundamental necessity for human existence. Guaranteed access to food supply brings many positive effects including economic growth and job creation. Food insecurity was already on the rise and the emergence of the Covid-19 pandemic poses an additional threat to food systems. The United Nations in 2015 had already made a universal call for the Sustainable Development Goals (SDGs) that comprise 17 interlinked global goals designed to be a blueprint in order to achieve a better and more sustainable future for all. The United Nations stipulated tackling hunger, achieving food security, and improving nutritious food and promoting sustainable agriculture as the second goal in the Sustainable Development Goals (SDGs) for 2030. The SDG’s aims are to end all forms of hunger and malnutrition, to double agricultural productivity and income of small-scale food producers, to ensure sustainable food production, and to implement resilient agricultural practices that increase productivity and food production.

2

Food Security: Concepts and Definitions

Food security is a critical issue that requires immediate attention. Food is the most basic human requirement for healthy and active survival. According to the United States Economic Research Service (USDA) for Food Security Assessments, food insecurity affects 500 to 700 people in each of the 76 countries studied. It is estimated that 640 million people will be food insecure in 2017 (population without food security refers to those who consume less than the prescribed calories of about 2100 calories per day). Nonetheless, food security conditions vary from year to year due to changes in food prices and population per capita income. Sub-Saharan African countries were found to have the highest proportion of its population suffering from food insecurity, followed by Latin America and the Caribbean, and then Asia. Food security exists when all residents have physical and economic access to adequate, safe, and nutritious supply of food that can meet the food needs for an active and healthy lifestyle at all times. The World Food Submit (1996) recognizes the existence of food insecurity - to families, regions, and countries - as being closely related to the interdependence of physical, geographical, political, economic, and social factors. This has an impact on both economic development and individual income. Food security was defined by the World Food Conference in 1974 as

5

Future Food Production and Food Security Policy in Malaysia

73

ensuring the availability and price stability of basic food items at the national and international level (FAO 2006). In 1983, the Food and Agriculture Organization (FAO) examined food security in terms of access to food resources where there should be a balance between food supply and demand to ensure all populations have physical and economic access to basic food needs at all times. According to the World Bank Report (1986), poverty and hunger refers to the temporal dynamics of the problem of food insecurity. Chronic food insecurity is linked to long-term structural poverty and low income. This is exacerbated by the threat of natural disasters and economic collapse or conflict. Food security, in general, emphasizes the multidimensional aspect of food security, which includes access to food, food availability, food consumption, and stability. Food security is frequently incorporated into poverty eradication strategies with a focus on reducing or eliminating hunger and severe poverty. It is also closely related to the growth of the agricultural sector and rural areas. The importance of promoting sustainable agricultural development as a foundation for economic growth is emphasized, not only in economic terms but also in social and environmental terms. To ensure the stability of food security, attention must also be paid to increased productivity, access to agricultural resources and land, education, and higher labor wages. Figure 1 depicts the key concepts and definitions of the FAO’s Food Security dimensions. Food security is closely related to the food system, which is made up of various factors and interconnected activities that add value to the production, collection, processing, distribution, use, and disposal of agricultural, forestry, or

FOOD AVAILABILITY Adequate quantity of good quality food supplied through domestic production or imported (including food aid) FOOD UTILIZATION Utilization of food through adequate diet, clean water, sanitation and healthcare that achieves a quality of life that meets psychological needs.

FOOD SECURITY

ACCESS TO FOOD Access by individuals to adequate resources to meet nutritional needs (physical, economic and rights)

STABILITY Secure food supply, households/individuals need to have enough access to food at all times - there should be no risk of losing access to food. Sstability means able to withstand to the threat of disasters climate change) and the economy.

Fig. 1 Definition of food security by FAO. (Source: modified from FAO 2006)

74

N. Yusof

fisheries-derived food products The food system must also be viewed in the context of rapid population growth, urbanization processes, wealth growth, changing consumption patterns, and globalization, as well as climate change and natural resource depletion (FAO 2018). A sustainable food system can contribute to food and nutrition security for today’s population in the same way that sustainable economic, social, and environmental fundamentals can contribute to future generations’ food and nutrition security. Food security is important for a country because providing adequate food and a nutritious diet for the population is one of the key indicators of a country’s economic development.

3

Food Security Policy in Malaysia

Food security has received a great deal of attention from governments in most countries in an effort to develop strategies and policies specifically related to food production. In general, Malaysia is more secure in terms of food resources, with the majority of the main food supply available in sufficient quantities to meet market demands (Jomo et al. 2019). The development of food production and agricultural policies in Malaysia to ensure adequate food production, as well as the implications for economic development, has recently attracted attention. According to Mat et al., (2013), Malaysia has lacked a concrete and comprehensive policy since its inception. This has led to the assumption that the country does not have a specific policy related to food security. Furthermore, the government’s implementation of development policy beginning in the 1980s was unbalanced, with the agricultural sector, particularly food crops, being neglected. According to Rajah (2011), the transition to the industrial sector occurs quickly when rubber, oil palm, petroleum, and textiles, as well as electrical goods and electronics, are prioritized over food crops in the agricultural sector. The development of the agricultural sector is inextricably linked to food supply. The majority of government policies concerning food supply can be found in a variety of documents: the Malaysia Plan for every 5 years (1980), the National Agricultural Policy (1 to 4), the Food Security Policy (2008), and the New Malaysian Economic Model (Agriculture Sector) and National Agro-Food Policy (NAP) (2011–2020). Although many efforts and policies have been developed to improve the agricultural sector and food production, there are some critical issues associated with food security, as follows: (i) Change in government policy and emphasis away from the primary sector (agriculture, livestock, fisheries, and forestry) and toward the manufacturing industrial sector. The export-oriented industrial strategy has resulted in a significant change in the structure of the economy as well as the priority in the distribution of government expenditure. (ii) Increasing reliance on food imported from other countries. (iii) The agricultural sector’s level of research and development (R&D) is relatively slow and still low (especially in terms of seed variety production).

5

Future Food Production and Food Security Policy in Malaysia

75

(iv) Farmers’ poverty and high production costs, particularly in the rental of land and machinery. (v) Climate change issues, which can pose threats and risks to agriculture, have resulted in crop damage and destruction. These factors have an impact on output and the domestic food production system. Malaysia was a country that relied on the primary sector in its early development, but it is now one of the industrialized countries that can be considered as an emerging country. Economic diversification strategies implemented since the 1970s have resulted in significant changes. Prior to independence, the Federation of Malaya’s primary sector production pattern was to meet the needs and interests of the colonial state through the role of foreign-owned companies that controlled plantations and tin mines (Anuwar and Rasiah 1996). However, following independence, Malaysia began to intensify its industrial strategy, which has now become a national-focused activity to achieve the status of developed industrial nation by 2020. Agricultural development policy in the 1950s and 1960s aimed at assisting and increasing the income of farmers and smallholders involved in plantations such as rubber, coconut, oil palm, pineapple, and paddy, as well as fisheries. The government has provided substantial assistance, including infrastructure, economic and social services, land clearing by the Federal Land Development Authority, replanting of rubber, coconut, and pineapple, input subsidies, and price support, irrigation programs, and rural industries (Siwar and Hassan 2002). The emphasis in the Third Malaysia Plan (1976–80) and the Fourth Malaysia Plan (1981–85) was on introducing integrated agriculture as a way to overcome agricultural sector problems such as poverty and low production due to the small size of agricultural land. However, there was no comprehensive and specific policy for the entire agricultural sector until the 1980s (Siwar and Hassan 2002). The First National Agricultural Policy (NAP1) (1984–1991) was implemented in 1984 to provide guidelines to help identify problems in the agricultural sector and to formulate development efforts for all agricultural stakeholders. The NAP1 prioritizes commodity crops such as oil palm and cocoa. The formulation of NAP1 served as a foundation for the development of the agricultural sector concurrently with the Fifth Malaysia Plan (1986–1990), which aims to maximize agricultural income through the efficient use of resources. The government has invested heavily in infrastructure development, and has intensified situ farming development and the opening of new lands to plant two crops in order to develop the land and agricultural manpower. The Second Agriculture Policy (NAP2) (1992–2010) was later formulated to continue the efforts to accelerate the transformation of the agricultural sector into a modern, commercial, and sustainable sector where growth is driven by market forces and human resources (INTAN 1994). During this period, the goal of development is to increase the integration of the agricultural sector with other sectors, especially the manufacturing sector, to achieve a higher and more comprehensive development of the food industry. Plantation crops such as oil palm are receiving attention as the area under cultivation expands. The implementation of NAP2 was designed with the position of land constraints, an aging labor force, and low productivity in mind. As a

76

N. Yusof

result, efforts have been made to shift the focus of agricultural development toward the production of more high-value-added products (Abi Musa, 2004). The Third Agricultural Policy (NAP3) (1998–2010) was developed to address the shortcomings of previous policies, as well as Malaysia’s currency crisis and economic downturn. Malaysia had an RM4.3 billion deficit in its food trade balance at the time. If the government does not take action to address the problems, the deficit will continue to rise. This entails efforts to maximize the agricultural sector’s contribution to Gross Domestic Product (GDP) and export earnings, and to improve the socio-economic status of farmers, ranchers, and fishermen. NAP3 has the following specific goals: (i) Improve food security by upgrading production quality to ensure a sufficient food supply to meet the needs of the population. (ii) Improve integration or linkages with other sectors to allow agricultural products to be more effectively marketed. (iii) Increase the agricultural sector’s productivity and competitiveness for a more sustainable development. (iv) Develop new sources of growth to ensure the agricultural sector’s development in tandem with the rest of Malaysia’s economic sectors. The National Food Security Plan (NAP3) was developed in 2008 in response to the global food crisis, and a total of RM3 billion has been allocated to increase the output and productivity of the agro-food sector to achieve self-sufficiency (SSL). Apart from producing a sufficient supply of safe and high-quality food resources for the population’s needs, it also encourages entrepreneurship in the agricultural sector. Agricultural policy will continue to play an important role in the growth of the agricultural sector by expanding and intensifying agricultural use. To achieve the objectives outlined in the National Agricultural Policy, new strategies, approaches, and actions are required to increase the agricultural sector’s growth and contribution to the national economy. As a result, NAP3 has introduced two new approaches: (i) Forestry Approach (agroforestry), which combines two complementary activities, namely agriculture and forestry. This will allow for cost savings in terms of land use while also increasing income generation potential. Outputs can also help to promote agricultural industries. (ii) Product-based approach in which product production is identified based on demand, market potential, and consumer preferences to develop upstream agricultural production strategies comparable to other industries, to encourage the production of high-quality and high-value products, as well as the production of a variety of products and value-added products to meet the needs of the local and international markets. The cultivation of cocoa, rubber, paddy, and coconut is expected to decline significantly, and most likely will be replaced by agroforestry, oil palm, fruits, and vegetables. The government is working to ensure that the food sub-sector can

5

Future Food Production and Food Security Policy in Malaysia

77

overcome resource supply problems while also strengthening the sub-economic sector’s foundations. The National Agro-Food Policy (2011–2020) was created to replace the NAP3, which expired in 2010. The goal is to accelerate the transformation of the agro-food industry into a more modern and dynamic industry with the aim of ensuring food supply, making the agro-food industry competitive and sustainable, and raising the target group’s income level. This is in line with the government’s efforts to ensure adequate and safe food supply for the people, as well as to increase the contribution of agro-entrepreneurs to national income. The agriculture sector has evolved from a sector focused on a few key industrial commodities to one focused on the development of a variety of commodities, particularly the agro-food industry and the expansion of agro-based processing activities. The National Agro-Food Policy will focus on increasing the agro-food industry’s efficiency along the value chain so that it becomes more productive, competitive, and knowledge-intensive (Ministry of Agriculture and Agro-based Industry Malaysia 2011). Meanwhile, the National Agro-Food Policy 2 will be implemented in 2021, with a focus on the modernization of the agro-food sector and to achieve a balance between food supply and demand in accordance with the challenges of the Fourth Industrial Revolution (4IR) and the 2030 Sustainable Development Goals. The agricultural sector is important in Malaysia from three perspectives: as a major contributor to the national economy, as a strategy for poverty eradication, and as a sector that produces the primary source of food needed by the people of this country. In order to achieve these three goals, agriculture plays an important role as an agent of economic and national development (Fatimah 2007). Agriculture and agro-based industries must undergo transformation to become more modern, dynamic, and competitive. Because of the process of industrialization and economic transformation, the importance of these primary sectors (agriculture, livestock, fisheries, and forestry) to the national economy has decreased. However, the primary sector, particularly the agricultural sector, which produces food resources, remains critical, especially for food security, rural employment, and poverty eradication. The decline in the contribution of the primary sector to the economy of a country undergoing transformation to an industrial country is a universal and unavoidable phenomenon. However, the agricultural sector requires reform in terms of strategy, institutions, finance, and technology so that this sector can continue to contribute to the national economy, ensure food supply to the population, and be more competitive in the global market.

4

Food Production and Food Security

Malaysia is no longer a country whose economy is based principally on the primary sector. Malaysia is currently more focused on the industrial and services sectors, which have surpassed agriculture as the largest contributor to the economy. Malaysia’s crop-mixing agricultural sector transitioned from a high reliance on rubber in the 1970s and 1980s to oil palm after the 1990s. Changes to oil palm crops have also reduced industrial crops and other food crops (Fatimah et al. 2020).

78 Table 1 Contribution of the agriculture sector to GDP (%)

N. Yusof

Year 1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015 2016 2017 2018

GDP 38.0 31.5 30.0 27.7 23.6 20.8 18.6 10.3 8.7 7.0 2.5 8.2 8.1 8.2 7.3

Source: Nooriah (2006) and Department of Statistics Malaysia, Economic Report (various years)

To achieve economies of scale and competitiveness, the government has shifted rubber, cocoa, and oil palm cultivation areas to commercial production. Although the agricultural sector as a whole showed progress, with a good increase in the production of some export crops such as oil palm, the agricultural sector’s performance continued to decline in terms of GDP contribution, export earnings, and employment. Table 1 shows the agricultural sector’s contribution to GDP (in % terms) from 1960 to 2018. The agricultural sector’s relative importance has declined in terms of its contribution to GDP, exports, and employment. Its GDP contribution decreased from 8.9% in 2007 to 8.2% in 2017 and 7.3% in 2018. Agricultural exports fell from RM126,587 million in 2017 to RM114, 451 million in 2018. Production of food from the agricultural sector can be classified into fruits and vegetables, cereals (paddy), dairy products (eggs and milk), meat (cattle, goats, and pigs), and poultry and fishery products. Food availability refers to the total supply of domestically produced and imported food. In Malaysia, almost all major food crops can be obtained in sufficient quantities to meet market demand. Fruit and vegetable production is increasing, while paddy production shortages are being addressed through imports. However, Malaysia still has a low Self-Sufficiency Level (SSL) for basic foods such as rice, beef, mutton, milk, and some vegetables and fruits such as chili, mango, and coconut. This food source had to be imported from other countries. Table 2 shows the agricultural sector’s production of food commodities for export and import; it was discovered that imports of food commodities exceeded exports (Ministry of Agricultural Malaysia, 2015, 2018 and 2019). Table 3 shows the food production rate from 1995 to 2015. Self-Sufficiency Level (SSL) is commonly used as an index to indicate the level of food security. According to the FAO (2015), the concept of SSL generally refers to a country’s ability to meet its own food needs through domestic production.

5

Future Food Production and Food Security Policy in Malaysia

79

Table 2 Exports and imports in the agriculture sector (RM’000) Year 2010 2011 2012 2013 2014 2015 2016 2017 2018

Exports 18,098,521 20,493,695 20,619,560 22,029,768 25,583,041 27,310,759 30,152,117 31,756.519 31,496,493

Imports 30,191,138 34,450,045 36,050,943 38,800,175 42,596,664 45,318,661 46,745,256 51,266,101 50,147,886

Balance of payment 12,092,617 13,956,350 15,431,383 16,770,407 17,013,623 18,007,902 16,593,139 19,509,582 18,651,393

% of agricultural sector imports 46.7 44.4 45.6 51.6 54.9 46.8 44.4 53.8 53.7

Source: Modified data from the Department of Agriculture Malaysia, 2015, 2018, and 2019 Table 3 Production of agricultural commodities (foodstuffs), 1995–2015 (‘000 tons)

Production Paddy Vegetables Fruits Beef Goat meat Poultry Pork Eggs Milk

1995 1241 718 1020 17 1 687 283 6242 37

2000 1454 404 993 18 1 714 160 399 30

2005 1575 771 1587 29 2 980 209 443 41

2010 2071 1133 2556 45 2 1295 241 600 68

2015 2723.2 1587.0 1750.0 50.1 4.4 1572.8 215.8 775.1 76

Source: Economic Planning Unit (EPU) and Ministry of Agriculture (MOA) (various years)

Malaysia is a net importer of food commodities, accounting for one-quarter of the country’s food supply (Bank Negara Malaysia 2019). In reality, Malaysia produces enough food commodities to meet domestic needs; however, there are some types of food for which SSL is still low, necessitating imports (Table 4). Most countries, for example Thailand, Vietnam, and Cambodia, prioritize food SSL to boost the agricultural sector, support economic growth, and develop economic activity and income in rural areas. Rice is a staple food for Malaysians of all races, with the average Malaysian consuming 80 kg of rice per year in 2016. Unfortunately, only 67% of Malaysia’s 2.7 million metric tons of rice is produced locally, with the remainder imported from other countries. According to the Ministry of Agriculture and Agro-based Industry, 200,000 metric tons of rice are imported from countries such as Vietnam, Thailand, Pakistan, Myanmar, India, and Cambodia to ensure that the country’s monthly rice needs are met. Table 5 shows the level of self-sufficiency in national paddy production. Based on the data, it is clear that, while the agricultural sector is experiencing production growth, its reliance on food imports is also quite high. Furthermore, paddy, the main food crop, had a lower SSL of 65% during the 11th Malaysia Plan period. Malaysia produced only 1.8 million tons of rice with an average growth rate

2010 90.0 138.0 108.0 28.0 10.0 122.0 114.6 115.0

2011 72.0 59.9 58.4 29.2 15.3 130.1 94.6 115.4

2012 71.7 57.8 58.6 28.3 19.0 104.9 96.7 118.2

2013 71.1 55.2 83.7 25.7 15.5 104.9 96.9 119.4

2014 71.6 56.0 81.3 25.3 12.7 104.3 95.7 113.8

2015 71.5 80.6 52.4 24.0 11.4 98.5 93.7 112.3

2016 72.3 79.1 51.5 25.1 11.8 98.0 92.6 114.2

Source: Department of Agriculture Malaysia, Department of Statistics and Department of Veterinary (various years)

Products Rice Fruits Vegetables Beef Goat meat Chicken-duck Pork Eggs

Table 4 Self-Sufficiency Level (SSL) of food production in Malaysia (%) 2017 70.3 77.5 46.6 25.5 10.7 98.2 92.1 113.7

2018 70.0 78.4 44.6 23.9 11.2 98.1 91.9 114.6

2019 69.0 79.0 45.0 23.7 12.1 98.2 93.2 113.6

80 N. Yusof

5

Future Food Production and Food Security Policy in Malaysia

81

Table 5 Self-Sufficiency Level (SSL) of paddy production National Plan First Malaysia Plan Second Malaysia Plan Third Malaysia Plan Fourth Malaysia Plan Fifth Malaysia Plan Sixth Malaysia Plan Seventh Malaysia Plan Eighth Malaysia Plan Ninth Malaysia Plan Food Security Policy Tenth Malaysia Plan Eleventh Malaysia Plan

Duration 1966–1970 1971–1975 1976–1980 1981–1985 1986–1990 1991–1995 1996–2000 2001–2005 2006–2010 2008 2011–2015 2016–2020

Target (%) n.a n.a 90.0 65.0 65.0 65.0 65.0 65.0 90.0 80.0 90.0 100.0

Achievement (%) 80.0 87.0 92.0 76.5 75.0 76.3 71.0 71.0 72.0 72.0 65.0 65.0

Source: Economic Planning Unit (EPU) and Ministry of Agriculture (MOA) (various years) and Fatimah (2010)

of 1.62% between 2000 and 2016, compared to consumption of 2.7 million tons with an average growth rate of 1.75% (Sarena et al. 2019). However, while other countries in the region have increased rice production, Malaysia’s rice production has remained constant since 1990. In comparison, Malaysia’s SSL is at 60–70%, which is lower than that of other ASEAN countries.

5

Food Security and Challenges to Malaysia

To achieve the agenda of improving Malaysia’s food security and generating higher income for agricultural farmers, the sub-sector of food agriculture will remain the primary focus in the agriculture sector. The issue of food security needs to be addressed as government policy shifts away from agriculture-based countries and toward industrial countries, with the assumption that industrial activities are seen to be more capable of generating higher GDP income as well as job opportunities for the population. Because of the shift to export-oriented industries, this manufacturing sector has become an important contributor to the country’s exports. Unfortunately, the shift in government policy from emphasizing the importance of the agricultural sector to the industrial sector had an impact on agricultural food resource production. Industrial crops were given attention as agriculture production began to shift away from food crops and toward industrial crops such as oil palm, rubber, and cocoa. In this regard, the issue of food security, which is closely related to the agricultural sector, should be viewed from a perspective other than commercial profits through increased agricultural product exports, but more importantly in terms of meeting social needs, such as ensuring adequate food supply for the population. Furthermore, because rice is the population’s staple food, reliance on imports of the main food supply (rice) must be prioritized. Even though access to food is not a major issue in

82

N. Yusof

this country due to the availability of good processing methods, transportation, and storage systems, as well as orderly distribution, Malaysia still faces food security issues. Although Malaysia is generally food secure at national level, food insecurities do exist at the household level. Malaysia still depends on rice imported from foreign countries for domestic consumption mainly because arable land use for rice production has been decreasing over the years. The population of Malaysia is projected to reach approximately 41.5 million by 2040 (DOSM 2016). Therefore, it is crucial for Malaysia to establish food security for its people in the future. Malaysia is capable of boosting its food security by transforming its current food production into a modern, competitive, and commercially vibrant sector. According to the Global Food Security Index 2019, Malaysia has improved in terms of food security, ranking 28th in 2019 versus 48th in 2018 (Global Food Security Index n.d). In general, Malaysia ranked 28th in terms of affordability, 26th in terms of availability, and 26th in terms of quality and safety indicators. Nonetheless, the spread of the COVID-19 pandemic has heightened concern about food security. This is due to the country’s reliance on food imports being greater than its reliance on exports. Furthermore, the country’s inability to produce adequate rice supplies, as well as its reliance on imports of raw material resources and protein requirements, puts its food security position in jeopardy (Hashim and Abdul, 2020). When the WHO issued a warning about the possibility of a food crisis as a result of the COVID-19 pandemic, some countries imposed food export restrictions. Apart from rice, which has a low subsistence rate (SSL), production of other food products such as fresh milk (59.3%), beef (23.7%), and mutton (12.2%) is also low, with the majority of these being imported in 2019. The issue of rice is frequently raised by the government because it is closely related to the issue of food security, despite the fact that the rice industry contributes only a small percentage of GDP. Changes in land use from food crop farming activities to other crops, as well as commercial use, can have an impact on food production. Agricultural land for agrofood industry production is expected to decrease from 922,200 hectares in 2010 to 840,700 hectares in 2020 due to land conversion to industrial crops such as oil palm as well as for commercial development such as housing and industrial areas (Yap Gin Bee, 2019). Earlier this year (2020), a severe drought affected paddy cultivation in Peninsular Malaysia’s northern region, affecting at least 100,000 hectares of paddy areas, including three main areas in Penang, namely MADA (Muda Agricultural Development Authority), KADA (Kemubu Agricultural Development Authority), and IADA (Integrated Agricultural Development Authority) (Ahmad Ashraf Shahrudin 2020). Climate change has the potential to jeopardize food security as well as the well-being of people who rely on agriculture as a source of income. If the current situation persists, Malaysia may be unable to ensure a continuous supply of food to its people and will most likely face a food crisis in the future. Low-income rural communities will be more vulnerable to the food crisis due to larger family sizes, many school children, and unemployed mothers, all of which will make it difficult for these communities to bear the cost of food. As a result, while Malaysia is not experiencing food shortages, it is feared that a subset of the population will face food security threats. Food insecurity has always been

5

Future Food Production and Food Security Policy in Malaysia

83

associated with poverty and undesirable health outcomes. Due to resource constraints, about 25% or one in four Malaysian households have experienced food variety insufficiency and quantity insufficiency (Mohamad Hasnan et al. 2020). A low-income household spends larger shares of their income on food, and a greater increase in food prices is likely to have more adverse impacts on them. Food availability does not ensure affordable access for all Malaysians (Sundaram et al. 2019). Food security should also be oriented to address food affordability and malnutrition to ensure future sustainability in food production and consumption. Although Malaysia is not presently in a food crisis, having varieties of food has become less affordable for Malaysians in general. To achieve the agenda of improving food security in Malaysia and generating higher income for the agriculture sector, the agro-food sub-sector must be given priority in the agriculture sector. In bringing the rice industry to a modern, efficient, sustainable, and competitive level, government policies have mainly focused on the eradication of poverty and sectorial growth (Ministry of Agricultural 2016). Integrated farming is included in the policy to alleviate food security issues in Malaysia, while at the same time to reduce poverty among farmers (Shamsudin Ismail 2019). The need for intensification of agriculture due to increasingly limited arable land is expanding parallel with population growth. Increasing intensification has continuously been placing pressure on natural resources. Future policies should not only be heavily based on food and agriculture but should also address nutrition, rural development, environment, and healthy living. The agricultural sector should not just go beyond its basic functions but should be able to enhance resources conservations. The food production system encompasses not only the agricultural sector, but also the food supply chain, support activities, and delivery services. Apart from intensifying Research and Development (R&D) activities in the production of seed varieties that can increase production yields, technological knowledge and skills are required to overcome the problem of high production costs in the agricultural sector. Simultaneously, it is crucial to also promote good standards and practices, as well as more efficient management in agricultural activities. The Agriculture National Key Economic Area (NKEA) will focus on sub-sectors that have great growth potential, which will aid Malaysia in participating in the growing global market. Simultaneously, focus will be given to strategic sub-sectors within efforts to secure the food supply of the nation. To safeguard a better future, Malaysia should be attentive to its food production, consumption patterns, and food security index in the most serious way.

6

Conclusion

Food security is an important issue that must be addressed. Although Malaysia does not have a problem with food supply and demand in the market, it has been discovered that Malaysia is heavily reliant on food imports. Reliance on food imports could expose the country to risk in the event of a shock or catastrophic

84

N. Yusof

threat, such as a natural disaster or an economic crisis. Food security is inextricably linked to the agricultural sector, and this is a critical issue that must be prioritized because weaknesses in the agricultural sector contribute to the level of national food security. However, it can be seen that the government has sought to transform the agricultural sector through a variety of policies ranging from Agricultural Policy 1 (NAP1) to the National Agro-Food Policy in order to increase productivity and competitiveness to ensure that the level of food security is adequate. This is also to ensure that the food system can meet the population’s nutritional and health needs in the future.

References Abi Musa Mohamed Noor (2004) Transformation in the agricultural sector and agro -based industries. Paper presented at the agriculture and agro-based industry sector direction conference 12–13 August 2004, Palace of Golden Horses Hotel, Selangor Organized by the Ministry of Agriculture and Agro-based Industry Malaysia Ahmad Ashraf Shaharudin (2020) Climate crisis: a persistent threat to food security. Khazanah Research Institute, Kuala Lumpur Ali A, Rasiah R (1996) Perindustrian dan Pembangunan Ekonomi di Malaysia. Dewan Bahasa dan Pustaka, Kuala Lumpur Arshad FM (2007) The agricultural development path in Malaysia. Dlm. Fatimah Mohamed Arshad, Nik Mustapha Raja Abdullah, Kaur, B. & Amin Mahir Abdullah (Pnyt). 50 years of Malaysian agriculture: transformational Issues, challenges and direction. Hlm. 3–46. Universiti Putra Malaysia Press, Serdang, Selangor Arshad FM, Kusairi MN, Bach NL, Illisriyan I, Abdulla I, Gregory HWS, Siti Aiysyah T, Ahmad AS (2020) System dynamics model of paddy and rice sector. Khazanah Research Institute, Kuala Lumpur Bank Negara Malaysia (2019) Food imports and the exchange rate: more than meets the eye. Quarterly Bulletin. Bank Negara Malaysia. https://www.bnm.gov.my/files/publication/qb/2019/ Q3/p3ba.pdf Department of Statistics Malaysia (DOSM) (2016) Population projection (revised), Malaysia 2010–2040. Press release. Department of Statistics Malaysia, Putrajaya FAO (2006) Policy brief. Issue 2. Published by FAO’s Agriculture and Development Economics Division (ESA) with support from the FAO Netherlands Partnership Programme (FNPP) and the EC-FAO Food Security Programme. http://www.fao.org/fileadmin/templates/faoitaly/docu ments/pdf/pdf_Food_Security_Cocept_Note.pdf FAO (2015) The state of agricultural commodity markets 2015–16. Technical note by Jennifer Clapp. Dicapai di. http://www.fao.org/3/a-i5222e.pdf FAO (2018) Sustainable food systems concept and framework, Rome. http://www.fao.org/3/ ca2079en/CA2079EN.pdf Global Food Security Index. (n.d). https://foodsecurityindex.eiu.com/Country/Details#Malaysia Hashim R, Abdul Hamid NK (2020) Tackling food insecurity in the midst of food security https:// www.nst.com.my/opinion/columnists/2020/05/592533/tackling-food-insecurity-midst-foodsecurity Mat B, Othman Z, Ramli R (2013) Isu dan cabatan pelaksanaan Dasar Sekuriti Makanan di Malaysia, 1981–2012. Jurnal KINABALU 19(2013):29–52 Ministry of Agricultural Malaysia (2011) Dasar Agromakanan 2011–2020. Penerbitan Watan, Sdn Bhd, Putrajaya

5

Future Food Production and Food Security Policy in Malaysia

85

Ministry of Agricultural Malaysia (2016) Pelan Strategik Jabatan Pertanian (2016–2020). http:// www.doa.gov.my/index/resources/aktiviti_sumber/sumber_awam/penerbitan/pelan_strategik_ doa_2016_2020.pdf Ministry of Agricultural Malaysia (2018) Statistik Tanaman (sub sektor Tanaman Makanan) 2018. http://www.doa.gov.my/index/resources/aktiviti_sumber/sumber_awam/maklumat_pertanian/ perangkaan_tanaman/booklet_statistik_tanaman_2018.pdf Ministry of Agricultural Malaysia (2019) Statistik Tanaman (sub sektor Tanaman Makanan) 2019. http://www.doa.gov.my/index/resources/aktiviti_sumber/sumber_awam/maklumat_pertanian/ perangkaan_tanaman/booklet_statistik_tanaman_2019.pdf Ministry of Agriculture Malaysia (2015) Statistik Tanaman (sub sektor Tanaman Makanan) 2015. http://www.doa.gov.my/index/resources/aktiviti_sumber/sumber_awam/maklumat_pertanian/ perangkaan_tanaman/booklet_statistik_tanaman_2015.pdf Mohamad Hasnan A et al (2020) Food security situation in Malaysia: findings from Malaysian Adult Nutrition Survey (MANS) 2014. Malaysian J Public Health Med 20(1):167–174 Rasiah R (2011) Industrial policy and industrialization. In: Rasiah R (ed) Dalam Malaysian economy: unfolding growth and social change. Oxford Fajar Sdn. Bhd, Shah Alam Shamsuddin Ismail (2019) Dasar Semasa Industi Padi Negara http://www.mada.gov.my/wpcontent/uploads/2019/09/EN.-SHAMSUDDDIN-BIN-ISMAIL.pdf Siwar C, Hassan SK (2002) Ekonomi Malaysia (Edisi Kelima). Longman, Petaling Jaya, Selangor Sundaram JK, Gen TZ, Khalidi JR (2019) Achieving food security for all Malaysians. Khazanah Research Institute, Kuala Lumpur World Bank (1986) Poverty and hunger: issues and options for food security in developing countries. World Bank, Washington, DC World Food Summit (1996) Report of the world food summit, 13–17. Food and Agriculture Organization of the United Nations, Rome. http://www.fao.org/3/w3548e/w3548e00. htm#doc09 Yap Gin Bee (2019) Food supply chain in Malaysia: review of agriculture policies, public institution set-up and food regulations. Khazanah Research Institute, Kuala Lumpur Yusof N (2006) Kualiti sumber buruh dan kelebihan daya saing Zon Perindustrian Bayan Lepas, Pulau Pinang: Kajian kes sektor industri Barangan Elektrik dan Elektronik. Tesis PhD. (tidak diterbitkan). Bangi: Universiti Kebangsaan Malaysia

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods A Review of Selected Paddy and Rice Policies in Malaysia R. B. Radin Firdaus and Siti Rahyla Rahmat

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 2 Paddy and Rice Policies to Ensure Food Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 2.1 Self-Sufficiency Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 2.2 Pricing Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 2.3 Stockpile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 2.4 Entry Point Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 3 Paddy and Rice Policies in Improving the Livelihood of Farmers . . . . . . . . . . . . . . . . . . . . . . . . 95 3.1 Setting up Various Government Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 3.2 Setting a Guaranteed Minimum Price . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 3.3 Providing Various Incentives and Subsidies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 4 The Intervention Policy and Its Dilemmas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

Abstract

Rice is considered one of the most important commodities in the food subsector due to its strategic importance to Malaysia’s food security and farmers’ livelihoods. A close-knit relationship between paddy cultivation and the traditions of Malay people in villages arose from British colonial economic policies. Since then, the paddy sector in Malaysia has continued to be protected through government intervention aimed at ensuring stability and increased production. Apart from investing in physical infrastructure under agricultural modernization programs, the government also oversees various development agendas through multiple government agencies. This chapter attempts to review selected policies and intervention strategies in the paddy and rice sector. The study was qualitative and the discussion was based on a review of academic publications, policy documents, and publications from reputable agencies. In general, the R. B. Radin Firdaus (*) · S. R. Rahmat School of Social Sciences, Universiti Sains Malaysia, Gelugor, Malaysia e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_50

87

88

R. B. Radin Firdaus and S. R. Rahmat

government’s policy interventions through various forms of protection, support, and incentives have been able to retain the interest of paddy farmers to cultivate rice crops. Furthermore, these development and modernization programs have also succeeded in reducing the rate of poverty among farmers and lifting them into a higher income trajectory. However, future policy interventions should not be skewed towards the aim of improving farmers’ income alone. Instead, they should also balance this with a focus on promoting sustainable agronomy practices or sustainable agriculture, which is considered important in the era of the Sustainable Development Goals (SDGs). Keywords

Food security · Paddy · Rice · Farmers’ livelihoods · Policy · Malaysia

1

Introduction

In Malaysia, the agricultural sector is categorized into three main subsectors: agroindustrial, agri-food, and others. Paddy (Paddy refers to unmilled rice) and rice are among the most vital commodities in the agri-food subsector due to their strategic importance in terms of food security and socioeconomic factors. In fact, as a result of British Colonial economic policy, there was once a close cultural connection between the traditional way of life, the socioeconomic structure of Malay villagers, and the production of rice (Pletcher 1990). The cultivation of paddy in Malaysia is generally divided into wetland and upland paddy. Wetland paddy, mainly planted in Peninsular Malaysia, represents over 85% of the country’s rice production. Upland paddy, a variety of paddy planted on dry land, is very popular in Sabah and Sarawak (East Malaysia). Ever since the British colonization, wetland paddy has always been granted special attention due to its more productive and sustainable nature when compared to upland paddy. This is attributed to its capacity to consume far fewer nutrients, which enables it to be cultivated twice per year. The main double-cropping areas in Malaysia contain 12 granaries that have been specially designated as permanent wetland paddy plant fields by the government (refer to Table 1). When the designation plan took effect, the traditional transplanting technique was replaced by the direct seeding technique. Currently, most of the programs, support, and interventions by the government – as well as research and development (R&D) in the paddy sector – are concentrated in these areas. Integrated Agriculture Development Area (IADA) Kalaka Saribas Betong and IADA Samarahan in Sarawak, as well as IADA Pekan and IADA Rompin in Pahang, were four new IADAs that were executed in phases as part of a project that ran from 2015 to 2020. Except in countries such as the United States of America, Australia, Southern Europe, and some South American countries, paddy is mostly cultivated on a small scale around the world (Firdaus 2015). This is also the case in Malaysia, where

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

89

Table 1 Main granary areas in Malaysia State Kedah and Perlis Kelantan Terengganu Pulau Pinang Perak Selangor Pahang Sarawak

Granary area/authority Muda Agriculture Development Authority (MADA) Kemubu Agricultural Development Authority (KADA) Integrated Agricultural Development Area (IADA) Kemasin Semerak Northern Terengganu Integrated Agricultural Development Area (KETARA) IADA Pulau Pinang IADA Krian Sg. Manik IADA Seberang Perak IADA Barat Laut Selangor IADA Pekan IADA Rompin IADA Samarahan IADA Kalaka Saribas Betong

paddy is mostly planted by small-scale farmers with average plot sizes of less than two hectares (Abdullah 2007; Terano and Mohamed 2011). Notably, paddy cultivation in Malaysia involves approximately 332,000 farmers (MADA 2019). The small areas of these plots affect their efficiency in terms of productivity, production cost, and economic scale, which ultimately makes it difficult to advance the country’s paddy sector to attain a 100% self-sufficiency level (SSL) (Firdaus et al. 2017). There is also a possibility that this consideration resulted in a more realistic approach being taken in the first National Agricultural Policy (NAP) (1984–1991), which set the SSL at approximately 65%. To reach this target, paddy farming was focused on several selected areas and involved initiatives such as the introduction of high-yielding varieties (HYV), improvement of irrigation and drainage, and application of modern agricultural practices that enabled double cropping. Even before the first NAP, various policies and intervention strategies had been implemented by the government to sustain the paddy and rice sectors, which were particularly aimed at the survival of farmers and national food security. In Malaysia, rice is considered the most important cereal crop in the food subsector for two reasons. Firstly, rice is the staple food for the majority of the population. On average, Malaysian adults consume 2.5 plates of white rice per day (Kasim et al. 2018). Secondly, for the paddy farming community, this crop provides the primary source of income and livelihood, particularly for small farmers and landless agricultural workers. Approximately 40% of the farmers depend solely on paddy cultivation. Thus, Malaysia’s paddy and rice policies are mainly formulated to achieve three objectives (i.e., to promote equitable income for farmers while ensuring price stability and supply security for consumers). In general, rice security predominantly reflects national food security since achieving rice self-sufficiency is a crucial factor in promoting food security at the national level (Bishwajit et al. 2013; Rajamoorthy et al. 2015). Therefore, the purpose of this chapter was to discuss selected policies and intervention strategies implemented by the government to

90

R. B. Radin Firdaus and S. R. Rahmat

protect paddy farmers and guarantee stability of rice production and productivity at the national level. The present study was qualitative and involved a narrative literature review with carefully selected publications that were largely published within the last 30 years. In general, the review and discussion lean on various forms of publications, which can be categorized into academic publications, policy documents, and other publications from reputable organizations. In total, this chapter reviewed 36 academic publications, 6 policy documents, and 10 reports and publications from reputable organizations. Multiple search terms were used, including paddy, rice, agriculture, policy, subsidy, food security and SSL, among others. The academic publications considered in this review were retrieved through online databases such as Elsevier, JSTOR, Springer, Taylor & Francis, Google Scholar, and Kopernio. The discussion in this chapter is divided into three sections. The next section reviews multiple policies in the paddy and rice sectors relating to food security. The second section looks into the policies involved in improving the livelihoods of paddy farmers. This is followed by a discussion on the dilemma arising from the government’s intervention policy. This chapter ends with a conclusion of the overall review and discussion.

2

Paddy and Rice Policies to Ensure Food Security

As per the definition, “food security exists when all people, at all times, have physical and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life” (World Food Summit 1996). Conceptually, food security encompasses four main dimensions, which include food availability, food accessibility, food utilization, and food stability (Food and Agriculture Organization (FAO) 2006). Food availability means that sufficient and appropriate food quantities are available where people have accessibility to food domestically or through local markets or food aid. In contrast, people utilize food based on sociocultural, healthcare, nutritional and sanitation parameters. Stability refers to the availability, accessibility, and utilization of appropriate food without hindrance or shortages (Asian Development Bank 2019; FAO 2008). The ultimate purpose of the paddy and rice policy in Malaysia is to guarantee the nation’s food security. Additionally, it aims to ensure a stable price for rice and encourages the equitable distribution of income for farmers, particularly smallholders. Various policies have been designed and implemented to achieve the aforementioned objectives, which include:

2.1

Self-Sufficiency Level

According to the FAO (1999), the concepts of food security and food self-sufficiency differ based on two underlying principles: “Firstly, food self-sufficiency looks only at national production as the sole source of supply, while food security takes into

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

91

account commercial imports and food aid as possible sources of commodity supply; and secondly food self-sufficiency refers only to domestically produced food availability at the national level, while food security brings in elements of stability of supply and access to food by the population.” Thus, the concept of food selfsufficiency can be defined as “the extent to which a country can satisfy its food needs from its own domestic production” (FAO 1999). For Malaysia, the national SSL agenda is generally focused on rice since it is the staple food for most Malaysians. Therefore, it comes as no surprise that the government believes that rice security largely determines overall food security, which has made the self-sufficiency or self-sufficiency ratio (SSR) (SSR ¼ production  100/(production  imports þ exports)) of rice production a major focus of national agricultural policies (Lian 2009; Rajamoorthy et al. 2015). Various policies have been planned and executed to attain the food sufficiency goal (Firdaus et al. 2020). In fact, achieving rice SSL targets has been institutionalized in every 5-year Malaysia Plan (see Table 2). However, the determination of the government in achieving food security was put to the test during a food crisis in 2008, which began as a result of the fuel crisis and became increasingly critical due to the onset of the financial crisis in the same year (Firdaus et al. 2015). As a consequence of this crisis, the government was forced to re-evaluate and reorganize both existing and future economic policies so that a high degree of priority was given to the development of the agriculture sector and food security. In the Tenth Malaysia Plan (tenth MP) (2011–2015), the government continued its progressive initiatives aimed at strengthening the paddy sector. The key focus was placed on investment in R&D as well as improving existing infrastructure to ensure that rice production can be increased beyond the 70% SSL target. Then, the government announced a National Agrofood Policy, which was a 10-year policy (2011–2020) that replaced the NAP. The focus of the new policy was concentrated on safeguarding the nation’s food security while improving the income of farmers and agricultural entrepreneurs. For this purpose, the government allocated a total of Table 2 Malaysia’s rice self-sufficiency level in 5-year national plans (*target SSL) Five-year national plan First Malaysia Plan (1966–1970) Second Malaysia Plan (1971–1975) Third Malaysia Plan (1976–1980) Fourth Malaysia Plan (1981–1985) Fifth Malaysia Plan (1986–1990) Sixth Malaysia Plan (1991–1995) Seventh Malaysia Plan (1996–2000) Eight Malaysia Plan (2001–2005) Ninth Malaysia Plan (2006–2010) Tenth Malaysia Plan (2011–2015) Eleventh Malaysia Plan (2016–2020)

Self-sufficiency level (SSL) (%) 80.0 87.0 92.0 76.5 75.0 76.3 71.0 71.0 72.0 71.4 *100.0

Source: Arshad et al. (2010) and Government of Malaysia (2015)

92

R. B. Radin Firdaus and S. R. Rahmat

RM 3.8 billion for the development of the agriculture sector in the 2011 Budget, with RM 235 million allocated to upgrade the irrigation and drainage system to enhance productivity in granary areas (Ministry of Finance 2010). In the 2020 Budget, the total amount allocated to the agriculture sector had increased by nearly 1.3 times when compared to 2011. Under the first NAP, the government lowered the SSL target to 65% despite the target being 90% below the Third Malaysia Plan. This much lower target was set based on the government’s view that it would be less costly for Malaysia to import rather than produce the crop in the country’s arable lands. This was due to high production costs and favorable rice trade agreements in the international market. The availability of cheaper options in the global food market discouraged many countries – including those in Asia – from investing in the food subsector, particularly in the area of R&D and infrastructure. This presumption was also geared for the previous Malaysian agricultural policy footprint to prioritize industrial crops such as rubber, palm oil, and cocoa. In the tenth MP, the rice SSL target was set to 70%. The government later set this target to 100% in the Eleventh Malaysia Plan (11th MP). Although this 100% SSL target was deemed overly optimistic (Firdaus et al. 2017), it can be considered a long-term initiative and plan by the government to increase the rice SSL beyond the 70% mark and eventually reduce the long-term 30% dependency on imported rice. In the future, the accessibility, availability, and stability of rice are likely to become a serious problem if a country continues to depend on imported rice and push for agro-industrial exports while placing the fate of its staple food on the international market. Smaller countries, especially those in the Middle East and Southeast Asia, are expected to meet a rising fraction of their cereal consumption (rice and wheat) through purchases from the international market. For rice, the trends in global prices are heavily influenced by the level and stability of Asian rice production. However, due to its rapidly growing population, the total rice demand in this region is expected to grow enormously (Mutert and Fairhurst 2002). For this reason, it would be very risky to continue relying heavily on the global market for a nation’s staple food over the long term. Notably, an unstable global rice supply could make imported rice an unreliable food source in the future.

2.2

Pricing Mechanism

Paddy and rice prices in Malaysia are economically and politically important since they have a strong influence on the welfare of agricultural producers and consumers. Thus, despite a long-standing debate on the effects of pricing mechanisms (e.g., the social benefits and effects of price instability), agricultural price support policies – especially in the grain market – are widely used in developing countries throughout Asia (including Malaysia). To ensure price stability in the Malaysian rice market, price control (The 1973–1974 rice crisis occurred due to a slump in the international rice supply and an increase in prices, which triggered the introduction of price regulation to protect

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

93

consumers (Pletcher 1990).) was introduced by the government to regulate and set the prices for importers, manufacturers, wholesalers, and retailers. This domestic price setting was performed by granting the import monopoly right to Padiberas Nasional Berhad (BERNAS), (BERNAS’s concession as the sole gatekeeper of rice imports has been extended until 2031.) which now acts as the country’s sole rice importer due to its privilege to import rice without having to pay import duty. This practice is known as the single gatekeeper mechanism (SGM) and gives BERNAS the power to set a higher price for imported rice compared to its local counterpart, which ensures that the latter remains competitive and stable. Although Malaysia is a member country of the ASEAN Free Trade Area (AFTA) and the World Trade Organization (WTO), which agree on the liberalization of the rice trade, a high import duty remains to be imposed since rice is listed as a sensitive product (Vengedasalam et al. 2011). (The rice import duty is 20% under the AFTA, as stipulated in the Common Effective Preferential Tariff Agreement. This is 40% in the Agreement on Agriculture (AoA) with the WTO.) Accordingly, over the 2000–2009 period, the retail prices of rice in Peninsular Malaysia remained unchanged within a price range of RM 0.88–1.51/kg for standard grade, RM 0.98–1.45/kg for premium grade and RM 1.50–2.68/kg for super local grade (Firdaus 2015). (These differences are also caused by the difference in market prices between the states due to transportation cost, insurance, warehouse rent, and profit margins.) While the price control policy irrefutably contributes to stabilizing the rice market, it usually has negative impacts such as economic costs and market distortion. Hence, whether or not the pricing mechanism is sustainable and effective in its role in stabilizing the price for the domestic market remains debatable and controversial.

2.3

Stockpile

In general, the rice stockpile is used to moderate the effect of fluctuations in demand and supply. In a practical manner, during the years of relatively low prices and abundance, the rice stockpile will be maintained or perhaps increased so that it can be released during years of relatively limited supply and high prices. The Malaysian rice security program was developed after the nation’s independence due to the instability of the international rice market and the economic crises resulting from conflicts and Japanese occupation (Arshad and Mohayidin 1990). One of the program’s initiatives involved introducing a stockpile that functioned as a buffer stock to stabilize the price and supply of rice for the local market and emergency use. (Through this practice, the government would buy rice when the world price is low to support the floor price and then resell it at a higher price than the wholesale price when the world market becomes stable again to maintain the ceiling price (Arshad and Mohayidin 1990).) However, its function in stabilizing the price became less significant after the government decided to implement a guaranteed minimum price (GMP). Currently, the stockpile operation is managed by BERNAS. To stabilize the rice price in the market, BERNAS will release some of the stockpile to the market

94

R. B. Radin Firdaus and S. R. Rahmat

when the price of rice is increasing above its normal price to bring the price down. Conversely, when there is a surplus in the market, BERNAS is obligated to purchase from the market to create demand and supply for both rice millers and paddy farmers (Muhammad 2013). Stockpiling for food security is an indispensable policy instrument, particularly for developing countries with volatile supply chains and food production systems. Generally, creating a physical inventory is a natural human instinct that provides a sense of security. Thus, a rice stockpile serves as insurance against emergencies. Next, and possibly most importantly, governments in developing countries seem to have little faith in the international grain market – particularly in times of crisis. This is mainly because the amount of rice being traded in the world market is less than 10% of international production. Thus, an increase in global demand under a tight supply situation could trigger a fluctuation in global rice prices at any time; even worse, exporting countries could ban all exports. Although the bulk of rice production is concentrated in Southeast Asia, many countries in this region have developing economies and rising global rice prices translate into higher domestic rice prices. However, in some of these countries, rising domestic prices even outpace the rise in international prices (ADB 2011). During the 2007/2008 food price crisis, the international rice price still rose by approximately 16.8% when Thailand and Vietnam decided to release ample supplies from their stocks to mitigate price pressures (ADB 2011).

2.4

Entry Point Projects

In the tenth MP, the government commitment to strengthening the paddy sector to ensure food security was marked by the introduction of the Entry Point Project (EPP). In the tenth MP, the government introduced three EPPs for the paddy sector under the agriculture program of the National Key Economic Area (NKEA), namely, the EPP 9, EPP 10, and EPP 11. They were called EPPs because these projects were continuous and served as a threshold for the Economic Transformation Program under the stewardship of the Performance Management and Delivery Unit (PEMANDU) to achieve economic development towards 2020. In the 11th MP, the emphasis on the Agricultural NKEA for the paddy sector was continued, particularly in terms of a more organized implementation and greater supervision. Under EPP 10, the Muda Agricultural Development Authority (MADA) and BERNAS cooperated to lead initiatives to reform current agricultural activities into a large-scale operation through the best agricultural practices to increase crop yields to at least 7 metric tons/hectare (on average) in 2020. These best agricultural practices required a complementary and comprehensive management technique involving the management of water, seeds, pests, diseases, and fertilisers. (According to Mutert and Fairhurst (2002), the low rate of potassium fertilizer application by farmers partly explains why paddy production in Malaysia has not seen a lot of changes in the past 10 years.) Although the target was not met since the average production recorded in the year 2020 was approximately 6 metric tons/

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

95

Table 3 Per-head land ratio for selected Southeast Asia countries (2013) Country Indonesia Thailand Myanmar Vietnam The Philippines Cambodia Laos Malaysia

Paddy land size (ha) 13,835,250 10,990,100 7,500,000 7,902,810 4,746,080 3,100,000 880,000 606,846

Total population 251,286,276 67,451,422 52,983,829 89,708,900 97,571,626 15,078,564 6,579,985 29,456,372

Per-head land ratio (persons/ha) 18.2 6.1 7.1 11.4 20.6 4.9 7.5 48.5

Note: Adapted from Firdaus et al. (2015)

hectare, the MADA is expected to continue its modernization program and aim to reach 6.5 metric tons/hectare by 2025. Meanwhile, programs aimed at increasing the scale and productivity of other granary areas were implemented under EPP 11. For non-irrigated areas or non-granary areas, a fragrant rice variety was introduced under EPP 9. The initiative taken by the government under EPP 9 was a positive move, especially in reducing pressure on land for the granary areas. This rationale is strongly supported by the fact that paddy land in Malaysia encountered the heaviest per-head land ratio compared to the other Southeast Asian countries (see Table 3). In 2013, with a total population of 29.46 million, the density of people on paddy land was approximately 48.5 persons/hectare (ha). This figure exceeded the per-head land ratio of the Philippines and Indonesia when both countries were combined.

3

Paddy and Rice Policies in Improving the Livelihood of Farmers

Global farmlands are mostly small scale, family operated, and less than two hectares in size (Lowder et al. 2016). Nevertheless, smallholder farms are the foundation of agriculture in many countries and play a critical role in food security, rural development, and environmental sustainability (FAO 2014). The production of smallholder farmers represents approximately 80% of global food production (Ricciardi et al. 2018), with smallholder farms accounting for over 80% of rice production, 75% of groundnut and oil palm production, and approximately 60% of millet and cassava production worldwide (Samberg et al. 2016). Although large-scale producers utilize over 75% of global agricultural resources, they only feed approximately 30% of the world’s population. On the other hand, while small farmers utilize only 25% of global agricultural resources, they feed approximately 70% of the global population (ETC Group 2013). In Malaysia, nearly 90% of farmers are smallholders – with the exception of palm oil farmers (Arshad 2016). Hence, to ensure the equitable distribution of income for smallholders as well as food security, the paddy sector in Malaysia is protected by a

96

R. B. Radin Firdaus and S. R. Rahmat

high degree of government intervention. Although most paddy farmers are no longer living in poverty, ensuring equitable income is pivotal since the majority of them remain vulnerable to the threat of falling into the poor or hardcore poor group (Firdaus et al. 2014). Moreover, as previously mentioned, paddy is mostly planted by small farmers with an average farm size of two hectares. Thus, the livelihoods of 332,000 farmers hinge on small landholding. As such, various interventions have been executed by establishing the required institutions and allocating sufficient resources to improve their income and allow them to eke out a living. Several such measures have been introduced and implemented, which include:

3.1

Setting up Various Government Agencies

Besides investing in the improvement of tangible infrastructure under the agriculture modernization program, the government also oversees these programs through various government agencies established under its control. These agencies are authorized and mandated to assist paddy farmers in improving their productivity, crop production, income, marketing, and technological applications. Nevertheless, an extensive institutional network raises obvious issues of institutional effectiveness, coordination, and policy coherence (World Bank Group 2019). At the federal level, the agencies include several departments such as the Department of Agriculture (DOA), Department of Irrigation and Drainage (DID), Federal Land Consolidation and Rehabilitation Authority (FELCRA), Malaysian Agricultural Research and Development Institute (MARDI), Farmers’ Organization Authority (FOA), and Agricultural Bank of Malaysia (now known as Agrobank). At the state or regional levels, some of the agencies established to oversee special development programs include the MADA, Kemubu Agricultural Development Authority (KADA), and Kedah Agricultural Development Authority (KEDA). Prior to the establishment of MARDI in 1969, the DOA was handed the dual responsibilities of research and providing extension services. Due to research activities proliferating in the granary areas, after a restructure, MARDI now holds the mandate to conduct the R&D while the DOA continue to concentrate on extension services and other development activities. Since its establishment in the 1970s, MARDI has introduced more than 45 paddy varieties for planting in the granary areas (MARDI 2017), which include various HYVs to boost paddy farms’ productivity and farmers’ income. More recently, MARDI has introduced a booster fertilizer called RealStrong N-Bio, which was reported to enable farmers to double their yields per season. Notably, this fertilizer is subsidized by the government through its Paddy Production Incentive Scheme for 2020/21. In 1971, the National Paddy and Rice Authority (LPN) was established to take over the marketing roles of the Federal Agricultural Marketing Authority (FAMA). Notably, the LPN was incorporated to improve marketing services and reduce the direct involvement of the government. In 1996, its commercial activities were taken over by a private company now known as Padiberas Nasional Berhad (BERNAS). In addition to marketing, BERNAS is also tasked with social responsibilities such as

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

97

managing the payment of subsidies for farmers and Bumiputera manufacturing schemes, acting as the last buyer at the GMP and ensuring the stability of the price, supply, quality, and stock reserve of the country’s rice. In terms of financing, Agrobank has been given the responsibility of providing credit services to farmers. Every year, this bank receives funding from the government to finance loans. Based on the exclusive authority mandated for each of these agencies, government intervention policies in the paddy and rice sector exist in various forms. These policies cover nearly the entire supply chain, from harvesting by farmers, to processing and marketing, and to trading and distribution in the consumer market (see Fig. 1). In the “upstream” sector, these intervention policies cover the granting of production input subsidies for items such as fertilizers, pesticides, lime, and tractor

Government: Subsidising inputs for production

Farmers

Farmers’ Associations

Exporters

Farmers/Intermediaries

BERNAS

Rice Mills

Distribution Centres

Wholesalers

Retailers

Consumers

Fig. 1 Malaysia’s paddy and rice supply chain

Millers’ Agents

Licensed Private Millers

98

R. B. Radin Firdaus and S. R. Rahmat

services to farmers in order to facilitate land preparation. As for the “downstream” sector or post-harvest chain, government interventions are indirectly executed through BERNAS, which manages the buying, processing, transportation, wholesaling, and retailing in the market. Apart from managing the country’s stockpile and their involvement in development programs (e.g., EPP 10), BERNAS is also tasked with managing the Bumiputera Rice Millers Scheme and the distribution of paddy price subsidies (SSHP) to farmers on behalf of the government. It also acts as a buyer of last resort (BOLR) for paddy farmers (this will be explained in the next section).

3.2

Setting a Guaranteed Minimum Price

The underlying basis of the GMP policy offers several promising features. These include the improvement of agricultural terms of trade, price stabilization and the provision of insurance to paddy farmers. The GMP was introduced in 1949 to stimulate local paddy production. Since Malaysia is a producer of high-cost rice and lacks a comparative advantage in the paddy and rice industry (Mustapha 1996; Najim et al. 2007), the GMP (or floor price) was set above the price in the global market. The price for all local “good paddy” (A cut is imposed on “non-good rice,” which is rice that contains moisture, dirt, and straws or is unripe, empty, or contains less than 14% white grains. In operational terms, the cut practiced by BERNAS is not very rigid.) in 2014 is guaranteed at least RM 1200/metric tonne. Notably, this price was higher than Thailand’s average rice producer price in 2014, which was USD 240.60/metric ton (RM 787.05). (Based on the 2014 exchange rate of RM 1 ¼ USD 0.3057.) The ultimate aim of the GMP is to prevent private millers from purchasing paddy farmers’ grain at a low price. Therefore, the GMP protects paddy farmers’ incomes by avoiding any form of “discrimination” in pricing. For instance, through the GMP, the government protects paddy farmers’ incomes by directing BERNAS to act as a BOLR if private millers refuse to purchase farmers’ harvested yield due to quality standard issues (Omar et al. 2019). As a GLC that holds the monopoly right for imported rice, the company is also obligated to perform a social responsibility by purchasing paddy from farmers at a guaranteed price, irrespective of the quality.

3.3

Providing Various Incentives and Subsidies

To date, the government continues to render various forms of long-term support and incentives to protect the wellbeing of paddy farmers and ensure stable rice production. Every year, the national budget allocates nearly RM 2 billion to farmers in the form of aid, subsidies, and incentives to keep their interest. Government intervention is seen as essential since productivity in the paddy sector does not depend on the skills and practices of farmers alone. Instead, it also involves other forms of capital input such as fertilizers, irrigation and drainage facilities, seeds, pest control, cultivation and harvesting practices, storage and transportation methods, R&D, credit

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

99

supply, and selling price, which are largely out of the farmers’ control and capability (Rahmat et al. 2019). Presently, the FOA uses the E-Padi System to submit online applications for the paddy fertilizer scheme, which are submitted by the Area Farmers’ Organization (PPK) and National Farmers Organization (NAFAS). Apart from subsidizing the production inputs (see Table 4), the government is also involved in extension education, credit, R&D, providing processing and marketing facilities, and regulating prices through the GMP and price subsidy. The Paddy Price Subsidy Scheme (SSHP) was introduced in 1980 to solve the incompetency of the paddy market at that time, which was associated with a massive number of unlicensed paddy factories that were involved in various forms of malfeasance. Currently, the SSHP mostly serves as an incentive to produce a marketable surplus. Paddy farmers currently receive RM 360.00 for every metric ton of crops sold. This is the most salient subsidy by far, which consumes the largest amount of funding from the total paddy and rice subsidy budget every year. On average, the on-farm income of paddy farmers in KADA in 2019 was approximately RM 18,280.00 per year or RM 1523.00 per month (KADA 2020). Even with an additional off-farm income, the average monthly income of farmers in KADA was still considerably low at RM 2185.00 per month (KADA 2020) (i.e., below the mean monthly household income of the B40 in 2019 of RM 3152.00) (Department of Statistics Malaysia 2020). In the MADA, without SSHP, farmers’ income is expected to decline by approximately 10.3% (Firdaus et al. 2014). To encourage paddy farmers to increase their crop yields each season, the government introduced the Incentive for Improvement in Yield in 2007. Under this incentive, an increase of 1 metric ton of yield compared to the previous season would entitle farmers to receive an incentive of RM 650.00. However, this incentive was discontinued in 2016 due to its insignificant influence on productivity.

Table 4 Assistance, subsidies and incentives for the paddy industry (2019) Subsidy programs Federal Government Fertilizer Scheme Paddy Price Subsidy Scheme (SSHP) Incentive for Improvement in Yield Paddy Production Incentive Scheme, which includes: Additional fertilizer Ploughing Pesticides Lime Certified Paddy Seed Incentive (IBPS)

Rate 12 bags of compound fertilizer and 4 bags of urea fertilizer (20 kg/bag) per hectare RM 360.00 per metric ton RM 650.00 per additional metric ton per season (discontinued in 2016)

RM 140.00 per hectare per season (maximum) RM 100.00 per hectare per season (maximum) RM 200.00 per hectare per season RM 970.00 per hectare (every 3 years) RM 1.40 per kilogram

100

4

R. B. Radin Firdaus and S. R. Rahmat

The Intervention Policy and Its Dilemmas

This chapter demonstrates the overarching role of the government, which allows the Malaysian paddy sector to operate in a highly protected environment. This involves a high degree of government intervention in the form of incentive structures, trade protection, and a regulatory and legal framework. However, the fact that all of these deliberate measures aim to sustain production and improve poor farmers’ incomes have made rice and paddy a political crop (Johnson 2000; Halib 2000). As such, the heavy involvement and intervention of the government is often a debatable issue. Moreover, economists have implied that intervention policy and public distribution are prone to moral hazards and corruption in governments. Moreover, proponents of free trade or market-oriented reformers might argue that such protection and intervention are inimical and should be removed to boost farm productivity (Honma 2019). From this context, an important question arises: Should government minimize or even abolish its agricultural protection measures? Free trade is one of the agendas propagated for the sake of developed countries, which are the strongest competitors in world trade (Moon 2011). In the Doha Round negotiations organized by the WTO, developed nations were pushing for the elimination of tariffs, while developing nations insisted on keeping tariffs on imported food to protect domestic producers and farmers. This demand by developing countries was a reaction to developed countries that wanted them to stop protecting local farmers, when in reality, the farmers and agricultural businesses in developed countries have also been assisted through various forms of direct and indirect subsidies (Tokar and Magdoff 2009). Food security is not only determined by the availability of food (Firdaus et al. 2019). It also largely relies on “access” and “entitlements,” which depend on improved incomes; thus, more food will be produced when incomes are increased (Pretty et al. 1996). Hence, related policy interventions over many decades have played an important role not only in improving farmers’ livelihoods but also in ensuring food security, both at the producer (farmers) and consumer levels (Ibrahim and Firdaus 2014). “Decoupled policies,” which include direct subsidies with public investment in infrastructure should be continued to increase farmers’ production and income. Nevertheless, studies have shown that some of these incentives were ineffective. For example, increases in the GMP in 2006 and 2008 were only capable of raising farmers’ income but did not produce a significant effect on their productivity (Firdaus et al. 2014). Moving forward, future government intervention in terms of subsidies, incentives, and price policies should not be skewed with the aim of improving farmers’ incomes (Yasar et al. 2015). Instead, a more balanced approach should be taken with a focus on promoting sustainable agronomy practices or sustainable agriculture, which is deemed important in the era of the Sustainable Development Goals (SDGs) and to contend with the impending impacts of climate change (Tan et al. 2021). As reported by Mohamed et al. (2016), the level of sustainability in sub-granary areas in Kedah was still considerably low due to the excessive use of herbicides, fertilizers, and pesticides. Hence, a shift toward sustainable agriculture is crucial to ensure that paddy productivity and environmental sustainability are concurrently enhanced in

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

101

the future. Additionally, the fixing of minimum prices (GMP, in this case) should function to ensure that farmers progressively increase production so that their efforts to increase production through sustainable agricultural practices will not become un-remunerative due to the price factor. The FAO (1997) has defined sustainable development in agriculture as “the management and conservation of the natural resource base, and the orientation of technological change in such a manner as to ensure the attainment of continued satisfaction of human needs for present and future generations. Sustainable agriculture conserves land, water, and plant and animal genetic resources, and is environmentally non-degrading, technically appropriate, economically viable and socially acceptable.” It is generally accepted that the first and foremost requirement for promoting sustainable agriculture is to revisit and revamp the conventional agricultural paradigm, particularly the investment approach. Pretty et al. (1996), has suggested several investment approaches that adopt sustainability in agriculture to attain food security. As shown in Box 1, this chapter proposes six investment approaches for sustainable paddy farming practices based on Pretty et al. (1996, p. 16): Box 1 Investment Options to Promote Sustainable Rice Farming

1. Promote sustainable paddy cultivation and resource conservation technologies and practices. 2. Support national policies and strategies for a sustainable paddy sector. 3. Redirect subsidies and grants towards sustainable technologies and practices. 4. Reform teaching and training establishments to encourage the formal adoption of participatory methods and processes. 5. Develop a paddy farmer-centered research and extension service by supporting farmer-to-farmer exchanges and schemes for farmer training in their own communities. 6. Continue to improve agricultural and rural infrastructure to create conditions that enable sustainable agronomy practices. Note: Adapted from Pretty et al. (1996)

5

Conclusion

The designation of 12 granary areas in Peninsular Malaysia as permanent paddy fields by the government is the correct move to ensure food security in general and the availability of domestic rice production in particular. Additionally, intervention by the government through various forms of protection, support, and incentives have also maintained the interest of small paddy farmers, especially among the Bumiputera, to continue to cultivate paddy. The establishment of various government agencies has

102

R. B. Radin Firdaus and S. R. Rahmat

also helped to modernize this sector and improve efficiency, especially in terms of farm administration and management. Thus, apart from the food security agenda, government intervention through various policies and agencies has also succeeded in helping paddy farmers find pathways out of poverty and lift them into a higher income trajectory. This chapter has demonstrated that the development of the paddy and rice sector in Malaysia has been backed by deliberate government policy and intervention. Although Malaysia is not yet a net importer of rice, retaining a long-term positive trend of paddy production is critical. Such effort is vital not only for the sake of rural farmers’ livelihoods but most importantly to prevent the country from experiencing another serious shortage of supply due to a future global food crisis. Therefore, it is important to note that the government will be continuing its progressive effort to strengthen the rice and paddy sector during the course of the Twelfth Malaysian Plan (2021–2025) and the 10-year National-Agro Food Policy 2.0 (2021–2030). The objective is mainly to raise domestic rice production to increase SSL, thereby ensuring food security for the nation. A focus will also be directed toward modernizing the agricultural sector through the application of advanced technologies via the adoption of automation and mechanization. Nevertheless, if agricultural productivity and environmental sustainability are to be enhanced and linked to food security, then redirecting subsidies, incentives, and other government investments for a sustainable food future are crucial (Pretty et al. 1996). Acknowledgments Acknowledgement to ‘Ministry of Higher Education Malaysia for Fundamental Research Grant Scheme with Project Code: FRGS/1/2018/SS08/USM/02/5’.

References Abdullah AM (2007) Malaysian paddy and rice industry: policy implementation and directions. In: Arshad FM, Abdullah NM, Kaur B, Abdullah AM (eds) 50 Years of Malaysia agriculture: transformational issues challenges and direction. Universiti Putra Malaysia, Serdang, pp 281–307 Arshad FM (2016) The need for pro-smallholder policy in Malaysia. Agric Dev Notes 6:1–4 Arshad FM, Mohayidin MG (1990) Market intervention in padi and rice industry: evaluation, rationale and impact. Occasional paper no. Centre for Agricultural Policy Study, Universiti Pertanian Malaysia, Serdang Arshad FM, Jani MF, Yusop MK (2010) Malaysia food security policy agenda. Paper presented at Bengkel Mengarusperdana Pertanian dalam model Ekonomi Baru Malaysia, Bangi, 9–10 November 2017 Asian Development Bank (2011) Global food price inflation and developing Asia. Special report. Asian Development Bank, Manila Asian Development Bank (2019) Ending hunger in Asia and the Pacific by 2030: an assessment of investment requirements in agriculture. Asian Development Bank, Manila. Retrieved 2 Jan 2021, from https://www.adb.org/sites/default/files/publication/533281/end ding-hunger-asiapacific-2030.pdf Bishwajit G, Sarker S, Kpoghomou MA, Gao H, Jun L, Yin D, Ghosh S (2013) Self-sufficiency in rice and food security: a South Asian perspective. Agric Food Secur 2(1):10

6

Towards Ensuring Food Security and Sustaining Farmers’ Livelihoods

103

Department of Statistics Malaysia (2020) Household income and basic amenities survey report, 2019. Department of Statistics Malaysia, Putrajaya ETC Group (2013) Who will feed us? The industrial food chain or the peasant food web. Retrieved 29 Jan 2021, from https://www.etcgroup.org/sites/www.etcgroup.org/files/files/etcwhowillfeedus-english-web share.pdf FAO (1997) Aquaculture development, FAO technical guidelines for responsible fisheries, no. 5. FAO, Rome FAO (1999) Implications of economic policy for food security: a training manual. Retrieved 29 Jan 2021, from http://www.fao.org/3/x3936e/x3936e03.htm FAO (2006) Food security. Food and Agriculture Organization of the United Nations, Rome. Retrieved 29 Jan 2021, from http://www.fao.org/fileadmin/templates/faoitaly/documents/pdf/ pdf_Food_Security_Cocept_Note.pdf FAO (2008) Climate change and food security: a framework document. Food and Agriculture Organization of the United Nations, Rome. Retrieved 29 Jan 2021, from http://www.fao.org/3/ k2595e/k2595e00.pdf FAO (2014) The state of food and agriculture: innovation in family farming. Food and Agriculture Organization of the United Nations, Rome. Retrieved 29 Jan 2021, from http://www.fao.org/ publications/sofa/2014/en/ Firdaus RBR (2015) The impact of climate change on paddy sector: implication towards farmers’ production and national food security. Unpublished PhD dissertation, Universiti Kebangsaan Malaysia, Bangi Firdaus RBR, Ibrahim AZ, Siwar C, Jaafar AH (2014) The livelihood of paddy farmers in facing challenges of climatic change: the role of government intervention through paddy price subsidy scheme. Kaji Malays 32(2):73–92 Firdaus RBR, Siwar C, Jaafar AH (2015) Pasca krisis makanan 2008: implikasi penggantungan terhadap beras import. J Kemanusiaan 13(3):28–39 Firdaus RBR, Samsurijan MS, Jamir Singh PS, Yahaya MH, Latiff ARA, Rahmat SR, Vadevelu K (2017) Ke Arah Mencapai 100% Kadar Sara Diri (SSL) Beras: Satu Sasaran Realistik atau Retorik? Paper presented at Persidangan Kebangsaan Masyarakat, Ruang dan Alam Sekitar 2017, 23–24 February 2017. Retrieved 29 Nov 2021, from http://eprints.usm.my/39194/1/ Matra1.pdf Firdaus RBR, Gunaratne MS, Rahmat SR, Kamsi NS (2019) Does climate change only affect food availability. What else matters? Cogent Food Agric 5(1):1707607 Firdaus RBR, Tan ML, Rahmat SR, Gunaratne MS (2020) Paddy, rice and food security in Malaysia: a review of climate change impacts. Cogent Soc Sci 6(1):1818373 Government of Malaysia (2015) Eleventh Malaysia Plan, 2015–2020. Jabatan Percetakan Negara, Kuala Lumpur Halib M (2000) Development of agriculture in Malaysia: the case of the rice sector. Platform 1(2): 33–24 Honma M (2019) Agricultural market intervention and emerging states in Africa. In: Otsuka K, Sugihara K (eds) Paths to the emerging state in Asia and Africa. Springer, Singapore, pp 253–271 Ibrahim AZ, Firdaus RBR (2014) Penilaian akses makanan dan penentu perbelanjaan ke atas makanan dalam kalangan petani padi di kawasan pengairan muda. Int J Environ Soc Space 2(1):18–32 Johnson CL (2000) Government intervention in the Muda irrigation scheme, Malaysia: “actors”, expectations and outcomes. Geogr J 166(3):192–214 KADA (2020) Maklumat Pendapatan Petani. Retrieved 21 Apr 2021, from http://www.kada.gov. my/maklumat-pendapatan-petani/ Kasim NM, Ahmad MH, Shaharudin AB, Naidu BM, Chan YY, Aris T (2018) Food choices among Malaysian adults: findings from Malaysian Adults Nutrition Survey (MANS) 2003 and MANS 2014. Malays J Nutr 24(1):63–75 Lian TS (2009) Rice and other main staple food crops in Malaysia. In: Chin SA, Sen YH (eds) Food security Malaysia. Academy of Sciences Malaysia, Kuala Lumpur

104

R. B. Radin Firdaus and S. R. Rahmat

Lowder SK, Skoet J, Raney T (2016) The number, size, and distribution of farms, smallholder farms, and family farms worldwide. World Dev 87:16–29 MADA (2019) Dasar Semasa Industri Padi Negara. Retrieved 2 Jan 2021, from http://www.mada. gov.my/wp-content/uploads/2019/09/EN.-SHAMSUDDDIN-BIN-ISMAIL.pdf MARDI (2017) Rice varietal development in MARDI for food sovereignty. Retrieved 21 Apr 2021, from https://blogmardi.wordpress.com/tag/mardi-paddy/ Ministry of Finance (2010) The 2011 budget speech. Retrieved 21 Dec 2020, from https://www. mof.gov.my/arkib/budget/2011/bs11.pdf Mohamed Z, Terano R, Shamsudin MN, Abd Latif I (2016) Paddy farmers’ sustainability practices in granary areas in Malaysia. Resources 5(2):17 Moon W (2011) Is agriculture compatible with free trade? Ecol Econ 71:13–24 Muhammad S (2013) Role of BERNAS as government linked company (GLC)–supporting and complementing national (Malaysia) food cecurity food policies. J Trop Resour Sustain Sci 1(2):35–41 Mustapha NHN (1996) Sustainable development of Malaysian rice industry in the context of Asian countries: an assessment. J Ekon Malays 30:67–86 Mutert E, Fairhurst TH (2002) Developments in rice production in Southeast Asia. Better Crops Int 15:12–17 Najim MMM, Lee TS, Haque MA, Esham M (2007) Sustainability of rice production: a Malaysian perspective. J Agric Sci 3(1):2–12 Omar SC, Shaharudin A, Tumin SA (2019) The status of the paddy and rice industry in Malaysia. Khazanah Research Institute, Kuala Lumpur Pletcher J (1990) Public interventions in markets agricultural in Malaysia: rice and palm oil. Mod Asian Stud 24(2):323–340 Pretty J, Thompson J, Hinchcliffe F (1996) Sustainable agriculture: impacts on food production and food security, Gatekeeper series 60. International Institute for Environment and Development, London, pp 1–24 Rahmat SR, Firdaus RBR, Shaharudin SM, Ling LY (2019) Leading key players and support system in Malaysian paddy production chain. Cogent Food Agric 5(1):1708682 Rajamoorthy Y, Rahim KBA, Munusamy S (2015) Rice industry in Malaysia: challenges, policies and implications. Procedia Econ Financ 31:861–867 Ricciardi V, Ramankutty N, Mehrabi Z, Jarvis L, Chookolingo B (2018) How much of the world’s food do smallholders produce? Glob Food Secur 17:64–72 Samberg LH, Gerber JS, Ramankutty N, Herrero M, West PC (2016) Subnational distribution of average farm size and smallholder contributions to global food production. Environ Res Lett 11(12):124010 Tan BT, Fam PS, Firdaus RB, Tan ML, Gunaratne MS (2021) Impact of climate change on rice yield in Malaysia: a panel data analysis. Agriculture 11(6):569 Terano R, Mohamed Z (2011) Household income structure among paddy farmers in the granary areas of Malaysia. Int Proc Econ Dev Res 14:160–165 Tokar B, Magdoff F (2009) An overview of the food and agriculture crisis. Mon Rev 61(3):1 Vengedasalam D, Harris M, MacAulay G (2011) Malaysian rice trade and government interventions. In: 55th Annual conference of the Australian Agricultural and Resource Economics Society. Australian Agricultural and Resource Economics Society, Melbourne, 8–11 February 2011 World Bank Group (2019) Agricultural transformation and inclusive growth: the Malaysian experience. Retrieved 2 Jan 2021, from https://openknowledge.worldbank.org/handle/10986/32642 World Food Summit (1996) Rome Declaration on World Food Security. Retrieved 2 Jan 2021, from http://www.fao.org/3/w3613e/w3613e00.htm Yasar M, Siwar C, Firdaus RBR (2015) Assessing paddy farming sustainability in the Northern Terengganu Integrated Agricultural Development Area (IADA KETARA): a structural equation modelling approach. Pac Sci Rev B Humanit Soc Sci 1(2):71–75

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety Siti Rahyla Rahmat and Radin Firdaus Radin Badaruddin

Contents 1 2 3 4 5 6

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Bio-economy in Malaysia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Related to Palm Oil Chain and Sustainability Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . Smallholders and Sustainability Agriculture Farming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Why the Sustainability of Palm Oil Industry Is Crucial and How It Is Related to the Sustainable Development Goals Agenda and Ensuring Food Safety . . . . . . . . . . . . . . 7 SDGs Related to Palm Oil Industry and Ensuring Food Safety . . . . . . . . . . . . . . . . . . . . . . . . . . 8 How Malaysian Palm Oil Industry Related to Bio-economy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.1 National Biodiesel Policy and Food Versus Fuel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1 Actors Along the Malaysian Palm Oil Industry, Chain Governance, and Potential System for Chain Upgrading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 International Initiative: Roundtable on Sustainable Palm Oil . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 National Initiative: Malaysian Sustainable Palm Oil (MSPO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 The Existing System in Malaysian Palm Oil Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Why MSPO Is More Feasible by Designed for Smallholders Than RSPO? . . . . . . . . . . . . . 14 Policy Apathy in the Implementation of Bio-economy Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

106 107 108 109 110 110 112 114 114 115 115 117 118 119 119 120 121 122

Abstract

This study analyzes three important elements for chain upgrading in palm oil industry which are governance, actors, and policy. The objectives of this study are as follows: (1) to identify the main players in Malaysian palm oil industry; S. R. Rahmat (*) School of Social Sciences, Universiti Sains Malaysia, Gelugor, Malaysia e-mail: [email protected] R. F. R. Badaruddin Universiti Sains Malaysia, Penang, Malaysia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_51

105

106

S. R. Rahmat and R. F. R. Badaruddin

(2) to investigate the type of policy adopted in this industry; and (3) to investigate issues on the ground and potential problem-solving initiatives. We conducted seven expert interviews and three in-depth interviews with smallholder oil palm plantations. By employing content analyses, the study finds that the policy regarding palm oil in Malaysia is predominantly top-down in nature, at the expense of other actors in the industry. In the case of Malaysian palm oil industry, Malaysian Palm Oil Board (MPOB) is the most pivotal actor that governs the palm oil supply chain. With top-down type of policy, local community and indigenous groups are largely sidelined in Malaysian palm oil bio-economy policy design. Some crucial information do not make their way down to the local level as evidenced by the gripes of oil palm smallholders in Kedah. This study also discusses issues on the ground related to sustainability initiatives and its implementation. Policy design and issues related to its implementation would be a good benchmark for any palm oil producing countries to emulate an effort to improve sustainable initiatives of palm oil industry. In short, inclusivity in policymaking and implementation among chain actors are crucial for accelerating chain upgrading in the palm oil industry.

1

Introduction

Oil palm tree or its scientific name Elaeis guineensis originated from West Africa and expanded significantly due to the British Industrial Revolution and the expansion of overseas trade until it reached Southeast Asia. Oil palm first arrived Malaysia in the 1870s, after receiving its first batch from the Royal Botanic Gardens in Kew, England, and was initially used as an ornamental plant (Toh 2017). A young Frenchman named Henri Fauconnier founded the first commercial scale plantation in Tennamaram in the state of Selangor in 1917 (“History and Origin” n.d.). Since then, oil palm has become one of the important economic crops for Malaysia. In the 1920s, United Plantations Group (UP) and Guthrie Group (now part of the Sime Darby Group) intensively grew the crop on a large scale. There were 34 oil palm estates (4 times number of plantation in 1924), taking up 26,300 hectares of land by 1936. In 1956, Malaya (now Malaysia) identified oil palm as the best alternative to rubber. From 1960s onward, the Malaysian government has encouraged oil palm cultivation especially among smallholders. In the 1970s, the government introduced oil palm cultivation to East Malaysia, which hitherto was limited to Peninsular Malaysia. In 2010, Peninsular Malaysia, Sabah, and Sarawak accounted for 52%, 29%, and 20%, respectively, of planted oil palm in the country (Toh 2017). By 2018, the planted area for oil palm was 5.85 million hectares (Malaysian Palm Oil Board 2019). In the Malaysian palm oil industry, large private estates are pivotal actors in the upstream part of supply chains (comprising of 61% of the total plantation areas). These are followed by plantations owned by Federal Land Development Authority (FELDA) (0.72 Mn Ha) (12%), independent smallholders (0.99 Mn Ha) (17%) with Federal Land Consolidation and Rehabilitation Authority (FELCRA) (0.19 Mn Ha) (3%) and Rubber Industry Smallholders Development Authority (RISDA) (0.07 Mn Ha) (1%), and state-owned plantations under Government-Linked Companies

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

107

(GLC) that represent the remaining (0.33 Mn Ha) (6%) (Malaysian Palm Oil Board 2019). Malaysian palm oil industry was a major contributor to the agriculture sector’s GDP. Palm oil industry contributed 46.6% of agricultural GDP, other crops contributed 18.6% of agricultural GDP, livestock 11.4%, fisheries industry 10.5%, rubber 7.3%, and forestry and logging 5.6% (DOS 2017). Malaysia produces 39% of the world’s palm oil production and 44% of world export (MPOC 2019). In 2017, the total planted area in Malaysia was 5.74 million hectares. It was recorded that 1.15 million hectares were Roundtable on Sustainable Palm Oil (RSPO) and Malaysian Sustainable Palm Oil (MSPO) certified. For national sustainable initiative, Malaysia has introduced its national certification scheme namely the Malaysian Sustainable Palm Oil (MSPO) Certification Scheme. The MSPO is mandatory for all players in industry by December 2019. As for the Roundtable on Sustainable Palm Oil Certification Scheme (RSPO), it is reported that only 20% of Malaysian palm oil industry players have complied with this standard. This standard is believed to improvise the previous business as usual palm oil industry production. The objectives of this chapter are as follows: (1) to identify the main players in Malaysian palm oil industry; (2) to investigate the type of policy adopted in this industry; and (3) to investigate issues on the ground and potential problem-solving initiatives. This chapter first discusses the concept of bio-economy as practiced in different countries, research related to palm oil chain, and sustainability issues. The policy aspect discussion begins with federalism and policy implementation in Malaysia and actors in palm oil value chain. Finally, the chapter presents findings from in-depth interviews and content analysis, and argues that the heavily top-down of the federal government’s policy-making regarding palm oil poses detrimental effects on other actors on the value chain.

2

Bio-economy in Malaysia

Bio-economy has different interpretations in different countries. In the USA, bio-economy emerged in the early 2000s as a result of pursuing independence and security, greenhouse gas emission mitigation, and sustainable development (Guo and Song 2019). Bio-economy in the USA refers to economic activities using renewable biological resources to produce energy and domestic consumables by intensive research and development (R&D) that focus on efficient biomass production, conversion, and valorization via biotechnology approaches (Guo and Song 2019). Europe focuses on bio-based economy, which is defined as a concept that uses renewable bio-resources, efficient bioprocesses, and eco-industrial clusters to produce sustainable bio-products, jobs, and income, using environmental benefits as core factor while increasing positive impact on industrial biotechnology (Patermann and Aguilar 2018). Malaysia, on the other hand, while sharing similar concept of bio-economy via biotechnological wonders (“National Biotechnology Policy” n.d.), approaches it through the establishment of R&D programs and commercialization in agriculture, health care, and industrial bio-based industries (“Biotechnology Corp is

108

S. R. Rahmat and R. F. R. Badaruddin

now called Bioeconomy Corp” 2016). In 2005, former Malaysian Prime Minister, YAB Tun Haji Abdullah Ahmad Badawi launched the National Biotechnology Policy (NBP) to sow the seeds for biotechnological development in potential areas for the country with the aspiration to make bio-economy and biotechnology as engines of economic growth (Arujanan and Singaram 2018). While the program started well, slow growth of the industries was not able to support the demand for biotechnology (Ibrahim 2016). Malaysia recognized this issue and introduced the Bio-economy Transformation Programme (BTP) in 2012 to further develop the bio-based industry in Malaysia by identifying potential key strengths according to available natural resources (“Bioeconomy Malaysia” n.d.). Nevertheless, there have been significant achievement in GDP, investment, and job creation since introduction of the NBP in 2005 (Arujanan and Singaram 2018). In 2018, the leading bio-based agency in Malaysia, Bioeconomy Corp (or previously known as Biotechnology Corp), which is under the purview of the Ministry of Agriculture and Agro-based Industry (MOA), stated that out of 285 bio-based registered companies (dubbed BioNexus), 60% are in the agricultural business, 24% in biomedical, and the remaining are in the industrial sector (Aziz 2018).

3

Research Related to Palm Oil Chain and Sustainability Issues

Research related to palm oil industry are quite diversified. Since palm oil industry has always been claimed as unsustainable, supply chain studies related to palm oil industries are inevitable (Mather 2008), (Vermeulen and Goad 2006), (European Union 2012), and (Rahmat 2016). Other researchers also use other method combined with value chain analysis approach by using life cycle analysis (Yee et al. 2009). In palm oil supply chain, two segments that are often cited as unsustainable are plantations and palm oil processing mills (Devisscher 2007). As for sustainable issues related to plantations, Mattsson et al. (2000) have conducted studies related to indirect land use changes (iLUC), biodiversity lost and deforestation, land conversion from virgin or natural forests to oil palm plantations (Butler and Laurance 2009), and carbon debts (Gibbs et al. 2008). Rahmat (2016) studies the conversion from forest, cocoa, and first-generation crops (rubber plantations) to oil palm farms and its external costs. Sulaiman et al. (2011) stated that midstream players namely palm oil processing mills’ effluents (POME) contribute to greenhouse gas emission. Pye et al. (2012), meanwhile, conduct a study that analyzes the impact of oil palm plantations to social externalities such as local labors. Some studies have examined institutional and policy aspects of palm oil industry, among others include the demand of the expansion of oil palm plantations (secondgeneration crops) in Malaysia (Corley 2009), and palm oil biodiesel productions and required certification schemes to export to European Union market (Mekhilaf et al. 2011). Other institutional and policy aspect related to Malaysian palm oil industry is the resettlement program initiated by Malaysian government namely FELDA scheme, which has received international recognition as a successful model for

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

109

vertical integration in developing the palm oil industry (Fold 2000). As for independent smallholders, Sayer et al. (2012) urge for better organization and management of smallholders. Some scholars have also carried out studies on national sustainability initiatives related to oil and seeds industry (Hospes 2014; Köhne 2014; Laurence et al. 2010; Geibler 2013; Oosterveer 2015). Business and community from the North had initiated the Roundtable on Sustainable Palm Oil (RSPO) and Roundtable on Responsible Soy (RTRS) as global initiatives to solve deforestation issues as a way to lure sustainable production of palm oil or soy in the South. Some countries namely Indonesia and Brazil have initiated their own national certification schemes for their national strategy which are supported by local government and business actors from the South and look somewhat similar to international standards. Nevertheless, Hospes (2014) states that although RSPO and RTRS have served as models for the general design and principles of the Indonesian and Brazilian national standards, local initiatives by these two countries found to be different from the global standards. In terms of normative contents, the national standards provide more opportunities to oil palm plantations and large-scale soy producers to expand production, including forests expansion and other high conservation areas. Governments and producer associations in Indonesia and Brazil have not launched national standards to implement the RSPO or RTRS but to challenge these interventions from the North.

4

Smallholders and Sustainability Agriculture Farming

Smallholders do not receive training, well guidance, and support from organization, and merely receive limited support system. With limited resources, smallholders found that sustainable production is expensive. It is worse for the case of independent smallholders to maintain the sustainable certification without support from NGO or other organization. This study is corroborated by Morton (2007), and Terlau et al. (2019) who found that resource constraint and huge diversity among smallholders lead to the failure in technology adoption among smallholders. To add, Rohadi (2017) believe that zero burning policy is hard to be fulfilled by the smallholders. Manually clearing the land during replanting the trees will take 1 or 2 months longer as compared to only several days by the burning technique. Using farm equipment manually is labor-intensive and expensive in terms of farm labor. Some farmers decided to abandon their farms which create another risk of wild fires especially during dry season. Smallholders are getting used to their use of fire in land clearing, especially in Indonesia and other countries. Findings by Terlau et al. (2019) found that smallholders are highly dependent on main players in the industry such as landowners or traders. Smallholders are often noted as less educated and less organized (specifically for independent smallholders); thus smallholders’ farm activities are usually acts without knowledge and adoption of technologies and thus may lead to soil erosion issues. Smallholders are believed to be an important agent for sustainable production and play an important role in the global value chain.

110

S. R. Rahmat and R. F. R. Badaruddin

Mutero et al. (2016) and Dharmawan et al. (2021) reveal that lack of budget and access to funding, market, information, and technology has led to the vulnerability of smallholders in Ethekwini Metropolitan. Shaby et al. (2019) and Brandi et al. (2015) supported the argument that a lack of knowledge about export market requirements, as well as a country’s poor policy framework and institutional aspects that are not farmer-friendly, led to the failure of sustainable agricultural initiatives. Tambi et al. (2021) found smallholders are not knowledgeable and lack skills to improve the productivity and efficiency in their farm production. This finding is supported by another recent study by Siebrecht (2020) who found that new knowledge cannot be applied in all scales and farms as it is dependent on the specific farms and land characteristics and situation. Lack of knowledge also prevents farmers from sustainable agriculture practice. Economic issues and interest are also believed to be a barrier to practice sustainable agriculture. Dharmawan et al. (2021) study on the perspective of smallholders on sustainability. In smallholders point of view, sustainability is complicated to achieve. The concept of sustainability and understanding between smallholders and end consumers led to the complexity to lure sustainability initiatives and comply with sustainable standard. Marks (2019) notes that highest poverty rates, lack of support from government, and discrimination in the society are challenges faced by most of farmers. According to Hidayat et al. (2015) smallholders were ignorant of the theory underlying sustainability certification and the concept of the RSPO due to their lack of awareness. For smallholders, certification is always related to technicalities that need to be fulfilled to improve their production and get a better price for their fresh fruit bunches (FFB). Wunderlich (2019) notes that cost issues, which are notoriously cited with smallholders, if yet to be settled will demotivate farmers from participating in certification programs and meeting sustainability standards.

5

Methodology

This study uses content analysis to analyze relevant basic documents, journals, and previous scientific materials. The analysis focused on the issues of the major players of the palm oil industry and the policy designed introduced to maintain its sustainability in production. An in-depth interview with agricultural science experts was also conducted to get a view on the existing agricultural system that led to the issue of sustainability in the palm oil industry (Fig. 1) (Table 1).

6

Why the Sustainability of Palm Oil Industry Is Crucial and How It Is Related to the Sustainable Development Goals Agenda and Ensuring Food Safety

The concept of sustainable development was introduced after the Brundtland Commission’s report in 1987, which highlighted the need for urgent action to reduce environmental degradation to sustain the economic and social development for

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

Audio Recorded In-depth Interview Discussion during all in- depth interview was recorded by researchers

Transcribed Audio Recording Audio Recording transcribed by a research assistant. Audio recording are transcribed

111

Analysed Transcriptions Transcriptions are analysed by researchers using thematic analysis

Fig. 1 In-depth interview and transcription process. (Source: Own illustration 2020) Table 1 List of interviews and their area of expertise

1

No Expert 1

2

Expert 2

3

Expert 3

4

Expert 4

5

Expert 5

6

Expert 6

7

Expert 7

8

Smallholder 1 Smallholder 2 Smallholder 3

9 10

In-depth interview Agricultural scientist The expert has expertise in soil fertility, organic versus inorganic farming, integrated system, zero waste, and sustainable agriculture Environmental economist The expert has an expertise in environmental economics Bio-economy expert The expert is working on sustainable agriculture, bio-economy, and innovation policy consultancy. The expert is based in Europe and collaborate with international organizations such as the World Bank and Agricultural Research Council Political scientist The expert is a political scientist working on public service, public participation, and sustainability science policy Bio-economy expert The expert has distinguished expertise in bio-economy research. The expert used to be a pivotal actor at Malaysian Bioeconomy Development Corporation Environmental economist The expert has expertise in international economics, energy economics, and sustainability and environmental quality Policy maker The expert is one of the policy makers for palm oil industry. The expert has expertise in both international and national policy Oil palm plantation Oil palm plantation Oil palm plantation

Source: Own fieldwork 2021

Area of expertise 12 March 2019

2 April 2019 25 March 2019

18 March 2019 11 April 2019

13 April 2019 13 April 2018

14 March 2019 14 March 2019 14 March 2019

112

S. R. Rahmat and R. F. R. Badaruddin

future generation. According to Emas (2015), sustainable development is “development that meets the needs of the present without compromising the ability of future generations to meet their own needs.” The sustainable development goals (SDGs) comprises 17 goals to be implemented by all United Nations member countries, targeting to end poverty and other deprivations together with strategies that improve health and education, reduce inequality, and spur economic growth, at the same time tackling climate change and working to preserve oceans and forests (United Nations 2019). The list of SDG goals is shown in Fig. 2. Based on 17 SDG goals listed, there are 12 sustainable development goals related to palm oil industry as circled in the SDGs list in Fig. 1. In general, Table 2 shows there are three main components of how sustainable development reflects the palm oil industry, which are namely socioeconomic development, environment and ecological theme, and institutional, governance, and stakeholders.

7

SDGs Related to Palm Oil Industry and Ensuring Food Safety

The goal number 1 (no poverty) and 2 (zero hunger) are directly related to the palm oil industry in Malaysia, as the palm oil industry is identified as the important driver to eradicate poverty during the New Economic Policy (NEP) (1970–1990) and to

Fig. 2 The sustainable development goals. (Source: Adapted from United Nations (2019))

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

113

Table 2 SDGs related to palm oil industry Themes Socioeconomic development Environment and ecological Institutional, governance, and stakeholders

SDGs related to palm oil industry SDGs 1, 2, 3, 8, and 9 SDGs 7, 12, 13, 14, and 15 SDGs 16 and 17

ensure the food safety domestically and worldwide. Through NEP’s two-pronged strategies (eradication of poverty and restructuring society), the government introduced the land development and resettlement programs, where 600,000 hectares of the land were opened by The Federal Land Development Authority (FELDA) mainly for palm oil cultivation (Ibrahim 2009). As a result, the percentage of absolute poverty decreased from half of population in 1970 to 7% in 2004 (Aznam and Bhattasali 2008). Palm oil cultivation also provides an opportunity for employment and indirectly improves socioeconomic development in rural area. Until 2017, there were 650,000 (Malaysian Palm Oil Association 2017) smallholders in Malaysia who were depending on oil palm cultivation as the main income. Thus the issues of discredit to palm oil industry may lead to the risk of increasing the number of poverty and barriers to achieve missions 1 and 2 of sustainable development goals. Palm oil is identified as an oil rich in vitamins and nutrients which contribute to SDG 3 for good health and well-being. As for SDG 8, palm oil industry has given job opportunities, and all workers’ salaries and work conditions are bounded by palm oil regulation, and as for SDG 9, most of oil palm plantations, palm oil mills, and refineries are producing oil palms and palm oil products using advanced technology and green technologies in their production. Nonetheless, the mass land opening for the purpose of palm oil cultivation also affected to the environmental degradation and related to SDGs 7, 12, 13, 14, and 15. Almost 85% of palm oil production is from Malaysia and Indonesia. This causes the activity of palm oil cultivation in Malaysia to fall into the debate about the impact it is having on nature. Therefore, the RSPO has been launched to release the guidelines of sustainable palm oil production (World Watch Institute 2009) known as RSPO Principles and Criteria (P&C), setting of stringent standards for sustainable palm oil production. SDG 16 shows the importance of strong institutions and policy for sustainability of palm oil industry. Finally, SDG goals (17 – Strengthen the means of implementation and revitalize the global partnership for sustainable development) reflect to the action of various stakeholders working together addressing the issues of sustainability in palm oil. This means increasing the participants of community (i.e., smallholder and indigenous) is crucial for an effective capacity building to achieve sustainable development goals.

114

S. R. Rahmat and R. F. R. Badaruddin

8

How Malaysian Palm Oil Industry Related to Bio-economy?

8.1

National Biodiesel Policy and Food Versus Fuel

Palm oil can be used as a source of biodiesel for transportation and food purposes. The issue of food versus fuel for transport purposes is hotly debated including discussion of its effects on food safety. Since 1982, the National Biofuel Policy was designed through extensive consultations with stakeholders based on the research findings by the MPOB. The Malaysian government has invested in biodiesel technology R&D in many local agencies, including the Standards and Industrial Research Institute (SIRIM), the MPOB, and local universities. Then, technology transfer (TOT) seminar was conducted to share their research findings among domestic actors in palm oil industry. The Malaysian biodiesel policy was designed based on the United Nations Framework Convention on Climate Change (UNFCC) and EU policies as its core. The strategic plan for National Biofuel Policy framework implementation in Malaysia still need a lot of amendment (Fig. 3). Malaysia needs more comprehensive policies on biodiesel that can provide greater benefits for all industries. Importantly, these upcoming policies must meet global standards, including “the European Standard Specifications for Biodiesel Fuel (EN 14214), the American Standard Specifications for Biodiesel Fuel (B100), and Blend Stock for Distillate Fuels (ASTM 6751)” (Foon et al. 2005). The properties of typical palm oil biodiesel for normal and low pour points already fully meet the European and ASTM standards with ease, but with current status of Malaysia’s palm biodiesel industry demonstrated that many issues need to be addressed (Abdullah et al. 2009). It was observed the market for biofuel is large, and blended biofuel (B5 to B20) is a good starting point

Ex

rt

s

po

n

ust ry

For Transport

tio

The National Biofuel Policy

no log ie

Fo r

Tec h

en lem

nt

ta

Ind

Long Term

me

en

For

Im p

n

ron

m ple

a Cle

er

vi En

Im

tat

ion

Medium Term

Short Term

Implementation

Fig. 3 Strategic plan for National Biofuel Policy in Malaysia. (Source: Abdullah et al. (2009))

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

115

for bio-economy market value (Rahmat 2016). Brazilian ethanol program (Rask 1994) is one of the successful bio-economy programs from which Malaysia can learn. A well implemented biodiesel policy can benefit petroleum prices, add savings, as well as stimulate Malaysian Ringgit (MYR). This can lead to development of bio-economy market and stabilize demand for palm oil. Furthermore, more valueadded products from palm oil will enhance socioeconomic development.

9

Findings

9.1

Actors Along the Malaysian Palm Oil Industry, Chain Governance, and Potential System for Chain Upgrading

Each industry player is directly or indirectly involved in shaping bio-economy policy in Malaysia. Following are industry players and their roles in Malaysian palm oil bio-economy (Table 3). Ministry of Plantation is the main key actor that governs the palm oil supply chain. Malaysian Palm Oil Board (MPOB) is a government agency that is responsible for the promotion and development of the Malaysian palm oil industry. It is the agency under Malaysia’s Ministry of Plantation Industries and Commodities. The MPOB requires all businesses in Malaysian palm oil value chain to be licensed through its organization. Malaysian Palm Oil Board’s main activities are conducting research related to palm oil, publications, designing policy with regards to development, regulations (including national certification scheme for palm oil industry), and promotion of the palm oil industry (MPOB 2019). Malaysian Palm Oil Council (MPOC) mission for market expansion of Malaysian palm oil and palm oil products is by enhancing Malaysian palm oil image and creating better acceptance of palm oil via various adoption of technology and economic advantages as well as environmental sustainability. From the content analysis, supply chain, and in-depth interviews, MPOB is found to be the governance of Malaysian palm oil value chain. The board laid out regulations and governs each players in the production chain from the upstream part, mid-stream and downstream of the segment. According to MPOB (licensing) Regulations 2005, all players in the segments are compulsory to obtain license from MPOB. The license is included for each production activities. According to Regulation 5(3) of the MPOB (Licensing) Regulations 2005, “Any person who contravenes Regulation 5(1) commits an offence and shall be liable on conviction to a fine not exceeding two hundred thousand ringgit (MYR200,000) or to a term of imprisonment not exceeding three years or to both” (MPOB 2014). Activities that require license from MPOB are shown in Table 4.

116

S. R. Rahmat and R. F. R. Badaruddin

Table 3 Pivotal actors in Malaysian palm oil industry Research institutions

Lobby groups

Ministries

New knowledge related to palm oil comes from extensive work done in research and development (R&D) sector. Research institutions and academia play an essential role in developing innovative ecosystem in palm oil industry. A good example would be the Palm Oil Research Institute of Malaysia (PORIM), which was established in the 1970s and was the main game changer for palm oil. It is now known as MPOB, which makes strategic and significant contributions to the success of this industry. MPOB is the main government agency with the main focus to promote and develop national objectives, policies, and priorities for the well-being of the Malaysian palm oil industry (MPOB 2019). Research institutions are directly involved in shaping the bio-economy policy in Malaysia (Interview with Expert 2, 2 April 2019). Research institution is not only from the research corporation but it can also come from universities that have set up special task group with the government agencies to explore the potential benefits from bio-economy (Interview with Expert 6, 13 April 2019) Lobby groups play an important role in providing information to the public as well as creating perceptions about the effect of the industry. In other words, they are directly involved in shaping public opinion which would in turn influence government decisions and actions (Interview with Expert 2, 2 April 2019). Lobby groups are somehow indirectly involved in the bio-economy policy-making. “European vegetable oil producers have definitely an interest in portraying ‘palm oil’ as a bad product to scare consumers away and at the same time lobby the EU to limit the import of palm oil” (Interview with Expert 3, 25 March 2019) Ministries play an important role in decision-making and promoting and developing national objectives and policies in this sector. In addition, some of the relevant ministries (e.g., MOSTI) provide funding for development projects, especially for R&D institutions, in palm oil industry. Idea and suggestion are addressed first by upper authority before it is being developed and investigated by bottom level of agencies who will focus on research findings and implications (Interview with Expert 7, 13 April 2019). Thus, relevant ministries are directly involved in shaping the bio-economy policy in this sector (Interview with Expert 2, 2 April 2019 and Interview with Expert 5, 11 April 2019). MOSTI with the cooperation of BiotechCorp are believed to play most crucial role in realization of bio-economy policy for the country. They work closely with research institution to strengthen their suggested policy (Interview with Expert 5, 11 April 2019) (continued)

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

117

Table 3 (continued) Civil society

Collective actors such as farmers’ organizations

Indigenous groups

Trade unions

Civil society organizations play significant role in bringing issues and challenges to the attention of the government. Most of the time, they can directly influence policy makers in this sector. But their contribution is minimal (Interview with Expert 2, 2 April 2019 and Interview with Expert 5, 11 April 2019) Farmers’ organizations can be perceived as governmentsponsored agencies. The success of the palm oil industry depends very much on support services (i.e., supporting farmers with tools and training) provided by farmers’ organization, especially when it comes to development of smallholders. Nonetheless, their contribution is moderate (Interview with Expert 2, 2 April 2019 and Interview with Expert 5, 11 April 2019) Majority of indigenous groups depend on subsistence farming and cultivation of cash crops, including palm oil. Although development of palm oil industry plays an important role in alleviating poverty and providing a better standard of living to many rural communities, including indigenous community, it is important to ensure that their land and rights are protected when expanding the palm oil industry. Despite the importance of indigenous oil palm smallholder in this sector, they are not actively involved in the policy-making process (Interview with Expert 2, 2 April 2019). Their contribution is minimal (Interview with Expert 5, 11 April 2019) Trade unions are still very weak in the palm oil sector. Since the palm oil sector is very dependent on migrant/foreign workers, especially from Indonesia, trade unions play a key role in assisting and organizing the workers when they arrive in the country. In fact, they have economic, social, and cultural, as well as workers and human rights roles (Interview with Expert 2, 2 April 2019 and Interview with Expert 5, 11 April 2019)

Source: Own compilation

10

International Initiative: Roundtable on Sustainable Palm Oil

Malaysia has contributed in both international and local initiative for improving sustainability of palm oil production. The Roundtable on Sustainable Palm Oil (RSPO), an international certification scheme, is highly debated in previous studies (see Schouten and Glasbergen 2011; Ruysschaert and Salles 2014). The RSPO used to be the only sustainability certification for palm oil (prior to the MSPO certification scheme). Only 20% of producers in the Malaysian palm oil industry fulfilled with the RSPO standards (Eco-Business 2014). To encourage the growth and sustainability of Malaysian palm oil production, main players in Malaysian palm oil industries have actively involved in the RSPO. Producers with RSPO certification are allowed to

118

S. R. Rahmat and R. F. R. Badaruddin

Table 4 Activities in the supply chain that require MPOB 1 2 3 4 5 6 7 8 9

Produce oil palm planting material Sell or move oil palm planting material, oil palm fruit, palm oil, palm kernel, palm fatty acids, or palm oleochemicals Purchase oil palm fruit, palm oil, palm kernel, or palm fatty acids Store oil palm planting material, palm oil, palm kernel, palm kernel cake, palm fatty acids, or palm oleochemicals Commence construction of oil palm mill Mill oil palm fruit Commence construction of bulking facilities for oil palm products Survey or test oil palm planting material, oil palm fruit, palm oil, palm kernel, palm kernel cake, palm fatty acids, or palm oleochemicals Export or import of oil palm planting material, oil palm fruit, palm oil, palm kernel, palm kernel cake, palm fatty acids, or palm oleochemicals

Source: Adapted from MPOB (2014) and Rahmat (2016)

export palm oil products to international market. Developed countries, such as the EU, the USA, and Australia, have laid out stringent environmental policies and eco-label products standards. Ruysschaert and Salles (2014) have found five shortcomings of RSPO, which explain the poor outcomes with regard to the protection of the forest area, specifically the near extinct species such as the orangutans. Some international and local NGOs have condemned the weaknesses in the implementation of RSPO certification. The RSPO per se has inequality in its stakeholder representatives and lack the capacity to handle conflicts (Schouten and Glasbergen 2011). Its legitimacy and standard with regards to sustainability still need to be refined.

11

National Initiative: Malaysian Sustainable Palm Oil (MSPO)

Malaysian Sustainable Palm Oil (MSPO) certification scheme was inaugurated in 2014. A pilot trial was conducted and successfully completed in both seven estates and seven palm oil processing mills. MSPO adheres to both national and the international concessions and congresses. The standard covers laws on “land, wildlife protection, employee rights, crop protection, environmental protection, preservation, safety, and health issues.” The evaluation of MSPO is conducted by an independent party; two panels are appointed to conduct a review for audit (Eco-Business 2014). As a developing country, Malaysia believes that its legitimacy and sustainable standard still need to be improved. Each applicant is required to fulfill all standards laid out in MSPO and the following is an example of general principles for independent smallholders. MSPO is very thorough in its assessment, meticulous and difficult to be fulfilled especially by the independent smallholders. The standard looks very convincing in the MSPO guide document, but the question is whether private smallholders,

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

119

oriented smallholders, large-scale farms are ready to comply with it. Some information about the implementation of the MSPO do not reach a small private independent farmer.

12

The Existing System in Malaysian Palm Oil Industry

The existing system in Malaysian palm oil industry shows that the support system, which usually comes with “package,” is another thorny issue. Government in palm oil value chain is the decision maker. Chain governance also works together with fertilizer producers and suppliers. The support system, which includes subsidy, encourages farmers to use chemical fertilizers and pesticides, instead of organic farming. According to interview with Expert 1 (12 March 2019), the state is collaborating with the provider who will decide which inputs (fertilizers and pesticides) can be used in plantations. The government officer believes that homemade fertilizers will not be the source of income for the government. It also will not be the source of taxes for the government, where import tax is one of the main contributors to the nation GDPs. Chemical fertilizers for oil palm plantation are imported from overseas, including Germany and Canada (Rahmat 2016). The system is more complicated when it comes to smallholders. Some smallholders are trapped in debt to hire contractors for replanting the oil palm trees as oil palm trees biological cycle is 25 years. Oil palm trees will not be productive beyond 25 years old, and replanting activities are inevitable.

13

Why MSPO Is More Feasible by Designed for Smallholders Than RSPO?

A major concern about the RSPO (the international certification scheme) is the price premium, in that the certification would result in higher price due to the increased costs of estate maintenance. There is also a concern among the smallholders that their certified crops cannot be sold at a premium price due to lack of demand (Corley 2018). Expert has also expressed concern over the differences of price that may jeopardize the local planter’s business: “All palm oil commodities should have the same pricing; currently under RSPO palm oil is at premium pricing as it is a business-to-business arrangement. The current practices are businesses ask producers to provide certification; if producers imply certification business will agree to premium pricing because of the additional work producers have to do; RSPO does not discuss price. There should be a set price” (Interview with expert 7, 13 April 2018).

Decision by EU to ban the use of the palm oil commodity in motor fuels starting from 2021 in order to prevent deforestation is disappointing to Malaysian government and palm oil producers. However, the environmental reasons to ban palm oil

120

S. R. Rahmat and R. F. R. Badaruddin

commodity by EU is seen as a step to protect EU oil commodity. Expert 7 argued that: “The ban is due to protectionist reasons. They [the EU] want to favor their farmers and subsidize them further i.e. rapeseed and sunflower farmers. Palm oil is a very efficient and sustainable crop, volumes produced can be 4 to 10 times higher than other oils like soy, corn or rapeseed” (Interview with expert 7, 13 April 2018)

In the case of MSPO, the transaction cost is much cheaper as compared to the RSPO.

14

Policy Apathy in the Implementation of Bio-economy Policy

When it comes to the implementation part, there is always an issue of “policy apathy,” where the actors who will implement this policy may not be involved directly in the policy design process and thus may affect their commitment and interest to comply with the rule or policy (Interview with Expert 4, 18 March 2019). Local community and indigenous groups are mostly marginalized in Malaysian palm oil bio-economy policy design. This finding is corroborated by Lai (2011) who finds a critical livelihood changes of the indigenous group in Peninsular Malaysia due to transition period from self-workers who are highly dependent on natural assets such as forest to farm laborers in the nearby large oil palm plantations. The study mentions the importance of involving the indigenous group in Malaysian palm oil policy design. “Local community and indigenous groups are mostly marginalized. As oil palm plantations are often established on community lands. . .” (Expert 2, 2 April 2019)

This is supported by in-depth interviews with independent smallholders. Recently, the Malaysian government has introduced a national sustainable initiative called the Malaysian Sustainable Palm Oil. At the community level, respondents point out that they are willing to give the opinion and participate in the process of designing policy. “We need to know who makes that regulation, have to see them face to face and ask questions” (Interview with smallholder 1, 14 March 2019)

Smallholders believe that every single activities in the palm oil production are bounded by the rules and regulation laid out by the MPOB. As mentioned by the smallholders, they need to have a license to be part of palm oil industry players such as farmers, collection centers, miller, refineries, distributors, and sellers. “As for as I am concerned, if you don’t have a license, they (officers) will ask you to make it” (Interview with smallholder 3, 14 March 2019)

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

121

Additionally, the expert admits that the policy makers tend to ignore the voice from the smallholders in decision-making. This can be corroborated by the observation made by an expert interviewee: “Through consultation process different groups of stakeholders, including private sectors, are usually engaged to exchange their ideas. However, there is a lack of community engagement or policy process.” (Interview with Expert 2, 2 April 2019)

We did ask the independent smallholders for their responses and perception with regard to the MSPO. Surprisingly, all of them mention that they have never heard of MSPO. Smallholders mentioned that they usually get any information from collection centers (a place where they sell their oil palm fruit bunches). The collection centers should also be a one-stop center for smallholder farmers to get the latest information related to palm oil industry and policy (Interview with smallholders 2019). As for example, when asked what kind of information about MSPO the respondents have received from the collection center, respondents replied: “They didn’t gave us any talk about it, only teach us something technical like the quality of fruits. . .” (Interview with smallholders 2, 14 March 2019) “So far, only the collection centre gives the information, there is still no official guidelines from officer” (Interview with smallholders 3, 14 March 2019)

15

Conclusion

This study discussed issues on field problems involving policies and practices of common Malaysian palm oil industry. Both content and qualitative analysis were conducted to study how policy for upgrading sustainability of its palm oil industry are designed and its current implementation to provide input in encouraging Malaysia to lead to a sustainable palm oil bio-economy. The key players in managing the palm oil supply chain are the government, through the Malaysian Palm Oil Board (MPOB) and the Malaysian Palm Oil Council (MPOC). The Ministry instead plays an important role in the decision-making process and determines the policies and policies associated with palm oil. Comprehensive research on palm oil has been done by MPOB and MPOC, which is part of the industry’s great success and also contributed to the formulation of bio-economic policies in Malaysia. However, the design and implementation of the Malaysian palm oil economy is a “top-down” which is quite under-attention to the effectiveness and implementation of this policy among smallholders. Bio-economy policy generally ignores those most affected, i.e., smallholders with less capacity in terms of finance and support systems. Neglecting smallholders is not an effective social policy to achieve sustainable development goals and food safety survival of the industry. Policy design based on international standards such as RSPO and issues related to its implementation will be a good benchmark to be followed by each palm oil producer country as it is an effort to improve sustainable palm oil industry initiatives. The collective action between the

122

S. R. Rahmat and R. F. R. Badaruddin

government and other chain players is critical to accelerating the rise of its chain and achieving sustainability as well as food safety survival. Acknowledgements Acknowledgment to Ministry of Higher Education Malaysia for Fundamental Research Grant Scheme with Project Code: FRGS/1/2019/SS08/USM/02/5.

References Abdullah AZ, Salamatinia B, Mootabadi H, Bhatia S (2009) Current status & policies on biodiesel industry in Malaysia as the world’s leading producer of palm oil. Energy Policy 37:5440–5448 Arujanan M, Singaram M (2018) The biotechnology & bioeconomy landscape in Malaysia. New Biotechnol 40:52–59 Aziz A (2018, September 25) Local-based biotech firms ready for business, says Bioeconomy Corp. https://www.theedgemarkets.com/article/localbased-biotech-firms-ready-business-saysbioeconomy-corp Aznam A, Bhattasali D (2008) Economic growth & development in Malaysia: policy making & leadership. Commission on Growth & Development working paper no 27. Commission on Growth & Development Bioeconomy Malaysia (n.d.). http://www.bioeconomycorporation.my/bioeconomy-malaysia/ bioeconomy-transformation-project/overview/. Accessed Mar 2019 Biotechnology Corp is now called Bioeconomy Corp (2016, June 18). https://www.thestar.com. my/business/business-news/2016/06/18/biotechnology-corp-is-now-called-bioeconomycorp/. Accessed Mar 2019 Biotechnology Policy (n.d.). http://www.bioeconomycorporation.my/national-biotech-policy/over view/. Accessed Mar 2019 Brandi C, Cabani T, Hosang C, Schirmbeck S, Westermann L, Wiese H (2015) Sustainability standards for palm oil: challenges for smallholder certification under the RSPO. J Environ Dev 24. https://doi.org/10.1177/1070496515593775 Butler RA, Laurance WF (2009) Is oil palm the next emerging threat to the Amazon? Trop Conserv Sci 2(1):1–10 Corley R (2009) How much palm oil do we need? Environ Sci Pol 12(2):134–139 Corley RHV (2018, November 10) Does the RSPO have a future? New Straits Times. https://www. thestar.com.my/business/business-news/2018/11/10/does-the-rspo-have-a-future. Accessed 11 Nov 2019 Devisscher T (2007) The effects of palm oil biodiesel in producer developing countries: a case analysis of Malaysia linking National Perspectives with realities. Lund University Dharmawan AH, Mardiyaningsih DI, Rahmadian F, Yulian BE, Komarudin H, Pacheco P, Ghazoul J, Amalia R (2021) The agrarian, structural and cultural constraints of smallholders’ readiness for sustainability standards implementation: the case of Indonesian sustainable palm oil in East Kalimantan. Sustainability 13:2611. https://doi.org/10.3390/su13052611 Eco-Business (2014) Palm oil standard tested for usage by end-2014. The Malaysian Insider. https:// www.eco-business.com/news/palm-oil-standard-tested-usage-end-2014/. Accessed 20 Dec 2018 Emas R (2015) The concept of sustainable development: definition and defining principles. Brief for GSDR, 2015 European Union (2012) The Malaysian palm oil sector – overview EU delegation to Malaysia. Italia. http://www.ice.gov.it/paesi/asia/malaysia/upload/173/Palm%20Oil_overview_2012.pdf Fold N (2000) Oiling the palms: restructuring of settlement schemes in Malaysia & the new international trade regulation. World Dev 28(3):473–486 Foon CS, May CY, Liang YC, Ngan MA, Basiron Y (2005) Palm biodiesel: gearing towards Malaysian biodiesel standards, the Malaysian Palm Oil Board. http://www.fedepalma.org. Accessed Mar 2011

7

Sustainability of the Palm Oil Industry in Ensuring Food Safety

123

Geibler JV (2013) Market-based governance for sustainability in value chains: conditions for successful standard setting in the palm oil sector. J Clean Prod 56:39–53 Gibbs HK, Johnston M, Foley JA, Holloway T, Monfreda C, Ramankutty N, Zaks D (2008) Carbon payback times for crop-based biofuel expansion in the tropics: the effects of changing yield & technology. Environ Res Lett 3(3):1–10 Guo M, Song W (2019) The growing U.S. bioeconomy: drivers, development & constraints. New Biotechnol 49:48–57 Hidayat KN, Glasbergen P, Offermans A (2015) Sustainability certification and palm oil smallholders’ livelihood: a comparison between scheme smallholders and independent smallholders in Indonesia. Int Food Agribus Manage Rev 18(3):1–24 History & Origin (n.d.). http://theoilpalm.org/about/#History_&_Origin. Accessed Mar 2019 Hospes O (2014) Marking the success or end of global multi-stakeholder governance? The rise of national sustainability standards in Indonesia & Brazil for palm oil & soy. Agric Human Values 31(3):425–437 Ibrahim N (2009) Rural development in Malaysia. In: Yussof I (ed) Malaysia’s economy, past, present & future. Malaysian Strategic Research Centre, Kuala Lumpur Ibrahim A (2016, November 5) Rethink nation’s bioeconomy strategy. https://www.nst.com.my/ news/2016/11/186091/rethink-nations-bioeconomy-strategy Köhne M (2014) Multi-stakeholder initiative governance as assemblage: roundtable on sustainable palm oil as a political resource in land conflicts related to oil palm plantations. Agric Human Values 31(3):469–480 Lai WT (2011) Gender and livelihoods: a case study of the Mah Meri and the oil palm plantations of Carey Island. Asian J Women’s Stud 17(2):66–95 Laurence WF, Koh LP, Butler R, Sodhi NS, Bradshaw CJ, Neidel JD, Vega JM (2010) Improving the performance of the roundtable on sustainable palm oil for nature conservation. Conserv Biol 24(2):377–381 Malaysian Palm Oil Association (2017) Anti-palm oil lobby threatening Livelihood of 650,000 smallholders. https://mpoa.org.my/anti-palm-oil-lobby-threatening-livelihood-of-650000-small holders/. Accessed Apr 2019 Marks D (2019) Common challenges of smallholders in ASEAN: lacking access to land, water, market, and state. Water and power. Adv Global Change Res 64. https://doi.org/10.1007/978-3319-90400-9_15 Mather C (2008) Value chains & tropical products in a changing global trade regime. ICTSD project on tropical products, issue paper no.13. International Centre for Trade & Sustainable Development, Geneva Mattsson B, Cederberg C, Blix L (2000) Agricultural land use in life cycle assessment (LCA): case studies of three vegetable oil crops. J Clean Prod 8:283–292 Mekhilaf S, Siga S, Saidur R (2011) A review on palm oil biodiesel as a source of renewable fuel. Renew Sustain Energy Rev 15(4):1937–1949 Morton JF (2007) The impact of climate change on smallholder and subsistence agriculture. Proc Natl Acad Sci 104:19680–19685. https://doi.org/10.1073/pnas.0701855104 MPOB (2014) Licensing and enforcement. http://161.142.157.2/pnp/bi/pelesenan.html. Accessed Jan 2014 MPOB (2019) Malaysian palm oil board. http://www.mpob.gov.my/index.php?option¼com_ content&view¼article&id¼1217&Itemid¼322. Accessed May 2019 MPOC (2019) Malaysian palm oil industry. http://www.mpoc.org.my/Malaysian_Palm_Oil_ Industry.aspx. Accessed Apr 2019 Mutero J, Munapo E, Seaketso P (2016) Operational challenges faced by smallholder farmers: a case of Ethekwini metropolitan in South Africa. Environ Econ 7(2):40–52. https://doi.org/10. 21511/ee.07(2).2016.4 Oosterveer P (2015) Promoting sustainable palm oil: viewed from a global networks & flows perspective. J Clean Prod 107:146–153

124

S. R. Rahmat and R. F. R. Badaruddin

Patermann C, Aguilar A (2018) The origins of the bio economy in the European Union. New Biotechnol 40:20–24 Pye O, Daud R, Harmono Y (2012) Precarious lives: transnational biographies of migrant oil palm workers. Asia Pac Viewp 53(3):330–342 Rahmat SR (2016) Global value chains & the role of innovation for sustainable palm oil an international bioeconomy analysis for Malaysia, Bonn Rask K (1994) Evidence of the empirical relevance of the infant industry argument for the protection of Brazilian ethanol production. Agric Econ 10(3):245–256 Rohadi D (2017) Zero-burning policy hurts small farmers-a flexible approach is needed. The Conversation. https://theconversation.com/zero-burning-policy-hurts-small-farmers-a-flexibleapproach-is-needed-779 Ruysschaert D, Salles D (2014) Towards global voluntary standards: questioning the effectiveness in attaining conservation goals: the case of the roundtable on sustainable palm oil (RSPO). Ecol Econ 107:438–446 Sayer J, Ghazoul J, Nelson P, Boedhihartono AK (2012) Oil palm expansion transforms tropical landscapes and livelihoods. Glob Food Sec 1(2):114–119 Schouten G, Glasbergen P (2011) Creating legitimacy in global private governance: the case of the roundtable on sustainable palm oil. Ecol Econ 70(11):1891–1899 Siebrecht N (2020) Sustainable agriculture and its implementation gap – overcoming obstacles to implementation. Sustainability 2020(12):3853. https://doi.org/10.3390/su12093853 Sulaiman F, Abdullah N, Gerhauser H, Shariff A (2011) An outlook of Malaysian energy, oil palm industry and its utilization of wastes as useful resources. Biomass Bioenergy 35(9):3775–3786 Tambi N, Choy EA, Yusoff NH, Abass A, Halim UL (2021) Well-being challenges of palm oil smallholders community. J Soc Sci Human 18(2):262–278 Terlau W, Hirsch D, Blanke M (2019) Smallholder farmers as a backbone for the implementation of the sustainable development goals. Sustain Dev 27:523–529. https://doi.org/10.1002/sd.1907 Toh T (2017, May 18) 100 glorious years of palm oil in Malaysia – Star2.com. https://www.star2. com/palmoil/2017/05/18/100-glorious-years-of-palm-oil-in-malaysia/ United Nations (2019) Sustainable development goals. https://sustainabledevelopment.un.org/sdgs. Accessed Aug 2020 Vermeulen S, Goad N (2006) Towards better practice in smallholder palm oil production. Natural resource issues series no 5. International Institute for Environment & Development, London World Watch Institute (2009) Can “sustainable” palm oil slow deforestation? http://www. worldwatch.org/node/6082. Accessed May 2019 Wunderlich C (2019) Should farmers who follow sustainable practices be rewarded? IISD. https:// www.iisd.org/articles/farmers-sustainable-standards Yee KF, Tan KT, Abdullah AZ, Lee KT (2009) Life cycle assessment of palm biodiesel: revealing facts & benefits for sustainability. Appl Energy 86:S189

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics Isabel Abreu dos Santos, Albertina Raposo, Anabela Dura˜o, Caˆndida Rocha, and Lia Vasconcelos

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Conceptual Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Sustainability: More than an Environmental Question . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Pandemic and the New Normal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 The Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 Interviews: Sample Characterization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Views of the Interviewees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

126 127 127 128 129 130 132 132 134 140 143 144

I. Abreu dos Santos (*) MARE – Marine and Environmental Sciences Center, Lusofona University, Lisbon, Portugal e-mail: [email protected] A. Raposo MARE – Marine and Environmental Sciences Center, Polytechnic Institute of Beja, Lisbon, Portugal e-mail: [email protected] A. Durão Institute of Earth Sciences, Polytechnic Institute of Beja, Beja, Portugal e-mail: [email protected] C. Rocha DREAMS – Centre for Interdisciplinary Development and Research on Environment, Applied Management and Space, Lusofona University, Lisbon, Portugal e-mail: [email protected] L. Vasconcelos MARE – Marine and Environmental Sciences Center, NOVA University of Lisbon, Lisbon, Portugal e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_56

125

126

I. Abreu dos Santos et al.

Abstract

The need to be more sustainable has become a challenge for some decades now. It seems we are reaching the moment when action cannot be postponed. Humanity, and young people, are keen to take action. Being pessimistic about tomorrow can only represent a waste of time that we, as humanity, cannot afford. This chapter reports a critical reflection of the new normal, through visions from different ages, aiming towards collecting future sustainable narratives. Semi-structured interviews were conducted with a group of 49 people, ages 17–56 years old, to hear their voices and gather their views while looking into the future in an emergency pandemic scenario, which offered, beyond everything, opportunity to reflection. Results show that most of the interviewees has suspended their vision and were forced to reflect on their roles on society, what they valued and wish, mentioning that with the pandemic, the future shrunk giving room for more short-range expectations. All of them considered this a rich learning period, despite the uncertainty and doubts, and revealed positive expectations, particularly the youngsters. Respondents believe that lessons learned acquired during this unprecedented time can be used, to redefine the concept of sustainability, changing the course of society, turning it in a new and more interconnected – solidary, peaceful, equitable, assuring time to be happy – world. This chapter reports a critical reflection of the new normal, through visions from different ages aiming towards future sustainable narratives. This study had the support of national funds through Fundaçäo para a Ciência e Tecnologia (FCT), under the project UIDB/04292/2020 atributted to MARE, and the project LA/P/0069/2020 granted to the Associate Laboratory ARNET. Keywords

Sustainability · Pandemic · Future · New Normal · Vision

1

Introduction

Youngsters are fed up with the existing status quo that does not change, despite the growing evidence that the world gives growing alerts at the social, health, and environmental levels. Looking at the extreme events, the refugee humanitarian crisis attaining unseen proportion, and now with an even greater impact, the pandemic coronavirus, Allende recognizes the anguish of the youngsters facing the disastrous inherited world, mentioning that “a better world vision is shared by activists, artists, scientists, ecologists and some spiritual independents of any kind of organized religion,” to conclude that “we have to organize home” (Allende 2020, p. 195). The recent book of Boaventura Sousa Santos – “The XXI century starts now – from the pandemic to the utopia” (Santos, 2020) defends that the present sanitary crisis shows that there are alternatives to the model of global capitalism, turning him

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

127

in a “tragic optimist.” We are living a new normal. A new normal “is a state to which an economy, society, etc. settles following a crisis, when this differs from the situation that prevailed prior to the start of the crisis” used after World War I, financial crisis 2007–2008, September 11 attacks, and now the COVID-19 (World Economic Forum 2020). The recent development of events forces society to slow down and showed that once there is no other alternative, this is possible, as well as reducing pollution and even reduce consumption lowering the individual level of comfort expectations. But most of all, this provided time for reflection giving the opportunity to rethink our roles and what is important for each one of us. Having this in mind, the authors decided to understand the impact this had on people lives and if there were changes on their thought, attitudes, behaviors, and visions, before and after the pandemic, in particularly, in relationship with the world sustainability. To do so, although the interviews ages are from 17 to 56, we focus mainly on youngsters’ contributions (15–29 years old, account for 54% of respondents), since they can be seen as “the barometers of society” (Paloczi-Horvath 1972), because they will be the decision makers of tomorrow society. As mentioned above, nowadays, there is a growing concern of this group towards the society evolution. Therefore, if we want to know where we are going, it is crucial to understand their views, concerns, and ideas.

2

Conceptual Framework

2.1

Sustainability: More than an Environmental Question

In 2015, the emergence of the 2030 Agenda with 17 Sustainable Development Goals (SDGs) specifically defined allows the establishment of a framework to be implemented by all countries covering such diverse but interconnected areas to promote effective institutions and stable societies, and combating inequality at all levels. The term sustainability refers to a goal or parameter, to a final objective to achieve which aims to measure and monitor the results generated using sustainable development strategies (Feil and Schreiber 2017). Problems faced nowadays are taking increasingly relevance, although various dissenting voices are emerging. The United Nations (UN) has been emphasizing the fundamental role of implementing the sustainable development (SD) by changing, on a global scale, the way society looks and thinks about a world where all living beings have a dignified space. However, the lack of coherence in the implemented practices, many of them still unsustainable, suggests that the progress that has been made, to change the trend from unsustainable paths to sustainable ones, is still insufficient. For several authors, and for the environmental questions, Portugal has been able to accompany the (sustainable) development process (Resende 2018; Ferreira 2020a, b) from a sustainability perspective, making European Union regulatory requirements a potential for international affirmation (Raposo et al. 2020). Despite this, more action is needed if humanity is to survive the climate crisis it faces (IPCC

128

I. Abreu dos Santos et al.

2018). Like Smith (2019, p. 149) points out “to date, all efforts to suppress emissions have foundered on the contradiction between the need to prioritize economic growth over saving the environment. Given capitalism, climate change will kill us in the long run but reversing economic growth will kill us in the short run – and so we keep kicking the can down the road until now we find ourselves at the precipice.” But sustainability is not only an environmental question and “some of those actions and strategies for implementation of sustainable development practices at different social, economic and political levels tended, at the beginning, to point out the need for societies to understand education as a prerequisite for its success” (Silva and Batista 2020, p. 68). Karacaoglu (2020) inspired by the four cardinal virtues as a basis for thinking about life of Walter Kaufman (“humbition” – a made-up word referring to a fusion of humility and ambition – love, courage, and honesty) brings love to the center of the discussion and relates it to public policy asking the following question: “How would we design, govern, implement, and evaluate public policy, if it were based on our love for future generations, true to the meaning that Kaufman gives to: ‘I love you’?” Karacaoglu (2020) points out the following vision that “We have no idea what future generations will value and how they will want to live.” So, this author proposes a radically different approach to public policy based on the concept of “love” in order to allow “individuals and communities to live the kinds of lives they value, in the present and into the future – without compromising others’ rights to do the same.” For Karacaoglu, “this is what individual and community wellbeing is all about.” The author defends the need to separate short-term measures (3-4 years) by long-term government measures, independent of the electoral governance cycle. In this way, the aim of public policies should focus on promoting intergenerational well-being actions and long-term environmental, social and economic goals.

2.2

Pandemic and the New Normal

A novel coronavirus, called severe acute respiratory coronavirus 2 (SARS-CoV-2), began in Wuhan, Hubei province, China, and is now a public health emergency of international concern (Huang et al. 2020). Since December 2019, the virus has caused serious illness, death, and social disruption around the world. This is the first global crisis, threatening human existence, after World War II (Mukherjee et al. 2000). COVID-19 is not just a medical pandemic; it is a social event that is disrupting our social order (Teti et al. 2020). We still do not know when it will end; historical examples like the “1918 Spanish flu” pandemic show that multiple waves of the viral diseases occurred over many months. In the 1918 pandemic, the highest mortality was in the second wave (fall) of 1918. The 2002 severe acute respiratory syndrome (SARS) and the 2009 H1N1 swine flu did not follow similar patterns as the earlier pandemic. Indeed, the evidence suggests that there are no predictable temporal patterns for major viral influenza pandemics (Kilbourne 2006). Preventing COVID-19 transmission is contingent on public compliance and private sector cooperation to suppress human to human transmission. Several

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

129

countries have adopted new behaviors to prevent infection, such as mask-wearing, physical distancing, remote work, and hand hygiene as part of daily life (Kasai 2020). It is the responsibility, of each one of us, to comply with these new rules, so the number of deaths does not escalate even more. Some countries are exploring more sustainable and targeted response models that proactively work to suppress new COVID-19 outbreaks while reviving their economies and societies, rather than taking a reactive approach to outbreaks and having to repeat nation-wide “lockdowns” (Kasai 2020). Society was unprepared for this pandemic crisis. Governments all over the world had to take the hard decision to save the lives of citizens by enforcing lockdown or mass testing (Djalante et al. 2020). Keeping economic growth was common has a second priority in the absence of any readily available vaccine for this highly contagious virus, making this public health emergency into a worldwide epidemic. After more than 1 year of the pandemic, we are starting to see a way to restore health, economies, and societies together. Long-term planning and investments will enable us to rebuild more resilient societies and help achieve our common vision to become the healthiest and safest. Now the challenge is to make these new sustainable behaviors have continuity and be part of our everyday habits. One key lesson learned from this pandemic is that clear, caring, inclusive, and regular communication from authorities contributes to public trust in the government’s response, which leads to improved understanding of individual responsibility and, subsequently, a greater willingness to adopt infection prevention practices as part of “the new normal.” Embedding these practices as part of our “new normal” can be a stepping-stone to a “new future,” with benefits for other health issues, far beyond the response to COVID-19. This pandemic can be an opportunity to rethink the type of economic growth and support livelihood while at the same time, protect the ecosystem and promote wellbeing in the society, contributing to a more empathic, inclusive, and equal society. The pandemic provides a unique opportunity to think about what the new normal will or can be.

2.3

The Future

Nowadays, the representations of environmental futures – images, movies, political, or environmental discourses – encompass catastrophic narratives ending in apocalyptic scenarios (Fagan 2017, p. 225). Guilt related with consequences of the way citizens live their lives and fear of what tomorrow will become is a result of this kind of communication, words coming out of politicians, environmentalists, and academia. Things become complicated since people do not have the tools to deal with the type of problems that we are facing, mostly characterized by “complex, interconnected, contradictory, located in an uncertain environment and embedded in landscapes that are rapidly changing” (Sardar 2010 cited in Rieckmann 2012, p. 127). In order to find a path to solve these challenges, Rieckmann points the need

130

I. Abreu dos Santos et al.

to promote “education, research and outreach,” generating “new knowledge,” to develop “appropriate competencies and to raise sustainability awareness” (2012, p. 128). This author considers important to raise a new learning culture, rooted in an “open-minded, reflexive and participative process” (Rieckmann 2012, p. 128). Empowerment of individuals and communities, developed through good governance, open communication with different stakeholders, is an important means to reach the goal of building the tools for each person and the collective to act, develop new habits, finding new ways of organizing and living their lives. Environmental problems have a close connection with the future. The narrative of sustainability has the component of future inside its concept, relating with the generations to come and a time horizon where negative environmental impacts due to human actions can (or will) happen. Fagan (2017) calls these narratives “futureoriented stories.” But the concept of future is missing which lacks our ability to reach the goal of being objective and consequent. As a result, the following questions need an answer: what is the future? And consequently, what is the future that the environment talks about? By common sense, in order to define future, there is a need to define what the present is. And present cannot be defined if there is not a definition of the past. So, present is a sequence of the past which in turn is the beginning of the future. One cannot exist if there is not the other two, being the future a “continuation of the present” (Fagan 2017, p. 227). When thinking about the future, the environmental discourse often supports the narrative on the “apocalyptical scenarios” (Fagan 2017, p. 229), which leads the imagination towards “a vision of catastrophe and a call for action” (Fagan 2017, p. 230). The claim for urgent action is supported by sentences of time is running out, irreversible consequences of human action, destruction of the planet, reaching a dangerous tipping point, invoking the “sense of acceleration, time compression and urgency” (Fagan 2017, p. 231). Nevertheless, the message has not reached the necessary motivation for change and act that one would expect. As Fagan (2017) explains in her article, “there is a disjuncture between the seeming force of disastrous narratives and the response which they might be thought of as a designed to motivate” (p. 229), since progress reached so far on the expected measures for combating climate change, and other global environmental problems have been ineffective on motivating different actors of society. For some authors, this discourse of guilt and dread induces fear as a means of motivation, and humans in face of fear may freeze or avoid thinking about problems when there is not a clear path to follow.

3

Methodology

Supported by a bibliographic research – regarding sustainability, pandemic and the new normal, and the future – this chapter set up the scene for a set of semi-structured interviews performed through zoom meetings, a cloud-based service allowing video conferencing, an option made due to the pandemic restrictions, with the aim to

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

131

understand what the interviewees worries are and how the youngsters think the future will be. The most important methods of collecting verbal material are interviews and focus groups (Flick et al. 2004). Semi-structured interviews rely on the interaction between interviewee and interviewer, and as stated by Robyn Longhurst (2010), it is useful for investigating complex behaviors, opinions, and emotions, and for collecting a diversity of experiences, as this method offers a route to partial insights into what people do and think. Having as background the context of critical ethnography, a qualitative research was set up to highlight the common aspects and differences in the heterogeneous group selected. It intends to give readers a representative overview of the current, supported by the contributions of a diversity of interviewees, to provide a brushstroke of trends for the future. For this study, an interview guide with the questions and issues to be addressed was prepared as shown in Fig. 1. Each author of this chapter carried out a set of interviews during January and February 2021, to a sample of 49 students with different backgrounds, levels, countries, experiences, sensibilities, and ages from 17 to 56 years old. The intentional non-probabilistic sampling was carried out to whom have shown its immediate availability to be part in this study, to collect a diversity of thinking. A complementary anonymous questionnaire survey was applied to the same sampling (using google forms) to further characterize the sample (gender, age, professional situation, type of students, education area, and last degree acquired).

Fig. 1 Interview script

132

I. Abreu dos Santos et al.

The analysis and interpretation of qualitative research implies transcription of the recording material, making it readable texts. These texts were interpreted, and a collective narrative was developed from that, showing not only the diversity of views but also the convergent ideas. The constructive contribution to the representation of this procedure is increasingly recognized, which is prone to interpretation (Flick et al. 2004), giving voice to the interviewees. To analyze the contents’ categories, a code procedure was developed to allow for hermeneutic understanding as described by Mayring (2000) and by Glaser and Strauss (1967) in Longhurst (2010). NVivo was also used to graphically provide further insights from the interviewee’s contribution. NVivo is a software that helps to discover more from qualitative and mixed methods data, to uncover richer insights and produce clearly articulated, defensible findings backed by rigorous evidence. So, NVivo was used to analyze the qualitative data regarding to sustainability subject. The interviewees were questioned how they anticipate the next years, how the pandemic changed their vision of the future, to guide the reflection for the need to a new sustainability. The interview script can produce rich data that allow for the emergence of new concepts (Dearnley 2005; Krauss et al. 2009 in Kallio et al. 2016) as the answers reflect interviewees’ personal feelings. The rigorous application of a qualitative semi-structured interview script contributes to the objectivity and confidence of the studies and makes the results more plausible, although this process is rarely described in scientific papers (Kallio et al. 2016).

4

Results

Analysis of results describes the sample of interviewees’ characterization and the interpretation of its visions.

4.1

Interviews: Sample Characterization

The anonymous questionnaire survey applied to all (49) respondents shows that 61% are female and 39% are male (Fig. 2). Fig. 2 Gender of respondents (n ¼ 49)

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

133

The age groups were divided in seven (7) classes, namely: A, from 15 to 19; B, from 20 to 24; C, from 25 to 29; D, from 30 to 34; E, from 35 to 39; F, from 40 to 44; and G,  45 years old, respectively, predominating the category B (23%), as shown in Fig. 3. Figure 4 depicts the professional situation of respondents: (a) predominating student and worker (37%); (b) 65% of respondents have as their last training area in Natural Sciences and Engineering, and the remaining 35% coming from Arts and

Fig. 3 Age groups of respondents divided in seven classes (A, B, C, D, E, F, and G)

Fig. 4 Professional situation (a), educational area (b), last degree (c) and type of students (d) regarding to respondents’ sample (n ¼ 49)

134

I. Abreu dos Santos et al.

Social Sciences; (c) 50% of the respondents are attending the undergraduate course, 24% master’s degree, and 18% high school; and (d) most of them are National students (Portuguese), 76%.

4.2

Views of the Interviewees

4.2.1 Labor Market Analyzing labor market, results show this aspect is undergoing transformation, with some respondents saying they were educated to study a specific area and to exercise their professional activity in that subject that no longer exists (A1, E3). The youngest feel that the work will not be as today, “in which each person will work in a job for life” (A1). Some transcripts illustrate respondents know they want to work in the field of Environmental Engineering (B4, B5, B6, B7, B8, B10, C1, D5, E4, G2); some present the hope of being able to continue to study (D2, D3). In general, the younger interviewees associate their activity making a difference, with the influence they will have on societies, both nationally and internationally (A2). There are those who seek a better society, demonstrating altruism, contributing for the human rights of minorities (A7) and more collaborative societies (A2, A3, B1, B2, B3, B9, D1, D5, F2, F3, G4). Others express the desire to be teachers, leaders, or sustainability messengers (A6, E2, E6). Some respondents show a greater tendency to dedicate time to themselves and families (A3, D4, E5, F2) even when they still do not know what they want to do hereafter (A3); some express anguish about the future (G5). Everything indicates that the future will be for people to work from home, and cities to become more uninhabited, so “we move from globalization to glocalization” (E5); or greater mechanization with more advanced software (D6). While for some of the interviewees the status is something important, for others, this aspect is not a priority but rather the result of their actions, such as, having a positive influence on the state of the world, defense of significant causes, inspiring change, obtaining results and consequences of the effort and endeavor applied, leading to the difference, creating and contributing to the development of a society of values (A4, A5, C6, F1); “I will be (. . .) inspiring work; discover new talents. (. . .) It is the symbiosis of learn and give (. . .) it is the society of values” (G1); “I hope to be working on changing people’s behaviors (. . .) I would like to be a teacher (. . .) everything I can do I will do” (C2). Two respondents stated that, by then, they will be managers of projects and teams (C4, B11) influencing the social transformation. 4.2.2 The Future in 2050 The next 30 years are seen as conducive to successive shocks, in a downward spiral. Several are the interviewees, particularly the less young, who present a pessimistic view of the future. The main negative aspects mentioned are availability of jobs, fight over territory and essential goods, egoism, increasing inequality, pollution, climate change, diseases, water shortage, political and social instability, and a more

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

135

fragile democracy. These aspects often appear as fears and uncertainties about the future as expressed: “obviously the fact that we are living in a pandemic does not help my perception of what the future is going to be, either soon or in 30 years, I am a bit afraid, I feel that we are a little falling apart as a society, globally. (. . .) We are together in the same storm, but we are going to get even better boats while the others went pushed into canoes and rafts. Instead of arranging (. . .) a big Noah’s ark for everyone. In other words, I am very pessimistic about this” (C5); “We use and abuse, money means more than everything else, I see everything very bad. I really liked that my grandchildren had a beautiful planet” (G5); “regarding environmental issues (...) with the COVID scenario I fear the future, we all depend on each other and the house (the planet) is the same, I fear for food security, I fear for the quality of water and air principally” (F6); “I’m more afraid because the world is going to change quickly and, in less time, we will have more phenomena. I have a terrible fear of the lack of water and the dispute that this can lead (. . .) with all this there will be a cycle in which people will look individually, more towards themselves” (C1). A much-mentioned aspect concerns technology relates with the development of robotics (B11) and artificial intelligence (A6). A kind of withdrawal, remoteness, due to technological advancement is also identified, and there are several interviewees who reflect this aspect for the future of humanity, alerting for the lack of physical and personal contact, highlighting for “we must never forget what makes us people, and how important it is to hug, kiss, speak, (. . .) and being human beings” (F2). In the other way, these “technological advances can bring positive changes in health, in medicine, (. . .) in environmental aspects (. . .) with positive impacts on people’s social lives” (B10). It is interesting to verify that these aspects are seen not only as negative aspects but as part of the evolution of society and they are not necessarily bad. They cover not only technology and artificial intelligence (A1, A4, A5, A6, B9, D4, B10, B6, E6) but also health, education (B9, D6), environment and renewable energies (B9, B6, E6, D4), and aspects such as dialogue, changing mindsets, and cooperation (A4, A5, B2). For many respondents, particularly for younger people, these worrying scenarios are also reasons for hope such as a greater awareness of the youngest (A2) that leads to the expectation that they can change the world; “I expect that today’s young people will be able to change the world. Change the paradigm focused on economic growth; to deflect this focus and think about the sustainability of the environment; greater equality between human beings; any less disparity in basic needs; a fairer world, more balanced. I think we are in the paradigm of having to return to the origins; we have evolved only in economic growth; I think we should focus again on the basics, on the essentials, so that all animals, species, people can have the same level of opportunities. I would like the generations I’m going to leave here (children, grandchildren) could have a better world” (F3). Education and the preservation of history are seen as fundamental (A4, D6), and “if there is no investment in education seriously and in a structured way, things tend, by the natural rhythm, to repeat themselves in the worst ways” (D6). But there are also many interviewees who believe that in 30 years, the world may be better. As positive aspect respondents considered the ecological regeneration,

136

I. Abreu dos Santos et al.

social regeneration, and cooperation conscience (A2, B1, B2, B8, D2, E1, E5, E3, F1), the ease of communication that technology allows us (D1) towards the evolution to a scenario of non-extremisms. It is important to see “what is happening, with the younger population, that has a lot more environmental and social awareness, is that increasingly environmentally friendly solutions are being sought and thinking about the process behind everything we are to consume, I think that there will be created a more responsible society and also that values the environment more” (C4).

4.2.3 Sustainability When asked about the meaning of sustainability, in the form of “name three words that defines sustainability,” the focus was on change, knowledge, reuse, reduction, family, and health (Fig. 5). The feeling that a change is necessary to achieve sustainability indicates a discredit that the path we are on is the correct one. “Sustainability is to consume per year how many resources we can (. . .) so we can maintain the capacity that the planet has to restore these resources. But, in this human trajectory I think sustainability must mean a little more than that. Sustainability is that we are able to let the Earth manage to regenerate resources faster than we consume them” (E1). The results of the analysis also indicate that to achieve effective change, there must be knowledge, which can come in the form of innovation, science, or memories of the past that can be adapted to the present and the future. “Sustainability is, after all, trying not to deplete today what we will need tomorrow, nor to deplete resources too quickly in a way that allows future generations to enjoy the same privileges as we do” (F6).

Fig. 5 Word frequency (similar words): “Three words to define sustainability”

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

137

The respondents also have the perception that if we do not decrease the exploitation of natural resources, by decreasing the consumption or extending the life cycle of materials, we will not be able to achieve sustainability. “So, for me, sustainability is more like worrying about the environmental impact. We need to think about ways to avoid production. It is easier to reduce than to reuse or recycle” (E6). And some of them have very concrete actions: “Reuse. For example: use cold water that comes out of the shower for irrigation; do not leave the water running. Use the laundry machine always full” (B2). The importance of family is also present in the responses “There is no sustainability without these words (family, leisure work), the human being is not sustainable without a family. How can we promote sustainability without the foundations? The world cannot be moved towards sustainability without a solid structure that is the family (friends, traditional or modern families) social structure (society)” (E5, F2). The sense of health and well-being is also present: “for me, sustainability is about being able to be where you want to be” (G3). From the universe of 49 interviewees, more than half (63%) admit knowing about the 2030 agenda “Yes, very well. I work specifically on them; I’m working on aligning company policies with the objectives” (C6). Despite, 20% of them do not clearly know what the agenda means: “I know in a generic way” (D5). A total of 37% of the interviewees never heard about the United Nations 2030 Agenda and the Sustainable Development Goals it defends.

4.2.4 Challenges Towards 2050 When questioned about the main challenges of the world or the country, towards 2050, the respondents chose three major actions they would implement. For respondents in general, environmental education and training, beginning in daycare and continuing throughout life, has been identified as important and a priority (B3, B4, B9, B10, G2, E5, E6), since it is “the basis of everything” (E6, B9); to explain that the planet is our home (A3, B3, B6, D5). And would add that education is also needed to have a better and wiser management of resources (A2, B4, B11, C5), and change mentalities (C1, D1, D6, E3). The issue of health, its equal access, and improvement is mentioned by several respondents (B10, D4, D5, E2, E6). Environment and environmental sustainability concerns were, in general, the most identified and mentioned category by the interviewees. In general, they emphasized the need to get the message reaching the public, promoting awareness campaigns (A4, E5), starting with actions at home, taking advantage of natural environmental conditions to promote the country’s economic development (B10); promoting green fields (B9); managing the forest and implementing reforestation (A6, B10, E3), reducing forest fires (D2); promoting biodiversity (D2); taking care of the sea (A6, B3); and promoting management of natural resources (A7). And, finding solutions to create “more protected areas” (B3), bringing “more nature and within the cities” (B3), promoting the happiness and well-being of the populations and reducing mental illnesses (B3), and having the notion of the integration of the human within the natural (B3). It was also stated the need for “the distribution of knowledge across planet Earth” (A1) as an important action to take, as well as the media giving more and better information (A4) and promoting culture (G1). More

138

I. Abreu dos Santos et al.

than anything else, “we must abandon the economic growth” and simultaneously “regenerate, regenerate, regenerate . . . forests, ecosystems, waters and democracy” (E3). It is necessary to change the economists’ paradigm to the social and environmental paradigm (D6, E3) through “uprisings (revolutionary, popular) (. . .) in ecological and social terms,” and “technological advances that do not inflict brutalities to the world (e.g., advancements in Low-Tech and not in High-Tech” (E3). Furthermore, restoring people’s trust in the word sustainability (. . .) which the market has emptied of its true meaning (D1). The concern with climate change is consistent among the respondents, suggesting the need to work together for the solution and accusing humanity of not dealing with the problem in a serious way (A1, A7, F5). For this to happen, change should occur since “society until now has not shown great power of engagement (. . .) it has not shown capacity to read and incorporate scientific data and things that are not mere assumptions or conjectures, but possible realities” (E1). Even when this data point to major negative consequences, people are unable to incorporate them in their daily habits, or into the possibility of changing their patterns, “since most of the time changing patterns directly interferes with degrees of comfort (. . .) therefore, this shows that society does not have the ability to gradually adjust to the new levels of comfort, different from the ones we have today” (E1). Some respondents pointed out general and holistic solutions, highlighting the need for a strong and global environmental protection policy, in all aspects (air, water, soil, environmental protection of all ecosystems) that does not allow any living being to be left unprotected (C1). Changing mentalities is another action suggested by several interviewees, with regard to promoting values and generating good people, with sympathy, care, or willingness to help (A6, F2), calling for empathy (A7, B9, D4), or for the adoption of more efficient behaviors (A3, F2, G5). Respondents identified equal opportunities, as one of the main actions to implement, suggesting several solutions: “assuring rights such as health, housing, education, minimum wage” (A5); including populations in general, allowing all minorities – victims of hunger, poverty, social exclusion – to be happy, to live a life with quality, which they deserve (A1, A7, B2, B5, F2, F5); “paying more attention to women who suffer from domestic violence” (B2); or “protection for the elderly” (D4); or giving opportunity to all people to be heard (B5, E4, F2) in order to build a more just society – either economically, or socially – more egalitarian without unbalances (C5). Respondents also presented global solutions, such as: developing and encouraging interconnection between countries for world peace (A1, A5, B6); giving a voice to young people who have valid ideas; assure gender equality; build knowledge; and affirming that all young people want to change the world. Moreover, it is mentioned that “children and youngsters entering adulthood are crucial, since they have a lot to teach us, showing new ways to think, new ways to be with the others, and to look at the others” (F2). As stated, “young people do not know about wars” (B1). They also suggested the adoption of industrial and business management measures, promoting incentives for environmental measures and renewable energies (A4). There were also proposals for the increase of enforcement of compliance with environmental legislation in companies (B8, G2).

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

139

About the management of villages and cities, it is suggested to create “conditions for each village/city to be sustainable” (B2) and the incentives “for the rural world . . . to encourage people to occupy the countryside . . . with the need for economic measures for this transformation and take advantage of the technological world” (F6). “The great challenge will be to be able to decrease together, since that does not adapt to the economic models of development created until now (. . .) we have to get organized in bio-regions” (E1). “We need to prepare home, including leaving home, getting out of cities, finding communities, recapacitating, gaining familiarity with the ecosystems (both ecological and social) that surround us, know the resources, know how to use them” (E3). Simultaneously, “try to stop this blind participation in the system” (E3). Leadership is one of the demonstrated concerns by the respondents, referring the fight against corruption and improving the justice system (A6, D5, E2, F1, F3). Leadership generated several proposed actions, such as the replacement of main world leaders by people with values (B1, C1, F4); or more extreme positions, “political class all out (. . .) I would end the ‘job for the boys’ practices (. . .) less and better laws in clear language. I would oblige, at least public universities, to publish in the media their findings to help the economy” (G4). Collaborative leadership is suggested by three respondents highlighting that people succeed better together (B1, F1, G5). There are still surprising actions, such as the creation of a time bank or the ministry of happiness, “an hour of my carpenter’s job is equivalent to an hour of a civil engineer. In terms of time, there is no social difference” (E4); or as another respondent said, “I would create the Ministry of Happiness (. . .) because it is important for people to be happy, society works better” (G1).

4.2.5 Lessons from Pandemic: A Change in World Vision For most respondents, the outlook for the future has changed due to the 2020 pandemic. Nevertheless, there are those for whom 2020, as they say, did not alter their vision; but, in the following sentences, the discourse reflects a modification of somehow, setting more ambitious goals on a personal and professional level (B8, G2). Some respondents believe that, even recognizing some changes, for humanity, this period will pass, and everything will be as it was before. But most respondents transmitted their lessons learned, with hope of a better life, taking advantage the positive side of the confinement, giving value to the possibility of being with the family, and reconciling professional life with personal (E2, F2); living better with less (E2); having more time to think, to myself (B1, B10, F5), and more time to learn and acquire knowledge, with the increased internet offers (B10). Findings from the interviews show that most respondents changed their view of the future, but mostly with a positive envision about what the next years will be. Even though some respondents transmitted fear from what will be the next years, others said they set short-term goals for 2020, which were most easily

140

I. Abreu dos Santos et al.

reached. Several participants talked about psychological tiredness, feeling fear, uncertainty about the future, and a lack of understanding about “what was happening to the world” (A2, A3, A7, D5). Freedom was a condition that was referred by most of the respondents; its lost, due to confinement, revealed its importance, and for some was of highly importance, as some expressed: “I didn’t know I had the freedom to do anything (. . .) I took it as certain” (C1). Others refer the freedom related to fight for a better world and the risk of losing it referring to the new extreme groups appearing all over the world. Some respondents valued the sense of humanity, being humble, referring the importance of history, culture, values, but also the significance of science and technology. The new normal comes with the risk of over sanitization, which may reduce health defenses in relation to other microorganisms (A7, G4). Other views of respondents were related to the drive of society towards selfishness (D5) while others were amazed at how the world managed to be altruistic (B4, G1); “2020 made me more human” (A5); “the family teamed up; there were moments of tension, the tension had to be crafted so, it helped to shape patience and hope” (E5). This pandemic “was important to strengthen ties with our friends or even with strangers because it was a time when we were all going through the same” (A2, D4, G1). It also emerges from the collection of visions, a care for our ancestors and loss of intergenerational values, “the elderly (. . .) are increasingly being disrespected” (D4). As well as highlighting the importance of having memories, saying that “social sciences, history, philosophy gives spiritual development and memories” (A4). Several respondents became more aware about environmental issues, realizing the cleaner it become, noticing less noise, the return of birds, “it even seemed that the birds sang better,” (D3) and other natural (lost) sounds. A deep thought was transmitted by the saying that “the pandemic is seen as much more than a disease” (G1). There is also “a social pandemic,” due to the lack of knowing what the future will be – tomorrow, next month, or the following years – regarding the economy, the environment, or “nature” (G1). Some respondents offer paths to follow, saying how it is “necessary to listen more to the scientific community” (G5), listen to young people (A3, B10); the need for political action (G5) knowing that “our society needs a change because lots of people live in a bubble of privilege that necessarily has to get out of that bubble and to find out what’s going on” (A5) and maybe “we are, who knows, better prepared scientifically for a different pandemic” (C1), which brings us to a final message: “Enjoy this planet that is so beautiful, so wonderful. It is so good to be human, it’s fantastic” (G5).

5

Discussion

COVID-19 is not only a health issue but also “a social event that is disrupting our social order” (Teti et al. 2020) – as confirmed by the interviewees – having potential to generate social transformation and redefining sustainability. In effect,

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

141

associated with every crisis there is always an opportunity. This was also confirmed by the interviewees. In addition to the revelations of feelings of fear, sadness, or insecurity, desires and purposes also emerged. They included not to postpone plans, to value human relationships, and to look around and pay attention to what those next to us need. In addition to these aspects, the need to minimize damage and impacts on the environment is also very present in our interviewees. The news about the reduction of pollutant levels in several regions of the globe, due to lockdown, made interviewees think about what life model we should adopt. As much as we have worked for a more sustainable world over the past few decades, much remains to be accomplished if we want to timely reverse the damage done. This is crucial if we think about the risk associated with the survival of humanity itself. Unless action is taken quickly and effectively, all efforts made so far will have no consequences. The pandemics shrunk the time frame slowing down the rhythm of our society; it also allowed to understand the potential for implementation of new more sustainable models. We are in a unique opportunity to adopt new attitudes and behaviors privileging a more sustainable society. Most people interviewed referred that their target future has changed since for them future had shorten. Sustainability is a dynamic evolutive concept adjusting according to the multiple dimensions – social, economic, and environmental – or depending on the weight of each of these components. New more sustainable models have been emerging and being tested in small scale endeavors. The defenders of these models complain that decision makers always postponed large-scale implementation of these more sustainable models claiming that it is impossible to change everything overnight. COVID-19 have shown that this idea restraining change is a fallacy. In fact, when there is an urgent need, things can change dramatically. Therefore, if there are political will, opportunities can be created for the implementation of these smallscale models giving them the conditions to grow to large-scale models. These sustainable models often include dramatic changes such as the following defended by one of the interviewees: “First, we need to abandon the economic growth. Sure, this is an answer that requires much more than just this slogan, correct? To abandon the economic growth has immense implications, either geopolitical, or social, democratic, or economic organizational. Second, we must recapacitate intensely the populations with our knowledge, investing in research of low technology, so that we can have comfortable, healthy and safe lives. Without having to enter in that dystopia of getting back to the stone age. Therefore, abandon the growth, recapacitate and regenerate.” (E3)

In Europe, the European Green Deal (2019–2024) has the mission to make Europe climate neutral by 2050, boosting the economy through green technology, creating sustainable industry and transport, and cutting pollution. But, to what extent is this possible? We should pay attention that the international political agendas should accept the challenge and revise the existing model of development offering new

142

I. Abreu dos Santos et al.

more sustainable ones that are emerging out of the pandemic. Society should not lose this unique opportunity. But as one of the interviewees says: “The society at this moment is very polarized, I think the bad ones will become much worse and the best ones will get better. On one side, we will see movements that look more strongly, not violently, to break the more retrograde movements, but those ones will also gain momentum and become more extreme, more polarized (. . .) I know the history, before a war there are always a bipolarization (. . .) I have hope that the more social and progressive movements become more active, however I do not know how far that is not going to ostracize even more the less informed, less satisfied, less protected persons that tend to join the less progressive movements and society will fall even more and not unite as desirable.” (C5)

Simultaneously, “Society until now did not show great power of engagement (. . .) it has not shown capacity to read and incorporate scientific data (. . .) people are unable to incorporate them in their daily habits, or into the possibility of changing their patterns, “since most of the time changing patterns directly interferes with changing their levels of comfort (. . .) while the free capitalism go on with the power it has, consuming more, we are going to consume more energy, we are going to continue to produce more infrastructure and energy, which does not mean that we are not going to deplete the earth’s resources.” (E1)

The challenges humans face towards a sustainable future can be met previous to a dangerous turning point. There is no doubt that success depends upon the deep change in the way we think, act, and live. As the pandemic showed us, trust in science and working in deep interdisciplinary collaboration, involving people, academia, researchers, decision-makers, “toward consilience of all available knowledge” (Tonn 2003, p. 674) is fundamental. Moreover, policy, though calling for and defending scientific data, is still far from incorporate it in its own agendas and strategies. And even when data show us evidence that experimental alternatives punctually tried are not merely assumptions but possible realities, the status quo still has difficulty to accept and incorporate it in policy development, as highlighted by this respondent: “Since a great part of the earth resources are limited, we have to begin fighting for them, and something that we, developed world, we had managed to push into the underdeveloped world, that are the direct effects of the scarcity of these resources, we are going to feel it also in the first world, and therefore, we are going to have social destabilization, and we will become much more a society managed by classes than an equalitarian society to what it seems we were heading on the 50’s.” E1

Family assumes greater importance during the pandemics, either due sustainable behavior or the need to allocate more time to socialize. Most interviewees called for the need for ethics and the relevance of action supported on values, such as altruism, empathy, social justice, respect for the other, for the tradition and culture, and for nature which are keys for success. This is in line with Karacaoglu (2020) that emphasizes, “unless an integrated environmental, social, and economic policy

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

143

framework is adopted, considering the critical interdependencies between all ecosystems, a public policy that is focused on intergenerational wellbeing cannot achieve its objective,” and therefore sustainability.

6

Final Considerations

Numerous efforts have been made in recently in favor of the environment. However, further practical actions are needed. If not, all efforts made so far will have no consequences. The pandemic forced the world to slow down, to abruptly change behaviors, to question the present and the future, the ways of being and living in society, and, consequently, to reflect individually. This fact necessarily brought new visions in the different areas of expression of human life, as stated by a youngster “with everything I learned in 2020, the future is awaited with some anxiety, and some fear as well, things do not always go as we expected, but also with a lot of determination, will and ambition, so I will be able to do something, to make a difference, because it is necessary” (A7). The vision shared by a young respondent, that “the planet Earth will not end but human life may be in danger or will be greatly altered and even from a morphological point of view; the human species will have to adapt” (A1), is very present in the collected narratives. So, what is really missing for assuring constant actions to keep moving in this direction acting towards sustainability? There is an urgent need to revolutionary us as humans, changing our perspective of looking and defining the environment and sustainability as something external, like a landscape that we detach observe from a distance. No, we are the environment; the narrative of protecting something that is external of us is wrong, walk us away from the aim of the interconnectivity of the web of life, since we are a bond of the food chain, and we are an integral part of sustainability. All these reasons make the authors of this chapter to conceptualize the “New sustainability” as the proposal of a life model that guarantees the survival of ecosystems, where the human being is included and grounded in the web of life, where we can all (society in its arrangements: family (in all forms), friends, colleagues, comrades, nongovernmental organizations, science, religious groups, etc.) live harmonious within the interconnected systems of economic, social, cultural, political, and environmental relationships. As stated above, COVID-19 is not only a health issue but also “a social event that is disrupting our social order” (Teti et al. 2020) – as confirmed by the interviewees – having potential to generate social transformation. We are in a turning point that we should take advantage in favor of a more sustainable society. The lessons learned with the recent pandemic should revert to influence the social transformation of our society to make it more livable, inclusive, and assure quality of live and well-being to all humanity preserving our natural systems. International agendas and policies should have a more global perspective, supported by values, considering the unique and local specificities to guarantee a new sustainable future for all. But this

144

I. Abreu dos Santos et al.

emergency pandemic resulted in a new vision of time and future, with most young people changing their vision of the future. Describing the pandemic as a bomb and an unprecedented historical event, for the youngest the future is now, is today. So, this is the time to act!

References Allende I (2020) Mulheres da minha alma. ISBN: 978-972-0-03380-2Ano de edição ou reprinted: 03-2021Editor: Porto Editora Djalante R, Shaw R, Dewit A (2020) Building resilience against biological hazards and pandemics: COVID-19 and its implications for the Sendai framework. Prog Disaster Sci 6. https://doi.org/ 10.1016/j.pdisas.2020.100080 Fagan M (2017) Who’s afraid of the ecological apocalypse? Climate change and the production of the ethical subject. Br J Polit Int Rel 19(2):225–244. https://doi.org/10.1177/ 1369148116687534 Ferreira, P. (2020a) Rumo a 2030: os Municípios e os Objetivos de Desenvolvimento Sustentável. Instituto Marquês de Valle Flor, Lisboa, ISBN: 978-989-54015-8-1. Ferreira, P. (2020b) Portugal e a Agenda 2030 para o Desenvolvimento Sustentável. Plataforma Portuguesa das ONGD, Lisboa, ISBN: 978-989-54011-3-0. Feil A, Schreiber D (2017) Sustainability and sustainable development: unraveling overlays and scope of their meanings. Cadernos EBAP.BR, 14(3), Art 7, 667–681, Rio de Janeiro. https:// doi.org/10.1590/1679-395157473 Flick U, Kardorff EV, Steink I (2004) A companion to qualitative research. SAGE Publications, London. 431pp, ISBN 0 7619 7374 5 (livro) Glaser, B. and Strauss, A. (1967) The Discovery of Grounded Theory. New York: Aldine, http:// www.sxf.uevora.pt/wp-content/uploads/2013/03/Glaser_1967.pdf. Huang C, Wang Y, Li X, Ren L, Zhao J, Hu Y et al (2020) Clinical features of patients infected with novel coronavirus in Wuhan. China Lancet 2020(395):497–506 IPCC- Intergovernmental Panel on Climate Change (2018) Global Warming of 1.5 (October 7, 2018). http://report.ipcc.ch/sr15/pdf/sr15_headline_statements.pdf Kallio H, Pietila A, Johnson M, Kangasniemi M (2016) Systematic methodological review: developing a framework for a qualitative semi-stutured interview guide. University of Salford, Manchester. https://doi.org/10.1111/jan.13031 Karacaoglu G (2020) I love you – investing for intergenerational wellbeing, real-world. Econ Rev 92:207–227 Kasai T (2020) From the “new normal” to a “new future”: a sustainable response to COVID-19. Lancet Regional Health Western Pacific 4 Kilbourne E (2006) Influenza pandemics of the 20th century. Emerg Infect Dis 12(1):9–14. https:// pubmed.ncbi.nlm.nih.gov/16494710/. Retrieved 24 Feb 2021. https://doi.org/10.3201/eid1201. 051254 Longhurst R (2010) Semi-structured interviews and focus groups. Key methods in Geography http://dsc.du.ac.in/wp-content/uploads/2020/04/3.4-Semi_structured-Interviews-FocusGroups.pdf Longhurst R. (2010) Semi-structured interviews and focus groups, Chapter 8, in Key methods in Geography, 2nd ed.. Edited by Nicholas Clifford, Shaun French and Gill Valentine, SAGE publications Ltd., https://www.dedoose.com/publications/key%20methods%20in%20geogra phy.pdf. Mayring, P. (2000) Qualitative Content Analysis. FQS - Forum Qualitative Social Research, Volume 1, No. 2, Art. 20, June 2000.

8

Melting Pot: The New Sustainability in a World of Emerging Pandemics

145

Mukherjee, M. et al. (2020) Ecosystem-centric business continuity planning (eco-centric BCP): A post COVID19 new normal. Progress in Disaster Science, Springer, 7, 100117, http://www. qualitative-research.net/fqs/. Paloczi-Horvath G (1972) Le soulèvement mondial de la jeunesse. Robert Laffont, Paris Raposo A, Abreu dos Santos I, Vasconcelos L (2020) Sustentabilidade e Cidadania: um olhar sobre estratégias nacionais no convergir para uma sociedade mais sustentável, Revista Sinergias – diálogos educativos para a transformação social: O Contexto das Políticas Públicas e a Área da Educação para o Desenvolvimento e para a Cidadania Global, pp 13–28, Centro de Estudos Africanos da Universidade do Porto (CEAUP) e Fundação Gonçalo da Silveira (FGS) Edition, ISSN 2183-4687 Resende, R. (2018) A Agenda 2030 e os Objetivos de Desenvolvimento Sustentävel nas Grandes Opçães do Plano 2017 uma avaliação no contexto de políticas públicas. Dissertação para obtenção do Grau de Mestre em Engenharia do Ambiente Perfil de Engenharia de Sistemas Ambientais. Faculdade de Ciências e Tecnologia, Universidade Nova de Lisboa, https://run.unl. pt/handle/10362/50889. Rieckmann M (2012) Future-oriented higher education: which key competencies should be fostered through university teaching and learning? Futures 44:127–135 Santos, B. S. (2020). O futuro começa agora. Da pandemia à utopia. Edições 70, Almedina. ISBN 9789724423890 Silva F, Batista B (2020) Education for sustainable development and global citizenship: a portrait of educational practices (2010–2020). In: Saúde S, Raposo MA, Pereira N, Rodrigues AI (eds) Teaching and learning practices that promote sustainable development and active citizenship. IGI Global. https://doi.org/10.4018/978-1-7998-4402-0 Smith R (2019) An ecosocialist path to limiting global temperature rise to 1.5 C. Real-World Econ Rev 87:149–180 Teti M, Schatz E, Liebenberg L (2020) Methods in the time of COVID-19: the vital role of qualitative inquiries. Int J Qual Methods 19:1–5. https://doi.org/10.1177/1609406920920962 Tonn BE (2003) The future of futures decision making. Sci Direct Futures 35:673–688. https://doi. org/10.1016/S0016-3287(02)00106-4 World Economic Forum (2020) There’s nothing new about the ‘new normal’. Here’s why. https://www. weforum.org/agenda/2020/06/theres-nothing-new-about-this-new-normal-heres-why. Retrieved 18 Mar 2021

9

Tackling the Climate Emergency with Urban Sustainability Approaches Şiir Kılkış

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Method and Approach for Determining Pathways for Urban Areas . . . . . . . . . . . . . . . . . . . . . . . 3 Pathways for Urban Areas in Developed Countries and Eurasia . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Pathways for Urban Areas in Asia and Developing Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Pathways for Urban Areas in Latin America and the Caribbean . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Pathways for Urban Areas in Africa and the Middle East . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Climate Action Based on Sustainable Urbanization Pathways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Conclusions for the Realization of Sustainable Urbanization Pathways . . . . . . . . . . . . . . . . . . . Appendices on Urban Mitigation Actions and SDEWES Index Indicators . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

148 150 154 157 158 160 162 166 166 171

Abstract

Rapid decarbonization across all urban areas of the world is crucial if humanity is to realize pathways that lead to a more limited global warming of 1.5
C that is essential for the life-support systems of the planet. Such a challenge requires balancing the rapid pace of urban change with opportunities that will enable a transition to greater penetration of renewable energy, resource efficiency, and more compact urban form. This chapter summarizes the approach of quantifying urban emissions in 1.5
C pathways that are compared to 2.0
C pathways for 30 urban areas across the world leading to the year 2050. The 30 urban areas take place within the most populated urban agglomerations across world regions. The pathways are mapped for each world region and discussed in the context of the mitigation measures that are in the process of being taken while emphasizing the need for increased levels of transformative action. The significant differences

Ş. Kılkış (*) The Scientific and Technological Research Council of Turkey, Ankara, Turkey e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_58

147

Ş. Kılkış

148

in urban emission reductions in these scenarios are put forth alongside the existing levels of urban emissions from consumption-based perspectives, targets in support of engaging in the Race to Zero emissions, and the expected changes in urban population leading to mid-century. The opportunity of decoupling emissions from greater well-being for a more sustainable future is indicated based on comparisons with the Sustainable Development of Energy, Water, and Environment Systems Index. Pathways leading to the year 2050 that can provide more benefits for people and the planet within the constraints of limiting global warming to 1.5
C will require action across urban areas inclusively. Keywords

Urban sustainability · Urban growth · Emissions · Mitigation · Climate change · Sustainable development

1

Introduction

The rapid changes that are occurring in urban areas to accommodate the needs of urban inhabitants can continue to pose different pressures on the earth system depending on the approach of managing demands on land, energy, water, and materials. By 2050, up to 2.1 million km2 (Huang et al. 2019) of land could be urbanized based on patches around the world while there is the possibility of reducing this impact significantly to about 0.9 million km2 (Gao and O’Neill 2020). The burden that urban areas are posing on the use of materials is also placing extra weight on the planet with projections leading to about 90 billion tonnes of materials being demanded for consumption in 2050 (Swilling et al. 2018) unless major changes are made. Moreover, 100 cities that represent about 1% of total surface area necessitate about 12% of water demands (McDonald and Shemie 2014). The decisions that will shape the energy, water, and material usage patterns of urban areas and the choice of energy resources will determine the outcome of directing greenhouse gas (GHG) emissions towards zero emissions. The way that the demands on land, energy, water, and materials of urban areas are managed and shifted to more sustainable solutions will shape resource usage patterns and climate mitigation opportunities in the decades ahead to 2050. The first milestone on this pathway is meeting the Sustainable Development Goals (SDGs), including those for sustainable cities and communities, responsible consumption and production, affordable and clean energy, clean water, and sanitation, climate action, and all of the other interlinked goals with their underlying targets (IGES 2019). Most recently, an urgent call to action has been issued considering the need for a decade of transformation leading to the year 2030 while recognizing that the year 2022 marks 50 years since the Stockholm Convention

9

Tackling the Climate Emergency with Urban Sustainability Approaches

149

(Nobel Prize Summit 2021; UNEP 2022). Tackling urbanization that defines a concurrent process across the planet and defining pathways to redefine the way that this process is taking place leading to the year 2050 have potential to provide significant benefits from multiple perspectives. This includes rapid GHG emission reductions driven by renewable energy, resource efficiency, and more limited land use through frugal urban growth. Instead of ongoing impacts on the environment in the critical time of climate change, urban areas can perpetuate more efficient ways of satisfying human needs while increasing the uptake of renewable energy and innovative behavior. The ability to tackle the climate crisis can be advanced by integrated approaches (Kılkış et al. 2019) in urban systems (Kılkış 2021b). Since 2015 that defines the timeframe since the last Assessment Report of the Intergovernmental Panel on Climate Change (IPCC), there has been a significant increase in the scientific literature that focuses on sustainable, climate-aware cities with clean energy based on the relevant SDGs. Figure 1 provides an overview of this scientific landscape based on the Scopus keywords that are defined for sustainable cities and communities (SDG11), climate action (SDG13), as well as affordable and clean energy (SDG7) with the condition that at least one keyword from each of these SDGs is satisfied by a given scientific article or review (Scopus 2021). The search results have resulted in about 1500 articles and reviews that are joined based on climate change while extending to studies that focus on energy utilization, life cycle assessment as well as issues of urbanization and urban growth. A recent review of

Fig. 1 Representation of the scientific landscape addressing SDGs 11, 13, and 7. (Source: The author)

Ş. Kılkış

150

the food-energy-water nexus for urban areas has also emphasized the crucial importance of a sustainable nexus approach for urban areas given interconnected needs that can be satisfied more efficiently when an integrated approach is adopted (Newell et al. 2019). The nexus approach has relevance for urban areas given the opportunities that it provides for eco-services, including optimized energy savings and resource use (Bellezoni et al. 2021). The contribution of this chapter focuses on summarizing a means of defining sustainable urbanization pathways leading to the year 2050 for urban areas in all regions of the world with GHG emission limits that are aligned with the 1.5
C and 2.0
C pathways. In addition, scenarios within these regional pathways are discussed for 30 urban areas that take place among urban agglomerations with the highest population in each region. The sustainable urbanization pathways leading to the year 2050 are based on the Shared Socioeconomic Pathway that is defined for green growth and sustainability, namely SSP1 (van Vuuren et al. 2017). This scenario is used in combination with the bounds of two Representative Concentration Pathways (RCP) that are based on the GHG emissions budget given the chance of restricting end-of-century warming to 1.5
C and 2.0
C with 66% likelihood (Rogelj et al. 2018). Recently, the urban share of GHG emissions has been quantified for all regions of the world (Gurney et al. 2022). This contribution extends this advance by defining pathways for specific urban areas within two scenarios that are based on the IMAGE model, namely SSP1-1.9 and SSP1-2.6, per urban area. The chapter contribution is organized into the summary of such an approach and a discussion of the implementation of this approach with perspectives from urban areas.

2

Method and Approach for Determining Pathways for Urban Areas

Figure 2 summarizes the approach where the urban emissions footprint for a particular city Cj at a given point in time is taken as the basis of implementing analyses for urban emission pathways (Kılkış 2021a, 2022). In this approach, the urban GHG emissions footprint is based on a dataset of over ten thousand cities and utilized based on per capita values (Moran et al. 2018). The national emission reduction pathways are extracted based on gridded emission datasets for the SSP11.9 and SSP1-2.6 scenarios and used for defining the GHG emission reduction trends that are applicable also for urban areas (Gidden et al. 2019). This ensures that the pathways consider the urban footprint while providing consistency with the emission reductions that take place in scenarios that are defined in the SSP-RCP framework (Riahi et al. 2017). As indicated based on the arrows in the top of Fig. 2, various datasets are merged to obtain changes in per capita values, all of which is combined with urban-level population to obtain scenarios in different pathways.

9

Tackling the Climate Emergency with Urban Sustainability Approaches

151

Fig. 2 Depiction of the approach in this study for obtaining city-level urban emission pathways. (Source: The author based on the approach in Kılkış (2021a))

In the context of SSP1, projections of urban population for specific urban agglomerations are based on the results of a recent urban growth model (Kii 2021). A standard classification of regions is then applied to this data to determine the urban agglomerations that have the highest urban population for a given region. Urban areas that have been benchmarked with the Sustainable Development of Energy, Water, and Environment Systems (SDEWES) Index (Kılkış 2019a, b; SDEWES Centre 2018) are included in the selection when a given urban area is present among those with the highest population for a given region. For each region, this has resulted in the inclusion of an average of six urban agglomerations within the development and geographical regions of the developed countries, Eastern Europe and West-Central Asia, Asia and developing Pacific, Latin America and the Caribbean, as well as Africa and the Middle East. The summary of the 30 selected urban areas by region is given in Table A1 in the Appendix along with a scanning of their climate action status. This includes the scope of existing mitigation actions based on the Carbon Disclosure Project that currently includes over 500 entries for 18 of the

Ş. Kılkış

152

cities (CDP 2021). An even greater number of urban areas based on 23 cities are members in the Race to Zero Campaign in the months prior to the 26th Conference of the Parties in Glasgow (UNFCCC 2021). This includes all selected urban areas from the developed countries as well as Latin America and the Caribbean that have relevant net-zero targets. Among the selection, 15 cities were analyzed based on changes in their urban form types between the timeframe of 1990 and 2015 (Lemoine-Rodríguez et al. 2020a, b). The changes that have taken place in this timeframe can provide an understanding of how the urban areas have evolved over time and where the cities are headed unless changes in spatial planning take place to allow the urban form to provide more services with less land use. Table 1 indicates that compact urban form is not observed among these cities while some cities have shifted to sprawling urban form based on fragmented and complex structures, such as Tianjin, and others have moved to transitional urban form with mixed elements, including compactness, such as México City. The cities have exhibited changes in the urban area (Δkm2) that ranges from 83 km2 (Saint Petersburg) to 2836 km2 (Shanghai) within the same or different urban forms. The way that urban areas can manage limiting growth in urban extent based on urban planning while reducing GHG emission impacts will determine an important strategy for tackling climate change with the necessary pace and speed towards more sustainable urban areas. The utilization of the results for evaluating climate action for sustainability is also represented in Fig. 2. Overall, this chapter contribution supports the urgency of comparing urban level pathways and their outcomes across the 1.5
C and 2.0
C temperature targets based on urban GHG emission reductions. The scope of the GHG emissions for specific urban areas is based on a consumption-based accounting framework (Moran et al. 2018). Table 1 Change in urban form types for different cities and change in urban area between 1990 and 2015. (Source: Compiled by the author from Lemoine-Rodríguez et al. (2020a, b)) 1990–2015 (Δkm2) Transitional (1990)

Ragged-small (1990) Fragmented-complex (1990)

Transitional (2015) New York Osaka (294) (2581) Madrid (254) Beijing (776) Mumbai (138) Buenos Aires Bogotá (98) (629) São Paulo (487) Cairo (318) México City (856) Los Angeles (817) Paris (496)

Istanbul (354) London (262) Saint Petersburg (83)

Fragmented-complex (2015) Tianjin (581) Lagos (263)

Kinshasa (261) Shanghai (2836) Guangzhou (1801) Johannesburg (1438)

Tokyo (736) Moscow (516) Sydney (212)

9

Tackling the Climate Emergency with Urban Sustainability Approaches

153

The specific per capita emissions footprint per urban cluster is used based on the online dataset (GGMCF 2018). In addition to the emissions that take place within a given urban area, the emission impacts of urban activities beyond territorial boundaries are considered, including those for goods and services. Reducing consumptionbased emissions of a given urban area requires tackling all sources and underlying drivers of emissions (Dodman 2011). The differences between the pathways are discussed based on the pace of urban GHG emission reductions towards reaching the turning point of net-zero emissions while improvements are still possible based on earlier action for scaling-up the penetration of renewable energy and better resource efficiency. The quantification of these pathways for urban areas based on the approach is visualized on regional maps and graphs that are used for related discussions. Since the main regions correspond to both development-oriented and geographical regions, urban areas from the same region are grouped on the same map whenever possible with exceptions noted separately. All regional values in Tables 2, 3, 4, 5, and 6 are compiled from a comparative perspective for two scenarios among seven scenarios based on analyses that are conducted in the scope of Gurney et al. Table 2 Comparison of emission pathways for urban areas in the developed countries region. (Source: Compiled by the author from Gurney et al. (2022)) Unit: GtCO2eq 1.5
C pathway 2.0
C pathway

2020 10.31 10.31

2030 5.71 8.86

2040 2.37 7.19

2050 0.74 5.22

Table 3 Comparison of emission pathways for urban areas in Eastern Europe and West-Central Asia. (Source: Compiled by the author from Gurney et al. (2022)) Unit: GtCO2eq 1.5
C pathway 2.0
C pathway

2020 1.88 1.88

2030 1.23 1.76

2040 0.67 1.38

2050 0.33 1.23

Table 4 Comparison of emission pathways for urban areas in Asia and developing Pacific. (Source: Compiled by the author from Gurney et al. (2022)) Unit: GtCO2eq 1.5
C pathway 2.0
C pathway

2020 11.29 11.29

2030 8.44 12.16

2040 3.72 9.84

2050 1.18 6.81

Table 5 Comparison of emission pathways for urban areas in Latin America and the Caribbean. (Source: Compiled by the author from Gurney et al. (2022)) Unit: GtCO2eq 1.5
C pathway 2.0
C pathway

2020 2.25 2.25

2030 1.49 2.33

2040 0.89 2.01

2050 0.48 1.77

Ş. Kılkış

154

Table 6 Comparison of emission pathways for urban areas in Africa and the Middle East. (Source: Compiled by the author from Gurney et al. (2022)) Unit: GtCO2eq 1.5
C pathway 2.0
C pathway

2020 2.87 2.87

2030 1.89 2.99

2040 0.94 2.64

2050 0.57 2.17

(2022) while urban level pathways for specific urban areas Cj are obtained based on the approach as summarized in Fig. 2. The chapter continues with findings based on the implementation of this approach to 30 selected urban areas with relevant discussions, including those for climate action for urban sustainability. The findings are presented by each of the main regions with quantitative and qualitative support provided as relevant and the maps representing urban emissions from 2020 onward.

3

Pathways for Urban Areas in Developed Countries and Eurasia

Urban areas in developed countries accommodated about 23% of the total global urban population while accounting for about 40% of the global urban emissions impact in 2015 with urban emissions continuing to rise to 10.3 GtCO2eq in 2020 against a minor reducing global share at 36%. Table 2 compares the results of the urban emissions impact based on the same starting point of 2020 for both scenarios up to mid-century. Between the years 2020 and 2030, while urban areas in developed countries would be expected to reduce urban emissions by 4.6 GtCO2eq in the 1.5
C pathway, this reduction would be limited to only 1.5 GtCO2eq in a 2
C pathway. The difference in the year 2040 would continue to widen between the two scenarios with reduction differences of 7.9 GtCO2eq and 3.1 GtCO2eq from 2020 values in the lower and upper bounds of these pathways, respectively. In 2050, urban areas in developed countries would have reached about 0.74 GtCO2eq on the path towards net-zero emissions immediately in the upcoming years with about a 95% reduction from 2020 levels. In contrast, the duration of reaching a similar point is prolonged into the future in the 2.0
C pathway with still 5.22 GtCO2eq of urban emissions that would represent only a 50% reduction from the same year by mid-century. Beyond analyses on a regional aggregate basis for urban areas as given in Table 2, the urban agglomeration of New York-Newark has the third highest urban population in the developed countries region after Tokyo and Osaka based on Kii (2021). The same agglomeration has the greatest urban emissions impact from a consumption perspective considering an urban emissions impact of 17.1 tonnes CO2eq per capita in 2015 (Moran et al. 2018). Such an urban emissions impact that reaches about 345.3 MtCO2eq in 2020 is equivalent to the urban emissions of about five of the selected urban areas in Europe when combined. Figure 3 compares the 1.5
C and 2.0
C pathways for the urban agglomeration of New York-Newark, indicating that a reduction in urban emissions by about 149.4 MtCO2eq is necessary by 2030 in

9

Tackling the Climate Emergency with Urban Sustainability Approaches

155

Fig. 3 Quantification of urban GHG emissions under two temperature targets for the urban agglomeration of New York-Newark; data series represent pathways as indicated in the legend. (Source: The author)

Fig. 4 Comparison of pathways for urban areas in developed countries and Eurasia. Note that Cairo is included due to geographical proximity while taking place in the region of Table 6. (Source: The author)

the 1.5
C pathway against the possibility of only a 33.4 MtCO2eq reduction in a 2.0
C pathway. Similar to the difference in the magnitude of urban emissions of this urban agglomeration, inclusive action across all urban areas are important for delivering pathways that are aligned with the 1.5
C temperature target. Ambitious reductions are necessary across all urban areas in developed countries, including London and Paris. Between 2020 and 2030, the emission reductions that are necessary for these two urban areas in the 1.5
C pathway are 36.5 MtCO2eq and 34.4 MtCO2eq, respectively, while ranging between only 5.8 MtCO2eq and 9.8 MtCO2eq in the 2.0
C pathway. Figure 4 summarizes these pathways for a total of eight urban areas in Europe and Eastern Europe plus Cairo as an urban area from the neighboring region. Currently, the mitigation measures that are reported for at least one of these urban areas include renewable energy targets, partnerships for solar energy, net-zero

156

Ş. Kılkış

carbon buildings, electrification of bus fleets, light rail, zero diesel and petrol vehicles in 2024 and 2030, connections to the district heating network, zoning policies, brownfield redevelopment, recycled water production, material reuse, and local food (CDP 2021). An upscaling of comprehensive action is necessary to be able to transform these urban areas onto pathways that are better aligned with the Paris Agreement. Another urban area in this development region that extends to the Southern Hemisphere is Sydney as depicted in Fig. 5. The urban emissions footprint of this urban area is about 58.7 MtCO2eq in 2020 from a consumption-based accounting perspective that will be expected to reduce to 36.5 MtCO2eq by 2030 with a reduction of 22.2 MtCO2eq on the pathway of reaching net-zero GHG emissions around mid-century. Currently, Sydney switched to 100% renewable electricity for municipal operations from regional wind and solar farms (REN21 2021a). Increased penetration of renewable energy throughout the urban area and electrification of transport, particularly public transport, can support this urban area in the continuation of this transformation in the years ahead. Visions for transforming the urban system of Greater Sydney towards sustainability are also defined with co-creation based on citizen engagement (AAS 2021). Table 3 compares the 1.5
C and 2.0
C pathways for urban areas in Eastern Europe and West-Central Asia or Eurasia that reach 1.6 GtCO2eq and 0.7 GtCO2eq reductions in 2050 from about 1.9 GtCO2eq urban GHG emission impacts in 2020. This region currently represents about 7% of the global urban emissions impact. Only two urban areas from this region are represented in Fig. 4, namely Moscow and Saint Petersburg. Between 2020 and 2030, these two urban areas would need to contribute to the 1.5
C pathway with reductions of 28.2 MtCO2eq and 12.2 MtCO2eq while the reductions would be limited to 9.0 MtCO2eq and 3.9 MtCO2eq in the 2.0
C pathway, respectively. Comprehensive action that extends to rapid access to renewable energy and increased urban metabolism is necessary if these urban areas are to make transformative changes. Emission changes in the largest urban agglomerations are also essential.

Fig. 5 Map of urban GHG emissions in 2015 (left) and pathways under two temperature targets for Sydney (right); blue series represent the 1.5
C and the red series represent the 2.0
C pathways. (Source: The author)

9

4

Tackling the Climate Emergency with Urban Sustainability Approaches

157

Pathways for Urban Areas in Asia and Developing Pacific

In 2015, urban areas in the region of Asia and developing Pacific represented about 43% of the urban population with about 1.7 billion urban inhabitants and 36% of urban emissions with an increasing share in urban emissions that reached about 39% in 2020. The comparison between the 1.5
C and 2
C pathways for urban areas in this region is provided in Table 4, which indicates that the trend of rapidly increasing urban emissions in this region of the world at 11.3 GtCO2eq in 2020 needs to take on a reversed trend in the next decades for urban emission outcomes that are aligned with these scenarios. Based on the values in Table 4, this would entail that urban emissions are reduced by 2.9 GtCO2eq from 2020 levels by 2030 in the 1.5
C pathway in contrast to a continuing increase by about 0.9 GtCO2eq in the 2.0
C pathway. Reductions in both pathways take place in the following decade while the magnitude of these reductions is 7.6 GtCO2eq and 1.5 GtCO2eq in 2040 and 10.1 GtCO2eq and 4.5 GtCO2eq in 2050. In the 1.5
C pathway, urban emissions would be at about 1.2 GtCO2eq or lower in 2050. Recent progress in the region, particularly the net-zero emissions target that has been included in the new development plan of China (Min 2021), would require significant contributions from such urban areas as Shanghai, Guangzhou, Tianjin, and Beijing in the order of the current urban emissions impact that ranges between 183.1 MtCO2eq (Shanghai) and 81.9 MtCO2eq (Beijing). These urban areas would need to contribute to the 1.5
C pathway with reductions in urban emissions by as much as 54.0 MtCO2eq (Shanghai) and 24.1 MtCO2eq (Beijing) from 2020 levels by 2030 in contrast to reductions that range between much lower orders of magnitude at 4.7 MtCO2eq and 2.1 MtCO2eq in the other pathway of 2.0
C. Figure 6 presents the selected urban areas in the region of Asia and developing Pacific plus two urban areas that belong to the developed countries while mapped on to the same geographical region, namely Tokyo and Osaka, for a total of 16 different pathways that are provided for these 8 urban areas. Among relevant mitigation actions, Shanghai has long-term experience with a coordination mechanism to manage a special fund for cross-sector mitigation measures in the urban area (Peng and Bai 2020). The commission of the coordination mechanism is responsible for ensuring that the special fund is managed in a way that addresses mitigation opportunities at the cross-section of multiple local institutions and utilities. It is observed that the sequencing of policies has also lead to a greater emphasis on renewable energy in recent years following previous investments in energy efficiency (Peng and Bai 2018). Co-benefits that are documented for these mitigation measures include better air quality. In contrast, Tokyo as an urban area in a developed context purchases renewable electricity for government buildings and implements a cap-and-trade program for large buildings (CDP 2021). These measures, however, will likely remain insufficient to place the urban areas on track for the more ambitious 1.5
C pathway. Figure 6 includes the emission pathways for the megacities of New Delhi and Mumbai. While these two megacities would be expected to reduce their urban emissions impact in turn by about 11.6 MtCO2eq and 5.8 MtCO2eq between 2020

Ş. Kılkış

158

Fig. 6 Comparison of pathways for urban areas in Asia and developing Pacific. (Source: The author)

and 2030 in the 1.5
C pathway, there would be continued increases of about 31.1 MtCO2eq and 15.5 MtCO2eq between these same years in the 2.0
C pathway. The implementation of the urban emission reduction pathways for these urban areas would involve significant co-benefits for health and well-being given the improvements in air quality as well as job opportunities that could be possible based on renewable energy utilization. Currently, the mitigation actions that are documented for New Delhi include replacing a coal power plant with a solar park as well as increasing the accessibility of public transport and enhancing carbon sinks (CDP 2021). Cleaner air could increase public health and reduce long-term exposure of inhabitants to persistent air quality issues that are currently widespread.

5

Pathways for Urban Areas in Latin America and the Caribbean

Following urban areas in developed countries as well as Asia and developing Pacific, urban areas in the region of Latin America and the Caribbean have a relatively less salient while still important role for enabling the realization of 1.5
C pathways based on necessary GHG emission reductions. Urban areas in this region of the world represent about 13% of the urban population and 8% of urban emissions in 2015 that increased to about 2.3 GtCO2eq in 2020 with a similar share within global urban emissions. The comparisons in Table 5 indicate that the urban emissions for the urban areas in this region in a 1.5
C pathway would be expected to decrease by 0.8 GtCO2eq from 2020 levels in 2030 while still representing an increase by about 0.1 GtCO2eq in a 2.0
C pathway. These two scenario pathways represent significant

9

Tackling the Climate Emergency with Urban Sustainability Approaches

159

differences for the state of the planet, including cascading effects based on closing tipping points that can increase drought conditions in the Amazon Rainforest, challenging global stability (Lenton et al. 2019). Based on these values for urban emissions at the regional level, the emissions of urban areas in this region of the world would reduce to about 1.5 GtCO2eq in 2030 in a 1.5
C pathway and remain at 2.3 GtCO2eq in the 2.0
C pathway, indicating that significant reductions are necessary to avoid the intensifying and irreversible impacts in the latter scenario. By 2040, the difference between the two scenarios would be reductions of 1.4 GtCO2eq and 0.2 GtCO2eq from 2020 levels, respectively. By 2050, urban areas in Latin America and the Caribbean would be expected to reach up to an 80% reduction from 2020 levels if important tipping points and related consequences are to be avoided based on the 1.5
C pathway. Figure 7 provides the urban emission pathway scenarios at the urban level for the selection that includes Buenos Aires and México City. The GHG emissions impact of these urban areas would be expected to be decoupled despite increases in the urban population in all urban areas. In the 1.5
C pathway, the GHG emissions impact of México City would be reduced by about 31.8%, 71.0%, and 86.2% from 2020 levels by 2030, 2040, and 2050, respectively, while the urban population increases by about 4.2 million between 2020 and 2050 in both scenarios. Similarly, while the urban population would be expected to increase by about 1.2 million in Buenos Aires, the GHG emissions impact of this city would be expected to be reduced in turn by about 26.9%, 49.3%, and 71.2% in the 1.5
C pathway. The existing mitigation measures for both urban areas include improving mass transit, waste prevention policies, and building energy efficiency measures (CDP 2021).

Fig. 7 Comparison of pathways for urban areas in Latin America and the Caribbean. Note that the urban agglomeration of Los Angeles-Long Beach-Santa Ana is included due to geographical proximity (see Table 8). (Source: The author)

160

Ş. Kılkış

However, transformative action is clearly necessary to initiate the transition process that will lead to the necessary reductions as depicted in the trends in Fig. 7. Overall, the selected urban areas in this region will need to reduce their GHG emissions from 2020 levels ranging between values of 5.2 MtCO2eq (Lima) and 20.7 MtCO2eq (México City) in the 1.5
C pathway while increases continue by 0.6 MtCO2eq and above in the 2.0
C pathway. In Rio de Janeiro, an integrated planning and monitoring committee for sustainable development has been established and a solar farm is being developed at the site of a landfill alongside reforestation, green corridors, and a new target for a zero-emissions district (CDP 2021). While this is an important beginning, mitigation action in these urban areas will need to be much more transformative at a greater pace and scale to be able to initiate the necessary transition for a rapid reduction process leading to net-zero emissions and beyond.

6

Pathways for Urban Areas in Africa and the Middle East

Urban areas in the region of Africa and the Middle East accommodate about 17% of the urban population. At the same time, extremely low per capita urban emission footprints in Africa versus mixed urban emission footprints in the Middle East limit the total urban emissions of this region to about 10% of global urban emissions in 2015 with a similar share in 2020. In contrast, the urban emissions of this region have increased to 2.9 GtCO2eq in 2020. The significant challenges for sustainable development in this region further represent the double challenge or opportunity of providing for basic human needs while enabling urban areas to capture new options for climate mitigation and sustainable development. Table 6 indicates that by 2030, urban areas in Africa and the Middle East will need to reduce GHG emissions to reach at most 1.9 GtCO2eq in a 1.5
C pathway or maintain existing levels with relative stability at about 3.0 GtCO2eq in a 2.0
C pathway. Continued reductions are involved in 2040 leading to 2050 while net-zero emissions would be neared with some delay in reaching the exact turning point shortly after mid-century. The tremendous and untapped opportunities for renewable energy utilization in this region, particularly solar energy (Hafner et al. 2018), provide ample opportunities for leapfrogging into a decoupling process with more job opportunities, higher standards of living, and lower or no GHG emissions from energy use. These aspects of sustainable development can also accelerate these pathways. Four of the 5 urban areas that are selected among those with the greatest urban population in the region are provided with urban emission pathways in Fig. 8. This includes Lagos that has an urban population of about 12.7 million in 2020 while having 7.4 MtCO2eq of total urban emissions footprint due to low per capita emissions. The urban area of Kinshasa has a similar urban population of about 12.1 million while the urban emissions impact is found to be about 1.6 MtCO2eq in 2020. Among urban areas in this region, Johannesburg and Cape Town have the highest relative urban emissions footprint at about 49.3 MtCO2eq and 33.9 MtCO2eq, respectively. By 2030, the reduction in the urban emissions footprints

9

Tackling the Climate Emergency with Urban Sustainability Approaches

161

Fig. 8 Comparison of pathways for urban areas in Africa and the Middle East. (Source: The author)

for these two important urban areas in the region would be expected to be about 24.6 MtCO2eq and 16.9 MtCO2eq in the 1.5
C pathway while reductions would reach at most 2.1 MtCO2eq in the 2.0
C pathway. In Cape Town, mitigation measures are documented to include regulatory changes for renewable energy procurement and city-owned photovoltaic plants, industrial symbiosis, carbon neutrality in new buildings, pedestrian zones, spatial planning for more compact, equitable and inclusive urban areas, land-use intensification, flexible work programs, and material recovery (CDP 2021). A zero-carbon action plan will further identify multiple opportunities to transform the urban energy system to renewable energy by 2050 (REN21 2021b). The process of realizing climate mitigation is coupled with climate adaptation as the main starting point for climate action in African cities (Roberts 2010). A recent review of climate action in African cities has also identified that cities are increasing mitigation efforts after experiencing the impacts of climate change from extreme climate change related events while the pursuit of synergies between mitigation and adaptation remain mixed (Lwasa et al. 2018). Additional benefits that can be captured with integrated solutions in urban areas include new possibilities for job opportunities based on renewable energy and better food security that can increase support for climate action significantly. Effective urban climate governance is necessary so that the available investment opportunities can be directed into solutions that can address climate change and sustainable development simultaneously while blocking any additional investments that would lead to an increase in GHG emissions. One analysis indicates that the total level of investment to realize SDG11, including committed investments and the

Ş. Kılkış

162

investment gap, is about 2.6 times below the available investment capacity (UN Habitat 2020) as an underutilized availability of opportunities. Across the world, urban areas can be much more resilient, inclusive, safe and sustainable for people and the planet given sufficient mobilization of climate action.

7

Climate Action Based on Sustainable Urbanization Pathways

Each region across the world requires wide-ranging reductions in GHG emission impacts from urban areas. The urban-level emission pathways in this contribution for 30 urban areas with the findings being discussed based on Figs. 3, 4, 5, 6, 7 and 8 further underline the importance of the most populous urban areas. These urban areas need to be at the forefront of climate action to make these pathways possible. Each urban area is a system within a system and reducing the GHG emission impacts requires a comprehensive set of solutions as well as well-coordinated planning. In this way, it will be possible to implement measures that can integrate multiple opportunities by bringing together sectors in urban areas to improve efficiencies and increase renewable energy penetration. The need for integrated action extends into reducing the teleconnected land impacts of urban areas that reach across the world based on urban consumption patterns (Seto et al. 2012). The SDEWES Index has been developed to benchmark the performance of urban systems while encouraging policy-learning to enable urban areas to act upon opportunities to decouple energy and resource use from GHG emissions while improving urban planning and social welfare. The SDEWES Index involves 35 main indicators across 7 dimensions to benchmark cities while underlining the opportunities for improving performances with an integrated approach. The first three dimensions are energy usage and climate, penetration of energy and carbon dioxide (CO2) saving measures, as well as renewable energy potential and utilization (SDEWES Centre 2018). The next four dimensions are water usage and environmental quality, CO2 emissions and industrial profile, urban planning and social welfare, as well as R&D, innovation, and sustainability policy (SDEWES Centre 2018). Table A2 in the Appendix summarizes the main indicators across the dimensions of this composite indicator. The SDEWES Index has been applied to 120 cities around the world (Kılkış 2019a, b) with 14 cities that overlap with the 30 urban areas in this chapter contribution. Figure 9 contains these overlapping cities where the horizontal axis represents the corresponding values in this composite indicator that represents the performances of cities across all seven dimensions (SDEWES Centre 2018) while the vertical axis represents the urban GHG emissions impact from a consumptionbased perspective in 2020 as included in Figs. 3, 4, 5, 6, 7 and 8 herein. The size of the bubbles represents the changes in urban population between the years 2020 and 2050 (Kii 2021).

9

Tackling the Climate Emergency with Urban Sustainability Approaches

163

Fig. 9 The SDEWES Index (horizontal axis), urban GHG emission values (vertical axis), and urban population change between the years 2020 and 2050 (diameter of bubbles, see legend). (Source: The author)

Even as urban areas receive an increasing amount of inhabitants, there is the opportunity of satisfying these increasing demands in a more compact, resourceefficient, and renewable energy-based manner. In the progression of urban areas across time, a sustainable urbanization pathway that would meet rapid reductions in the vertical axis while moving along the horizontal axis by increasing efficiencies and improving livelihoods represents the vision that climate action and sustainable development can be mutually reinforcing. As GHG emissions are limited effectively across urban areas, it is possible to increase social welfare, public health, as well as job opportunities, all of which can be achieved with effective governance structures that share this common agenda. Cross-sectoral cooperation is especially crucial for urban areas given their complex nature and concentration of activities. Crosssectoral cooperation is one of the levers for enabling transformative change (Brutschin et al. 2021) when the impacts of climate change are being realized in more complex, co-occurring ways (Folke et al. 2021). The interaction of these same impacts continue to emphasize the need for taking action to remain in a safe operating space (Folke et al. 2021). Among the urban areas that are included in Fig. 9, Barcelona is closest to this point in the future based on the horizontal axis while still requiring significant improvement to progress across both axes. An exemplary trajectory would serve the purpose of increasing values in the SDEWES Index while reducing GHG emission impacts rapidly on a trajectory as defined in the 1.5
C pathway for this urban area. The bidirectional movement of urban areas across time based on coupled improvements in both axes represents the vision that urban areas can be drivers of enabling pathways that are more compatible with the Paris Agreement while delivering significant benefits for urban inhabitants. The envisioned trajectory in Fig. 9

164

Ş. Kılkış

can guide local decision-makers in envisioning the urban transition process as one that leads to effective climate action with the necessary pace and timing while improving efficiencies. There are significant opportunities for increasing the sustainable development of energy, water, and environment systems in urban areas that can accelerate the overall progress for effective urban climate mitigation. Scenarios that are directly based on 100% renewable energy solutions further provide promising opportunities for improving across both axes simultaneously within the space that is defined in Fig. 9. A recent study has quantified the renewable energy capacities based on solar, wind, and/or wave energy that would enable such scenarios for 74 metropolitan areas, including a consideration of the rooftop areas of residential, commercial, and governmental buildings for photovoltaic installations (Jacobson et al. 2020). The same study has quantified the social cost savings and earnings from job opportunities when compared with a business as usual scenario leading to the year 2050 (Jacobson et al. 2020). Table 7 summarizes these values for 24 urban areas that overlap with the 30 urban areas in this chapter contribution. The values in Table 7 are based on the mean estimates of the cost savings from avoided air pollution damage that includes both health and non-health related cost savings based on the switch to 100% renewable energy by 2050. At the local level, the average annual value of cost savings ranges between 1066 dollars per person (Sydney) and 7273 dollars per person (Beijing) with an average value of 2687 dollars per person per year. There are important savings also in New Delhi. Another estimation that relates to social cost savings is based on the annual mean estimate of cost savings from climate change impacts at the global level based on the switch to 100% renewable energy. These values range between 280 dollars per person in 2050 (Lagos) and 11,569 dollars per person (Sydney) with an average value of 4272 dollars per person per year. Both average values are closest to the values of Rome in Table 7. From an employment perspective, the estimates include the annual earnings from job opportunities in operating new and existing facilities in the switch to 100% renewable energy. These values range between 0.58 billion dollars per year (Lagos) and 14 billion dollars per year (Tokyo) with an average value of 3.90 that is closest to the value of London. These represent the mutual opportunities in the social dimension of urban areas while a key strategy for reducing GHG emissions are addressed based on renewable energy. As reinforcing perspectives on urban climate action, solutions that support compact, resource-efficient, and renewable energy futures for urban areas can be supported with increased green-blue infrastructure. Urban greenery has potential across many urban areas as promising solutions to reduce the intensification of the urban heat island effect (Leal Filho et al. 2021). In contrast, the number of people who will be exposed to multiple climate change impacts is significantly more in the 2.0
C pathway when compared to the 1.5
C pathway (Byers et al. 2018). The number of people who are exposed to multiple climate change impacts from different

9

Tackling the Climate Emergency with Urban Sustainability Approaches

165

Table 7 Social cost savings and job opportunities with 100% renewable energy in 2050 for selected urban areas. (Source: Compiled by author from Jacobson et al. (2020))

Cj Beijing Bogotá Buenos Aires Cairo Cape Town Istanbul Kinshasa Lagos Lima London Los Angeles Madrid México City Moscow Mumbai New Delhi New York City Paris Rio de Janeiro Rome São Paulo Shanghai Sydney Tokyo Average (Sample)

Cost savings from mean air pollution damage ($/ person/year), 2050 7273 1157 1643

Cost savings from mean climate cost ($/ person/year), 2050 5562 1238 3644

Earnings from jobs in new/existing operation (billion $/year) 6.97 1.68 2.39

2424 2148

2225 11,228

1.57 1.54

2033 1814 4385 1863 1927 1757

2814 681 280 1406 3524 7255

2.37 0.69 0.58 1.20 3.71 5.94

1514 1482

3550 3391

1.69 3.52

4682 4727 4727 1757

10,321 1906 1906 7255

4.34 1.75 3.40 8.98

1475 1209

3206 1841

3.16 4.62

2749 1209 7273 1066 2183 2687

3889 1841 5562 11,569 6437 4272

1.07 4.83 8.93 4.57 14.00 3.90

sectors simultaneously, such as heat event exposure, water stress, and reduced crop yield at the same time, doubles between these two pathways (Byers et al. 2018). The interlinked nature of urban areas and consumption value chains can further increase cascading and compounding risks across systems (Pescaroli and Alexander 2018) and borders (Carter et al. 2021).

Ş. Kılkış

166

8

Conclusions for the Realization of Sustainable Urbanization Pathways

The ability to couple the rapid pace of urban change across the world with opportunities that can enable more sustainable urbanization pathways is an enormous need. Only if the rapid pace of urban change is coupled with more transformative and innovative action will it be possible to envision a world that can limit the severe impacts of the ongoing climate crisis. Collective action across all urban areas of the planet will be crucial for enabling more favorable climate futures as well as effective governance to coordinate multiple opportunities across society and institutions. Comparisons with the mitigation measures that are taken by most of the urban areas represent an effort for climate mitigation while these efforts will still come short of the more comprehensive and transformative action that is necessary. Such action for realizing the more ambitious pathway is vital for sustaining planetary life-support systems. The analyses for urban-level emission pathways that are included in this chapter contribution for 30 urban areas across world regions compare the significant differences between the reductions that are necessary for the pathways that are aligned with the 1.5
C and 2.0
C temperature targets. These urban-level emission pathways that represent the best available knowledge provide new opportunities for comparing and benchmarking progress for change. Beyond an informative effort, however, the results represent a call for urgent action for urban areas to collectively shape the realization of opportunities for a more sustainable planet. The local pathways that are provided based on the 1.5
C temperature target under known sensitivities can be used to increase and coordinate broader, far-reaching urban climate action.

Appendices on Urban Mitigation Actions and SDEWES Index Indicators The Appendices include additional information on the selected urban areas based on urban GHG emission reductions by 2030 in two pathways, the scope of existing mitigation actions, and current involvement in the Race to Zero (Table A1). The second table provides the dimensions and indicator framework of the Sustainable Development of Energy, Water, and Environment Systems (SDEWES) Index (Table A2).

E. Europe and WestCentral Asia

Region Developed countries

Cj New YorkNewark Los AngelesLong BeachSanta Ana Tokyo London Paris Osaka Madrid Sydney Istanbul Barcelona Rome Moscow Saint Petersburg

2.0
C pathway 33.4

19.3

26.3 5.8 9.8 13.1 8.8 3.7 9.5 6.1 4.3 9.0 3.9

1.5
C pathway 149.4

86.3

56.4 36.5 34.4 28.1 24.9 22.2 19.9 17.1 12.2 28.2 12.2

ΔCO2eq (2020–2030), MtCO2eq

✓ ✓ ✓

✓ ✓ ✓ ✓ ✓ ✓

✓ ✓ ✓

✓ ✓ ✓

✓

✓

✓

✓ ✓ ✓ ✓

✓

✓

✓

✓

✓

Consumption, water, waste, and/or wastewater ✓

Scope of existing mitigation measures (CDP 2021) Energy savings Transport, mass Community-scale and/or renewable transit and/or development, energy in walkable eco-districts, and/or buildings districts reforestation ✓ ✓ ✓

(continued)

✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓

✓

Race to Zero (UNFCCC 2021) ✓

Table A1 Selected urban areas by region ordered by urban GHG emission reductions by 2030 in two pathways, scope of existing mitigation actions and current involvement in the Race to Zero. (Source: The author)

9 Tackling the Climate Emergency with Urban Sustainability Approaches 167

Africa and the Middle East

Latin America and the Caribbean

Region Asia and developing Pacific

Cj Shanghai Guangzhou Tianjin Beijing New Delhi Mumbai México City Buenos Aires São Paulo Rio de Janeiro Bogotá Lima Johannesburg Cape Town Cairo Lagos Kinshasa

Table A1 (continued)

2.0
C pathway 4.7 3.2 2.8 2.1 31.1 15.5 2.2 8.9 0.6 0.4

3.8 9.1 2.1 1.4 21.4 3.7 1.0

1.5
C pathway 54.0 36.1 31.9 24.1 11.6 5.8 20.7 19.7 14.7 9.8

7.8 5.2 24.6 16.9 6.5 0.4 0.4

ΔCO2eq (2020–2030), MtCO2eq

✓

✓ ✓

✓ ✓ ✓ ✓

✓

✓

✓ ✓

✓

✓ ✓

✓

✓

✓ ✓

✓

✓

✓

✓ ✓ ✓

✓

Consumption, water, waste, and/or wastewater

✓ ✓

✓

Scope of existing mitigation measures (CDP 2021) Energy savings Transport, mass Community-scale and/or renewable transit and/or development, energy in walkable eco-districts, and/or buildings districts reforestation

✓ ✓

✓ ✓ ✓ ✓

✓ ✓ ✓ ✓ ✓ ✓

Race to Zero (UNFCCC 2021)

168 Ş. Kılkış

9

Tackling the Climate Emergency with Urban Sustainability Approaches

169

Table A2 Dimensions and indicator framework of the Sustainable Development of Energy, Water, and Environment Systems (SDEWES) Index. (Source: Based on SDEWES Centre (2018) and related sources) Dimension (D) Energy usage and climate (D1)

Penetration of energy and CO2 saving measures (D2)

Renewable energy potential and utilization (D3)

Water usage and environmental quality (D4)

Indicators (i) i1.1 Energy usage of buildings (MWh) i1.2 Energy usage of transport (MWh) i1.3 Energy usage per capita (MWh/capita) i1.4 Total degree days (Days
C) i1.5 Final to primary energy ratio i2.1 Action plan for energy and CO2 emissions i2.2 Energy system characteristics

i2.3 Energy savings in buildings i2.4 Density of public transport network i2.5 Efficient public lighting armatures i3.1 Solar energy potential (Wh/m2/ day) i3.2 Wind energy potential (m/s) i3.3 Geothermal energy potential (mW/m2) i3.4 Renewable energy in electricity production (%) i3.5 Green energy share in transport (%) i4.1 Water consumption per capita (m3/year) i4.2 Water quality index (/100)

Scope/Sub-indicators Residential, tertiary, and municipal buildings Private/public transport, municipal vehicle fleet Buildings, transport, industry (non-ETS), public lighting Heating and cooling degree days weighted by average seasonal coefficient of performance Energy production, transmission and distribution, storage/end-usage Sustainable Energy Action Plan/ Sustainable Energy and Climate Action Plan, equivalent strategy District heating/cooling, combined heat and power, integration of multiple sources, low temperature networks, power-to-gas Refurbishment of buildings, net-zero energy buildings/districts Total urban rail per km2, daily usership per km, bicycle sharing Solid-state lighting, solar energy based armatures Annual mean insolation on an optimally inclined plane Average wind speed at 50 m height Mean heat-flow density

Solar, wind, geothermal, bioenergy, hydropower Electricity (with >45% renewable energy share), biofuel blends Water footprint of domestic blue water consumption Dissolved oxygen, pH level, conductivity, nitrogen, phosphorus (continued)

Ş. Kılkış

170 Table A2 (continued) Dimension (D)

CO2 emissions and industrial profile (D5)

Indicators (i) i4.3 Annual mean PM10 concentration (μg/m3) i4.4 Ecological footprint per capita (gha) i4.5 Biocapacity per capita (gha) i5.1 CO2 emissions of buildings (t CO2) i5.2 CO2 emissions of transport (t CO2) i5.3 Average CO2 intensity (t CO2/ MWh) i5.4 Number of CO2 intense industries i5.5 Airport carbon accreditation level and measures

Urban planning and social welfare (D6)

i6.1 Waste and wastewater management

i6.2 Compact urban form and green spaces

Research, development (R&D), innovation and sustainability policy (D7)

i6.3 Gross domestic product per capita i6.4 Inequality adjusted well-being i6.5 Tertiary education rate (%) i7.1 R&D and innovation policy orientation

Scope/Sub-indicators Urban monitoring stations

Demand for land across six categories

Natural regenerative capacity Residential, tertiary and municipal buildings Private/public transport, municipal vehicle fleet Energy-related CO2 emissions, waste and wastewater treatment Energy-intense industries included in European Union Emissions Trading System (ETS) Mapping, mitigation and optimization, renewable energy measures, landside/ ground handling/airside, airports 0, otherwise IRj ¼ 0

by “Income” where j stands for year. In the table Total IR is computed for the whole period; thus j ¼ 2001–2021. It provides an indication of how often social technologies have been replicated to other municipalities. Throughout the whole period, “Education” has been the most prevalent theme, followed by “Income” and “Environment.” The themes with less social technologies were “Energy,” “Housing,” and “Water resources.” The theme which had social technologies being more often replicated was Education, IR2001–2021,Education ¼ 6.95. Table 2 provides similar information as Table 1, but with the distribution across SDGs instead of Themes. The top three covered SDGs in the period 2001–2019 were SDG 4 “Quality education,” SDG 13 “Climate Action,” and SDG8 “Decent work and economic growth.” Despite being less represented, SDG 15 “Life on land” had the highest Intermunicipality Replicability, IR2001–2021,15 ¼ 11.8.

5

Conclusion

This chapter presented the concept of social technologies by discussing the definition, the origin, and a comparison to other similar terms in the literature. Additionally, the chapter analyzed how social technologies can relate to public policies and the Sustainable Development Goals. The chapter showed that social technologies are more appropriate for collective and non-market production. Because social technologies are co-created by the communities facing the socioeconomic problems, and are thus tied to the reality of local societies, they are more successful in answering the problems faced by the local societies. As such, social technologies can be an important instrument to achieving the Sustainable Development Goals. Offering online information about the available social technologies is an important instrument to allow replicability to other contexts and places. The Brazilian Bank Foundation certifies every 2 years social technologies in Brazil since 2001. The Foundation has an online platform, Transforma!, which contains detailed information about each social technology, separated by year, theme, and SDGs.

Total IR

Total

2019

2017

2015

2013

2011

2009

2007

2005

2003

Year 2001

Sustainable Development Goals – SDGs 1 2 3 4 5 0 1 4 8 0 0 5 12 13 0 0 1 3 4 0 0 4 10 30 0 1 3 6 10 1 20 10 13 77 1 1 4 6 10 0 1 202 204 84 0 3 3 11 17 0 6 6 31 44 0 9 12 19 45 2 35 51 89 457 7 8 11 23 35 1 51 26 166 273 2 5 12 21 40 1 27 71 120 167 1 7 34 54 100 1 32 181 257 682 1 2 20 17 78 7 11 91 128 461 36 36 101 164 347 13 183 647 1030 2288 48 5.1 6.4 6.3 6.6 3.7 6 1 1 2 12 3 16 0 0 2 2 9 26 10 26 12 65 17 96 5 15 61 259 4.2

7 0 0 1 1 0 0 0 0 1 1 5 18 1 14 3 29 1 5 2 22 14 90 6.4

8 3 7 3 6 3 22 7 47 8 19 32 177 42 257 35 195 69 297 53 216 255 1243 4.9

9 0 0 0 0 1 20 0 0 0 0 2 4 1 14 8 34 5 43 1 6 18 121 6.7

10 1 1 1 4 3 60 3 4 3 13 13 70 16 104 13 55 19 71 11 36 83 418 5.0

11 0 0 1 1 0 0 1 2 1 7 3 76 4 18 0 0 5 5 6 19 21 128 6.1

12 0 0 1 1 1 1 2 34 0 0 10 37 21 58 16 85 26 107 4 9 81 332 4.1

13 1 1 4 14 3 48 4 39 8 19 32 168 26 85 39 184 71 504 43 235 231 1297 5.6

14 0 0 0 0 0 0 0 0 0 0 0 0 1 2 1 3 0 0 0 0 2 5 2.5

15 0 0 1 11 0 0 2 34 2 3 6 37 7 16 2 8 7 245 6 37 33 391 11.8

16 0 0 0 0 1 1 1 1 1 5 0 0 1 1 1 2 1 2 2 2 8 14 1.8

17 0 0 0 0 2 2 3 15 1 8 8 123 3 5 4 5 12 127 1 2 34 287 8.4

Table 2 Social technology distribution across Sustainable Development Goals (SDGs). Note: Social technologies can be classified in more than one SDG; as such the sum per year (horizontal sum in the table) is not equal to the number of social technologies in that year. The databank does not provide information about the SDGs in the year 2021

674 P. van Noije and J. Swart

33

Advancement in Social Technologies in Brazil: Regional Concentration. . .

675

Based on this databank, this chapter established a database with all relevant information to analyze the main trends in social technologies. There is an overall increasing trend in the social technologies implemented, which can be an important means to helping Brazil to reach the Sustainable Development Goals. The regions which implement most social technologies are both the wealthier and poorest regions. However, the regions which are mostly responsible for the social technologies are the most developed ones, mainly the Southeast and the state of São Paulo in particular. Finally, our findings showed that some themes (education, income, and environment) and SDGs (4, 13, and 8) are more represented in the social technologies than others. This might imply that in the short run social technologies will be more successful in tackling a few of the SDGs, and therefore other less represented ones might need a further incentive. Because social technologies target specific demands and problems, they are more successful in matching people to the solutions brought by these social technologies. Additionally, lack of financial resources from private enterprises and insufficient attention by the public sector open the necessity for collection action, which are facilitated by social technologies. As such, social technologies are important to foster sustainable actions in developing countries from a longterm perspective. However, to maximize on the benefits from the existing social technologies, access to information via online platforms is essential. This chapter showed that most social technologies have been replicated to various municipalities and states within Brazil. Other Latin American countries have in more recent years also been certified by the Brazilian Bank Foundation. Some social technologies are also available online, which allows dissemination across national borders. Other cases of cross-national replicability are far less common. This suggests that more countries should disseminate and exchange examples of social technologies. Finally, social technologies are fundamental in achieving the Sustainable Development Goals. As such, the databank links all social technologies to one or more Sustainable Development Goals. In this sense, it facilitates for other interest parties to access social technologies by searching for particular Sustainable Development Goals. It also allows the visualization of Sustainable Development Goals which have been more or less included in social technologies. Having it as an open source databank could potentially benefit different communities throughout the world looking for solutions to local problems and for reaching the Sustainable Development Goals. 1. Authors’ translation. 2. The definition used by the bank for Social Technologies is “Social technologies are products, techniques or re-applicable methodologies, developed in interaction with the community and which represent effective solutions for social transformation” (Transforma 2022, p. 1). 3. Public calls can be accessed at www.fbb.org.br/editais. 4. The Winner category receives more than one nomination per year.

676

P. van Noije and J. Swart

Appendix See Table 3.

Table 3 List of Brazilian states and regions

State Distrito Federal Goiás Mato Grosso do Sul Mato Grosso Acre Amazonas Amapá Pará Rondônia Roraima Tocantins Alagoas Bahia Ceará Maranhão Paraíba Pernambuco Piauí Rio Grande do Norte Sergipe Paraná Rio Grande do Sul Santa Catarina Espírito Santo Minas Gerais Rio de Janeiro São Paulo

State abbreviation DF GO MS MT AC AM AP PA RO RR TO AL BA CE MA PB PE PI RN SE PR RS SC ES MG RJ SP

Region Central-West Central-West Central-West Central-West North North North North North North North Northeast Northeast Northeast Northeast Northeast Northeast Northeast Northeast Northeast South South South Southeast Southeast Southeast Southeast

References Agencia Brasil (2020) Número de beneficiários de planos de saúde fica estável em 47 milhões. https://agenciabrasil.ebc.com.br/saude/noticia/2020-03/num Agencia Brasil (2021) Censo escolar 2020 aponta redução de matrículas no ensino básico. https:// agenciabrasil.ebc.com.br/educacao/noticia/2021-01/censoDagnino R (2009) Tecnologia social: ferramenta para construir outra sociedade. Unicamp, Campinas Dagnino R (2014) A tecnologia social e seus desafios. In: Tecnologia Social: contribuições conceituais e metodológicas [online]. Campina Grande, EDUEPB, pp 19–34. ISBN 978-857879-327-2

33

Advancement in Social Technologies in Brazil: Regional Concentration. . .

677

Dagnino R, Thomas H (2001) Elementos para una renovación explicativa-normativa de las políticas de innovación latinoamericanas. Avaliaçao 6(1) Day G, Croxton S (1993) Appropriate technology, participatory technology design, and the environment. J Des Hist 6(3):179–183 Dias RB (2013) Tecnologia social e desenvolvimento local: reflexões a partir da análise do Programa Milhão de Cisternas. Rev Brasileira Desenvolvimento Reg 1(2):173–189 FBB (2022) Fundação Banco do Brasil (fbb.org.br) Fonseca R, Serafim M (2009) A Tecnologia Social e seus arranjos institucionais. In: Dagnino R (ed) Tecnologia Social: ferramenta para construir outra sociedade. Instituto de Geociências de Unicamp, Campinas, pp 154–183 Herrera AO (1981) The generation of technologies in rural areas. World Dev 9(1):21–35 IBGE (2022) IBGE | Portal do IBGE | IBGE Kaplinsky R (2011) Schumacher meets Schumpeter: appropriate technology below the radar. Res Policy 40(2):193–203 Lassance A, Pedreira JS (2004) Tecnologias sociais e políticas públicas. In: Lassance A et al (eds) Tecnologia social: uma estratégia para o desenvolvimento. Fundação Banco do Brasil, Rio de Janeiro Nelson R, Sampat BN (2001) Making sense of institutions as a factor shaping economic performance. J Econ Behav Org 44:31–54 Novaes H, Dias R (2009) Contribuições ao marco-analítico conceitual da tecnologia social. In: Dagnino RP (ed) Tecnologias sociais: ferramenta para construir outra sociedade. Unicamp, Campinas, pp 17–53 Pena JO, Mello CJ (2004) Tecnologia social: a experiência da Fundação Banco do Brasil na disseminação e reaplicação de soluções sociais efetivas. In: Lassance Jr AE et al. (eds) Tecnologia Social uma estratégia para o desenvolvimento. Fundação Banco do Brasil, Rio de janeiro Schumacher EF (1973) Small is beautiful: economics as if people mattered. Blond & Briggs, London Stewart F (1987) The case for appropriate technology: a reply to R.S. Eckaus. Issues Sci Technol 3(4):101–109 Transforma (2022) Transforma! – Rede de Tecnologias Sociais (fbb.org.br) Transparency International (2022) Corruption perceptions index 2021. Berlin. 2021 Corruption Perceptions Index - Explore the. . . – Transparency.org

Sustainability in Engineering Education: Experiences of Educational Innovation

34

Ce´sar García-Aranda, Agustín Molina García, Javier Pe´rez Rodríguez, and Jorge Rodríguez-Chueca

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Education on Sustainability. Incorporating Sustainability in Engineering Studies . . . . . . . . 3 Experiences of Educational Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Connecting Green Skills and Educational Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Flipped Classroom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Challenge-Based Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Problems Detected and Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 On the Part of the Professors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 On the Part of the Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

680 682 685 685 686 688 690 693 693 694 695 696

Abstract

Society is currently facing many global challenges, and these issues show no sign of abating over the next decades. According to the 2030 Agenda of the United Nations and Sustainable Development Goals (SDGs), higher education plays a key role in empowering future professionals to become leaders in driving sustainable economic, social, or environmental transition. Green skills, digital competence, holistic approach, and SDGs, among others are therefore vital. However, are universities providing students with these skills? Many students are not aware of these subjects and do not study them at university C. García-Aranda (*) · A. Molina García Department of Surveying Engineering and Cartography, Escuela Técnica Superior de Ingenieros en Topografía, Geodesia y Cartografía, Universidad Politécnica de Madrid, Madrid, Spain e-mail: [email protected]; [email protected] J. Pérez Rodríguez · J. Rodríguez-Chueca (*) Department of Industrial Chemical & Environmental Engineering, Escuela Técnica Superior de Ingenieros Industriales, Universidad Politécnica de Madrid, Madrid, Spain e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_153

679

680

C. García-Aranda et al.

either. In fact, engineering students will have to solve problems that are usually overlooked in technological universities: climate change and its effects on poverty and migration, scarcity of water and resources, pollution, and gender inequality, to mention a few. In recent years, an increasing number of innovative learning methodologies have been implemented in the Engineering faculty at the Universidad Politécnica de Madrid (Spain): flipped classroom, challenge-based learning, teamwork, creativity and innovation, and collective intelligence. This has led to the development of collaborative networks with other European universities and the sharing of resources and methodologies. This chapter presents and analyses successful learning experiences, problems and difficulties, and testimonials from students and professors from Universidad Politécnica de Madrid, complemented by other published cases. Present and future approaches that may guide other colleagues to integrate sustainability in education, working together with companies, public administrations, NGOs, and other agents, are also explored. Higher education classes and university campuses are the best laboratory for designing and making sustainable cities and communities a reality. Keywords

Sustainable Development Goals · Engineering studies · Green skills · Educational innovations · Sustainability · Higher education

1

Introduction

In 1987, the report “Our Common Future” was published by the World Commission on Environment and Development (WCED 1987), also known as the “Brundtland Report.” The document included the first definition of sustainable development: “Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (WCED 1987). Almost 45 years later, sustainable development remains a highly important topic. It has proved to be necessary to adopt the mindset of sustainable development when tackling many of the challenges facing our society by seeking a balance between the three key factors: economy, society, and environment. Moreover, thanks to the United Nations (UN) Agenda 2030 and the 17 Sustainable Development Goals (UN 2015) approach, a renewed and expanded vision of this concept is being integrated into our daily lives and has also reached universities. Higher education studies in engineering have a very broad field of application; however, in all of them, there is usually a common base of scientific knowledge and technical development (mathematics, physics, chemistry, geometry, computer science, etc.), as well as the great importance given to training in technological development and innovation. An important reflection at this time with a view to

34

Sustainability in Engineering Education: Experiences of Educational Innovation

681

2030 is: How can universities accelerate the incorporation of sustainability in engineering studies as a horizontal competence? The following section is dedicated to exploring this issue further. Additionally, climate change is currently the main concern of many governments, scientists, and citizens around the world, but significant differences exist between countries. Knowledge about climate change has advanced significantly in the last decade, and even though at the beginning it was considered mainly an environmental problem, most countries have now understood that the causes and consequences of climate change are connected to the economic model, the culture and habits of each society, education and values, and global imbalances and inequalities. In short, society cannot advance sustainability without addressing climate change and vice versa. In this context, the European Union (EU) has launched an ambitious roadmap and has placed the fight against climate change and sustainability at the center of its policies. It is interesting to analyze this strategy and its instruments, as they help us understand the importance of sustainability in education, and specifically in university engineering studies. In December 2019, the European Commission (EC) presented the European Green Deal (EC 2019) as the first step toward the goal of making the EU climate neutral by 2050. The second section of the document, entitled “Transforming the EU’s economy for a sustainable future,” lists all the policies and sectors that must be aligned to achieve the objectives set (Table 1). Many of the fields which sustainability policies are centered on have direct links to areas of knowledge of university engineering studies (energy, circular economy, buildings and urban planning, mobility and transport, food production, pollution and industry, biodiversity and forests, etc.). Moreover, the university has a key role in Table 1 Main policies and fields of action in the face of climate change. (Source: European Green Deal 2019) Designing a set of deeply transformative policies To deliver the European Green Deal, there is a need to rethink policies for clean energy supply across the economy, industry, production and consumption, large-scale infrastructure, transport, food and agriculture, construction, taxation, and social benefits. To achieve these aims, it is essential to increase the value given to protecting and restoring natural ecosystems, to the sustainable use of resources, and to improving human health Legislation and policies relevant to the Green Deal are enforced and effectively implemented Increasing the EU’s climate ambition for 2030 and 2050 Supplying clean, affordable, and secure energy Mobilizing industry for a clean and circular economy Building and renovating energy and resource efficiency Accelerating the shift to sustainable and smart mobility From “‘Farm to Fork”: designing a fair, healthy, and environmentally friendly food system Preserving and restoring ecosystems and biodiversity A zero pollution ambition for a toxic-free environment Mainstreaming sustainability in all EU policies Mobilizing research and fostering innovation Activating education and training

682

C. García-Aranda et al.

mobilizing research, fostering innovation, and advancing education and training. Furthermore, the entire EU climate agenda is complemented by the commitment to digital and technological transformation, i.e., information and communications technology (ICT) as a driver of this sustainable transformation.

2

Education on Sustainability. Incorporating Sustainability in Engineering Studies

As explained in the previous section, the concept of sustainability has been evolving in recent decades. The Sustainable Development Goals (UN 2015) show the wide scope of areas in which action is needed to achieve balanced sustainable development, among which the environment and climate change are integral. Sustainability education has often been considered as a multidisciplinary subject included in the scope of a variety of subjects such as ethics, human rights, and universal solidarity. However, this approach has often resulted in it being overlooked in university curricula, resulting in a lack of training in this area. The United Nations 2030 Agenda does not propose a vision of North-South solidarity or “rich countries - poor countries,” rather it proposes a much broader, inclusive, and globalized vision. Facing major global challenges is not possible without the participation of all countries, especially the more developed economies, as is certainly the case with the fight against climate change. The consequences of climate change are directly related to water management, food production, poverty, and unemployment, as well as conflicts, migration, and inequalities, which also hit women and girls the hardest. In short, everything and everyone is connected when talking about sustainability. In this context, universities play a key role in sustainability education. As cited in the guide “Accelerating Education for the SDGs in Universities” (SDSN 2020): “Universities’ capabilities in education, research and innovation, as well as their contribution to civic, social, and community leadership, mean that they have a unique role in helping society address these challenges.” Since 2020, the sustainability challenge has been affected by the COVID-19 pandemic, which has slowed the progress of the 2030 Agenda (Lafortune et al. 2021). COVID-19 has also directly affected universities and teaching modalities, causing a forced acceleration of online training. This circumstance has shown the weaknesses of many educational structures and, at the same time, has opened up new opportunities for universities in the future. For example, some low-income students without access to devices and the Internet have not been able to follow many classes. Conversely, when access to devices and the Internet has been provided, previously isolated populations and those with fewer resources have been able to take advantage of these benefits and improve their education and qualifications. Engineering studies, as a key area within the so-called STEM subjects (Science, Technology, Engineering, and Mathematics), must include sustainability as a horizontal subject in all courses. It must also take advantage of recent technological

34

Sustainability in Engineering Education: Experiences of Educational Innovation

683

developments and educational innovations adopting the latest tools and methodologies to train in sustainability. In the European context, as stated in the “Europe Sustainable Development Report” (Lafortune et al. 2021), six SDG transformations for Europe are proposed (Table 2). These six key areas are related to engineering studies in their different fields and need university education to train the next workers in these skills. The transformation toward a more sustainable economic model started years ago, and although it is a slow and complex path, it seems to be gaining momentum every year. This current decade 2020 to 2030 may become a definitive turning point. In 2014, the OECD published the report “Greener Skills and Jobs,” and in chapter “Green Skills for a Low-carbon Future” (Martinez-Fernandez et al. 2014), it analyses three closely related, but not equal, concepts: green jobs, green skills, and green economy. Universities are involved in this whole process (Fig. 1). Focusing on green skills in the context of engineering studies, these can be classified into two main groups: • Technical skills. This group includes all the skills that students must achieve in each discipline to be able to develop tools and technologies that improve sustainability. For example, renewable energies, energy efficiency, water saving, intelligent transportation, and sustainable buildings, among many others. In short, introducing sustainability as a basis in all their scientific and technical knowledge within engineering. • Skills in analysis, evaluation, and creation. This group includes other skills that are more complex in their learning and that go beyond technological development or the improvement of current processes. These are skills that enable students to propose innovative solutions, redesign processes and products, identify system Table 2 Six SDG transformations for Europe. (Source: Europe Sustainable Development Report 2021, p. 26) Six SDG transformations for Europe 1. Education, skills, decent work, and innovation: ensure high-quality education, including lifelong learning, for all Europeans and strengthen innovation in strategic technologies and industries 2. Sustainable energy: promote energy efficiency, achieve zero-carbon power generation, decarbonize industry, and create new jobs 3. Sustainable communities, mobility, and housing: Sstrengthen cities and other communities by promoting sustainable and smart mobility, renovating housing, ensuring sustainable building standards, and supporting new jobs 4. Sustainable food production, healthy diets, and protection of biodiversity: Eensure sustainable agriculture and ocean use, promote healthier diets and behaviors, and protect and restore biodiversity and ecosystems with decent incomes for farmers and fishermen 5. Clean and circular economy with zero pollution: Rreduce pollution, reduce material consumption, and minimize the environmental impact of European industry and consumers 6. The digital transformation: Bbuild a cutting-edge digital infrastructure, strengthen innovation, and protect citizen rights to their data and European democracy

684

C. García-Aranda et al.

Fig. 1 Transition model toward sustainability. (Source: Developed by the authors)

failures and correct them, rethink the economic and social model, develop inclusive technologies, and place natural systems and people at the basis of development. These skills must be integrated into all engineering studies courses to ensure that students become adept at them. It is not sufficient for only a few subjects to work on them. Students must learn the “language of sustainability” while learning the technological capabilities and their social implications to finally incorporate skills that make them reflect, question established views, and propose new solutions to current challenges. Additionally, it is important for all subjects to include the so-called soft skills. These are necessary and highly valued skills for any professional in today’s working world. For example: teamwork, creativity, oral and written communication skills, and critical thinking skills. However, there is still a lack of both green and soft skills in engineering curricula. This raises some questions: Why do higher education studies lack this vision and why is it difficult for universities to include such skills? Some of the main obstacles are highlighted below (SDSN 2020; Kjellgren and Richter 2021). (i) Lack of clear commitment from university governing bodies. (ii) Disconnect between professional and labor market vision and sustainability as key training for the future. (iii) Lack of strategic planning when approaching the incorporation of these skills. (iv) Lack of prior knowledge and experience of the teaching staff. (v) Difficulties in integrating a multidisciplinary vision. (vi) There is no single path or methodology for success; adaptation to the geographical and social context of students is necessary.

34

Sustainability in Engineering Education: Experiences of Educational Innovation

685

To address these difficulties, it is necessary for different universities to share their experiences: not only highlighting best practice but also disclosing the most common failures.

3

Experiences of Educational Innovation

Throughout this section of the chapter, different methodologies and techniques of educational innovation are shown as examples to improve the learning of green skills in engineering. Each section shows results based on practical experiences evaluated by different authors in their higher education subjects. The authors of this chapter have applied and evaluated these techniques in several undergraduate and master’s degree courses at the Universidad Politécnica de Madrid (UPM).

3.1

Connecting Green Skills and Educational Innovation

Many authors conclude that the application of innovative methodologies in higher education is a long-term, progressive process, the results of which can be seen after several years of application. Educational innovation aims to improve the student experience, complementing the acquisition of technical skills with soft skills and other abilities that support the search for creative solutions to current challenges, from a multidisciplinary approach. This approach demonstrates the strong connection between innovative educational methodologies and sustainability education in engineering. In addition, the application of innovative educational methodologies in the classroom has proved to be an excellent opportunity to accelerate the acquisition of green skills. The authors have spent several years analyzing the results of their own projects and comparing them with those published by other authors in international conferences and journals. They have studied the achievement of skills among students, both those classified as soft skills (teamwork, creativity, oral and written communication, and critical thinking) and those described as green skills. Likewise, the acquisition of each competence was classified into three levels or dimensions, from lowest to highest achievement: knowledge, application, and integration. Aspects related to student motivation were also identified. These innovative learning methodologies arise as a consequence of the problems detected in conventional learning methodologies. These problems are summarized in Fig. 2. The following sections present specific methodologies and techniques that, when applied in engineering classes, can support the acquisition of sustainability skills. These experiences are based on the results of numerous projects and studies developed in different subjects and universities.

686

C. García-Aranda et al.

Fig. 2 Common problems identified in conventional learning methodology. (Source: Developed by the authors)

3.2

Flipped Classroom

The first innovative education project funded and implemented at the UPM was called “Innova-ambiental: Application of new learning methodologies to acquire skills on environmental and sustainability matters skills.” The main objective of this project was to try to reorganize the student’s work inside and outside the classroom, so that the face-to-face time shared between students and professors becomes a space mainly for analysis, discussion, experimentation, and application of the sustainability concepts and contents previously studied. Figure 3 shows the methodology applied in the flipped classroom (FC), which is widespread in higher education studies, with many published experiences and scientific consensus in the field of education. Before class (preclass time), the

34

Sustainability in Engineering Education: Experiences of Educational Innovation

687

Fig. 3 Outline of application of the flipped classroom methodology. (Source: Developed by the authors)

students have to watch different videos or read documents selected by the professors and uploaded to and on-line app or platform (EDpuzzle platform was chosen in this experience, https://edpuzzle.com). These videos are carefully selected from open streaming platforms (as YouTube, Vimeo, etc.) taking into account their content and their relationship with the course topics. The aim of the video is to present a topic in a simple way; some of the chosen topics were: “What is sustainability?”; “Causes and consequences of climate change”; “Circular Economy versus Linear Economy”; and “What are naturebased solutions?” After watching the assigned video, students have to answer simple questions about the content of the video. The questions were intended to test students’ understanding of the different topics of the course. Some examples of these questions were the following: “How can sustainable development create value for a company?”; “What are the four forms of savings in the phases of the production-consumption process proposed by the circular economy?”; and “What is the difference between mitigation and adaptation?” In addition, the activities to be carried out, both in class and afterward, were designed to focus on consolidating the concepts learned, favoring the contrast of opinions and teamwork. Finally, the evaluation questionnaires were designed to assess the level of learning achieved and to gather the students’ appreciation of the methodology applied. The main results of the application of this educational innovation project were reported by Rodríguez-Chueca et al. (2020). Student satisfaction surveys were carried out with 15 different questions (range from 0 to 5) in an attempt to assess the FC methodology, and in general terms the students rated the experience positively. However, in the reported results of this study, some trends were observed. For

688

C. García-Aranda et al.

example, students seem to identify this type of methodology as a teacher-directed task, but one that does not encourage autonomous or personalized student learning. Furthermore, there is an interesting difference in the results obtained from the different degrees at which this methodology was applied. The master’s students considered that this type of methodology required extra study time, probably because the study prior to the class is considered extra time compared to a conventional class. Other authors have applied the FC methodology to engage students in education for sustainable development. For example, Howell (2021) describes the need for active learning methodologies to create reflective environments so that higher education students can truly assimilate the concepts of sustainable development. In fact, Howell demonstrates the benefits that the FC methodology has on the acquisition of concepts by students at a British university. Additionally, Foster and Stagl (2018) concluded that the FC methodology was very useful for postgraduate students in the acquisition of new knowledge and in expanding their competence. More authors studied the implementation of FC methodology in different courses or degrees; however, not in the acquisition of sustainability concepts, but in all the cases, the experiences seem to be very positive (Förster et al. 2022; Rodríguez et al. 2019; Kim et al. 2014; Legaki et al. 2020). Despite the positive experience of UPM engineering professors in the application of FC methodology, the involved professors proposed to evolve the methodology to Challenge-Based Learning (CBL), because they observed that some students encountered difficulty when applying the acquired knowledge, specifically in efficiently identifying and structuring proposals for the application of knowledge. The experience of applying CBL is explained in the following subsection.

3.3

Challenge-Based Learning

The CBL methodology has gained attention in recent years as an innovative learning methodology in which students can acquire generic skills such as communication, teamwork, and leadership. In addition, it promotes the acquisition of soft skills and increases student satisfaction and motivation, which is one of the fundamental aspects. The CBL methodology provides a pedagogical approach that encourages the application of the knowledge acquired by students, actively involving them in a real and environmentally relevant problem situation, which involves the definition of a challenge and the implementation of a solution (Nichols et al. 2016). As mentioned above, the CBL methodology was applied as an evolution of FC. The CBL methodology was developed in engineering studies to solve the problems and limitations observed with FC. In this experience, the methodological framework of Apple’s Challenge-Based Learning (Apple 2010) was taken as a reference. Starting from the general idea, which presents a sufficiently broad concept, students must identify a challenge based on information obtained from real

34

Sustainability in Engineering Education: Experiences of Educational Innovation

689

situations, and they must analyze, design, develop, and execute the best solution so that they and others can see and measure it. Specifically, the CBL was proposed on the concept of circular economy in the paper industry. The choice of this topic helps students to diagnose, analyze, and define problems linked to the sustainability of production and consumption processes, as a preliminary step to proposing creative solutions based on the application of the knowledge of each degree course. The challenges were proposed on the basis of the study of the different subprocesses of the paper industry, such as obtaining raw materials, pulp production, paper manufacturing, paper transformation, consumption, and waste management. In order to bring students closer to the solution of real problems in the paper sector, ASPAPEL (Spanish association of pulp, paper, and cardboard manufacturers), ECOEMBES (Organization managing the collection and separation of household packaging waste), and ASYPS (Association for the sustainability and progress of societies) collaborated on the project. These entities gave advice and support to students both for the identification of challenges and for the search of creative solutions in the field of circular economy. In addition, these industry bodies were closely involved in the evaluation of the students’ proposals. Evaluation is a fundamental part of measuring learning through this educational methodology. Professors must take special care in the evaluation, as there are different levels of knowledge and skills that are intended to be achieved or developed with this project. Some of the aspects which require special attention are the following: (i) teamwork; (ii) leadership and cooperation; (iii) peer assessment; and (iv) external assessment. Finally, the professors involved in this educational innovation project carried out an evaluation of the application of the methodology, attempting to consider three fundamental pillars: (i) The degree of team collaboration and interactions between the different work teams with the aim of arriving at a solution to the challenge. (ii) The opinion and satisfaction of the external experts in the industry. (iii) The degree of satisfaction of the students, both individually and at the team level. For this purpose, evaluation questionnaires were provided. One of the main positive aspects of the application of the CBL methodology is that students consider very favorably that this methodology did not involve any additional effort and how it improved the relations between members of the work team. Furthermore, Rodriguez-Chueca et al. (2020) emphasize that the peer evaluation carried out was crucial in order to have a realistic view of the individual work within the group. Many authors report the success of applying CBL methodology in different disciplines. Therefore, it is a very versatile methodology and easily applicable to any discipline (Yang et al. 2018; Eraña-Rojas et al. 2019; Yoosomboon and Wannapiroon 2015). The only condition is that such discipline should be able to

690

C. García-Aranda et al.

provide sufficiently attractive challenges to allow students to focus their efforts to achieve useful and creative solutions.

3.4

Creativity

Maya Angelou (1928–2014) stated: ‘You can’t use up creativity. The more you use, the more you have.’ And with this inspiring phrase, a multidisciplinary team of UPM professors has been working together with teams of professors from other European universities focused on creativity in engineering studies. These experiences have been developed by the Erasmus+ CHET Project (Creativity for Higher Education Engineering Teachers / 2019–2022). The starting point was to try to answer some big questions: • How important is creativity for engineering students? • Do engineering professors have knowledge of creativity and apply it in their classes? • What do professors and students need to improve this skill? The solutions to society’s problems will no doubt come from creative, innovative, and groundbreaking ideas. However, it is frequently observed that university students limit themselves to carrying out tasks set by professors and to studying basic concepts about the different subjects that make up a degree. Normally, most students do not make an effort to step out of their comfort zone and break through beyond this basic knowledge. Current educational systems are not providing students with the right set of skills for today’s labor market, and for this reason, different educational innovation projects focused entirely on the promotion of creativity in engineering subjects were proposed (García-Aranda et al. 2021), with the aim of allowing students to come up with creative ideas to solve the problems facing society, especially in the environmental field. Creativity is one of the top five most important skills according to the World Economic Forum: skills needed in 2020. In terms of the methodology applied in these projects, the first step was to select a group of university professors. This “control group” acted as ambassadors in their departments or faculties. The objective was to create a community of international and multidisciplinary professors to gather previous experiences and to evaluate the needs and results obtained. Once the “control group” was selected, the professors’ experiences and needs were analyzed. This process included a survey about experiences, concepts and learning in creativity, the design of a learning curriculum, and the development an online platform and toolkit to learn and use creativity skills. Additionally, the interests, strengths, and weaknesses of the students were analyzed, selecting different engineering degree studies, courses, and ages, surveying

34

Sustainability in Engineering Education: Experiences of Educational Innovation

691

them about soft skills and creativity and designing an online ecosystem for autonomous learning. A survey was conducted among all professors at each university. This survey was composed of two rounds, and the Delphi method was used with a panel of experts to guide and carry out the questionnaire according to the analysis of the responses in each round. One of the main conclusions was that 97% of professors think that they require training on how to use creativity in the classroom. In fact, surveyed professors think that using innovative methodologies that promote creativity increases student motivation and engagement and promotes and contributes to self-learning and experimentation. Besides, thanks to creativity, students, or, in other words, future engineers, will be able to draw on a wider range of methodologies to solve the problems faced by society. Based on the results of the survey, a training program and a curriculum were designed. Both were designed and developed considering the needs and objectives expressed by the professors’ control group. They expressed the following objectives for the training program: (i) Using creative techniques in their teaching processes (ii) Knowing how to use collaborative techniques in connection with creative teaching techniques (iii) Using and finding new, creative ways to motivate their students in their learning process (iv) Designing the teaching process based on creative thinking skills (v) Having the ability to use technological tools related to creativity during the teaching process (vi) Knowing how to evaluate the creative learning process of students Considering these objectives, the training program was designed with three units: (i) introduction to creativity; (ii) creativity techniques; (iii) creativity and technology in teaching. The main content of the units is summarized in Fig. 4.

Fig. 4 Training program: units and contents. (Source: CHET Project)

692

C. García-Aranda et al.

The last step, and one of the most important, was the development of an e-learning platform. The objective of this e-learning platform is that any teacher, or indeed anyone anywhere in the world, has direct access to a wide range of creativity resources that can be applied in education or in any other area of life, such as work environments. The platform is structured around the training program described above. For unit 1, entitled introduction to creativity, there are three associated courses, while for unit 2, entitled creativity and technology in teaching, there are four associated courses. All courses are online and include materials and video tutorials, with a final test to evaluate the acquisition of knowledge by the viewer. Finally, unit 3, creativity techniques toolkit is composed of 31 different creativity techniques. They can be filtered by activity type, user group size, duration, or application format (online or face-to-face). Figure 5 shows a screenshot of the e-learning platform. The e-learning platform can be accessed via the following link: https://chetproject.eu/en/home. An important conclusion for the professors was to understand creativity as a skill within the student learning process. Creativity is the means of finding innovative solutions in the area of sustainability. The creative process follows several phases, first the divergent thinking stage

Fig. 5 Access to the website of the CHET Project E-learning platform. (Source: CHET project)

34

Sustainability in Engineering Education: Experiences of Educational Innovation

693

(brainstorming many ideas) and then the convergent thinking stage (sorting and choosing feasible ideas). In the divergent stage, priority is given to creativity, where anything is possible. In the convergent stage, ideas are evaluated under technical and environmental criteria. The e-learning platform allows the teacher to choose the appropriate techniques and complete the entire process. The results obtained from the CHET project have been evaluated using satisfaction surveys carried out among the professors and students involved in the project. In general terms, the opinion of the participating professors has been very positive, and most of them consider that the training contents are adequate to increase the use of creativity in engineering studies, promoting the improvement of skills and competence. Furthermore, it was found that most professors were unaware of the creativity techniques developed within the e-learning platform. Among the strongest points of the platform is the possibility of applying and adapting the content of the platform to the needs of each subject and each teacher. Regarding student satisfaction with the inclusion of creativity techniques in the subjects, the assessment is very positive. In general, students emphasize that this type of technique improves their attention and motivation and has helped them to better assimilate the knowledge that professors transmitted in class. In general, they consider that in the future they would like to learn more about creativity, and they mostly agree that its application has served to improve the approach of the subject.

4

Problems Detected and Limitations

As shown, the application of innovative methodologies to improve students’ sustainability skills follows a process of continuous improvement, supported by the adaptation of strategies in accordance with the specific context of each group of students and subject. Despite these individualities, many professors and students encountered similar obstacles and difficulties, and in this section the main issues are collected to serve as guidance and support for other engineering professors.

4.1

On the Part of the Professors

Sustainability must be approached from a multidisciplinary point of view. The environmental, economic, social, and ethical aspects must be studied holistically. This requires the participation of different experts in each of these disciplines. The university or department must consider this aspect and seek a balance between the subjects and the number of professors assigned. This team of professors must be very well coordinated to transmit a single message to the students and present the subject as a whole, not as unconnected parts of the content. There is a need for changes in the way professors teach and the continuous adaptation of the content of their classes, which requires additional effort on the

694

C. García-Aranda et al.

part of the teacher and the investment of more working time. Professors also need to be trained in these techniques and skills. Sometimes there is a conflict between the content reflected in the syllabus and/or in the regulations governing the different degrees and subjects and the topics and skills that the teacher aims to develop linked to sustainability and soft skills. This can lead to frustration among professors when they do not complete the planned syllabus. To avoid this, the university must be flexible in its curricular teaching organization and adapt it to the social and work context. The role of the teacher throughout the learning process is fundamental; active methodologies require the teacher to continuously monitor the students, guide them, advise them, correct mistakes, and motivate them. Activities must be planned and organized, students must be provided with feedback, and instruments such as rubrics must be used. Another aspect to consider in the application of these methodologies is the evaluation of results. The evaluation criteria must be clear and consistent with the planned objectives. It is advisable not only to evaluate the final result, but also to focus on the process followed by the students throughout the semester in carrying out the activities. Students must also be aware of these criteria to guide their learning. Many professors express frustration or demotivation in their first experiences applying innovative methodologies to develop sustainability in engineering studies. The results obtained by students may seem poor or at a lower level than traditional results. It is better not to compare results with previous courses if the methodology, objectives, and assessment mechanisms have been changed. Sustainability from a multidisciplinary perspective requires learning activities and case studies that present real situations. Collaboration with companies, public administrations, NGOs, and other bodies improves learning and accelerates students’ acquisition of skills. Again, professors must expand their tasks and roles outside of the classroom and be prepared to work with diverse teams.

4.2

On the Part of the Students

Many engineering students have a biased or partial view of sustainability, thinking that it is only related to environmental aspects, or even to a single specific environmental issue. Sometimes these previous shortcomings are compounded by a lack of basic knowledge about sustainability. For example, many students start their university studies without knowing the SDGs or some key terms relating to climate change, such as mitigation and adaptation. On the whole, innovative methodologies increase students’ motivation. However, it is not uncommon to find students who are not motivated. This may be due to a variety of factors. Some students expect the teacher to be the only one responsible for teaching and transmitting knowledge in the traditional way, since they have never known other methods. In addition, it is common to find a lack of previous exposure to, and experience of, working and learning using these methodologies, which

34

Sustainability in Engineering Education: Experiences of Educational Innovation

695

require more daily dedication, time for analysis, and reflection at home, not just hours of memorized study or repetition of problems. In the specific case of the Challenge-Based Learning method, recurring problems have been identified in the implementation of teamwork in different courses. Situations of lack of leadership in the groups were identified, as well as other work roles (researcher, project manager, and media specialist), the failure to acquire responsibilities within the work team, or the lack of balance in the distribution of tasks inside the team. Finally, when creativity is also integrated into problem-solving, in some teams, there was the imposition of one student’s idea over the ideas of the rest, without being based on solid reasoning, but simply because of the stronger character of that team member. Furthermore, using methodologies such as CBL or problem solving, the lack of prior knowledge of sustainability can make it difficult for the group of students to identify problems to be solved or to find creative solutions to a given problem. In many cases, engineering students look for solutions by replicating what they have learned in other subjects and show difficulties in linking concepts and looking for technological alternatives. In short, they lack the ability to “thinking outside the box.” To conclude this section, it is important to remember that both professors and students are part of the university community. Universities and academics responsible for curriculum design need to know how to integrate sustainability from the early years so that progressively more complex skills can be achieved in the later years for engineering students. With this initial approach, professors need training and peer support to accelerate this process by sharing resources, experiences, and good practices. Finally, students must be encouraged to perceive university studies not only as a preparation for the labor market, but also as a comprehensive education that responds to the different challenges facing society.

5

Concluding Remarks

Humanity is witnessing a key moment in history, in which society has the enormous task of achieving sustainability in our way of life, so as not to compromise the health of planet Earth, but with the objective of eliminating social and economic inequalities. The SDGs are the tasks that all member countries of the United Nations have set themselves by consensus. To achieve all the goals, awareness of the whole society is needed, and all parties must work together to advance in the same direction. However, a fundamental part of achieving these goals comes from the new generations of engineers, who are the future of industrial and technological development. In that sense, higher education is the key to train future engineers in the necessary skills to address sustainability with a broader, creative, and holistic vision. Although sustainability education has generally been known as an innovative and fundamental subject in the educational system, it has usually not been included in the university curriculum, resulting in engineering graduates with a lack of training in this crucial

696

C. García-Aranda et al.

area. Sustainability should therefore be integrated as a horizontal and compulsory subject in all engineering studies, to take advantage of technological developments and methodological innovations in education to train students in sustainability. Educational innovation is shown to be a real tool for methodological change in teaching. In this sense, higher education institutions must design strategies to incorporate innovative teaching methodologies that promote the acquisition of soft skills and transversal competencies such as sustainability. The research and project findings obtained from the experience in Universidad Politécnica de Madrid (Spain) highlight that educational innovation methodologies should be applied in a progressive and aggregated manner during successive courses. For example, the flipped classroom is a simple methodology in its application; however, the analysis of student learning outcomes provides the faculty with a much richer understanding of the problems and limitations encountered by students. And to go a step further, professors can integrate more complex techniques in their classes, such as project-based learning. This methodology is closer to the future professional reality of the students and helps them face the resolution of real problems through innovative ideas that encourage self-learning. This approach of innovative ideas is where the faculty has found students’ greatest deficiency. There is a lack of creativity at the university. And this fact, which seems a paradox, is the reality in most higher education degrees. Most subjects at universities do not encourage students’ creativity but focus only on the presentation and demonstration of concepts. Creativity is essential to redesign the system to achieve the objectives of sustainable development. Innovative and disruptive ideas are needed at the frontier of knowledge, and creativity is essential to achieve them. As higher education professors know, current students are the future, and it is important to look at the present and reflect with optimism to project a true sustainable transition. The new generations are aware of the need to achieve sustainable development, and this is the most important point and the first foundation stone. Now, it is paramount to provide them with the necessary tools so that after their incorporation into the workplace, they can help build a more sustainable world. How can this be done? Through quality education, with innovative and motivating educational methodologies. What is needed for this? Conscientious and motivated professors, so that students can achieve the skills required by society. In addition, this also requires political will, with more ambitious educational policies that allocate a higher percentage of economic resources. The path is long and arduous, but most universities are on the right track. They must, however, be careful not to stray from the path, and above all, not to slow down, because time is running out.

References Apple Inc (2010) Challenge based learning. A classroom guide. https://images.apple.com/ education/docs/CBL_Classroom_Guide_Jan_2011.pdf

34

Sustainability in Engineering Education: Experiences of Educational Innovation

697

Eraña-Rojas IE, López MV, Ríos E, Membrillo-Hernández J (2019) A challenge based learning experience in forensic medicine. J Forensic Legal Med 68:101873. https://doi.org/10.1016/j. jflm.2019.101873 European Commission (2019) Communication from the Commission to the European Parliament, the European Council, the Council, the European Economic and Social Committee and the Committee of the Regions. The European Green Deal COM (2019) 640 final. https://eur-lex. europa.eu/resource.html?uri¼cellar:b828d165-1c22-11ea-8c1f-01aa75ed71a1.0002.02/DOC_ 1&format¼PDF Förster M, Maur A, Weiser C, Winkel K (2022) Pre-class video watching fosters achievement and knowledge retention in a flipped classroom. Comput Educ 179:104399. https://doi.org/10.1016/ j.compedu.2021.104399 Foster G, Stagl S (2018) Design, implementation, and evaluation of an inverted (flipped) classroom model economics for sustainable education course. J Clean Prod 183:1323–1336. https://doi. org/10.1016/j.jclepro.2018.02.177 García-Aranda C, Molina A, Martínez-Cuevas S, Morillo M, Martínez M, Pérez J, RodríguezChueca J, . . . (2021) A methodological analysis to enhance creative skills in engineering studies at the university. In: 13th international conference on education and new learning technologies, EDULEARN21 proceedings, pp 8760–8765. https://doi.org/10.21125/edulearn.2021.1763 Howell RA (2021) Engaging students in education for sustainable development: the benefits of active learning, reflective practices and flipped classroom pedagogies. J Clean Prod 325:129318. https://doi.org/10.1016/j.jclepro.2021.129318 Kim MK, Kim SM, Khera O, Getman J (2014) The experience of three flipped classrooms in an urban university: an exploration of design principles. Internet High Educ 22:37–50. https://doi. org/10.1016/j.iheduc.2014.04.003 Kjellgren B, Richter T (2021) Education for a sustainable future: strategies for holistic global competence development at engineering institutions. Sustainability 13(20):11184. https://doi. org/10.3390/su132011184 Lafortune G, Cortés Puch M, Mosnier A, Fuller G, Diaz M, Riccaboni A, Kloke-Lesch A, Zachariadis T, Carli E, Oger A (2021) Europe sustainable development report 2021: transforming the European Union to achieve the Sustainable Development Goals. SDSN, SDSN Europe and IEEP, France, Paris. https://s3.amazonaws.com/sustainabledevelopment.report/ 2021/Europe+Sustainable+Development+Report+2021.pdf Legaki NZ, Xi N, Hamari J, Karpouzis K, Assimakopoulos V (2020) The effect of challenge-based gamification on learning: an experiment in the context of statistics education. Int J HumanComput Stud 144:102496. https://doi.org/10.1016/j.ijhcs.2020.102496 Martinez-Fernandez C, Ranieri A, Sharpe S (2014) Green skills for a low-carbon future. In: Greener skills and jobs. OECD Publishing, Paris. https://doi.org/10.1787/9789264208704-4-en Nichols M, Cator K, Torres M (2016) Challenge based learner user guide. Digital Promise, Redwood City. https://www.challengebasedlearning.org/wp-content/uploads/2019/02/CBL_ Guide2016.pdf Rodríguez G, Díez J, Pérez N, Baños JE, Carrió M (2019) Flipped classroom: fostering creative skills in undergraduate students of health sciences. Think Skills Creat 33:100575. https://doi. org/10.1016/j.tsc.2019.100575 Rodríguez-Chueca J, Molina-García A, García-Aranda C, Pérez J, Rodríguez E (2020) Understanding sustainability and the circular economy through flipped classroom and challenge-based learning: an innovative experience in engineering education in Spain. Environ Educ Res 26(2): 238–252. https://doi.org/10.1080/13504622.2019.1705965 SDSN (2020) Accelerating education for the SDGs in universities: a guide for universities, colleges, and tertiary and higher education institutions. Sustainable Development Solutions Network (SDSN), New York. https://irp-cdn.multiscreensite.com/be6d1d56/files/uploaded/acceleratingeducation-for-the-sdgs-in-unis-web_zZuYLaoZRHK1L77zAd4n.pdf

698

C. García-Aranda et al.

United Nation General Assembly (2015) Resolution adopted by the General Assembly on 25 September 2015: 70/1. Transforming our world: the 2030 Agenda for Sustainable Development. https://unctad.org/system/files/official-document/ares70d1_en.pdf World Commission on Environment and Development, United Nations Secretary-General (1987) Report of the World Commission on Environment and Development: “our common future”. https://digitallibrary.un.org/record/139811/files/A_42_427-EN.pdf Yang Z, Zhou Y, Chung JWY, Tang Q, Jiang L, Wong TKS (2018) Challenge based learning nurtures creative thinking: an evaluative study. Nurse Educ Today 71:40–47. https://doi.org/10. 1016/j.nedt.2018.09.004 Yoosomboon S, Wannapiroon P (2015) Development of a challenge based learning model via cloud technology and social media for enhancing information management skills. Procedia Soc Behav Sci 174:2102–2107. https://doi.org/10.1016/j.sbspro.2015.02.008

How Cities and Universities Approach the Sustainable Development Goals

35

Antonio Comi, Norbert Gruenwald, Viktor Danchuk, Olga Kunytska, Kateryna Vakulenko, and Malgorzata Zakrzewska

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The SDGs, Cities, and Field of Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Economic and Educational Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Universities Approaching Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Challenges in Designing New Educational Paths . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Case Study from Germany . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Case Study from Poland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Case Study from Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Case Study from Ukraine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Conclusions and the Road Ahead . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

700 702 704 705 708 708 710 711 712 716 717

Abstract

Cities and universities need to react against the backdrop of various national and international policy initiatives, such as the United Nations Sustainable Development Goals (SDGs) and the European Green Deal, as well as global pressure to tackle climate change and improve sustainability, equality, inclusion, health, and social development. A. Comi (*) University of Rome Tor Vergata, Rome, Italy e-mail: [email protected] N. Gruenwald University of Applied Science: Technology, Business and Design, Wismar, Germany V. Danchuk · O. Kunytska National Transport University, Kiev, Ukraine K. Vakulenko O. M. Beketov National University of Urban Economy in Kharkiv, Kharkiv, Ukraine M. Zakrzewska University of Szczecin, Szczecin, Poland © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_155

699

700

A. Comi et al.

Technology, political regulation, or financial mechanisms alone cannot drive sustainable development. Thinking, as well as behavior toward such a problem, must be changed. Universities, with their intellectual resources and their focus/ mission on educating future leaders, play a key role in these challenges. All over the world and, in particular, in the cities where the majority of the world’s population lives, we are witnessing a coherent transition toward the sustainable development. Given their local autonomy, the national rules and guidelines by which they are guided, universities are implementing new curricula that highlight the SDGs involving all fields of knowledge: STEM (Science, Technology, Engineering, and Mathematics), health and well-being, social sciences, and humanities. Furthermore, the rapid digital transformation of higher education institutions (HEIs), recently driven by a global health emergency, opens up new opportunities to promote a technology-enhanced approach to learning and teaching with the same level of excellence and effectiveness in virtual contexts as in the traditional context. It allows both to break down socio-cultural barriers and to expand potential beneficiaries. Blended learning is then reviewed in light of the SDGs. Therefore, the chapter, moving within such an urban context, underlines the innovation required by the higher education institutions to achieve the SDGs and presents how higher education institutions have reviewed their educational pathways to prepare new leaders, aware of the sustainability issues. Examples from case studies in some countries of the world are then examined.

1

Introduction

Technological progress, as well as computerization and globalization, is producing strong changes in society. There is a significant resonant interaction between the innovations brought about by technology and the attitudes and behaviors of users, resulting in a high level of instability and unpredictability of financial and economic markets. Furthermore, breakthrough discoveries in genetic engineering and cellular medicine, the implementation of projects to decipher the human genome and proteome, and the introduction of both nuclear and nanotechnological technologies are having an impact on life on the planet. Indeed, the use of environmentally hazardous technologies can lead to irreversible processes of global destruction of the environment, climate, etc. Until now, the development of countries as states with stable economies was directly related to technological development. Countries using the latest innovative technologies are world leaders. According to various estimates, the use of innovative technologies can favor the growth of Gross Domestic Product (GDP). Examples are given by Western European countries, the USA, Japan, etc. Furthermore, the use of such technologies is covering various economic sectors, including some that are usually more reluctant to innovation, such as the agri-food sector (Boyko et al. 2006; Hassoun et al. 2022).

35

How Cities and Universities Approach the Sustainable Development Goals

701

Meanwhile, sustainable development cannot be achieved with the help of technology, political regulation, or financial mechanisms alone. A necessary condition for sustainable development is to ensure harmonious maximization of the capabilities of individuals, organizations, and society, as well as to satisfy a number of relevant socioeconomic needs (rather than maximizing profits). On the other hand, moral, ethical, and sociopolitical responsibilities must balance conflicting socioeconomic interests. Consequently, the political initiatives put forward by different national and international communities aimed at improving human well-being and protecting the Earth. Poverty eradication should go hand in hand with efforts to foster economic growth, integration and a range of actions related to improving education, health, social protection/equity, and employment, as well as to limit climate change and therefore to protect the environment in which we live. To pursue these goals (that is, to ensure sustainable development), people’s behaviors and way of thinking must change. The quality of education and training should be emphasized to promote sustainable development at all levels, regardless of social conditions. Education, in this context, should promote the search for constructive and creative solutions as well as respond to future challenges, including the resilience of society. In particular, universities with their intellectual resources play a central role in the education of future specialists aware of sustainability issues. All over the world we are seeing a significant transition toward sustainable development, particularly in cities where more than 50% of the world’s population lives. Universities with their local autonomy, guided by national rules and guidelines, are implementing new curricula that highlight the Sustainable Development Goals (SDGs) involving all fields of knowledge: STEM (Science, Technology, Engineering, and Mathematics), health and well-being, social sciences, and humanities. Furthermore, the rapid digital transformation of higher education institutions (HEIs), recently driven by a global health emergency, opens up new opportunities to promote a technology-enhanced approach to learning and teaching with the same level of excellence and effectiveness in virtual settings such as in the traditional context, allowing both to break down the sociocultural barriers and to expand the potential beneficiaries. Thus, the chapter, moving within this context, highlights the innovation required of higher education institutions to achieve the SDGs and presents how higher education institutions have revised their educational pathways to prepare leaders with a new way of thinking about (sustainable) development. The chapter is organized as follows. Section 2 outlines how cities and universities are moving toward achieving the SDGs, while Sect. 3 outlines how different fields of knowledge can help to create a new society more dedicated to achieving the SDGs. Next, some case studies are presented. Section 4 concludes the chapter by charting the way forward for a more sustainable and livable world.

702

2

A. Comi et al.

The SDGs, Cities, and Field of Knowledge

In the 1980s, the World Commission on Environment and Development (WCED 1987) underlined the need to promote sustainable development. In 2015, the United Nations adopted the Sustainable Development Goals as a universal call to action to end poverty, protect the planet, and ensure that all people enjoy peace and prosperity by 2030 (United Nations 2015). Seventeen Sustainable Development Goals and 169 targets have been identified and shared among all the countries and the stakeholders involved. Through these goals and objectives, we are expected to promote (or rather bring about) a “world free from poverty, hunger, disease and where all life can thrive. . .. A world with equitable and universal access to quality education at all levels, health care and robust protection, where physical, mental and social well-being is ensured.” Furthermore, the future of the Earth will be urban. Indeed, according to Filippova and Buchou (2020), the world is becoming more and more urban. It is predicted that by 2050 the world population will grow by more than 9 billion and 67% of it will live in urban areas. On the other hand, the demand for urban mobility could explode from 25.8 trillion passenger-km in 2010 to 67.1 trillion passenger-km in 2050. In this context, the participants of the Tokyo U20 Summit in 2019 jointly stated that “building sustainable and resilient cities is essential to safeguard the quality of life, livelihood and health of our citizens.” Obviously, mobility and transport have to change and actively contribute to this process, due to the high impacts produced. Therefore, cities face new challenges (Filippova and Buchou 2020): • planet, i.e., air pollution, CO2 emission, noise, increasing ecological footprint; • people, i.e., traffic chaos, traffic security, traffic jam, decreasing quality of life, and convenience; • profit, i.e., overloaded infrastructures, insufficient public transport capacities, increasing motorization, limited parking places. According to the SDG 11, which points out urban contexts (make cities and human settlements inclusive, safe, resilient, and sustainable), and in order to tackle the above mentioned issues in city planning, the European Commission (EC) promoted the concept of sustainable urban mobility, and published guidelines to develop and implement sustainable urban mobility plans (SUMP 2019). Previously, different European projects dealt with this theme. Since its launch in 2002, CIVITAS (CIVITAS 2022) has carried out research and innovation activities in sustainable urban mobility and it has enabled local authorities to develop, test, and roll out measures through a range of local projects. URBACT, which ran from 2002 to 2006, built upon EU pilot projects started in the late 1980s developing integrated approaches to urban regeneration. Later URBACT II focused on sustainable urban development across a wide range of policy areas and it included capacity-building initiatives for the first time. Its third edition (2014–2020) involved more than 670 European cities and focused on sharing good practices through transfer networks and on implementing integrated action plans (URBACT I and II 2022). The project ENCLOSE (Energy Efficiency in city logistics services for small and mid-sized

35

How Cities and Universities Approach the Sustainable Development Goals

703

European historic towns; Ambrosino et al. 2015) defined guidelines for sustainable urban logistics plans (SULPs). Recently, the EU funded the project SULPiTER (Interreg Central Europe, 2016–2019), which was facing the development of SULPs in several European cities and focusing on wider areas named functional urban areas (FUAs; OECD 2013). Specifically, SULPiTER aimed to support cities to improve their understanding of FUA freight-related phenomena, according to an energy and environmental perspective, enhancing their capacity in urban freight mobility planning to efficiently develop and adopt SULPs. Mobility is one of the main priorities for cities, and it will require a significant investment. In particular, the transition toward a more sustainable development (which includes the decoupling of economic growth from fossil resources, new approaches to implement new infrastructures and services) needs to be investigated. We should combine (Lyons 2018; Filippova and Buchou 2020; Holguín-Veras et al. 2020; Russo and Comi 2020; Holotová et al. 2023) hard and soft infrastructures, finance ones and the user’s behavior, beyond civil and financial engineering, the changing industry and the development of inclusive infrastructures. Thus, while mobility is affected by such a revolution, digitization is offering new opportunities (Filippova and Buchou 2020). The local expectations toward more sustainable and livable cities are taking place since health and stress levels in cities are becoming a global matter. Worldwide indications are to create new cities where city life stops from stressing out. It can be achieved through the factors described in Filippova and Buchou (2020), namely: the elimination of urban congestion; the use of friendly transport for the environment; the mobility versus the health and the well-being. On the other hand, to foster the aforementioned innovations and to contribute to create a new society more conscious of promoting a sustainable world, the higher education sector (HES) plays a key role. HES should clearly work to support the achievement of SDGs, especially, to back up: • SDG 4, i.e., on equal rights to high-quality education; higher education institutions need to be active in analyzing the barriers that some groups face to access education and to dismantle them; • SDG 5, i.e., on gender equality; • SDG 10, i.e., on reducing inequalities in general (is connected to SDG 4). While some SDGs are clearly related to the higher education sector, universities cannot ignore the other SDGs covering different aspects of society, for example: • how to equip graduates with skills for benefiting humanity (e.g., SDG 3); • universities should divest from fossil fuels, save energy, and sort waste to minimize their negative footprint (e.g., SDG 7); • integrating sustainability into curricula (e.g., SDG 8); • universities should address the footprint they leave with the research they conduct and the students they educate (e.g., SDG 9); • providing access to safe, affordable, accessible, and sustainable transport systems for all (e.g., SDG 11).

704

2.1

A. Comi et al.

Economic and Educational Challenges

Global economies are facing a major challenge, namely high levels of unemployment and a shortage of job seekers with the necessary skills. As shown in Elizondo (2019), it emerges that there is also a significant gap between corporate language and educational institutions in describing both the skills and the outcomes of their training paths. One of the main questions is: how can education really help people get the skills to find a job? Which style of learning can help people to become productive? As addressed by McKinsey, the majority of employers in the US (60%) agree that there is a lack of preparation for entry-level jobs and that approximately 50% of young people do not believe post-secondary education is useful for increasing one’s chances of finding a job. On the other hand, 72% of higher education institutions believe that their students are ready to meet job demands (Mourshed et al. 2018; Mann et al. 2020; Mondolo 2022). It emerges the opportunity to reduce the information gap in order to clearly understand which learning practices need to be developed for creating the critical skills essential for the future generations. Employers and HEIs do not speak a common language regarding the identification of needed skills, as well as students do not have enough data to comprehend how big this gap is and how to solve this problem. In general, education is not based on skills but on credentials. This kind of problem is one of the main reasons for this gap. Students typically obtain degrees while higher education institutions create a curriculum and study plan based on the “historical” degree profile for that degree. Now, companies are looking for specific and up-to-date skills and not a specific degree which does not always respond to real, current, and future challenges. For example, companies that build software may not be primarily interested in looking for software engineers. In summary, good analysts, consultants, software developers, and data scientists are in high demand, with collaborative and organized work skills. Also, if a student takes a college course, they will gain certain skills, but that should not be the only outcome. Therefore, institutions, referred to as HEIs, must foster the link between business demands and the degree profile, without penalizing personal thinking. Currently, public policy prefers to push for education that reaches as many people as possible. This could be possible thanks to the significant support of technology. The idea is to increase online education by more than 200% in the next three years (Elizondo 2019), resulting in new and good opportunities to improve education delivery (e.g., blended learning). However, technology can do more. Education should not leave the idea of being identified only in “courses,” but instead in “something continuous, like a movie in which someone lives several learning experiences, each of them developing certain competencies that will help you to get a job. The new language for learning is not degrees but skills, and technology can help us to understand how they are developed, and by which learning experiences, as well as those needed by specific jobs and employers” (Elizondo 2019).

35

2.2

How Cities and Universities Approach the Sustainable Development Goals

705

Universities Approaching Sustainable Development

Referring to the priorities of the European Union, an important trend in the development of higher education is to ensure the interaction of the key actors in the “knowledge triangle” which unites education, research, and innovation. The strategic documents issued by the European Union, which define the directions for the development of a knowledge-based society, in particular Europe 2020 and the Higher Education Modernization Agenda require Member States to introduce mechanisms for interaction between universities, research institutes, enterprises, and public organizations. The political and executive governance of organizations in the EU must consider the need to ensure structural and substantive alignment between education, research, and innovation (EC 2016). Therefore, in the decree “On the sustainable development goals of Ukraine for the period up to 2030,” one of the main goals refers to SDG4 – “The quality of education and training.” Its main tasks and indicators are summarized in Table 1. Therefore, according to the survey carried out by the European University Association (EUA; Stober et al. 2021) on greening, it emerged that 64% of institutions have greening activities in place, while 18% of measures are led by individual departments or faculties. Therefore, HEIs are addressing greening and, more broadly, sustainability through a large range of diverse measures and activities, among the others (Gruenwald et al. 2019; Stober et al. 2021):

Table 1 Objectives and indicators for the sustainable development goal “quality education” Objectives To ensure the availability of quality schooling for all children and adolescents To ensure the availability of quality preschool development for all children To ensure the availability of vocational education To improve the quality of higher education and ensure its close connection with science, and to contribute to the formation of cities of education and science in the country To increase the prevalence among the population of the knowledge and skills necessary to obtain decent work and entrepreneurship

To eliminate gender inequality among school teachers Source: Zelensky (2019)

Indicators Share of the population satisfied with the availability and quality of school education services [%] Net indicator of coverage of 5-year-old children by preschool educational institutions [%] Share of households suffering from lack of funds for a family member to receive any professional education [%] Ukraine’s place in the Global Competitiveness Report in the field of “higher education” Number of university cities [units] The level of participation of adults and youth in formal and non-formal types of education and vocational training, % of the population aged 15–70 years The share of the population who reported that they used the Internet in the last 12 months [%] The share of men among school teachers [%]

706

A. Comi et al.

• green mobility, i.e., around 50% of institutions encourage low carbon transport forms; • learning and teaching, i.e., around 80% or more of institutions consider greening in their offer of extra curricula activities (94%), in their study programs (79% bachelor – BA, 82% master – MA), in dedicated elective modules (84%), and in their curriculum reform (86%); • research and innovation, i.e., about 70% of the institutions have greening measures and activities in the area of research and innovation, for example through living labs (74%), they foster to use green and shared research infrastructures (74%), and provide incentives or dedicated funds for research and innovation activities on greening (73%); • green campus, i.e., most of HEIs focus on recycling and on waste management (93%), on sustainable construction and renovation (90%) and on the use of resources (energy, water etc., 92%); more than half of them also implement comprehensive policies and processes in such areas; • engagement and communications; • networks, i.e., HEIs do not pursue greening in isolation; • strategies, i.e., greening is considered in the leading strategy (61%), and many of them promote strategies related to the SDGs; • governance and steering, which varies across the HEIs; • challenges, i.e., HEIs face with challenges relative to greening and environmental sustainability. Mostly, they point out the lack of funding (about the 50%), while about 33% declare a lack of staff engagement, activity coordination as well as strategic support. Moreover, the HEIs indicate the opportunity to obtain further funds from national or European institutions. In particular, such funds should allow to implement greening measures, but also to peer-learning and more engagement with actors across the institution and exchange with other institutions. Furthermore, to achieve the above goals, HIEs should foster capacity building. They help create innovation in society and better adapt to opportunities to find skilled employees (Fig. 1). For example, according to the World Economic Forum (WEF 2020), the ease of finding qualified personnel in advanced economies is rated at 68 out of 100, while in emerging markets and developing countries this score is lower, i.e., 55 out of 100. Values for emerging markets and developing economies are based on a sample of 84 economies, while values for advanced economies are based on a sample of 36 economies. Business leaders across all regions continue to report difficulties in finding people to fill a meaningful position in their businesses. As new technologies are adopted globally by businesses, the skills needed for the jobs of tomorrow have been set to become more pronounced as populations transition to remote work during the COVID-19 pandemic. In this context, driven by the evolving COVID-19 pandemic, many higher education institutions in Europe have developed rapid institutional responses to the COVID-19 disruption. Initially, higher education institutions addressed the logistical issues and ensured the technological supply necessary to replace face-to-face lessons with synchronous distance learning, as it was not possible to return to the traditional way of teaching. As a result, many

35

How Cities and Universities Approach the Sustainable Development Goals

707

Ease of finding skilled employees (0-100 scale)

70 60 50 40 30 20 10 0 2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

2019

2020

Year Advanced economies

Emerging market and developing economies

Fig. 1 Trends in ease of finding skilled employees in advanced economies and in emerging markets and developing economies. (2009–2020; authors’ elaboration through data from WEF 2020)

higher education institutions have started to train their faculties/departments for the use of digital technologies to deliver online distance education or blended models integrating both traditional face-to-face teaching time and web-mediated activities. At the same time, they invested in modernizing their infrastructure, as it became clear that these skills and resources would become essential for the success of twenty-first- century universities and for students to thrive in a competitive and fast-changing world. Therefore, new learning strategies, to ensure equality in obtaining knowledge in the SDGs, should allow for more flexibility, more interaction with faculty staff (e.g., lecturers) and students, and student engagement (to participate and contribute). Therefore, blended learning should be explored and fostered. The World Economic Forum’s Future of Jobs Report 2020 has pointed out the relevance to provide the new workers with “digital skills.” Since 2017, the perception of businesses on digital skills has, on average, decreased by 3.4% among advanced economies and increased by 1.8% among emerging and developing economies. The largest improvements have been in Egypt, Bulgaria, Saudi Arabia, and Tanzania while Japan has seen the largest decline of digital skills relevance. The lack of adequate digital skills not only hampers the diffusion of ICT but also exacerbates the risk of job losses related to automation. In OECD countries, it was estimated that, at least, 14% of all jobs are at “high risk” of automation and 32% of all jobs are at “significant risk” of automation. In 16 of 27 OCED countries digital skills scores have declined over the past four years, making it more difficult for workers to transition to new roles (WEF 2020).

708

A. Comi et al.

3

Challenges in Designing New Educational Paths

3.1

Case Study from Germany

The period from 2005 to 2014 has been proclaimed the “World Decade of Education for Sustainable Development.” In their joint statement “Universities for Sustainable Development,” the German Rectors’ Conference (HRK) and the German UNESCO Commission pledged to support the concept of sustainable development in 2009. In 2015, 17 Sustainable Development Goals were formulated (SDGs) that address the various dimensions of sustainability, social, environmental, and economic. In this context, the Conference of University Rectors took up the theme of sustainability from 2009 and 2018, formulating recommendations for sustainability and education in a global context: Recommendations for implementing a culture of sustainability in universities (HRK 2018) The universities are future workshops for society. By combining research and teaching, you can help future generations to master complex challenges in a globalized world (Grand Challenges). They set themselves the task of sensitizing all university members to sustainable development and to convince them to make a contribution to the creation of a sustainable society. The prerequisite for successful action by universities is that they act within a consistent social and political target system. The articulated will of many actors to contribute to a future-proof, sustainable society must be reflected in resolute political and societal action, in which universities actively participate. 1. The HRK recommends that all universities – depending on their profile and their requirements – give sustainable development a special role in their target system. The goal should be part of the fundamental positioning of the universities (constitution, strategy papers, mission statement), be taken into account in the structuring of governance and be the subject of their regular reporting. Concrete steps for implementation should be developed on the basis of the formulated guiding principle. The central goal must be to develop a culture of sustainability at universities. The individual motivation and personal commitment of the employees are to be encouraged. A reflective approach to one’s own research and teaching that takes social dimensions into account should become a matter of course. In teaching, individual skills and ways of thinking that are crucial in connection with the challenges of societal sustainability should be specifically promoted. 2. This process must receive support from the federal states as the institutions responsible for the universities and funding agencies, as well as from the federal government and the funding organizations. Sustainability is already being expressed in the higher education laws of the federal states as well as in target agreements between the federal state ministries and universities. Corresponding negotiation processes that set ambitious goals and at the same time provide the means to achieve them are to be continued and further developed against the background of the 2030 Agenda. Various research programs have also been

35

How Cities and Universities Approach the Sustainable Development Goals

709

launched to promote sustainability-oriented research in close connection with teaching. In the coming years, the HRK will work to ensure that appropriate incentives are further expanded (GRC 2021). A large number of universities have responded to the challenge of finding solutions to the major social challenges and thereby making their own contribution as an overall institution. Almost a quarter of all German universities are already involved in the nationwide “Deutschen Gesellschaft für Nachhaltigkeit an Hochschulen e.V. (DG HochN) (DG HochN 2021).” The DG HochN supports universities and individual actors who are committed to a sustainable development in the university system and who want to contribute to the achievement of the Sustainable Development Goals through science and application. As an example, the HTW SAAR, the University of Applied Sciences in Saarbrücken, Germany, where more than 6000 students are enrolled in 4 schools – the Business School, the School of Architecture and Civil Engineering, the School of Engineering, the School of Social Sciences, and the Franco-German Institute for Technology and Business (ISFATES-DFHI), is a member of the DG HochN. The following three spheres of sustainability are pointed out at HTW SAAR: • social sustainability, i.e., on the subject of equal opportunities, HTW SAAR was the first Saarland university to be included in the diversity audit “Shaping diversity” by the Stifterverband für die Deutsche Wissenschaft in November 2015 and it has been certified since February 2018 (htw saar, website, https:// www.htwsaar.de/hochschule/profil/diversity/diversityaudit); • teaching, i.e., the HTW SAAR offers since 2020 under the motto “Rethink! Paths to Sustainability” several lecture series on the topic of sustainability, combined with a DG-HOCHN workshop (htw saar, website, https://www.htwsaar.de/htw/ hochschule/profil/nachhaltigkeit/ringvorlesung-nachhaltigkeit-ws19-20); • research, i.e., our B2E3 research institute for efficient buildings takes responsibility for climate protection, resource conservation, and energy efficiency. The research spectrum ranges from innovative building materials to bionics in architecture. (htw saar, website, http://www.b2e3.de/). In the “Structure and development plan of HTW SAAR 2021-2025, (Strukturund Entwicklungsplan der htw saar 2021-2025, htw saar, website, https://www. htwsaar.de/hochschule/profil/strategie)” concerning the subject of sustainability for different faculties, the following visions can be found: • Faculty of Engineering: in the future, the courses will focus more on the topic of sustainability by making questions of the circular economy, recycling and sustainable processes a central theme in all engineering teaching areas; • Faculty of Economics: against the background of promoting teaching and research on the topic of sustainability, the professorship in Economics/Politics has already been reoriented to “Economic/Economic Policy Sustainability Strategies”;

710

A. Comi et al.

• Faculty of Architecture and Civil Engineering: it will examine the introduction of a course “Sustainable Urban and Regional Planning” (working title) with links to environmental engineering, social work, tourism and economic development, possibly also as a part-time course, in order to address the future topics of “Sustainable Development” and “City and Country” in the range of courses at HTW SAAR.

3.2

Case Study from Poland

The Polish higher education sector, in general, and its HEIs, in particular, are important spaces for the development of the idea of the sustainable development in the country, and in undertaking education in accordance with SDGs, which is in line with SDG 4: Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all (ONU 2022a). The HEIs are preparing to meet the SDGs and they are facing several challenges to develop future generations of professionals, political, and social leaders. Therefore, there is space for introducing the principles of sustainable development in all spheres of society. Many Polish HEIs have introduced solutions related to the implementation of the SDGs, for example by undertaking analyzes in terms of sustainable development optimization in technical processes and on the functioning of the higher education institution itself. Some of them also carry out external audits to evaluate these activities and support the preparation of sustainable development indicators for the next years of operation of the higher education institution. Other Polish HEIs have also implemented institutional and organizational solutions. For example, at the University of Szczecin, the Plenipotentiary for Social Responsibility of the University was established. It aimed to promote the principle of university social responsibility, sustainable development, and green economy among all University stakeholders (USZ 2022a). Besides, the UNESCO Unit was also funded with the purpose of guiding the development of educational policy, and of promoting cultural diversity and gender equality (USZ 2022b). Other Polish HEIs, such as the Warsaw School of Economics (WSE), in addition to the already mentioned institutional and organizational changes, have introduced specific solutions in line with the SDGs. A perfect example of this is the so-called participatory budget of the Warsaw School of Economics, which contributes to the implementation of numerous initiatives in favor of the local community and the natural environment. Thanks to the ideas of employees, students, and PhD students, WSE has revitalized the Rector’s Gardens, set up an apiary on the roof of the library, as well as a flower meadow and bird nests on the Campus. WSE has also installed air quality sensors and set up an internal bicycle network for employees to commute within the university buildings. The idea behind each participatory budget is to collect ideas and then select the favorites of the whole community. This allows for the prioritization of investments, taking into account the needs of the academic community. The ideas presented by WSE employees mainly concern the improvement of working conditions, professional development, and the improvement of

35

How Cities and Universities Approach the Sustainable Development Goals

711

campus infrastructure. The PhD student budget instead concerns ecological innovations, but the so-called green themes are very popular among university employees (Cygonek 2021). Summing up, on the one hand, it should be emphasized that many Polish HEIs are implementing the Sustainable Development Goals in their policies, however it is desirable that more and more Polish higher education institutions open up more to their development corresponding to the challenging requirements of our civilization and achieve the goals of the SDGs (Kalinowska and Batorczak 2017).

3.3

Case Study from Italy

In line with the global commitment that led, in September 2015, to approve the United Nations Global Agenda for Sustainable Development and related goals (Sustainable Development Goals – SDGs), Italian HEIs have been encouraged to include issues related to sustainable development explicitly in their mission/vision, with reference to the goals for sustainable development and the related goals identified by the United Nations (United Nations 2015). On the other hand, the Italian government has promoted the implementation of specific actions to promote the sustainability and livability of the city. An example is given by the adoption of guidelines for the development of SUMPs. The SUMP guidelines (in Italian Linee guida per i Piani Urbani di Mobilità Sostenibile) were released in Italy in 2017 and then were updated in 2019. In the Italian guidelines, the SUMP is defined as a ten-year strategic plan and its development is mandatory for metropolitan areas and for those cities or associations of municipalities with a population of more than 100,000 inhabitants. Some Regions (e.g., Puglia Region) have promoted regional guidelines to support cities (e.g., through incentives and funds) with a population of less than 100,000 inhabitants in SUMP development. The plan must be updated at least every five years and one year before a new call for transit services. Among others, the Italian guidelines identify several macro-objectives that must be achieved by SUMP: effectiveness and efficiency of the transport system, improvement of the transit service, reduction of the level of congestion, improvement of the accessibility of people and goods, integration between land use and system transport, energy and environmental sustainability, road safety, economic and social sustainability (Comi et al. 2020). In this context, the HEIs have chosen to draw up sustainability reports and to promote different actions at local level. For example, University of Rome Tor Vergata proposes to develop (UNITOV 2021): • a communication tool for its commitment to sustainable development and for the university’s acknowledgment of its responsibility toward all stakeholders; • a method to manage and control the efforts made and the outcomes reached by introducing the vision of a sustainable development; • a channel for listening and acknowledging the requests of stakeholders, with the aim of continuous improvement.

712

A. Comi et al.

The Polytechnic of Milan, among the others, promoted a new educational path in mobility engineering as well as in sustainable architecture and landscape design. Today, in Italy, the first transversal, introductory, and specialized courses focus on issues related to sustainable development and the pursuit of the objectives set by the United Nations 2030 Agenda. Different HEIs have evolved in their educational offer from courses mainly dedicated to introduction of the general objectives of the sustainable development toward new specialized courses dealing with health, nutrition, and ethics of sustainable development (e.g., development sustainable and decent work). In this background, an example is given by the transport engineering sector, where the challenges of engineering and infrastructures as well as the ones of the sustainable mobility within the framework of sustainable development were defined into three main streams (Cascetta 2021; Cirianni et al. 2021; Nuzzolo and Comi 2021; Russo and Comi 2021): • transport decarbonization, i.e., the worldwide goal is to reach the carbonneutrality by 2050 through the changes of motors, energy sources, and so on; • autonomous and connected vehicles, i.e., thanks to information and communication technologies, digitalization of automation, artificial intelligence, 5G connectivity; • new mobility services, i.e., technological innovations are mainly linked to ICT and APP-economy which allowed new mobility services to be implemented. Therefore, within the transportation engineering, the academic world is going to define the educational needs for meeting the new incoming challenges. In particular, the attention is paid to: • external impacts (energy consumption, footprint, CO2, users’ safety); • multidisciplinary (coordination with automatic, telecommunications, and new technologies); • design of new traffic control systems (smart road, smart pricing); • design of new services (MaaS – mobility as a service; analysis and modeling of new mobility needs, design of new mobility services – car sharing and carpooling); • design of a sustainable mobility (the plan for home-work trips); • resilience of transportation systems, also in relation to climatic changes; • new approaches to the infrastructure design; • monitoring and maintenance of infrastructures (new methods and models, new materials, new machines, new regulations).

3.4

Case Study from Ukraine

3.4.1 Ukraine Integration in the EU Area Since 2019 Ukraine has started to implement and achieve the SDGs. Features of the development of Ukraine in various fields of activity influence the achievement of the

35

How Cities and Universities Approach the Sustainable Development Goals

713

Fig. 2 National qualification framework in Ukraine

global goals of sustainable development, and accordingly, their adaptation is presented in the Decree (Zelensky 2019). Therefore, plans for the sustainable development of cities and the development of suburban areas are actively being implemented in the cities of Ukraine. These trends, in combination with current societal situations/challenges (e.g., COVID-19 pandemic, digital transformation) should be reflected in all stages of the educational process (Fig. 2). Young people, the new generation of specialists (Bachelor’s, Master’s) as adults, should have the necessary knowledge and skills to effectively solve society’s urgent problems. An analysis of the study of the European experience makes it possible to determine that when reforming the university toward the needs of education for sustainable development, and when developing curricula and professional training programs for an engineer within the framework of the development strategy sustainable, attention should be paid to the areas summarized in Table 2 (MEDTK 2017).

3.4.2

Sustainable City Development: An Area That Requires Experienced Professionals Significant steps in the implementation of sustainable development principles are related to cities. This is due to the constantly growing volume of the urban

714

A. Comi et al.

Table 2 Area of interest toward sustainable development Technological resistance

Energy resistance

Sustainable development management

Sustainability policy

Technologies that are friendly to the natural environment “Clean” technologies and “clean” products Energy and resource efficient projects Analysis of the life cycle of products – from their production to destruction and disposal Renewable energy sources Energy efficiency of design solutions “Clean” fuel Prevention of the possibility of waste and their minimization Recycling, that is, reuse and recovery of production waste wherever possible Development of engineering in the focus of ensuring the preservation of the natural environment and sustainable development of society; conservation of natural resources Limited use of fossil fuels Policy in relation to the environment related to its preservation and protection from any potential threat Assessment of the admissibility of environmental impacts Policy of increasing the energy and resource efficiency of production Economic policy related to the distribution of material values and natural resources both within one generation of people and between generations Social policy related to population problems, ecology, poverty, and human health

Source: MEDTK (2017)

population in Ukraine (Fig. 3; SSU 2020), the level of motorization, and, consequently, the growth of polluting and greenhouse gas emissions. Urbanization creates challenges and opportunities for cities. The challenges arise from the rapid pace of urbanization and associated pressures from the environment and social relationships. Opportunities include the ability to design, plan, and manage environmentfriendly approaches that foster technological innovation and take advantage of existing synergies between elements of the complex urban systems. Priority areas for achieving sustainable urban development include the improvement/promotion of: • the human settlements management; • the sustainable land use planning and management; • the integrated infrastructures for environmental protection (e.g., water supply, sanitation, solid waste treatment, and disposal); • the reliable human settlements systems; • the settlement planning and management; • the development of new transport modes.

35

How Cities and Universities Approach the Sustainable Development Goals

69.29%

2018

69.54%

69.41%

30.71%

30.59%

2019 Urban population

715

30.46%

2020 Rural population

Fig. 3 Dynamics of the urban and rural population of Ukraine

In Ukraine, at the national level, one of the first steps toward the implementation of the principles of sustainable development was the approval of the concept of sustainable development of settlements (Resolution of the Verkhovna Rada of Ukraine dated December 24, 1999, No. 1359 -XIV). Since 2001, the obligation to ensure the sustainable development of settlements in the implementation of planning and development of territories includes the Law of Ukraine “On the Basics of Urban Development.” Some cities and regions in Ukraine already have, or are developing, their own conceptual and strategic documents determining strategic directions of sustainable development (Comi et al. 2019). These documents emphasize the improvement of new and innovative tools and methods that will ensure the efficiency of transport services, thus supporting economic growth and reducing the consumption of natural resources. This research area includes transportation modeling, methodology for evaluating the benefits of sustainable transportation systems, and the interactions between the transportation system and the regional economy. Examples of ongoing activities promoted by Ukrainian cities are provided by the cities of Kiev and Kharkiv (the two largest cities in Ukraine). The World Bank, in cooperation with the Kyiv City State Administration, carried out a study on the sustainable development of the urban transport system. The project objectives were: to support the Kyiv City State Administration to improve and develop a strategy for urban transport data collection; understand the strengths and weaknesses of Kyiv’s public transport systems; support the municipality’s technical staff to improve their transport planning skills; develop recommendations for the optimization and reorganization of public transport services. A study was also carried out to promote the sustainable development of the urban transport system in Kharkiv (City of Kharkiv 2015). In fact, due to the rapid growth of the city, the transport and logistics system

716

A. Comi et al.

needs some revisions and adaptations to the needs of incoming users. In addition, the Kharkiv Municipality Department was initiating close cooperation with local universities to obtain expertise to support the renewal of the transport system. It represents the future challenge of Kharkiv education system. Although Ukrainian cities have been moving toward the same goal (i.e., ensuring sustainable development of the city), the ways to achieve this goal are different for each of them. This path requires appropriate specialists who will have the right skills to create sustainable transport infrastructure and services. Therefore, the new challenges that universities have to take up are those designed to provide young specialists with modern and innovative technological knowledge, skills, and competencies to compete in the labor market. This mission can be accomplished by offering teachers and students the opportunity to gain experience during international study visits, internships, and international scientific collaborations. For example, international collaboration in educational and scientific projects (e.g., Erasmus+, Polish National Agency for Academic Exchange – NAWA, British Council, Horizon, E-cost etc.) has given and will give UA universities the opportunity to be fully integrated into the modern development of EU society and consequently education (i.e., global and intercultural issues, collective well-being and sustainable development, multicultural interactions).

4

Conclusions and the Road Ahead

In the current world evolution, as the analysis along the chapter has shown, the non-linear dynamic nature of the human processes leads to the manifestation of a high level of instability and unpredictability, and it faces with strong future challenges. Therefore, a necessary condition for the sustainable development of society is to ensure the harmonious interaction of socio-economic activities and moral, ethical, socio-political responsibility. This actualizes the need to provide people with skills for critical and creative thinking, able to predict the future contradictions, to plan the future actions aimed to prevent the threats facing humanity. Besides, the new specialist generation should be equipped with all the necessary to ensure the mutual respect, tolerance, and a deep understanding of democratic forms of shared decision-making. Meeting these challenges to achieve the SDGs requires leaders with new mindsets, able to find constructive and creative solutions to current and future global challenges. Universities play a key role in the training of such specialists, and they need to revise their educational processes both in terms of course and course delivering. Universities should respond to new trends in the choice of core skills acquired by the students, e.g., analytical, critical thinking, and “digital skills.” Thus, the chapter also focused on the development of cities. The analyzed studies indicate the worldwide urbanization of society. Creating accordingly the conditions for the development of sustainable cities is critical to improve the quality of life, livelihoods, and health of city users. Obviously, the development of urban transport systems should change and actively contribute to SDGs, which again requires the

35

How Cities and Universities Approach the Sustainable Development Goals

717

appropriate skills from university graduates. Currently cities and HEIs, in synthesis, are moving to create a livable and sustainable world as well as to educate the new managers with a strong sensibility toward the SDGs. Despite everything, the road ahead will be hard and full of difficulties to be faced together day by day. Furthermore, the current global response to the COVID-19 crisis has clearly impacted the achievement of the SDGs. Indeed, the COVID-19 pandemic has affected an estimated 1.5 billion students, according to an estimate by UNESCO (ONU 2022b). This situation has had a strong impact on the achievement of SDG Goal 4 (Quality Education; Fenner and Cernev 2021). At the same time, it should be noted that the COVID-19 pandemic also has some positive effects, such as increasing the level of international awareness and global cooperation. This trend encourages optimism. It could potentially push to meet sustainable development requirements as, although some sectors of the economy may be constrained by the limitations/restrictions caused by the COVID-19 pandemic, it could offer new opportunities. The new circumstances created by the pandemic are changing student motivation, leading to a review of learning priorities and course delivery methods. For example, previously, distance learning was mainly used as further education or for distance learning itself. During the lockdown, this experience was scaled up to the entire learning process with very significant results, including the possibility of reaching more potential beneficiaries. Acknowledgments The authors would like to thank Marion Heaton, Francis M. M. Cirianni, Federica Monaco, and Alma Orazi for revising the English of the whole chapter, and the reviewers and editors for their valuable comments and suggestions, which were most useful in revising the chapter.

References Ambrosino G, Liberato A, Pettinelli I (2015) Sustainable Urban Logistics Plans (SULP) Guidelines. C, Ljubljana, Slovenia Boyko A, Vlaskin G, Lenchuk E (2006) Experience of innovative cooperation between the EU and the CIS countries. Presented at the Proceedings of the 12th International Scientific and Practical Conference “Problems and Prospects of Innovative Development of the Economy,” Alushta, Ukraine Cascetta E (2021) Le sfide dell’ingegneria delle infrastrutture e della mobilità sostenibile e i nuovi bisogni formativi. University Mercatorum of Rome, Italy Cirianni F, Leonardi G, Iannò D (2021) Operating and integration of services in local public transport. Smart Innovation, Systems and Technologies, 178 SIST, p 1523–1531 City of Kharkiv (2015) Study of Sustainable Development of Urban Transport, https://www.city. kharkiv.ua/en/ CIVITAS (2022) CIVITAS – sustainable and smart mobility for all. European Commission, Brussels. https://civitas.eu/ Comi A, Lobashov O, Olkhova M, Roslavtsev D, Vakulenko K (2019) Development and implementation of master programme in smart transport and logistics for cities. Balkan Region Conference on Engineering and Business Education 3, p 86–93. https://doi.org/10.2478/ cplbu-2020-0011

718

A. Comi et al.

Comi A, Persia L, Polimeni A, Campagna A, Mezzavilla L (2020) A methodology to design and assess scenarios within SULPs: the case of Bologna. Transp Res Procedia 46:269–276. https:// doi.org/10.1016/j.trpro.2020.03.190 Cygonek K (2021) Zrównoważony rozwój SGH. Gazeta SGH EC (2016) European Skills Agenda. European Commission, Brussels Elizondo G (2019) OECD-degrees or competencies? A new job language for the new economy. https://www.oecd-forum.org/posts/52105-degrees-or-competencies-a-new-job-language-forthe-new-economy Fenner R, Cernev T (2021) The implications of the Covid-19 pandemic for delivering the sustainable development goals. Futures 128:102726. https://doi.org/10.1016/j.futures.2021.102726 Filippova R, Buchou N (2020) United Nations, Economic Commission for Europe, Sustainable Transport Division, 2020. A handbook on sustainable urban mobility and spatial planning: promoting active mobility GRC (2021) Für eine. Kultur der Nachhaltigkeit. https://www.hrk.de/p Gruenwald N, Staak A, Bosman S, Ndihokubwayo R, Zaščerinska J, Ahrens A (2019) Incorporation of practice based approach into engineering education at master level: analysis of needs of teaching staff at Cape Peninsula University of Technology within PEESA III Project. Balkan Region Conference on Engineering and Business Education 3, p 180–188. https://doi.org/10. 2478/cplbu-2020-0021 Hassoun A, Prieto MA, Carpena M, Bouzembrak Y, Marvin HJP, Pallares N, Barba F, Punia Bangar S, Chaudhary V, Ibrahim S, Gioacchino B (2022) Exploring the role of green and Industry 4.0 technologies in achieving sustainable development goals in food sectors. Food Res Int 162. https://doi.org/10.1016/j.foodres.2022.112068 HochN DG (2021) Deutschen Gesellschaft für Nachhaltigkeit an Hochschulen e.V. DG HochN Holguín-Veras J, Amaya Leal J, Sanchez-Diaz I, Browne M, Wojtowicz J (2020) State of the art and practice of urban freight management part II: financial approaches, logistics, and demand management. Transp Res A Policy Pract 137:383–410 Holotová M, Nagyová Ľ, Holota T, Cagáňová D (2023) Sustainable urban mobility- multimodality as a chance for greener cities: evidence from Slovakia. EAI/Springer Innovations in Communication and Computing, p 107–118 Kalinowska A, Batorczak A (2017) Higher education facing the challenges of sustainable development goals. Zeszyty Naukowe Politechniki Śląskiej 104/2017 Lyons G (2018) Getting smart about urban mobility – aligning the paradigms of smart and sustainable. Transp Res A Policy Pract 115:4–14 Mann A, Denis V, Schleicher A, Ekhtiari H, Forsyth T, Liu E, Chambers N (2020) Dream jobs? Teenagers’ career aspirations and the future of work. OECD MEDTK (2017) Sustainable development goals: Ukraine by Ministry of Economic Development and Trade of Ukraine Mondolo J (2022) The composite link between technological change and employment: a survey of the literature. J Econ Surv 36(4):1027–1068 Mourshed M, Farrell D, Barton D (2018) Education to Employment: Designing a System that Works. McKinsey Center for Government Nuzzolo A, Comi A (2021) Dynamic optimal travel strategies in intelligent stochastic transit networks. Information 12:281. https://doi.org/10.3390/info12070281 OECD (2013) Definition of Functional Urban Areas (FUA) for the OECD metropolitan database. http://measuringurban.oecd.org/ ONU (2022a) Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all. https://unstats.un.org/sdgs/report/2017/goal-04/ ONU (2022b) COVID-19 and higher education: education and science as a vaccine for the pandemic. https://www.un.org/en/academic-impact/covid-19-and-higher-education-educationand-science-vaccine-pandemic Russo F, Comi A (2020) Investigating the effects of city logistics measures on the economy of the city. Sustainability 12(4):1439. https://doi.org/10.3390/su12041439

35

How Cities and Universities Approach the Sustainable Development Goals

719

Russo F, Comi A (2021) Sustainable urban delivery: the learning process of path costs enhanced by information and communication technologies. Sustainability 13:13103. https://doi.org/10.3390/ su132313103 SSU (2020) Number of Existing Population of Ukraine as of January 1, 2020. https://ukrstat.gov.ua Stober H, Gaebel M, Morrisroe A (2021) Greening in European higher education institutions – EUA survey data European University Association. https://eua.eu/ SUMP (2019) Guidelines. Developing and Implementing a Sustainable Urban Mobility Plan. https://www.eltis.org/mobility-plans/sump-guidelines United Nations (2015) Transforming Our World: the 2030 Agenda for Sustainable Development. https://sdgs.un.org/2030agenda UNITOV (2021) Sustainability report. http://sostenibile.uniroma2.it/ateneo-sostenibile/rapporto-disostenibilita/ URBACT I and II (2022). https://urbact.eu/citymobilnet. Available in English USZ (2022a) Nowe ważne funkcje na Uniwersytecie Szczecińskim. https://usz.edu.pl/ USZ (2022b) List intencyjny dotyczący współpracy mającej na celu utworzenie Katedry UNESCO podpisali Rektor US i Marszałek Województwa WCED (1987) World commission on environment and development – our common future. United Nations. WEF (2020) Global competitiveness report special edition 2020: how countries are performing on the road to recovery. World Economic Forum, Geneva Zelensky V (2019) On the goals of sustainable development of Ukraine for the period up to 2030 – decree of the president of Ukraine. Kiev, Ukraine.

Sustainable Development Goals and Urban Health Challenges in Informal Settlements of Mangaung Municipality, South Africa

36

Abraham R. Matamanda, Verna Nel, Mischka Dunn, Abongile Mgwele, Siphokazi Rammile, Lucia Leboto-Khetsi, Jennilee Kohima, and Palesa B. Ngo

Contents 1 Introducing the Sustainable Development and Health Challenges in Informal Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Sustainable Development Goals and Health Challenges in Informal Settlements: A Review of Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 SDG 1 and Health Challenges in Informal Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 SDG 3 and Health Challenge in Informal Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 SDG 6 and Health Issues for Informal Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Sustainable Development Goal 11 and Health Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 Sustainable Development Goal 13 and Health Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Methods and Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Description of the Study Area . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Research Design and Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Geography of the Informal Settlements in Mangaung Municipality . . . . . . . . . . . . . . . . . . . . . . . 4.1 Physical and Spatial Conditions of the Informal Settlements . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Provisioning of Basic Services (Water and Sanitation) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Governance and Management of Informal Settlements and Climate Risks . . . . . . . . . 5 Findings from Caleb Motshabi Informal Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1 Reflections on SDG 1: Poverty and Unemployment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2 Health SDG 3: Insights on Primary Health Facilities and Services in Caleb Motshabi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3 SDG 6 in Caleb Motshabi . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4 SDG 11 Seen Through Caleb Motshabi Informal Settlement . . . . . . . . . . . . . . . . . . . . . . . .

722 724 724 725 727 728 728 729 729 730 731 731 732 732 733 733 735 735 737

A. R. Matamanda (*) · M. Dunn · P. B. Ngo Department of Geography, University of the Free State, Bloemfontein, South Africa e-mail: [email protected]; [email protected] V. Nel · A. Mgwele · S. Rammile · L. Leboto-Khetsi Department of Urban & Regional Planning, University of the Free State, Bloemfontein, South Africa e-mail: [email protected]; [email protected] J. Kohima Department of Architecture and Spatial Planning, Namibia University of Science Technology, Windhoek, Namibia © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_157

721

722

A. R. Matamanda et al.

5.5 SDG 13 and Climate-Related Health Risks in Mangaung Metropolitan Municipality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Discussion and Implications for Sustainable Development Goals . . . . . . . . . . . . . . . . . . . . . . . . . 7 Conclusion and Policy Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

739 740 743 745

Abstract

The Sustainable Development Goals (SDG) epitomize the global commitment to creating sustainable cities where citizens enjoy an improved standard of living. The proliferation of informal settlements in cities of the Global South, especially in Africa, compromises sustainable development in multiple ways. Scholars have recounted the contribution of informal settlements in the production of urban spaces, which makes it critical to analyze the health challenges inherent in these spaces and how they relate to the commitment to achieve sustainable development. Health issues in informal settlements are a wicked problem that cannot only be looked at through Sustainable Development Goal 3, focusing on health issues. Rather, health challenges are contained in other SDGs (1, 6, 11, and 13) that, respectively, focus on extreme poverty; water and sanitation; making cities inclusive, resilient, safe, and sustainable; and climate action. We argue that creating healthy cities is a complex undertaking that requires the examination of multiple factors that influence them. Using a complexity perspective, this chapter analyzes the nexus of sustainable development and health challenges in informal settlements of Mangaung Municipality, South Africa. The study is qualitative and employs a case study design with data collected from primary and secondary data sources. Keywords

Urban health challenges · Informal settlements · African cities · Mangaung Metropolitan Municipality

1

Introducing the Sustainable Development and Health Challenges in Informal Settlements

African cities are undergoing immense transformations, mainly driven by rapid urbanization that has been prevalent on the continent in the past decades. The urban population on the continent grew from 27 million in 1950 to 567 million in 2015, showing a 2000% increase (Organisation for Economic Co-operation and Development and Sahel and West Africa Club [OECED/SWAC] 2020: 38). Rapid urbanization has led to the proliferation of informal settlements and slums. The urban population in Africa residing in informal settlements doubled between 1990 and 2014 from 100 to 200 million (United Nations-Habitat (UN-Habitat) 2016). Approximately 60% of the urban population in Africa resides in slums (Lall 2020: 45). Most informal settlements across Africa are characterized by appalling

36

Sustainable Development Goals and Urban Health Challenges in. . .

723

conditions, such as a lack of water and sanitation facilities (Mphambukeli 2020). They are often vulnerable to climate disasters due to the location of the settlements on the margins, for example, the informal lagoon settlements of Lagos, Nigeria (Ogunlesi 2016). Furthermore, there is a conflict with the authorities who essentially marginalize these settlements, placing them in the shadow of the formal city plans (Yiftachel 2009). The persistence of informal settlement development in African cities is associated with multiple challenges that compromise their liveability. Specifically, informal settlements that lack access to basic services such as water place the residents at the risk of water-borne diseases such as typhoid and cholera (Satterthwaite et al. 2019). The construction of the dwellings, mostly with makeshift materials, exposes the inhabitants to extreme weather conditions and fails to cushion them from excessive heat and cold (Matamanda 2020) or severe storms and flooding that exacerbate health risks (Scovronick et al. 2015). Overcrowding in informal settlements helps spread infectious diseases such as tuberculosis (TB) (David et al. 2007). The limited economic opportunities leading to poverty rates in informal settlements add to existing health challenges exacerbated by the poor access to primary healthcare facilities (Zerbo et al. 2020a). Against this background, informal settlements experience multiple health challenges. However, several studies have documented the health challenges in informal settlements. They tend to focus on a single issue, for instance, epidemics such as cholera (Zerbo et al. 2020b), Ebola, and the novel coronavirus (COVID-19), maternal health challenges among women, or urban health inequalities based on income disparities and lack of primary healthcare services. There seem to be limited studies that take a holistic perspective in analyzing the health challenges in informal settlements through SDGs. Given the diversity and extent of health problems and their multiple origins and impacts, a broad view of the context and experiences of residents is essential to understand the dynamics of the situation. Therefore, this chapter uses a complexity perspective to analyze the nexus of sustainable development and health challenges in informal settlements of Mangaung Municipality, South Africa. Specifically, this chapter addresses the following questions: • What are the nature and prevalence of health challenges in informal settlements? • How do the health challenges in informal settlements relate to the Sustainable Development Goals? • What policy implications emanate from the nexus of health challenges in informal settlements and SDGs and the perspectives for enhancing sustainable development? The chapter consists of five sections. First, the introduction has set the tone by articulating the health challenges inherent in informal settlements and related to Sustainable Development Goals. It has also indicated why the problems need to be looked at from a complexity perspective. The second section reviews the literature on the Sustainable Development Goals and health challenges in informal settlements. In the third section, the methodology is discussed, focusing on the qualitative

724

A. R. Matamanda et al.

inquiry used to examine the Mangaung case study. The following section discusses the findings from Mangaung Metropolitan Municipality (MMM). Lastly, the policy implications and policy recommendations are explained before the concluding remarks.

2

Sustainable Development Goals and Health Challenges in Informal Settlements: A Review of Literature

The SDGs are complex and interact with healthy cities in different ways. Specifically, the literature review considers five SDGs that interact with the health challenges in informal settlements. These SDGs include 1, 3, 6, 11, and 13, focusing, respectively, on poverty, hunger eradication, health and well-being, access to water and sanitation, human settlement development, and climate action. The selection of the SDGs relating to urban health was purposive. Each of the respective SDGs relates to urban health in different ways as summarized in Table 1.

2.1

SDG 1 and Health Challenges in Informal Settlements

The first SDG aims to eradicate extreme poverty by 2030. According to the United Nations, extreme poverty is measured as people living on less than US$1.90 per day. According to the World Bank (2020), the poverty datum line is between US$1.90 Table 1 SDGs and relation to urban health challenges SDG 1: No poverty

Targets End poverty in all its forms everywhere

3: Good health and well-being

Ensure healthy lives and promote well-being for all at all ages Ensure access to water and sanitation for all

6: Clean water and sanitation

11: Sustainable cities and communities

Make cities safe, inclusive, sustainable, and resilient

13: Climate action

Take urgent action to combat climate change and its impacts

Remark on urban health Poverty is critical in health because it relates to the ability of the individuals to access and pay for healthcare. Also poverty is correlated to standards of living which have a direct effect on health This SDG is directly related to urban health as the focus is on promoting good health and well-being Water and sanitation are critical for hygiene which helps maintain health environments. The lack of such puts communities at risk from different health problems The creation of sustainable settlements facilitates healthy living environments where the physical and psychological well-being of the communities is maintained Climate change has been associated with multiple health risks that emanate from flooding, heat waves, and droughts

36

Sustainable Development Goals and Urban Health Challenges in. . .

725

and US$3.20 per day per person. It has been affirmed that poverty is synonymous with informal settlements. This poverty is attributed to the locational disadvantages of informal settlements that exacerbate deprivations of the communities to basic services, economic opportunities, and lack of voice in decisions that concern them. Ultimately, poverty makes it difficult for households to meet their daily needs. This includes the inability to purchase and consume adequate and nutritious food, as evident in Epworth, Harare, Zimbabwe, where 48% of the residents in the community were food insecure. Due to poverty, individuals struggle to pay for essential services that include healthcare services (OECD 2003). The poor often do not have medical insurance, which makes them rely on social services, which are not equitably accessible, as evident in post-apartheid South Africa (Pauw 2021). When a household member is sick, they use their meager cash savings to pay off the medical bills, sell assets and household furniture, or stay at home while the disease worsens (Matamanda and Nel 2021). Proponents such as Patel and Kleinman (2003) have also indicated that poverty contributes to the poor’s psychological stress, anxiety, and stress. Poverty also prompts the poor to engage in risky behavior and activities such as prostitution and child sex which as reported for Hopley informal settlement in Zimbabwe and Kisumu in Kenya (Simiyu et al. 2018; Matamanda 2020). These behaviors and activities expose the communities to health problems such as HIV and AIDs, sexually transmitted infections, and early pregnancies and motherhood (Mumah et al. 2020). Consequently, the informal settlements become hotspots of sexually transmitted infections making it difficult to achieve Target 3.7 envisaging universal access to sexual and reproductive care, family planning, and education for all by 2030.

2.2

SDG 3 and Health Challenge in Informal Settlements

Sustainable Development Goal (SDG) 3 of the 2030 Agenda for Sustainable Development is to “ensure healthy lives and promote well-being for all ages.” First, as alluded to by Yiftachel (2009), informal settlements are placed at the margins of the formal city such that they are neglected when it comes to the provision of primary health services. This neglect is largely attributed to the capitalist nature of urbanization postulated by Brenner (2009), where policymakers prioritize service delivery in the suburbs, accommodating the affluent citizens. They can pay for these health services. This disproportionate primary health service provision is seen across most African cities, especially in informal settlements. The health facility density tends to be very low. The poor state of the infrastructure in the informal settlements also compromises the communities’ ability to access emergency healthcare services. This is evident when the road network is poor and makes it difficult for ambulances to navigate and provide timely emergency services. The poor road networks limit access to transportation to healthcare facilities, with distance and cost being the main barriers and exacerbating the health challenges (Wambiya et al. 2021). A lack of street names and

726

A. R. Matamanda et al.

addresses in informal settlements, together with limited mobile network coverage, makes it difficult for these emergency health workers to use real-time GPS tracking, which is increasingly being used in modern medicine to track patients (Zerbo et al. 2020a). The results tend to be avoidable deaths in times of emergency. Maternal healthcare is also heavily compromised, as documented in the Amnesty International (2006) report for Hopley, Harare, where maternal health problems were prevalent mainly due to the locational discrimination of the settlement. With this obtaining situation, the strides toward reducing maternal mortality as envisaged in SDG 3 Target 3.1 remains a pipeline dream. Challenging living conditions are a factor in human health and contribute to the growing number of people, particularly children living in informal settlements, who experience still premature deaths (Zerbo et al. 2020a) and traffic injuries. Specifically, Target 3.6 aims at reducing road injuries and deaths. However, informal settlements lack infrastructure and good road networks. Road traffic injuries are a growing public health issue (Peden et al. 2004), particularly in African countries. South Africa traffic injuries are fatal in areas characterized by overcrowding and lack of infrastructure and resources (Swart et al. 2012: 30), typical of informal settlements. Furthermore, walking is the primary mode of transport; however, there is limited pedestrian infrastructure, leaving the communities of informal settlement at the risk of road injuries which, to some degree, have left some community members physically challenged or impaired (Bartlett, 2002). Similarly, poor air quality or air pollution due to road dust from unpaved roads contributes to respiratory illness and diseases (Khan and Strand 2018). Moreover, limited ventilation and fossil fuels used for heating and cooking indoors also expose the residents in informal settlements to respiratory diseases (Zerbo et al. 2020a). Many informal settlements lack access to electric power that leaves them to resort to alternatives such as paraffin, charcoal, and firewood. This directly compromises Target 3.9 to substantially reduce the number of deaths and illnesses from air pollution, contamination, and hazardous chemicals (Nix et al. 2020). Similarly, pollution resulting from poor waste management and disposal in informal settlements has contributed to a larger extent to the health risks faced by these communities (Haywood et al. 2021). For example, the dumping sites become breeding sites for disease-causing agents such as rodents, mosquitoes, flies, and cockroaches, thus placing the residents at risk from cholera and typhoid outbreaks and malaria (Nix et al. 2020; Haywood et al. 2021). According to Rushton (2003), exposure to waste disposals has been reported to increase reproductive disorders and birth defects (low birth weights, spontaneous abortions, fetal and infant mortality) – consequences for Targets 3.1 and 3.2. These communities depend largely on waste recycling; with the exposure, increased temperatures, and humid conditions, informal settlements are susceptible to skin irritations, physiological problems, allergies, and stomach problems. These health challenges are aggravated by poor sanitation and water (relates to SDG 6).

36

2.3

Sustainable Development Goals and Urban Health Challenges in. . .

727

SDG 6 and Health Issues for Informal Settlements

Informal settlements are characterized mainly by the absence of water and sanitation services. When available, its quality tends to be poor due to fecal matter contamination from pit latrines. Most households in informal settlements do not have onsite water services. Water has to be fetched at communal taps or boreholes. The burden of collecting the water over long distances has been associated with health problems such as anxiety, stress, headaches, and back pains as women and girl children carry the water on their heads for long distances that exceed 500 meters (Matamanda, 2020). In Limpopo, South Africa, it emerged that women and children carry containers with a mean weight of 19.5 kg over a distance of 337 meters (Geere et al. 2010). Subsequently, the prevalence of spinal pain was 69%, while 38% complained of back pain. Wheelbarrows may be used at times to transport the water, but in most cases, these water containers are carried by the women and children balanced on their heads or strapped to their backs (Geere et al. 2018). A critical analysis of the impact of the “available water and sanitation” is needed. The significant question is not about supply or availability but how it is supplied and accessed that affects human health. Against the backdrop of Target 6.1, safe drinking water for all drinking water supplies should be located within the premises and from an adequate water source. This is an unrecognized factor in informal settlements, as access to water is often at a distance. Coupled with high temperatures, communities are at the highest risk of physical strain and fatigue. Moreover, the COVID-19 pandemic has (re)exposed and further highlighted the challenges of informal settlements for clean water (Parikh et al. 2020). Continuously washing hands to prevent infections with COVID-19 is a challenge in areas with no running water. It becomes a distant reality. Therefore, informal settlements are breeding areas that have been identified as contagion spaces vulnerable to infectious diseases (Wilkinson 2020). SDG 6 also focuses on promoting access to adequate sanitation for all by 2030. Informal settlements rely on shared toilet facilities. Sanitation facilities in most informal settlements are inadequate. A study by Saleem et al. (2019) established how shared toilet facilities have detrimental physiological and mental consequences among females. The shared facilities have been reported to cause stress, anxiety, and security threats among young girls and women. Furthermore, open defecation, as found in most informal settlements, has its health challenges. Exposure and human contact in managing open defecation have been reported to have more health challenges in females than males. In India, a study revealed that women had adverse pregnancies due to maternal anemia (a challenge for SDG 3) caused by hookworm infections from shared unhygienic toilets (Strunz et al. in Saleem et al. 2019). Unsafe management and disposal of toilet waste have no doubt caused diarrheal infections. This can also be linked to the unclean contaminated water supply.

728

2.4

A. R. Matamanda et al.

Sustainable Development Goal 11 and Health Challenges

Considering the focus of SDG 11 on “Make cities and human settlements inclusive, safe, resilient, and sustainable,” one can immediately pick up that informal settlements fall short on all accounts; they are marginalized, perilous, and fallible. Safety is a remote concept to informal dwellers, as they are constantly exposed to danger in dark streets and insecure homes alike (Harrison and Rosa 2017). The lack of security of tenure further diminishes safety in informal settlements. These failures weaken urban health with bodily harm, heightened anxiety, depression, and weakening mental health (Wilkinson 2020). Target 11.1 aims to aid in these safety challenges and improve access to housing through enhanced affordability. More affordable formal housing is another hope for SDG 11, which would increase urban health exponentially. A lack of essential services and the way informal settlements are managed produce a lot of pollution, physically in the form of litter and also in the form of emissions, although incomparable to large industrial factories (Corburn and Sverdlik 2019). Informal dwellers often get sick because of the polluted environment in which they reside. As explained in the preceding section, solid waste is a substantial problem in informal settlements where it often piles up or is burnt in hazardous ways, which directly contradicts the aim of Target 11.6, which aims to reduce the impact of cities on the environment. The proximity of clinics, police stations, fire brigades, and other crucial amenities in informal settlements is a considerable risk to urban health as communities cannot access essential assistance in times of need. A settlement cannot be expected to draw resilience when deprived of the pillars of security and health, which are meant to ameliorate the burden of climate change (Seeliger and Turok 2014). Target 11.3 amplifies the need for inclusive urbanization, noting the need for sustainable and cohesive urban planning and management by 2030. We are far from that target as we cannot attain sustainability and cohesion with ailing urban health; Buse and Hawkes (2015) thus propose the need for a paradigm shift of the SDG to better accommodate the need for better urban health. Urban green spaces and public open spaces have been proven to create healthy communities. Health in terms of cohesion, placemaking, and ubuntu is increased in communities with shared spaces for leisure, communion, or development (such as community gardens). Urban green spaces provide critical ecosystem services necessary for psychological benefits in the “concrete jungles.” Parks and similar green spaces are critical to urban health as they aid in cleansing the environment and ridding the air of unwanted gasses. Lee and Maheswaran (2011) further note that urban green spaces have proved benefits to physical health, mental well-being, socioeconomic welfare, and quality of life.

2.5

Sustainable Development Goal 13 and Health Challenges

SDG 13 is directed at climate action, with the intent of taking “urgent action to combat climate change and its impacts.” Climate change has had significant effects

36

Sustainable Development Goals and Urban Health Challenges in. . .

729

on the environment, greatly impacting human health, especially for the most vulnerable. Informal dwellers are constantly exposed to the elements of nature, which directly influences their health in countless ways, often disregarded in climate change discussions. Target 13.1 focuses on “strengthening resilience and adaptive capacity to climate-related disasters.” The weakest link for resilience in every city is the informal settlements. Settlements with high resilience can anticipate, cope, and adapt to the forces of nature; informal settlements are not built for endurance but survival, meaning they are not constructed to anticipate or cope with hazards (Satterthwaite et al. 2020). In most cases, the location of these settlements further exposes them to the wrath of climate change. Unlike formal residential areas, which are constructed and planned by professionals trained in their craft, their inhabitants develop informal settlements using their knowledge to maximize the little resources they can access (Barnes and Cowser 2017). This is why Target 13.3, which looks at education and increased awareness on climate change mitigation, is critical in informal communities. People need to know what aggravates climate change, so they know what not to do, but they also need awareness of mitigating climate change’s impact to preserve their livelihoods (Roehrig et al. 2012). While climate change affects the entire globe, the frailty of informal settlements puts their dwellers at greater risk. The devastating impact of sporadic hazards such as floods, tsunamis, mudslides, wildfires, or drought on informal settlements is frequently popularized; however, informal dwellers are constant victims of slow-paced climate change. The health impacts of extreme heat on communities with low levels of climate resilience are immense, resulting in heatstroke, aggravation of prevailing illnesses, and increased mortality (Ramsay et al. 2021). Fans, aircon, and heatregulating buildings protect us from the severity of heat waves. Conversely, the impact of heat strokes is tangible in informal settlements, furnaced by corrugated iron and black plastic sheets, which attract and intensify the heat.

3

Methods and Materials

3.1

Description of the Study Area

Caleb Motshabi informal settlement was established in 1996. It is was birthed soon after the dawn of democratic government in South Africa which marked the end of apartheid rule and ushered in the new government led by the late President Nelson Mandela. At the time, the settlement emerged mainly driven by the surge in ruralurban migration that saw many Africans formerly confined in the homelands finding “free access” to the urban areas, which were historically the preserve of the whites. On the other hand, the informal settlement also grew as an extension of the adjacent formal township established during the apartheid era to accommodate the Africans. Due to housing pressure in this township, many households have sought homes in Caleb Motshabi which has resulted in the exponential growth of the settlement over the years. Caleb Motshabi is thus located on the margins of Bloemfontein city (see Fig. 1).

730

A. R. Matamanda et al.

Fig. 1 The location of Caleb Motshabi informal settlements at the margins of the city

Currently, Caleb Motshabi informal settlement is divided into three sections, namely, Dinaweng, Phomolong, and Motshabi 1. All three settlements are referred to as Caleb Motshabi. The demographic size of the settlement is not certain as there is a constant flow of people into the area. It is estimated that at least 7000 households are accommodated in this informal settlement. The housing typologies in Caleb Motshabi are categorized into three types, shacks that are constructed with makeshift material mostly corrugated iron sheets and convectional housing units built with bricks and cement. The residents have improvised in accessing basic services such as water, sanitation, and electricity. This is a qualitative study premised on the case study research design. Caleb Motshabi informal settlement, located in Mangaung Metropolitan Municipality in South Africa, is used as the case study. Figure 1 shows the Caleb Motshabi informal settlement that is located on the margins of MMM. The selection of this research area was purposive.

3.2

Research Design and Methodology

The Ethical Committee from the University of the Free State granted ethical approval to conduct this study (approval number UFS-HSD2020/1704/192). Data has been collected from primary and secondary data sources. To provide information for the analysis of the SDGs and urban health challenges in Caleb Motshabi informal settlement, both primary and secondary data were collected. Secondary data was

36

Sustainable Development Goals and Urban Health Challenges in. . .

731

collected from policy documents on SDGs and urban informal in informal settlements. These documents included reports from MMM on climate change adaptation and effects on health (SDG 13). To address the SDG 3 on health and well-being, document analysis was undertaken to map the provision and access of basic services among the residents in informal settlements and strategies on human settlement developments employed by the MMM in relation to human settlement development, thus providing insights into SDG 11. These primary data were triangulated with interviews with three officials from MMM, local leaders from the informal settlement, and a qualitative survey with 60 community members residing in Caleb Motshabi. Observations and photographing were done to identify the lived experiences of the individuals while also capturing interesting issues such as the condition of the housing dwellings, sanitation, and water. In this way, questions focused on the socio-demographic conditions among the residents in Caleb Motshabi to understand the nature and extent of poverty (relating to SDG 1) and how this relates to urban health challenges, focusing on the ability of the residents to pay for health services. Moreover, a mapping exercise was undertaken to examine the spatial distribution of healthcare facilities in relation to Caleb Motshabi and how residents in this informal settlement access these services. This mapping exercise was complemented with observation and photographing that enabled the visualization of the conditions in the formal settlement which provided insights into the housing conditions, water, and sanitation facilities, thus enabling an understanding of the issues relating to SDGs 3, 6, and 11. Thematic and content analysis was guided by the four steps, including familiarizing with the interview data, dividing the data into meaning units, then condensing these into codes, and developing categories and themes.

4

Geography of the Informal Settlements in Mangaung Municipality

4.1

Physical and Spatial Conditions of the Informal Settlements

Since informal settlements occupy land that the local governments do not plan, the infrastructures found in the area are those that the residents have built themselves. The dominant housing infrastructure is shacks, where such infrastructure makes up 69% of the housing infrastructure occupied by the surveyed respondents, while selfbuilt housing only made up 19%. This is attributed to the fact that those who live in the area earn very low incomes and make corrugated iron the most affordable material to build their housing. They can either purchase recycled corrugated iron or buy brand new ones. The shacks found in the area are normally scattered in any space that the occupants find suitable. In contrast, the self-built housing is found in regions where the demarcation process has occurred and they have some security of tenure.

732

4.2

A. R. Matamanda et al.

Provisioning of Basic Services (Water and Sanitation)

An interview with an academic scholar revealed that the reason that one of the first services installed within informal settlements is electricity is because it is the most affordable service to provide as compared to sewage and water connections. This was proven correct in the case of Caleb Motshabi. In all regions where the demarcation process has occurred, the residents have received electricity supply. Interviewed respondents indicated that the electricity was installed 4 years after the demarcation process. However, the settlement is still without proper water and sanitation facilities. Residents are still making use of communal taps to gain access to water. Those who have grown tired of the daily travels have opted for illegally installing water taps into their yards by making use of the pipes from the communal taps. Sanitation is also a major problem within informal settlements; 78% of the surveyed respondents indicated that they were making use of the pit latrines, while 10% were making use of bucket systems, and only 1% had access to flushing toilets. Although some residents had access to flushing toilets, a key informant indicated that it was harmful because there were no proper sewage pipes in the area, so whenever these residents would flush their toilets, their waste would end on the streets. The lack of adequate services being provided to informal settlement dwellers is resulting in them helping themselves to the required services; however, this is not always beneficial because, like in the case of those who installed flushing toilets without there being proper sewage pipes, this now leads to the occurrence of health hazards in the area.

4.3

Governance and Management of Informal Settlements and Climate Risks

Livelihoods of the urban poor need to be taken into consideration by the government to regulate health and environmental vulnerabilities exposed to the poor. Limited regulation and management from the government leads to informal settlements that are located in dangerous areas that are often prone to flooding, exposed electrical and power lines, and landslides (Haas and Delbridge 2020). Africa is most exposed to adverse effects of climate change despite being the least contributor to global warming (Okonjo-Iweala 2020). Since poorer areas are more susceptible to risks and disasters, regulations should use alternative building materials that are more affordable and reduce health and environmental risks. Thus, appropriate development regulations and management are important against health and environmental risks (Alterman 2014). In light of the recent global pandemic, Haas and Delbridge (2020) contend that although population density plays a significant role in the regulation of the disease, mismanagement has by far been the greatest detriment to the spread of the disease in informal settlements.

36

Sustainable Development Goals and Urban Health Challenges in. . .

733

Similarly, Turok and Visagie (2020) have reported the divide in resources among municipalities, thus contributing to the differences in addressing the health and environmental challenges in the various municipal jurisdictions. Denoon-Stevens (2015) states that land use management systems need to be simplified for them to be implementable with the skills and capacity of the municipality, especially in smaller local municipalities. This will result in a government system that can manage more of the issues on the ground, thus making the zoning scheme accordingly. Alterman (2014) suggests that where government capacity is limited, a “graduated strategy” should be taken where local municipalities would first strengthen their administrative skills and capacity and then gradually adjust and amend the planning laws and regulations. Van Belle et al. (2020) note the significant challenge of the health system in poor urban areas, yet the government continues to ignore how these challenges will be addressed. Public participation and decision-making have been the panacea to a lack of regulation in informal settlements; however, these approaches have not been successful measures as these problems persist despite these approaches.

5

Findings from Caleb Motshabi Informal Settlement

5.1

Reflections on SDG 1: Poverty and Unemployment

The realities in most informal settlements are poverty, high unemployment, and a lack of sustainable livelihoods. The same is true for most informal settlements in MMM such as Grasland, including Caleb Motshabi, where the residents are unemployed and have high poverty levels. The findings from Caleb Motshabi informal settlement on employment status among the sampled population are summarized in Fig. 2. These findings show that 32% (n ¼ 19) of respondents were employed, including self-employed, contracted workers, or formally employed. These figures show that even those that identified themselves as being employed were not permanently employed. Hence, they live on the margins of being employed and unemployed. Consistent with most informal settlements, most (58%, n ¼ 35) of the population sample were unemployed. Other respondents (10%, n ¼ 6) relied on government social grants or were retired from work. Based on the employment status of the sample that is largely unemployed, it correlated with the household average incomes that were low, as shown in Fig. 3. As depicted in Fig. 3, the study revealed that 26.7% (n ¼ 16) of respondents have an average household monthly income of less than R 1000 (approximately US$64). The average household income greater than R 1000 but less or equal to R 2000 was indicated by 15% (n ¼ 9) of respondents. On the other hand, 13.3% of the respondents could not disclose their household average income which was explained by one respondent that “It’s embarrassing for me to say the least.” According to the World Bank (2020), the poverty datum line is between US$1.90 and US$3.20 per day per person. Therefore, poverty levels are incredibly high in Caleb Motshabi when the household sizes are factored into the income matrix. It emerged that households with members between one and two accounted for the highest population

734

A. R. Matamanda et al.

Fig. 2 Employment status of respondents

PERCENTAGE DSTRIBUTION (%)

HOUSEHOLD AVERAGE INCOME 30

26.7

25 20

16.7

15

13.3

15 10

8.3

10

10

5 0

AVERAGE INCOME Fig. 3 Household average income

sample, 35% (n ¼ 21), followed by 28.3% (n ¼ 17), representing households between three and four residents. Families with five to six members constituted 25% (n ¼ 15) of the respondents, while households of seven to eight comprised 3.3% (n ¼ 2) of the study sample.

5.1.1 Inability to Pay for Services These figures indicate that the families suffer from multiple deprivations that include low consumption levels, especially focusing on the inability to buy adequate and nutritious food that is critical for nourishing the body and keeping fit. This was

36

Sustainable Development Goals and Urban Health Challenges in. . .

735

explained by one respondent that “at times we miss meals, we have normalized eating less and skipping meals. During lunch, we only give the children food and nothing for the elders.” Vulnerable to socioeconomic shocks, and this exacerbates their livelihoods. For example, COVID-19 was a double blow to most residents who lost their jobs or could not engage in daily economic activities concentrated mainly in the informal sector. Many respondents alluded to the fact that living in the informal settlement contributed to their emotional and psychological stress which had a major toll on their health and well-being, yet they could not access medical services for these non-communicable diseases. Moreover, the respondents also mentioned that they could not afford to pay for basic services, chiefly primary healthcare services. They resorted to home remedies even for severe ailments due to the inability to pay for health services. Another problem mentioned by the respondents is prostitution and child sex that has been so rife in Caleb Motshabi. Respondents commented that “the poor engage in prostitution as a means to generate income, especially for food.” However, these activities expose the residents to various health risks, as alluded to by one respondent.

5.2

Health SDG 3: Insights on Primary Health Facilities and Services in Caleb Motshabi

The 3 km buffer highlights the social injustice regarding access to emergency facilities for the Caleb Motshabi community (see Fig. 4). Furthermore, health facilities are prioritized for urban centers, particularly the public hospital (Pelanomi) located further than 3 km, which exacerbates the problem of access to emergency facilities. The community members have also emphasized transport issues to and from these facilities. This spatial divide in healthcare services contributes to injustices in the city. The result of these disparities can be fatal, as evident from the respondent, a young woman who shared her ordeal involving her 6-month baby that was sick and passed away in the home. The woman explained that “we called the ambulance and waited until the baby turned green before dying in the house.” The death of this baby resulted from the absence of health facilities in the area. In a similar incident, another respondent highlighted that one of her relatives had to give birth at home as the ambulance took long to arrive after being summoned for it. This situation typically shows the deprivation of informal settlements that lack primary healthcare facilities. The result is deaths that could otherwise have been avoided if the area had a health facility. Residents pointed out that a mobile clinic serves the community that comes to the settlement bi-weekly to different parts of the settlement.

5.3

SDG 6 in Caleb Motshabi

Contrary to the aspirations of the water SDG that envisages by 2030 to achieve universal and equitable access to safe and affordable drinking water for all, water challenges continue to grapple residents in MMM. The situation is dire in the

736

A. R. Matamanda et al.

Fig. 4 Distribution of healthcare facilities and proximity from Caleb Motshabi informal settlement

informal settlements where residents lack access to potable water. In this informal settlement, residents in Caleb Motshabi bemoaned the lack of adequate water supply due to limited water infrastructure to cater for their needs. A resident pointed out “We used to get water near the housing development, but the taps would sometimes run out of water. We used to have taps closer to us, but they also ran out of water.” Although some residents have tapped on their plots, these are often “dry taps” limiting their access to water. The residents are thus forced to go to the communal taps that are at times far from their homes. As explained by one resident, “I use the communal tap, but it is a struggle because the water is not always available.”

36

Sustainable Development Goals and Urban Health Challenges in. . .

737

Fig. 5 Children pushing wheelbarrows from the communal taps

The failure to access portable water has multiple health problems on the residents. First, the burden of collecting the water is on women and children who have to endure the long waiting hours at the communal taps (see Fig. 5). This has emotional stress on the women and children who feel unsafe if the water has to be collected at night or early in the morning. Second, the water has to be carried on their head or pushed in wheelbarrows, which strain their bodies. Third, water scarcity is associated with multiple health risks that include the inability to maintain hygiene in the homes and the risk of water-borne diseases. Some residents resort to unclean water that may be contaminated. Besides water access, SDGs also commit to achieving access to adequate and equitable sanitation and hygiene for all and end open defecation for all, especially the needs of women and girls and those in vulnerable situations. Residents in informal settlements characterize “those in vulnerable situations” due to their marginalization and how they continue to be placed in the “shadow of the formal city” and their socioeconomic vulnerabilities. Specifically, for Caleb Motshabi, 27% (n ¼ 16) were comfortable responding to access to sanitation facilities, and they all pointed out that they use pit latrines. These pit latrines are not always in good condition, and at times, they will be full, smelly, and hazardous. Some residents use buckets that they dispose of on the dumping site in the settlement, which is as good as open defecation.

5.4

SDG 11 Seen Through Caleb Motshabi Informal Settlement

Appalling conditions characterize housing conditions in Caleb Motshabi that are related to shacks. Some of these dwellings are positioned in hazardous spaces that compromise the liveability of the settlements. An official from Mangaung

738

A. R. Matamanda et al.

Metropolitan Municipality pointed out that some individuals in Caleb Motshabi had constructed their dwellings on top of water main pipe or under electric lines. The official cautioned that these locations increase the communities’ vulnerability to instances of flooding should there be a leakage of the water pipe as the water main pipe has extremely high pressure. There are no recreational facilities in Caleb Motshabi, and most of the undeveloped areas either are used as dumping sites or lack any green infrastructure requisite for recreational purposes. Figure 6 shows a heap of solid waste that has accumulated in the settlement over time. Many residents bemoaned this situation and commented, “it’s so unpleasant staying here where we have to put up with all this rubbish and foul smell.” The challenge was identified for children who have to play but cannot freely do so without being cut with sharp objects such as glass thrown away. However, a respondent pointed out that the primary health risk was the contamination of diseases like cholera and typhoid due to these unhygienic

Fig. 6 Solid waste dumped on an open space

36

Sustainable Development Goals and Urban Health Challenges in. . .

739

conditions. It was revealed that some individuals dispose of their buckets on these dumping sites placing risk to the community. Residents in Caleb Motshabi also lamented that the lack of green infrastructure and residing in this informal settlements contributed to mental health problems. One respondent explained, “residing here is very challenging. There are no recreational facilities where we can go and relax. It is stressing living here.” The role of green spaces in relieving stress is mentioned in this instance, which shows the vulnerability of the informal settlements due to the nature of the settlement that is not sustainable. It was highlighted that stress and mental health are also due to “unsafe spaces” in the settlement. Certain parts of Caleb Motshabi are hotspots for crime, especially at night, which also heightens anxiety, fear, and psychological stress among the community members, especially women and children who are the most vulnerable.

5.5

SDG 13 and Climate-Related Health Risks in Mangaung Metropolitan Municipality

Climate variabilities are associated with multiple risks. Over the past years, the Free State Province, particularly, Mangaung region, has been experiencing climate vulnerabilities that include extreme heat events (heat waves), flash flooding, and prolonged cold spells (Mbileni, 2015: pp. 65). In recent years, heat waves have been rising, especially in October, November, and December (Van der Walt and Fitchett, 2021a). The heat waves are associated with heat stress, respiratory diseases, autoimmune diseases, and skin cancer. The structure of most dwellings in informal settlements such as Caleb Motshabi, characterized by shacks constructed with corrugated iron sheets or polythene plastics and often lacking adequate ventilation, exposes the inhabitants to health risks (see Fig. 7). Mbileni (2015) indicated that heat wave discomfort results from these dwellings that are not insulated and pose significant health to the occupants, who in most instances are overcrowded. This was also noted in Caleb Motshabi, where each shack accommodates a household with an average of four people. Moreover, the MMM issues heat wave warnings and encourages people to hydrate and keep indoors (SABC News 2019). Yet, water tends to be a problem in the informal settlement of Bloemfontein that makes it a challenge for the poor residents residing in these informal settlements. Also, it is difficult for them to stay indoors as they need to access water from the communal taps that force them to be out in the sun. While the livelihood activities of the communities in informal settlements are mainly informal and require them to be in the open, they become susceptible to health risks such as skin cancers. Albeit these speculations and projections on temperature-health impact nexus, it has been pointed out by Van der Walt and Fitchett (2021b) that the vulnerability factors applicable to the South African population are not well documented. This poses a greater challenge as it becomes difficult for communities to adapt to the extreme events that severely affect their health and well-being. The lack of drainage infrastructure is a big menace that leads to flooding in homes during excessive rains, which has become common in informal

740

A. R. Matamanda et al.

Fig. 7 Dwelling constructed with corrugated iron sheets and lacking ventilation

settlements during the rainy season. This flooding results in loss and damage to personal assets. At the same time, the significant challenges become the stagnant water that becomes breeding grounds for vector-borne diseases such as malaria and water-borne diseases such as cholera and typhoid.

6

Discussion and Implications for Sustainable Development Goals

The situation in Caleb Motshabi points to several health challenges that are exacerbated by the conditions in the informal settlement, and these have compounding effects on derailing the targets toward the envisaged SDGs’ commitments. First, with 58% of Caleb Motshabi’s residents unemployed, 32% employed, and 10% depending on social grants, it goes without saying that poverty is rife in the settlement. This is compounded by relatively high household sizes, which hinder affordability of basic needs, including health services, thus increasing exposure and vulnerability to social, economic, and environmental risks. Coping mechanisms such as self-medication during illness (and in times of COVID-19) and prostitution for income generation are a clear indication of a failure to ensure access to economic resources by the poor and a perpetual need for “appropriate social protection systems and [. . .] pro-poor, gender-sensitive development strategies.” In this regard, the ability of the poor to access basic services is compromised making it difficult for

36

Sustainable Development Goals and Urban Health Challenges in. . .

741

them to attain a decent life. This situation leaves the poor in abject poverty and exposes them to health challenges that include psychological and emotional stress as they struggle to make ends meet. Matamanda et al. (2022) highlighted the inherent psychological and mental health problems experienced by the residents and speak of the vulnerability of these informal communities in comparison to the affluent neighborhoods. The strides toward attaining the envisaged targets to end poverty are complex in Caleb Motshabi informal settlement. This situation of rampant poverty is consistent with most informal settlements in the region characterized by abject poverty and citizens’ inability to meet their daily lives (Matamanda 2020). The level of unemployment correlates with the household incomes and also makes it difficult for the households to access health insurance and services that include paying for the medical bills as espoused by Matamanda and Nel (2021). The COVID-19 pandemic has also exacerbated the poverty levels which has also been visible through emotional stress confirming the study by Patel and Kleinman (2003) and Wilkinson (2020). In Caleb Motshabi, there are instances of home childbirths and gratuitous child deaths while awaiting emergency services because of inadequate health resources and poor roads that hinder timely access. This condition illustrates the maternal health challenges prevalent in the informal settlements. Such health challenges reveal the health inequalities existing in informal settlements and how to achieve the SDGs on ending poverty and promoting health and well-being. Some residents also indicated stress and anxiety levels and cases of water-borne and other diseases due to their inadequate neighborhood. Water-borne diseases are a critical health challenge that is mainly attributed to the inadequate and lack of water and sanitation facilities. This obtaining situation in Caleb Motshabi relating to maternal healthcare makes it difficult to achieve the SDG 3 that envisages a substantial reduction in overall mortality rates and child deaths, lessened physical and mental diseases, and improved healthcare access. The situation is similar to other cases, for example, the conditions in Hopley settlement in Harare as descried in the Amnesty International (2006) report. The continued existence of such challenges in informal settlements implicates a lag in the quest not to leave anyone behind in developing countries, as suburbs are not faced with similar challenges. A persistence of these conditions compromises the efforts toward the envisaged maternal health that are critical, especially in informal settlements. However, the effort by the MMM to provide a mobile clinic to service the informal settlement somehow alleviates the health disparities and allows equitable access to maternal healthcare allowing healthy lives among the citizens. Albeit this initiative by the MMM, there are still some issues that compromise the health lives in Caleb Motshabi, and these are consistent with other studies and contexts where first the informal settlements remain in the shadow of the formal city as articulated by Yiftachel (2009); thus, the communities are deprived of healthcare services. This is shown by the distribution of healthcare services that falls outside the 3 km radius from Caleb Motshabi. Another key issue jeopardizing the attainment of health lives in Caleb Motshabi is the road conditions which confirms the studies by Wambiya

742

A. R. Matamanda et al.

et al. (2021) that point to the nexus of good road networks and their contribution to urban health through the ability to facilitate emergency services which are especially critical in times of crises. Contrary to the SDG’s objective to prioritize vulnerable groups such as women and children, such groups continue to be subjected to extreme injustices and safety challenges within their communities. The fact that there are constant water cuts in Caleb Motshabi means women and children must walk long distances to fetch water and use inadequate means of sanitation placing them in both health and safety risk. In times of a pandemic that requires constant water supply and high-level sanitation, this is an extreme failure for MMM to ensure a sustainable access to water and sanitation. Perhaps this can be attested to weak monitoring systems in reducing service delivery exclusion, raising the question of institutional capacity and public participation. The conditions in Caleb Motshabi regarding water and sanitation have immense implications on the SDGs and urban health. First, the limited water and its scarcity expose the residents to water shortages that compromise their household hygiene. This is exacerbated by the absence of reticulated sanitation facilities which promotes the community to resort to alternative sanitation that exposes them to water-borne diseases as highlighted by Wilkinson (2020) and Matamanda (2020). The burden of carrying the water has physical strain that causes multiple health problems on the women and children who experience constant headaches and backaches, thus affirming the studies by Geere et al. (2018). Most importantly, the lack of the water and sanitation facilities in Caleb Motshabi has contributed to some anxiety and mental stress among the residents which confirms assertions by Saleem et al. (2019) on the nexus of water and sanitation facilities in informal settlements and how it contributes to mental and emotional stress among the residents deprived of these critical services. Though the democratic government has achieved groundbreaking conquests, challenges faced by the residents of Caleb Motshabi indicate a necessity for a closer examination. By this being an informal settlement, it is apparent that access to adequate, safe, and affordable housing with basic services is falling short in Mangaung. The existence of houses on drainage pipes and under power cables, the lack of recreational facilities, and use of unauthorized landfills all pose serious physical and mental health threats. This affirms the conception of informal settlements as spaces that are placed on the margins and exist in the shadow of the formal city as articulated by Yiftachel (2009). The absence of open spaces critical for enhancing the liveability of the settlement and ultimately the psychological wellbeing of the residents is absent in Caleb Motshabi. The implications are that the safety of the settlement is reduced, while its resilience and ability to protect the residents diminish, thus exposing them to safety risks and respiratory diseases associated with air pollution. In this way, the envisaged SDG 11 targets are difficult to achieve and thus remain a pipeline dream. Findings indicate a general lack of climate change information and knowledge, mirrored by construction of shacks in hazardous areas such as waterlines, using risky materials such as corrugated iron sheets which expose dwellers to various health risks. Furthermore, the absence of drainage systems compounds the poor levels of

36

Sustainable Development Goals and Urban Health Challenges in. . .

743

liveability within Caleb Motshabi. This departs from the SDG’s objective to improve learning, information dissemination, and skills development toward climate change alleviation, adaptation, and impact reduction. The municipality routinely alerts communities about the importance of hydrating and keeping away from the sun shows a weak effort toward raising climate change-related awareness, perhaps a degree of tokenism by offering superficial information. For one, the same people who are advised to stay indoors away from the sun must walk considerable distances to fetch water and access other essential services and amenities. Moreover, there is no evidence of information sharing and awareness-raising on the other profound climate change-related dangers such as building on flood lines. This affirms the placement of the informal settlements in the shadows of the formal city (Yiftachel 2009) which include limited access to information on health issues. Also, in the age of technology, it may seem like everyone has access to means of communication, making learning and knowing about climate change easier. However, studies (Barnes and Cowser 2017) have shown that many informal settlers fail to access crucial information due to affordability and efficiency limitations. This is also linked to the question of inclusive human settlement development. Table 2 summarizes the situation in Caleb Motshabi regarding selected SDGs and urban health challenges.

7

Conclusion and Policy Recommendations

Five years after the adoption of the SDGs, the progress toward achieving the forecast results seems to be disheartening in South Africa, particularly when viewed through the lens of informal settlements. Because SDG 3 is intrinsically linked to SDGs 1, 6, 11, and 13, any limitation in realizing these targets means an instinctive lagging behind health outcomes. Given the prevailing COVID-19 pandemic, where an estimated 119–124 million people worldwide were driven into extreme poverty in just 1 year, and the global public health is faced with massive tension, achieving any of the SDGs has been difficult in South Africa and worldwide. The findings from Caleb Motshabi demonstrate a community with highly unhealthy yet inevitable predispositions rooted in urban destitution; inadequate service delivery, misconstrued right to the city; and lack of relevant information and knowledge. Given this, it is apparent that informal settlements in the country, specifically in Mangaung, are far from the envisioned sustainable development outcomes. Therefore, there is a need for a vigorous effort toward collective health coverage, wherein communicable diseases, water and environmental contamination, air pollution, road accidents, crime, and mortality rates are lessened and means of livelihood enhanced for the well-being of even the poorest residents. Based on the foregoing discussion, we recommend the following policy options that may be implanted to enhance the success of SDGs and urban health in informal settlements. First, poverty issues need to be considered as these are the major issues that contribute to the inability of the communities to access basic services. Poor people struggle to pay for the health services which compromises their well-being; hence, it is imperative for the government to improve social policies that address

744

A. R. Matamanda et al.

Table 2 Discussion of the situation on the SDGs and urban health in Caleb Motshabi SDG 1: No poverty

Situation in Caleb Motshabi The informal settlement is characterized by abject poverty evident from limited incomes among the residents and high unemployment

3: Good health and well-being

Absence of health facilities in close proximity to the settlement

6: Clean water and sanitation

Limited access to water and sanitation for all. Residents share sanitation facilities including bucket system. Flying toilets are a common occurrence in this informal settlement. Longer distance travelled to collect water and the waiting time when collecting the water

11: Sustainable cities and communities

Settlement lacks open spaces, and housing units are informally constructed and positioned in some instances along water pipes. The informal settlement is positioned on the periphery where road network is very poor Use of makeshift material in housing development limits the resilience of the dwelling

13: Climate action

The informal settlement is exposed to climate change effects including flooding and heat waves Winter also poses some challenges owing to very low temperatures

Remark on urban health Inability to pay for health facilities exposes the resident to health shocks as they cannot afford the health services and they lack medical aid and any financial means to fund health costs Mental health problems become rife due to emotional stress Residents in Caleb Motshabi struggle to access emergency healthcare, especially pregnant women who require urgent attention. Moreover, the time taken to access health services is also a major problem that contributes to the health challenges in the informal settlement Water shortage affects hygiene among the residents. Emotional stress is experienced by the residents as they struggle to access water and the unsafe sanitation condition worries many. The improper handling of sanitation exposes the residents to diseases such as diarrhea, especially when the buckets are disposed on the illegal dumping sites. The burden of going to collect the water strains the children and women who push wheelbarrows with water containers The existing situation in Caleb Motshabi limits resident’s access to open spaces where they can enjoy the outdoor environment. This is due to odors coming from dumped wastes; also the lack of road network makes it difficult for ambulances to move around in cases of emergency, hence taking longer than usual for the residents to get this service when required Climate change in Caleb Motshabi has been associated with multiple health risks that emanate from flooding, heat waves, and droughts. These include heat stress and constant headaches among the residents, especially the elderly

36

Sustainable Development Goals and Urban Health Challenges in. . .

745

poverty issues. This can be done by integrating the plight of the poor and dwellers of informal settlements in the planning and managing of the city and avoid leaving them behind in the darkness and shadows of the formal city. Second, climate education is critical and proves to be important in empowering the communities with the adequate information that can help them to climate proof and also help them to mitigate the negative health impacts associated with extreme weather conditions such as extreme heat and cold. Third, a proactive and intentional policy on incremental upgrading and infrastructure provision based on a needs prioritization approach should be employed, which would reduce inequality at different degrees, especially in a complex situation like in Caleb Motshabi informal settlement. This approach should consider the infrastructure base that needs to be established in the informal settlement to enhance its functionality and support the well-being of the community. It is key to consider water, sanitation, and health infrastructure as the cornerstone for sustaining healthy communities and ensuring the residents are able to access healthcare services regardless of their socioeconomic status. Lastly, the existing policies should clearly emphasize the importance of synergies and the part which aligns as discussed under the section on implications for SDGs. For the effective, timely, and cohesive establishment of the synergies and the creation of balance, national, provincial, and local governments need to strengthen their efforts and refocus for the advancement of livelihoods.

References Alterman R (2014) Planning laws, development controls, and social equity: lessons for developing countries. World Bank Leg Rev 5:329 Amnesty International (2006) Zimbabwe – No justice for the victims of forced evictions, 8 September. Available at: https://www.refworld.org/docid/451791c14.html. Accessed 7 May 2020 Barnes SL, Cowser A (2017) Building homes and building lives: benefits of involvement in the Shack Dwellers Federation of Namibia. Women Gend Fam Color 5(2):153–174 Bartlett SN (2002) The problem of children’s injuries in low-income countries: a review. Health Policy Plan 17(1):1–13 Brenner N (2009) What is critical urban theory. City 13(2–3):198–207 Buse K, Hawkes S (2015) Health in the sustainable development goals: ready for a paradigm shift? Glob Health 11(1):1–8 Corburn J, Sverdlik A (2019) Informal settlements and human health. In: Nieuwenhuijsen M, Khreis H (eds) Integrating human health into urban and transport planning: a framework. Springer Nature, Cham, pp 155–171 David AM, Mercado SP, Becker D, Edmundo K, Mugisha F (2007) The prevention and control of HIV/AIDS, TB and vector-borne diseases in informal settlements: challenges, opportunities and insights. J Urban Health 84(1):65–74 Denoon-Stevens SP (2015) Developing an appropriate land use methodology to promote spatially just, formal retail areas in developing countries: the case of the City of Cape Town, South Africa. Land Use Policy 54:18–28 Geere JAL, Hunter PR, Jagals P (2010) Domestic water carrying and its implications for health: a review and mixed methods pilot study in Limpopo Province. S Afr Environ Health 9:52

746

A. R. Matamanda et al.

Geere JAL, Cortobius M, Geere JH (2018) Is water carriage associated with the water carrier’s health? A systematic review of quantitative and qualitative evidence. BMJ Glob Health 3: e000764 Haas A, Delbridge V (2020) Rethinking regulations: informal settlements in the time of COVID-19. International Growth Centre (IGC). Available at: https://www.theigc.org/blog/rethinkingregulations-informal-settlements-in-the-time-of-covid-19/. Accessed 22 Nov 2021 Harrison K, Rosa S (2017) Promoting safety and violence prevention through informal settlement upgrading. Lessons from different informal settlement interventions for practitioners and policy makers Haywood LK, Kapwata T, Oelofse S, Breetzke G, Wright CY (2021) Waste disposal practices in low-income settlements of South Africa. Int J Environ Res Public Health 18:8176. https://doi. org/10.3390/ijerph18158176 Khan RK, Strand MA (2018) Road dust and its effect on human health: a literature review. Epidemiol Health 40:e2018013 Lall S (2020) Prerequisites to getting Africa’s urbanization “right”. In: Coulibaly BS (ed) Foresight Africa: top priorities for the continent 2020–2030. Africa Growth Initiative at Brookings, Washington, pp 45–47 Lee AC, Maheswaran R (2011) The health benefits of urban green spaces: a review of the evidence. J Public Health 33(2):212–222 Matamanda AR (2020) Living in an emerging settlement: the story of Hopley farm settlement, Harare, Zimbabwe. Urban Forum 31:473–487 Matamanda AR, Nel V (2021) (Un)Healthy cities: reflections on urban public health in poor neighbourhoods. In: Matamanda AR, Verna N, Chirisa I (eds) Urban geography in postcolonial Zimbabwe: the paradigms and perspectives for sustainable urban planning and governance. Springer Nature, Cham, pp 93–119 Matamanda AR, Dunn M, Nel V (2022) Broken bridges over troubled waters: COVID-19 and the urban poor residing in Dinaweng informal settlement. South African Geographical Journal, Bloemfontein. https://doi.org/10.1080/03736245.2022.2028669 Mbileni C (2015) Draft climate change adaptation and mitigation strategy for Mangaung Metropolitan Municipality. Mangaung Metropolitan Municipality, Bloemfontein Mphambukeli TN (2020) Hailstorm and human excreta: navigating the hazardous landscapes in low-income communities in Mangaung. S Afr Front Sustain Cities 2:58 Mumah JN, Mulupi S, Wado YD, Ushie BA, Nai D, Kabiru CW, Izugbara CO (2020) Adolescents’ narratives of coping with unintended pregnancy in Nairobi’s informal settlements. PLoS One 15(10):e0240797 Nix E, Paulose J, Shrubsole C, Altamirano-Medina H, Davies M, Khosla R, Belesova K, Wilkinson P (2020) Evaluating housing health hazards: prevalence, practices and priorities in Delhi’s informal settlements. Urban Health Journal 97:502–518 OECD (2003) Poverty and health. Paris: OECD OECD/SWAC (2020) Africa’s urbanization dynamics 2020: Africapolis, mapping a new urban geography, West African studies. OECD Publishing, Paris Ogunlesi T (2016) Inside Makoko: danger and ingenuity in the world’s biggest floating slum. The Guardian, 23 February. https://www.theguardian.com/cities/2016/feb/23/makoko-lagos-dangeringenuity-floating-slum. Accessed 21 Oct 2021 Okonjo-Iweala N (2020) Africa can play a leading role in the fight against climate change, vol 8. Brookings Institution, Washington Parikh P, Diep L, Gupte J, Lakhanpaul M (2020) COVID-19 challenges and WASH in informal settlements: integrated action supported by the sustainable development goals. Cities (London, England) 107:102871 Patel V, Kleinman A (2003) Poverty and common mental disorders in developing countries. Bull World Health Organ 81:609–615 Pauw TL (2021) Catching up with the constitution: an analysis of national health insurance in South Africa post-apartheid. Dev South Afr. https://doi.org/10.1080/0376835X.2021.1945911

36

Sustainable Development Goals and Urban Health Challenges in. . .

747

Peden M, Scurfield R, Sleet D, Mathers C, Jarawan E, Hyder AA, Mohan D, Hyder AA, Jarawan E (2004) World report on road traffic injury prevention. World Health Organization, Geneva Ramsay EE, Fleming GM, Faber PA, Barker SF, Sweeney R, Taruc RR, Chown SL, Duffy GA (2021) Chronic heat stress in tropical urban informal settlements. iScience 24(11):103248 Roehrig G, Campbell K, Dalbotten D, Varma K (2012) CYCLES: a culturally-relevant approach to climate change education in native communities. J Curric Instr 6(1):73–89 Rushton L (2003) Health hazards and waste management. Br Med Bull 68(1):183–197 SABC News (2019) SA Weather warns of heatwave in Mangaung Metro. https://www.sabcnews. com/sabcnews/sa-weather-warns-of-heatwave-in-mangaung-metro/. Accessed 2 Nov 2021 Saleem M, Burdett T, Heaslip V (2019) Health and social impacts of open defecation on women: a systematic review. BMC Public Health 19(1):1–12 Satterthwaite D, Sverdlik A, Brown D (2019) Revealing and responding to multiple health risks in informal settlements in sub-Saharan African cities. J Urban Health 96(1):112–122 Satterthwaite D, Archer D, Colenbrander S, Dodman D, Hardoy J, Mitlin D, Patel S (2020) Building resilience to climate change in informal settlements. One Earth 2(2):143–156 Scovronick N, Lloyd SJ, Kovats RS (2015) Climate and health in informal urban settlements. Environ Urban 27(2):657–678 Seeliger L, Turok I (2014) Averting a downward spiral: building resilience in informal urban settlements through adaptive governance. Environ Urban 26(1):184–199 Simiyu S, Cairncross S, Swilling M (2018) Understanding living conditions and deprivation in informal settlements of Kisumu, Kenya. Urban Forum 30:223–241 Swart L, Laher H, Seedat M, Gantchev G (2012) Urban and rural differences in child injury deaths in South Africa: a one-year review. African Safety Promotion Journal 10(2):28–40 Turok I, Visagie J (2020) The Covid-19 crisis has amplified spatial inequalities. Available at: https:// www.econ3x3.org/sites/default/files/articles/Turok%20%26%20Visagie%202020%20Spatial% 20divides%20and%20Covid%20FINAL.pdf. Accessed 23 Nov 2021 UN-Habitat (2016) Urbanization and development: emerging futures. UN-Habitat, Nairobi Van Belle S, Affun-Adegbulu C, Soors W, Srinivas PN, Hegel G, Van Damme W, Marchal B (2020) COVID-19 and informal settlements: an urgent call to rethink urban governance. Int J Equity Health 19(1):1–2 Van der Walt AJ, Fitchett JM (2021a) Exploring extreme warm temperature trends in South Africa: 1960–2016. Theor Appl Climatol 143(3):1341–1360 Van der Walt AJ, Fitchett JM (2021b) Extreme temperature events (ETEs) in South Africa: a review. S Afr Geogr J 104:1–20 Wambiya EO, Otieno PO, Mutua MK, Donfouet HPP, Mohamed SF (2021) Patterns and predictors of private and public health care utilization among residents of an informal settlement in Nairobi, Kenya: a cross-sectional study. BMC Public Health 21(1):1–11 Wilkinson A (2020) Local response in health emergencies: key considerations for addressing the COVID-19 pandemic in informal urban settlements. Environ Urban 32(2):503–522 World Bank (2020) Poverty & equity brief: South Africa. World Bank Group, Washington, DC Yiftachel O (2009) Theoretical notes on gray cities: the coming of urban apartheid? Plan Theory 8(1):88–100 Zerbo A, Delgado RC, González PA (2020a) Vulnerability and everyday health risks of urban informal settlements in sub-Saharan Africa. Glob Health J 4(2):46–50 Zerbo A, Delgado RC, González PA (2020b) A review of the risk of cholera outbreaks and urbanization in sub-Saharan Africa. J Biosaf Biosecurity 2(2):71–76

Business Practices and Trends in the Transition to Sustainability: Case of Ecuador

37

Michelle Viera-Romero and Theresa Selfa

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Sustainability Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Integrating Sustainability into Business Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Electricity Generation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Metallic Mining . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Shrimp Aquaculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendix: List of Interviewees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

750 752 752 753 754 754 757 759 761 767 768 769

Abstract

As the global economy becomes more interconnected, companies face close scrutiny from their stakeholders who expect not only to receive the best financial performance but also demand that a firm is environmentally and socially responsible. As a result, many firms now integrate elements of sustainability into their core business strategies in the form of corporate social responsibility (CSR) programs that maximize long-term economic, social, and environmental values. In this chapter, we argue the concept of Buen Vivir that aims to define quality of life by more than material belongings and emphasizes on the interdependence M. Viera-Romero (*) SUNY College of Environmental Science and Forestry, Syracuse, NY, USA Universidad de Guayaquil, Guayaquil, Ecuador e-mail: [email protected]; [email protected] T. Selfa SUNY College of Environmental Science and Forestry, Syracuse, NY, USA e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_158

749

750

M. Viera-Romero and T. Selfa

between society and nature resonates with the practice of CSR as they both try to balance societal needs with sustainable natural systems. Drawing on neo-institutional theory, we argue the institutional environment affects corporate responsibilities to society and consider how industry response can either be through reactive CSR business strategies based on crisis prevention or proactive CSR that links both market and public policy to address global concerns. Analyzing Buen Vivir as a paradigm change for sustainability transition, we take a multilevel analytical approach to the firm, industry, and national levels. We compare the sustainable business practices implemented within electricity generation, metallic mining, and shrimp aquaculture industries to illustrate how Ecuador transitions to a post-oil society based on Buen Vivir. Finally, we find that Buen Vivir has exercised little influence on export-oriented industries and recommend more commitment from the government in communicating a sustainability vision that is consistent with long-term sustainability that meets large societal goals as those related to Buen Vivir. Keywords

Sustainable development · Corporate sustainability · Institutionalism · Sustainability transitions · Buen Vivir

1

Introduction

The introduction of the United Nations Sustainable Development Goals (UN SDGs) as a global framework for sustainability is an attempt to decouple economic growth from resource overuse and environmental harm and represents an opportunity to change production patterns. To meet these goals, countries and organizations are redefining their economic growth plans and objectives to integrate social and environmental goals. However, continued population growth, increasing living standards, and consumer demand for products and services drive a growing demand for industrial output. Such increases are expected to exert more pressure on natural resources and the territories from which these are extracted, thus certain regions can anticipate more environmental degradation in the future. Major reserves of raw materials are currently located in several developing countries, where the large-scale extraction and export of these materials make a significant contribution to their national economies. Ecuador is an oil-rich exporting country that has experienced the cumulative environmental and social impacts caused by an extractive development model, including environmental pollution, human rights violations, health problems, and threatened livelihoods for indigenous communities (Latorre et al. 2015). However, in 2008, a new constitutional regime was established in Ecuador and marked a new development agenda that introduced the Buen Vivir/Sumak Kawsay/ Good Living paradigm that aims to define quality of life by more than material belongings and attempts to reconcile the needs of both society and nature (Gudynas 2013; Lalander 2016). Thus, to move away from being an extractivist regime based

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

751

on oil, Ecuador enacted several reforms during the 2007–2017 period that revolved around the modernization of the state, industrialization, and the advance of science, technology, and education. For instance, the Ecuadorian government proposed a long-term commitment to expand the national grid and add clean energy sources with special emphasis on hydroelectricity by the end of 2020 (CONELEC 2009). This strategy focused on the provision of reliable, cheap, and clean renewable energy. Moreover, the change in the energy mix was designed parallel to the transformation of the national productive matrix, a long-term plan to move the national economy away from traditional export commodities and to favor eco-efficient production with higher added value based on innovation and environmental sustainability (SENPLADES 2013; Vicepresidencia de la República del Ecuador 2015). The introduction of these two strategies recognized the importance of the business sector in the transition to sustainability. It was assumed that private and public investment in electricity generation projects could spill over into other sectors and enhance the development of production chains as well as attract capital investment. In this chapter, we examine the sustainable business practices implemented within three industries that experienced significant growth after the introduction of Buen Vivir in the national constitution and subsequent national reforms. We compare electricity generation, metallic mining, and shrimp aquaculture industries to illustrate how Ecuador transitions to a post-oil society. The case studies are based on secondary data and primary field research from semi-structured interviews conducted in Ecuador between June and July 2019. In this paper, we argue that the concept of Buen Vivir resonates with the practice of corporate social responsibility (CSR) as they both try to balance societal needs and nature. Drawing on neo-institutional theory, we argue the institutional environment affects corporate responsibilities to society. This chapter examines industry responses as reactive CSR business strategies based on crisis prevention or as proactive CSR that links both market and public policy to address global goals such as SDG 12 on responsible production and consumption and produce a significant shift to a more sustainable economic system that works for both the people and the planet. Additionally, to investigate whether Buen Vivir represents a paradigm change for sustainability transition, we take a multilevel analytical approach at the firm, industry, and national levels. We find in our cases that Buen Vivir has exercised little influence on metallic mining and shrimp aquaculture, both export-oriented industries, and recommend more action from the government in setting the course of action to meet large societal goals as those related to Buen Vivir. In the next section, we summarize the theoretical framework for this study which originates in the sustainability transitions’ literature and neo-institutional theory plus an overview about the integration of sustainability into business practices. We then introduce our case studies: electricity generation, metallic mining, and shrimp aquaculture industries, drawing on empirical findings from the interviews with business representatives. This is followed by the discussion section that elaborates the findings from our multilevel analytical analysis at the firm, industry, and national

752

M. Viera-Romero and T. Selfa

levels. We conclude with recommendations drawn from our case study analysis as well as recommendations for future research and limitations.

2

Literature Review

Today, firms face close scrutiny from their stakeholders who expect not only to receive the best financial performance but also that a firm will be environmentally and socially responsible. In consequence, businesses usually adopt behaviors that are supported by those in power, such as the government and its national agencies, international bodies, industry networks, business associations, NGOs, international buyers, local communities, etc. Because organizations are interested in securing their “existence, continuity and growth” (Sethi 1975: 60), they must address the requirements and concerns raised in the institutional environment such as those found in the UN 2030 Agenda for Sustainable Development, as well as industry standards adopted by local firms and the government-led Buen Vivir paradigm change with its corresponding policies and legislation. Therefore, within the scope of this paper, we want to acknowledge the influence of both global and local institutional pressures that demand the implementation of sustainable business practices. As such, the theoretical framework provided by neo-institutional theory proves useful to explain how organizations facing analogous institutional pressures tend to adopt similar strategies and practices (Campbell 2004; DiMaggio and Powell 1983). In this section, we will first investigate the concept of sustainability transitions because it encompasses multilevel institutional pressures related to sustainability, before moving on to examine how businesses respond to these pressures.

2.1

Sustainability Transitions

Examples of sustainability transitions include the Montreal Protocol to phase out ozone-depleting chemicals, and more recently, the Energiewende in Germany that aims at shutting down all existing nuclear and coal-fired plants and replace them by renewable energy sources. Over the years, sustainability transitions have received increasing attention because it is the study of long-term, multidimensional, and structural transformation processes toward more sustainable modes of production and consumption (Markard et al. 2012). Typically, sustainability transitions unfold over considerable time-spans (some could take decades) and involve a broad range of actors (Markard et al. 2012). Therefore, leadership constitutes a key element in sustainability transitions to set long-term goals that inform the direction of the transition and inspire a vision of the future that motivates people to engage with it. In general, the most successful sustainability transitions occur when the government plays a significant role. By employing powerful tools to control market externalities, e.g. taxes, subsidies, and standards, the government can provide

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

753

some certainty about the direction of the transition and help ensure a complete transition to a new set of practices that can improve entire industries, create new products, or even phase out some practices and their industries (Delmas et al. 2019). One way to analyze transitions in societal systems is to use a multilevel approach that distinguishes between the macro, meso, and micro level (Grin et al. 2010; Kemp et al. 2007). The first level is the macro level where global processes and paradigm change take place. In essence, this is where vision development, strategic discussions, and long-term goal setting at the societal level occur. Here we find supranational agreements and actors such as the UN, and also with major political changes at the national level as is the introduction of Buen Vivir in Ecuador. The meso level refers to a group of actors that share rules and regulations, institutions, networks, and routines. This level includes business sectors or industries that deal with change on a daily basis and develop programs, prepare budgets, coordinate networks, and represent specific interests. Finally, at the micro level, project implementation is often driven by individual ambitions or entrepreneurial innovations that originate in individual firms.

2.2

Integrating Sustainability into Business Practices

A common strategy many companies adopt to address sustainability-related institutional pressures is the implementation of corporate social responsibility (CSR). These programs follow a triple bottom line logic to maximize long-term economic, social, and environmental values (Elkington 1997). As an example, the Global Reporting Initiative standards is one of the world’s most used frameworks for firms to report on their sustainability performance in terms of their financial performance, resource use, and waste management as well as social indicators that refer to the firm’s responsibilities to neighboring communities, workers, and society in general (Elkington 1997; GRI 2021). Several studies have identified different types of CSR strategies ranging from reactive to proactive (Chang 2015; Ji et al. 2019; Torugsa et al. 2013). Organizations may adopt a reactive CSR strategy based on legal compliance and risk management in order to conform to stakeholder pressures from whom they expect to gain the legitimacy that will enable the firms to acquire external resources, such as talent and financial resources, technology, social, and governmental support (Chang 2015; Fang et al. 2010; Groza et al. 2011; Zimmerman and Zeitz 2002). In general, a reactive CSR strategy does not follow a systematic process it is not designed to address long-term societal challenges such as climate change or environmental pollution. Instead, it is usually problem-driven, meaning it is prompted by some unexpected conflicting situation that requires the image of the organization to be protected (Groza et al. 2011). Thus, solutions are usually rapid and low cost to adjust internal processes that increase efficiency and improve compliance to major stakeholder demands (Fang et al. 2010). In contrast, a proactive CSR strategy means firms voluntarily go beyond legal requirements to positively contribute to society (Chang 2015; Jiang et al. 2018;

754

M. Viera-Romero and T. Selfa

Torugsa et al. 2013). For these companies, profitable operations are important, and they develop new products with social or environmental attributes that match customer preferences from novel market segments which allows them to charge a premium price (Chang 2015). As a result, their strategies focus on innovation, eco-efficiency, and pollution prevention which enable the reduction of the firms’ ecological footprint and procure the general well-being of employees and communities while systematically monitoring and managing resource use and waste (Chang 2015; Torugsa et al. 2013). Therefore, because of its sense of anticipation of future social and environmental market demands, a proactive CSR strategy is considered as visionary and future-oriented (Baumgartner and Ebner 2010) that requires careful planning to create long-term value for society (Groza et al. 2011).

3

Case Studies

Our case studies build on neo-institutional theory to identify each industry’s sustainability focus and reveal their reactive or proactive operating strategy (Ji et al. 2019; Sethi 1975; Torugsa et al. 2013). Likewise, literature on sustainability transitions is employed to inform about how each industry implements sustainable business practices within the context of Buen Vivir. Understanding how each industry envisions and implements sustainability in response to institutional pressures within the broader context of Buen Vivir is essential for future strategic planning at the corporate level, future research for academia, and future national policy development that is compatible with Buen Vivir as it aims for substantial change in the modes of production.

3.1

Electricity Generation

In 2007, Ecuador published the 2007–2010 National Development Plan, a public management instrument that guides all national policy and public investment which privileged the achievement of Buen Vivir. For the first time, this plan called for a change of the energy mix as fundamental for national energy policy. The government argued that for Ecuador to become a post-oil society, it was necessary to plan for the long term, incorporate renewable energy sources, ensure energy security, and compensate for diminishing oil reserves (CONELEC 2009; MAE 2013). Among other things, this national policy focused on diversifying the energy mix with clean and renewable energy sources (wind, biomass, biogas, solar, geothermal and hydroelectric plants), as well as promoting energy efficiency (CONELEC 2009; MAE 2013). In Ecuador, the electricity sector consists of both private and state-owned companies. Approximately 81% of the national electricity supply is covered by the Ecuadorean government through its state-owned companies, and the rest is covered by private electricity generation firms that operate mostly for self-consumption (ARCONEL 2018).

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

755

Because of their condition as state-owned companies, these firms have a strong commitment to switch to clean energy sources (CONELEC 2009). In an interview, a CEO highlighted how Sumak Kawsay has guided work at his state-owned company and has helped position the company “not only to the axes of conservation but also to the axes of sustainability and production” (Interview EL9, June 06, 2019). In contrast, all private electricity companies in this study have Clean Development Mechanisms (CDM) projects, a mechanism designed by the UN to assist developing countries in achieving sustainable development and help industrialized countries achieve emission reduction targets under the Kyoto Protocol. Two of them are century-old sugar mills and one is a cement company (Interviews EL3, July 12, 2019; EL5, July 08, 2019; EL6, July 05, 2019). The sustainability manager from one of the sugar mills recalled private electricity generation projects – including her own company – started with the introduction of the 2007–2010 National Development Plan. She described this national plan as “a public policy to promote the change of the energy matrix and that we stop depending so much on fossil fuel and that we begin to transition to renewable energies” (Interview EL6, July 05, 2019). In her words, private electricity generation firms “saw an opportunity to transform waste products into electricity generation” (Interview EL6, July 05, 2019), depend less on the national grid, reduce costs, and even obtain extra income.

3.1.1

The Challenge of Balancing Long-Term Goals and Economic Objectives For the most part, the electricity generation industry addresses sustainability concerns with activities designed to minimize their environmental impact. Previous studies in Europe and Latin America have determined that for electricity-generating firms, the most common CSR activities are those related to energy efficiency and waste management (Janer 2014; Streimikiene et al. 2009). Several respondents confirmed this was also the case among electricity generation firms in Ecuador with performance upgrades on their equipment and the promotion of home appliance replacement programs (Interview EL3, July 12, 2019; EL2, June 20, 2019; EL1, June 05, 2019; EL4, June 04, 2019). With regard to waste management, the industry has different programs to keep products and materials in use. All informants from private firms mentioned their electricity generation activity is based on biomass (Interview EL3, July 12, 2019; EL5 July 08, 2019; EL6, July 05, 2019). Both sugar mills found themselves asking “what (do) we do with the residue that is bagasse(?)” (Interview EL5, July 08, 2019). Something similar happened at the cement company after they received biomass and other material from partner organizations (Interview EL3, July 12, 2019; EL4, June 04, 2019). These three companies finally decided to take advantage of the Kyoto Protocol and its CDM projects to generate electricity, place emission reduction certificates (CERs) on the international market, and place surplus electricity in the national grid. Following international trends that recognize the key role that energy and utilities companies have in the development of a circular economy (Kiviranta et al. 2020), interviewees recognized the global agenda for the decarbonization of the economy

756

M. Viera-Romero and T. Selfa

and clean energy transition as the main opportunity for sustainability within the electricity generation industry in Ecuador (Interview EL3, July 12, 2019; EL5 July 08, 2019; EL6, July 05, 2019; EL 7, July 01, 2019). This was particularly evident in the case of the Galapagos Islands, an area with no connection to the national grid and dependent on international cooperation that assists them with funding, technology, and expertise in their clean energy projects (Interview EL8, July 03, 2019). Furthermore, several informants agreed that the energy transition is a process that will require long-term commitments. An environmental manager drew attention to the fact that energy-related projects “are not one year long, they have long-term compliance” (Interview EL4, June 04, 2019). Therefore, in order to generate a positive long-term impact in society, it is necessary to adopt clear and consistent policy instruments (Interview EL5, July 08, 2019; EL2, June 20, 2019; EL1, June 05, 2019), to elaborate long-term strategic plans (Interview EL2, June 20, 2019, EL9, June 06, 2019) that support large sustainability-related investments, including new energy technologies (e.g., solar, wind, geothermal), as well as the construction of new power plants, and the renovation and expansion of existing ones. However, there is a general concern that financial constraints could prevent the consolidation of the energy transition (Interview EL3, July 12, 2019; EL5, July 08, 2019; EL6, July 05, 2019; EL8, July 03, 2019; EL2, June 20, 2019; EL9, June 06, 2019; EL1, June 05, 2019; EL4, June 04, 2019). State-owned firms are usually less constrained by their financial position as they benefit from government support and resources (Jiang et al. 2018). But, in recent years, state-owned electricity firms have experienced “a process of austerity” (Interview EL8, July 03, 2019), meaning a reduction in government spending that slowed down investments for the construction of new power plants, renovation of existing ones, and expansion of the grid. Similarly, privately owned electricity firms had to deal with declining profits coming from Certified Emission Reductions (CERs) associated with their CDM projects (Wu et al. 2020) making this type of investment less attractive and thus limiting further sustainability efforts (Interview EL6, July 05, 2019; EL5, July 08, 2019). Overall, except for regulatory pressure faced by state-owned electricity generation companies, sustainability in the electricity generation industry does not respond to market pressure. In the case of state-owned electricity firms, they provide a subsidized service (ARCONEL 2018). For their part, privately owned electricity firms eligible to trade carbon credits under CDM projects complain about declining carbon prices in the international market affecting projected returns (Wu et al. 2020). Therefore, while financial constraints impact these two types of firms in different ways, the need to keep low-cost operations may affect the industry’s capacity for long-term sustainability planning. To sum up, despite the different forms of ownership of the companies involved in electricity generation, the industry overall shares a common sustainability focus on the provision of reliable and clean energy. This position proactively anticipates structural change in the industry with special interest to address environmental concerns at the societal level. Nonetheless, there is a permanent concern that declining financial returns make investments in renewable energy projects less attractive and limits further sustainability efforts.

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

3.2

757

Metallic Mining

In Ecuador, the mining industry developed in the late 1970s with minerals being exploited only at the level of artisanal and small-scale mining (Ministerio de Minería 2016). For many years, mining activity did not play a central role in the Ecuadorean economy, as oil production has been the engine of the national economy, influencing government institutions, legal provisions, and politics. But, with the introduction of the Mining Law in 2009, the national government decided to support large-scale development of the mining industry in recognition of the country’s potential with gold, silver, and copper reserves, among others (Ministerio de Minería 2016). Therefore, since the introduction of this law, Ecuador has been able to attract international investment, especially of Chinese and Canadian origin, for largescale mining projects.

3.2.1

With a Larger Scale Comes a Greater Demand for Environmental Sustainability Worldwide, mining is often a controversial industry that generates conflicts with local communities (Hamann 2003; Masaitis 2015; Veltmeyer 2016). As a result, Ecuadorean mining company representatives are interested in preventing conflicts (Interview MI8, July 15, 2019; MI2, July 16, 2019; MI7, June 28, 2019; MI6, July 18, 2019; MI4, June 24, 2019; MI3, June 24, 2019; MI1, June 24, 2019). Thus, in addition to complying with government regulation and control, companies strongly believe in “the need (for) a social license to operate, (and idea that) is absolutely ingrained in the industry” (Interview MI5, June 25, 2019; MI2, July 16, 2019). By social license, our informant referred to the informal acceptance of the mining activity by the local communities in order to prevent future conflicts (Masaitis 2015; Veltmeyer 2016). This is not only beneficial to a company’s reputation but also helpful for securing financial resources and government permits as well as for preventing costly production delays in case of protests or sabotage (Hamann 2003). Therefore, the adoption of a “good neighbor” strategy is common in the industry to promote friendly relations with the community in areas where the mines operate (Masaitis 2015; Warnaars 2012) as we also found in Ecuador (Interview MI2, July 16, 2019; MI5, June 25, 2019; MI4, June 24, 2019; MI1, June 24, 2019; MI3, June 24, 2019). Firms in developing countries often find themselves engaged in CSR activities that contribute to poverty reduction (Pesmatzoglou et al. 2014; Warnaars 2012). For instance, mining companies in Ecuador are required by law to have a community relations plan designed with the purpose of “reducing, mitigating and compensating the socio-environmental impacts generated by their activity” (MAE 2014; 25, own translation). As a result, mining companies often invest in basic infrastructure or social programs (health, education, local economic development) near the sites of extraction (Pesmatzoglou et al. 2014; Warnaars 2012). Basically, their sustainability efforts are reduced to community relations programs that aim at preventing conflicts and gaining acceptance with local neighbors to legitimize the mining company as an

758

M. Viera-Romero and T. Selfa

actor in the territory (Interview MI6, July 18, 2019; MI2, July 16, 2019; MI4, June 24, 2019; MI3, June 24, 2019; MI1, June 24, 2019). Nevertheless, in drawing exclusive attention to the social dimension, the mining industry runs the risk of hindering a balanced triple bottom line compatible with the precepts from Buen Vivir. Actually, only two of the interviewees (Interview MI3, June 24, 2019; MI7, June 28, 2019) recognized Buen Vivir along with the Rights of Nature as a groundbreaking piece of legislation that “forced companies to be much more creative in their environmental and social policies” (Interview MI3, June 24, 2019). Unfortunately, during the interviews, it was not possible to obtain further explanation about how Buen Vivir specifically affects decision-making in the mining industry. For the most part, informants have long-term expectations that large-scale mining will bring prosperity to the country (Interview MI6, July 18, 2019; MI2, July 16, 2019; MI9, July 05, 2019). In contrast to Ecuador’s previous experience with oil extraction, interviewees consider there is an opportunity for the mining industry to plan for the long-term and consider intergenerational equity issues (Pesmatzoglou et al. 2014, Interview MI2, July 16, 2019) that may appear after the closure of the mine related to long-term cleanup costs (Slack 2012) as well as to help local residents to diversify the economic activities that support their livelihoods before mine operations cease running (Pesmatzoglou et al. 2014, Interview MI4, June 24, 2019). However, one of the barriers to further sustainability efforts in mining is the government’s low institutional attention. This is evidenced through the lack of economic incentives, inadequate legislation and policies, slow paperwork, insufficient technical assistance, as well as deficient basic infrastructure and public services in the communities where they are established. For example, one of the interviewed CEOs recalled his company does not receive any assistance or incentive from the government: “there has not been any stimuli, [. . .] there has not been something that stands out, no tax incentive. Sometimes it is the opposite, sometimes there are too many obstacles obtaining the permits. It is a lot of bureaucracy” (Interview MI6, July 18, 2019). These complaints about slow bureaucracy are common. According to the informants, public agencies “take forever to process paperwork” (Interview MI1, June 24, 2019). A community relations manager shared his experience about how since 2015 his company is in the process of renewing certain permits with both SENAGUA (Water Secretariat) and Ministry of the Environment (Interview MI1, June 24, 2019). Informants agreed that these national agencies “have a shortage of technical staff” that affects the quality of the inspections they make and therefore cannot deliver the permits in a timely manner (Interview MI1, June 24, 2019; MI7, June 28, 2019). However, these company representatives expect that once the largest mining projects start with the extraction phase and generate revenues (Interview MI6, July 18, 2019), the industry will receive more attention from the government in terms of agile paperwork, tax incentives, illegal mining controls, etc. In the end, obtaining social license to operate has become the main sustainability focus for mining companies in Ecuador. While this perspective considers social

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

759

needs from the immediate neighbors and economic interests from firms and their investors, it fails to address environmental concerns at a larger scale.

3.3

Shrimp Aquaculture

Shrimp farming in Ecuador began in the late 1960s and quickly became one of the fastest growing economic sectors (Romero Salgado 2014). However, in 1999, the Ecuadorean shrimp sector experienced its worst crisis after the white spot virus (WSV) caused massive shrimp mortality. This event severely decreased production and reduced exports and many shrimp farmers had to abandon the ponds after they went bankrupt (Romero Salgado 2014). After this episode, the industry gradually recovered and since 2010 the sector has not stopped growing (CNA 2021; Romero Salgado 2014).

3.3.1

New Sustainability Practices in a Long-Established Exporting Industry As noted during the interviews, farmers continue to raise the Litopenaeus vannamei shrimp species but changed their production practices and embraced sustainability in their operations by combining economic, social, and environmental concerns. On the one hand, there is an economic reason to pay special attention to animal welfare as healthier shrimps prevent economic losses. In words of the CEO from a shrimp company, sustainable production practices such as “low stocking densities (in the ponds) and (no) use of antibiotics” allow a “more stable growth size and better quality on the final product” which is employed as a product differentiation strategy for which international customers are willing to pay extra for this difference (Interview SH1, July 11, 2019; SH4, June 13, 2019; SH7, June 27, 2019). Excessive antibiotic use is the main driver of antimicrobial resistance (AMR) which makes infections become increasingly difficult to treat. By eliminating the use of antibiotics in shrimps, the industry prevents AMR for its consumers, an action that serves a social purpose at minimizing a potential risk to global public health. For instance, the CEO of a shrimp feed company considers preventing AMR is “a sustainability issue because we are talking about people’s health. We are talking about living in a sustainable world” (Interview SH5, July 05, 2019). After all, shrimp is both the main input and product for sale. And, all sustainability measures to keep a healthy animal work as a differentiation factor to compete in the international market and get a price premium for the product. Accordingly, farmers reduced shrimp stocking density in the ponds, eliminated the use of antibiotics, and entered certification programs based on industry standards that attest to product quality and good management practices (Piedrahita 2018; SSP 2020). According to our informants, the most popular certifications in the industry include the Global Aquaculture Alliance Best Aquaculture Practices (GAA BAP), the ASC shrimp standard from the Aquaculture Stewardship Council, the Whole Foods Market (WFM) Quality Standards for Farmed Seafood, the Punto Verde certification sponsored by the Ministry of the Environment, and more recently, the Sustainable

760

M. Viera-Romero and T. Selfa

Shrimp Partnership (SSP) promoted by the National Chamber of Aquaculture (Interview SH2, July 04, 2019; SH!0, June 28, 2019; SH7, June 27, 2019). Shrimp aquaculture in Ecuador is an export-oriented activity where approximately 85% of production goes for sale abroad (FLACSO & MIPRO 2011). The industry operates as a business cluster through a network that includes laboratories, ponds, feed producers, packing houses, and exporters (FLACSO & MIPRO 2011; Piedrahita 2018). In Ecuador, there are approximately 1300 registered shrimp farms, most of which are small and medium size producers (MPCEIP 2021). However, the export activity currently concentrates in few companies which typically have their own production but that also buy from smaller suppliers and pack it for export (FLACSO & MIPRO 2011). In developing countries, it is common that CSR practices improve as the firms integrate into global value chains, which often also requires the support from local industry associations (Lund-Thomsen et al. 2016; Visser 2009). The National Chamber of Aquaculture (CNA) is the representative of the sector’s collective interests and supports its members with legal, technical, commercial, and exporting solutions (CNA 2021). In the last couple of years, the CNA and a handful of its most important members have been working on the development of the Sustainable Shrimp Partnership (SSP), an initiative to create product differentiation for Ecuadorian shrimp in the international market (Piedrahita 2018; SSP 2020; Interview SH7, June 27, 2019; SH2, July 04, 2019; SH1, July 11, 2019). SSP has recently partnered with IBM to use blockchain technology and create a traceable record contained in a QR code to be scanned by customers to find out about the farm where the shrimp is coming from, together with key indicators on food safety such as antibiotic use and water quality. The use of blockchain is expected to secure traceability from the source and along the supply chain, from farm to fork (SSP 2020). Despite large shrimp farmers’ attempt to improve food traceability, one of the main impediments to attaining sustainability in the aquaculture sector is the continued consumption of diesel as a primary source of energy (Interview SH1, July 11, 2019; SH6, July 10, 2019; SH3, July 02, 2019; SH5, July 05, 2019; SH7, June 27, 2019). Daily operations include the use of engines and turbines to collect water as well as the application of fuels, lubricants, and oils to heavy machinery such as excavators, trucks, and tractors. However, the CEO from a shrimp feed company revealed that while a few firms have switched from diesel to electricity, “there is still a lot to do. Ecuador has electricity but (the national infrastructure is) not organized to take it to the shrimp farms” (Interview SH5, July 05, 2019). Shrimp farms are usually located near mangrove areas by the shore or on islands (Piedrahita 2018) far from the service area of the national grid. Thus, poor electricity infrastructure – which is provided by the government – is seen as a limitation to both cost savings and further environmental sustainability in the industry (El Universo 2020; Piedrahita 2018). Therefore, reducing shrimp industry dependency on fossil fuels is an enormous challenge. At the same time, it represents an opportunity to consolidate corporate reputation and build a positive image bolstered by sustainability credentials. Transitioning to a

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

761

carbon-neutral source of energy can lead to significant cost savings in their operations, mitigate reputational risks, and aim at potential price premiums (Packer et al. 2019). Interviewees expect to combine efficiency and sustainability by reducing their diesel consumption after getting access to the national grid. For instance, one of the respondents looked favorably on a recently approved loan from a multilateral bank destined to expand and repower the national grid near the shrimp farms’ service area (Interview SH5, July 05, 2019). Another informant thinks that with this loan “new investments will follow at the sustainability level” (Interview SH1, July 11, 2019). Unfortunately, market rewards for sustainable practices are still limited (Packer et al. 2019). For instance, one of the informants revealed that even when his company has adopted more sustainable practices and sacrificed some yield, they still have to “maintain (certain sales) volume” from standard shrimp farming while they continue to seek for sustainability (Interview SH7, June 27, 2019). This argument supports the view from multiple respondents who mentioned “sustainability is directly related to the price of shrimp,” as price is the critical factor to keep in business or go out of it (Interview SH3, July 02, 2019; SH1, July 11, 2019; SH6, July 10, 2019; SH4, June 13, 2019). Such reasoning of ensuring shrimp health at the lowest cost and maximum output may constrain broader changes in the adoption of more ambitious sustainable business practices. In brief, the shrimp sector is mainly an export-oriented industry where its sustainability-related actions are mostly guided by global market demands to balance economic, social, and environmental aspects. However, even when the recovery of the industry occurred almost simultaneously with the introduction of Buen Vivir as a new national paradigm to balance societal needs and nature, none of the interviewees referred to it as a driver of sustainability. A summary of all findings can be found on Table 1.

4

Discussion

Both the literature and the analyzed data suggest responsiveness to stakeholder groups is a critical driver for CSR in developing countries, such as Ecuador, where there is weak governmental control over the social, ethical, and environmental performance of firms (Lund-Thomsen et al. 2016; Visser 2009). Although the three industries discussed in this research operationalize sustainability differently, they all adopt CSR – in either a reactive or proactive manner – as a business strategy (Ji et al. 2019; Sethi 1975; Torugsa et al. 2013) to improve relationships with stakeholders, differentiate industry products, and prevent disruptive events. To evaluate whether Buen Vivir has been incorporated as a paradigm change, the empirical evidence in this work suggests the value of taking a multilevel analytical approach at the macro, meso, and micro levels, consistent with sustainability transitions’ literature (Grin et al. 2010; Kemp et al. 2007). Therefore, in order to transform production patterns in Ecuador, sustainability transitions should observe the following key elements:

Metallic mining

Electricity generation

Controversial industry at the global level that faces close scrutiny from stakeholders Buen Vivir national constitution National Strategy for the Transformation of the Productive Matrix (from commodity exporting to a post-oil society)

Institutional environment Decarbonization and energy transition international agenda Buen Vivir national constitution National Strategy for the Change of the Energy Mix (renovation and expansion of the national grid based on renewables) State-owned companies supply 81% of the national electricity Subsidized service Reduced government spending Private firms on CDM projects Declining profits from CERs

Socioeconomic Promotion and support of local economic development activities Build basic infrastructure (roads, sanitation) Complement social welfare

Sustainable business practices Environmental Waste management Recycling Energy efficiency Performance upgrades Home appliance replacement programs Energy efficiency education

Proactive and reactive CSR

Operating strategy Proactive CSR

Social license to operate

Sustainability focus Clean and reliable electricity

Table 1 Institutional settings, implemented practices, operating strategy, and sustainability focus per industry Illustrative examples from the interviews “The investment in renewable energy projects, basically, hydroelectric infrastructure was accompanied by energy efficiency policy. It implied the substitution of everything that has to do with fossil fuel dependence. For example, there were large investments to renew all networks, repower electrical networks for induction cooking programs because it deserves another infrastructure that has different technical qualities. The investment was high, it (the energy transition) was growing fast.” Interview EL1, June 05. 2019 “The idea that we need a social license to operate is absolutely ingrained in the industry. [. . .]. And I would say that’s especially true with environmental risks. I mean, you can definitely engineer solutions that allow you to mitigate the environmental risk. But the

762 M. Viera-Romero and T. Selfa

Shrimp aquaculture

Great economic losses after the white spot virus (late 1990s) Buen Vivir national constitution National Strategy for the Transformation of National Productive Matrix Shrimp is now among Ecuador’s top exports Few large shrimp producers use blockchain technology for food traceability Poor electricity infrastructure near the shrimp farms makes diesel the main source of energy The international shrimp market does not reward sustainability over cheap prices

Mining Law welcomes large-scale mining projects for the first time in Ecuador (2009) National government declares mining as an strategic source of export earnings (2015) Deficient state action in areas near the mines

Economic, social, and environmental Product quality based on animal health Product certification Low stocking density Water quality Zero use of antibiotics minimizes the risk of AMR to global public health

programs (healthcare, education)

Proactive and reactive CSR

Cost-effective bio-security

social risks are much harder to deal with because they’re in many cases unpredictable. [. . .] So, very early in our project we start a dialogue and maintain relations with local communities. We try to participate as good citizens. We try to support the development of those communities, to provide them benefits from our presence.” Interview MI5, June 25, 2019 “Sustainable practices [. . .] allow you to have a healthier animal, more stable growth size and better quality on the final product. Basically, the quality of Ecuadorian shrimp [. . .] is that we have low stocking densities and we use zero amounts of antibiotics. [. . .] As a consequence, there is a difference in flavor. [. . .] And this is recognized by international markets [. . .] that can afford to pay a little more for this difference in quality.” Interview SH1, July 11, 2019

37 Business Practices and Trends in the Transition to Sustainability: Case. . . 763

764

M. Viera-Romero and T. Selfa

(i) Micro level: reactive/proactive business operating strategy At the firm level, there are two main operating strategies that organizations may adopt to gain legitimacy: they could conform to pressures arising from external institutions or they could proactively anticipate these pressures (Ji et al. 2019; Sethi 1975; Torugsa et al. 2013). Firms in both the shrimp aquaculture and metallic mining industry in Ecuador simultaneously utilize reactive and proactive CSR strategies. In the case of shrimp, farmers continue to rely on a monoculture, Litopenaeus vannamei, which makes them vulnerable to new perturbations. Therefore, in order to prevent new outbreaks, firms adopted a reactive strategy paying close attention to animal health and adding product certifications that serve a double purpose, that is, both product differentiation and internal quality assurance. In parallel, a proactive strategy that supports the adoption of cutting-edge technology for food traceability by large shrimp producers in Ecuador and the industry demand for further electrification near the shrimp farms reflects their desire to change modes of production and implement further environmental sustainability in its processes. Likewise, mining companies appeal to a “good neighbor” strategy. This strategy manifests itself in the form of promotion and support of entrepreneurial initiatives among local residents, the building of basic infrastructure, and the provision of social welfare programs. Therefore, obtaining the “social license to operate” is understood as both a reaction that manages its reputation as a controversial activity and also as a proactive measure that prevents a possible interruption or delay in their operations due to local anti-mining protests. For its part, electricity generation companies assume a proactive CSR strategy. Therefore, although the state often acts more reactively than proactively (Mazzucato 2021), state-owned electricity generation companies actively work to phase out the use of fossil fuels in electricity generation. Similarly, private electricity firms have diversified their business portfolio and added CDM biomass-based projects. Thus, the existence of a synchronized international and national policy agenda, such as the decarbonization of the economy and the energy transition, opens new business opportunities and guides proactive business practices oriented toward sustainability in the form of waste management and energy-efficient solutions. With their actions, firms in this industry assume an important role in the social system by linking both market and public policy processes (Jiang et al. 2018; Preston and Post 2013). With their proactivity, private and state-owned electricity firms assume the urged corporate leadership that triggers the transitions to more sustainable modes of production as declared on UN SDG 12. Therefore, if businesses were to lead the transition to sustainability, corporate leadership should not simply focus on reacting to market trends or imposed regulatory compliance but engage in proactive CSR with the objective to shape and influence corporate behavior, especially when organizations in the same industry or different industries follow their best practices.

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

765

(ii) Meso level: pressures from the institutional environment According to neo-institutional theory, organizations facing similar institutional pressures tend to adopt similar strategies and practices (Campbell 2004; DiMaggio and Powell 1983). Therefore, the meso level refers to a group of firms within an industry that share the same practices. In Ecuador, both metallic mining and shrimp aquaculture are export-oriented industries, and their sustainability practices mainly respond to the interest of foreign stakeholders. Within the metallic mining industry, firms are interested in preventing conflict that could affect the industry’s already controversial image and the firms’ ability to secure financial resources coming from foreign investors. These actions include obtaining consent from their own government – when they are MNCs – and also from the host country where the mine is located. With shrimp aquaculture, there is a similar logic of prevention. The industry does not want to risk product quality and sales with unhealthy animals. Therefore, they need to take care of shrimp biosecurity in such a way that is cost-efficient because price volatility in the international market does not reward sustainability over cheap prices. In both cases, mining and shrimp corporate actions respond to the prevention of disruptive events that may affect companies’ operations and profits as well as their relationship with foreign stakeholders. In contrast, the electricity generation sector responds to pressures coming from both the national system and international policies that take global environmental objectives, such as the decarbonization of the economy and the energy transition as reference points. With state-owned companies, it is clear that these firms are the first ones to follow policy guidelines coming from the government according to the national strategy for the change of the energy mix. As a complement, privately owned companies with biomass electricity-generating projects also participate of this national goal with projects tied to the CDM scheme that works as an opportunity for self-sufficiency as well as an additional source of income based on the trade of carbon credits and the sale of excess electricity back to the grid. Finally, opposed to shrimp farming and metallic mining, the institutional pressures in electricity generation are not reduced to crisis prevention at the industry level, but actually observe Buen Vivir in order to accomplish the national goal to change the energy mix and the global agenda for the decarbonization of the economy. (iii) Macro level: mission-oriented thinking to guide sustainable business practices Global processes and paradigm changes that imply changes at societal scale take place at the macro level. The global sustainable development agenda and Ecuador’s interest in becoming a post-oil society under the Buen Vivir values guide the sustainability transition. In this study, the national government has fulfilled different roles. In the case of metallic mining, the government acts as a facilitator of economic growth by attracting capital investment from abroad. With shrimp aquaculture, the government

766

M. Viera-Romero and T. Selfa

has limited its intervention and let the industry recover its export level by itself. Both industries are export-oriented and as such respond primarily to global market trends and demands over local processes. However, despite certain efforts to implement more mature sustainability practices, both industries are constrained by poor national infrastructure and social conditions. Such limitations impede the connection of shrimp farms to the national grid, and in the case of mining, companies often have to cover government responsibilities for social welfare and infrastructure near the sites of extraction. Given the scale of the requirements, social and physical infrastructure can only be provided by the government. Therefore, in order to serve a major societal goal such as Buen Vivir, it is important that the government satisfies the provision of basic infrastructure and social services across the country. To do that, the government needs to become more active in territorial development and fulfill its duty to care for the needs of its citizens and as such relieve firms from responsibilities that should be assumed by the state. In the case of electricity generation, the government has assumed a leadership role that defines strategic choices and policies. Despite the scope of action and differentiation between corporate and public policies in the electricity generation industry, both state-owned and private companies work together for sustainability as a common target. For instance, the goal of clean and reliable electricity aims at fulfilling a public purpose beyond the search for legitimacy from the customers, partner organizations, or local communities. The existence of Buen Vivir and the global agenda for the energy transition established a shared vision that guides a proactive CSR strategy that implements sustainable business practices in the electricity generation industry. Although there are business sectors like the shrimp aquaculture that have not yet benefited from the energy transition, in general, the state has assumed a fundamental role in shaping the future of Ecuadorean society. The state has defined the mission, laid out the plan, communicated clear targets, and allowed as much innovation as possible to fulfill a public purpose (Mazzucato 2021). For a long time, the Ecuadorean government has depended upon commodity exports, and the findings in this study show that the introduction of Buen Vivir has exercised little influence on export-oriented industries. Hence, in the search for wider public responsibility in the process of changing production patterns and halting further irreparable harm to the environment (Delmas et al. 2019; Markard et al. 2012), the government must assume a leadership role that sets ambitious societal goals and designs corresponding public policies that guide corporate actors to go beyond securing support for their activities. Therefore, long-term planning is fundamental to achieve the national vision toward a post-oil society (SENPLADES 2013). Communicating a sustainability vision not only to corporations but to all stakeholders provides a consistent picture of the country’s commitment to sustainability in the long term. The challenge then lies in the ability of the country to attract investors who commit to long-term projects with large uncertainties.

37

5

Business Practices and Trends in the Transition to Sustainability: Case. . .

767

Conclusions

This research explored how firms facing similar pressures adopt similar strategies to address issues raised by their institutional environment. More specifically, it outlined the sustainable business practices implemented within three different industries in the context of Buen Vivir and applied a multilevel analytical approach at the firm, industry, and national levels. Findings indicate that in two of the three case studies, namely, on export-oriented industries, both metallic mining and shrimp aquaculture industries, the introduction of Buen Vivir has exercised little influence. In contrast, the electricity generation industry, with both private and state-owned companies, is better aligned with Buen Vivir. A government that assumes a leading role in shaping the future of society is likely to help the achievement of long-term societal goals such as Buen Vivir. Export-oriented industries that act solely based on market demands are unlikely to be engaged or motivated to implement large societal goals on their own. From a business management perspective, these findings are important for strategic planning at the corporate level and could help broaden the discussion about how business responsibilities to society are debated and ultimately determined. For instance, some firms may try to engage in proactive CSR activities that provide wider public responsibility that links both market and public policy processes. Similarly, the evidence included in this research brings important implications for policy evaluation both at the global and national level. In addition, policymakers may find the outcomes of this research helpful for long-term planning to achieve the national vision toward a post-oil society. For example, the government could evaluate whether current extractivist plans remain compatible with Buen Vivir and communicate a consistent picture of the country’s commitment with sustainability in the long term. It is also important to mention some limitations in this research. First, the analyzed 2007–2017 period and the selected industries might not be representative. Future research could expand the firm sample, distinguished by firm size or organizational structures. Also conduct similar research in other industrial settings such as agriculture, transportation, or services, or even use a different methodology like social network analysis. Other research could focus on the coevolution of changes between industries to envision how sustainable business practices in one sector affects the other. Additionally, by focusing on business, this research overlooked other important lenses. Future research could examine power relations in international trade as well as historical financial and social structures in Ecuadorean business affecting current corporate sustainability activities. At the global level, researchers and practitioners should pay attention to the tradeoffs between short-term profitability and major societal goals in the long term. For example, declining carbon prices are making CDM projects for electricity generation no longer attractive in terms of their profitability and run the risk that these projects be abandoned.

768

M. Viera-Romero and T. Selfa

Acknowledgments This research was possible due to the financial support received from the Randolph G. Pack Environmental Institute. The authors wish to thank the participants in the study for the time given to us.

Appendix: List of Interviewees ID EL1

Organization State-owned electricity company

Informant job title CSR manager

EL2

State-owned electricity company

EL3

Cement company (biomass-based cogeneration) State-owned electricity company

HSE and community relations manager Industrial ecology manager Environmental manager

EL4 EL5

EL7

Sugarcane company (biomass-based cogeneration) Private electricity company (biomass-based cogeneration) Private electricity company

CSR manager

EL8

State-owned electricity company

HSE manager

EL9

State-owned electricity company

CEO

MI1

Community relations manager Sustainability manager

MI6

Mining company (with Canadian investment) Mining company (with Canadian investment) Mining company (with Canadian investment) Mining company (with Chinese investment) Mining company (with Canadian investment) Mining company

Community relations manager HSE and sustainability manager CEO

MI7

Mining company

Environmental manager

MI8

Mining company

Health and safety manager

MI9

Mining company

CFO

SH1

Shrimp company

CEO

SH2

Shrimp company

Environmental manager

EL6

MI2 MI3 MI4 MI5

Environmental manager Sustainability manager

CSR manager

Date June 05, 2019 June 20, 2019 July 12, 2019 June 04, 2019 July 08, 2019 July 05, 2019 July 01, 2019 July 03, 2019 June 06, 2019 June 24, 2019 July 16, 2019 June 24, 2019 June 24, 2019 June 25, 2019 July 18, 2019 June 28, 2019 July 15, 2019 July 05, 2019 July 11, 2019 July 04, 2019 (continued)

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

ID SH3

Organization Shrimp company

Informant job title Operations manager

SH4

Shrimp company

CEO

SH5

Shrimp feed company

CEO

SH6

Shrimp company

Procurement manager

SH7

Shrimp company

Supply chain manager

SH8

Shrimp company

CEO

SH9

Shrimp company

Human resources

SH10

Shrimp company

Health and safety manager

769

Date July 02, 2019 June 13, 2019 July 05, 2019 July 10, 2019 June 27, 2019 July 08, 2019 July 15, 2019 June 28, 2019

References ARCONEL (2018) Estadística Anual y Multianual del Sector Eléctrico Ecuatoriano 2018. Agencia de Regulación y Control de Electricidad (ARCONEL). https://www.regulacionelectrica.gob.ec/ wp-content/uploads/downloads/2019/08/Estad%C3%ADsticaAnualMultianual2018.pdf Baumgartner RJ, Ebner D (2010) Corporate sustainability strategies: sustainability profiles and maturity levels. Sustain Dev 18(2):76–89. https://doi.org/10.1002/sd.447 Campbell JL (2004) Problems of institutional analysis. In: Institutional change and globalization. Princeton University Press, pp 1–30. https://doi.org/10.2307/j.ctv131bw68.6 Chang C-H (2015) Proactive and reactive corporate social responsibility: antecedent and consequence. Manag Decis 53(2):451–468. https://doi.org/10.1108/MD-02-2014-0060 CNA (2021) Cámara Nacional de Acuacultura. Cámara Nacional de Acuacultura. https://www.cnaecuador.com/ CONELEC (2009) Plan maestro de electrificación 2009–2020. Capítulo 06 Plan de Expansión de la Generación. Consejo Nacional de Electricidad (CONELEC). https://www.regulacionelectrica. gob.ec/wp-content/uploads/downloads/2015/10/PME0920CAP6.pdf Delmas MA, Lyon TP, Maxwell JW (2019) Understanding the role of the corporation in sustainability transitions. Organ Environ 32(2):87–97. https://doi.org/10.1177/1086026619848255 DiMaggio PJ, Powell WW (1983) The iron cage revisited: institutional isomorphism and collective rationality in organizational fields. Am Sociol Rev 48(2):147–160. https://doi.org/10.2307/2095101 El Universo (2020) Para sectores acuícola y agrícola es ‘vital’ electrificar fincas para cambio de matriz productiva en Ecuador. El Universo, June 13. https://www.eluniverso.com/noticias/2020/ 06/13/nota/7870548/matriz-productiva-energetica-ecuador-banano-camaron-agricultura Elkington J (1997) Cannibals with forks: the triple bottom line of 21st century business, 1st edn. Capstone Publishing Limited Fang S-R, Huang C-Y, Huang SW-L (2010) Corporate social responsibility strategies, dynamic capability and organizational performance: cases of top Taiwan-selected benchmark enterprises. Afr J Bus Manag 4(1):120–132 FLACSO & MIPRO (2011) Procesamiento de camarón para exportación (R6 y R2) (Boletín mensual de análisis sectorial de MIPYMES No. 21). FLACSO – MIPRO Centro de Investigaciones Económicas de la Pequeña y Mediana Empresa. https://www.flacso.edu.ec/ portal/pnTemp/PageMaster/v1h0ohbg78sb6mncmkkr5w3mwji4ep.pdf

770

M. Viera-Romero and T. Selfa

GRI (2021) The global standards for sustainability reporting. Global Reporting Initiative. https:// www.globalreporting.org/standards/ Grin J, Rotmans J, Schot J (2010) 3 conceptual framework for analyzing transitions. In: Transitions to sustainable development, 1st edn. Routledge, pp 126–139 Groza MD, Pronschinske MR, Walker M (2011) Perceived organizational motives and consumer responses to proactive and reactive CSR. J Bus Ethics 102(4):639–652. https://doi.org/10.1007/ s10551-011-0834-9 Gudynas E (2013) Transitions to post-extractivism: directions, options, areas of action. In: Lang M, Mokrani D (eds) Beyond development: alternative visions from Latin America. Rosa Luxemburg Stiftung; Transnational Institute, pp 165–188 Hamann R (2003) Mining companies’ role in sustainable development: the “why” and “how” of corporate social responsibility from a business perspective. Dev South Afr 20(2):237–254. https://doi.org/10.1080/03768350302957 Janer CR (2014) Responsabilidad social corporativa de empresas eléctricas en Latinoamérica [Proyecto o Tesina de especialidad, Escola Tècnica Superior de Enginyeria de Camins, Canals i Ports de Barcelona – UPC]. https://upcommons.upc.edu/bitstream/handle/2099.1/24526/ Documento%20I.%20MEMORIA.pdf?sequence¼1&isAllowed¼y Ji H, Xu G, Zhou Y, Miao Z (2019) The impact of corporate social responsibility on firms’ innovation in China: the role of institutional support. Sustainability 11(22):6369. https://doi. org/10.3390/su11226369 Jiang Y, Xue X, Xue W (2018) Proactive corporate environmental responsibility and financial performance: evidence from Chinese energy enterprises. Sustainability 10(4):964. https://doi. org/10.3390/su10040964 Kemp R, Loorbach D, Rotmans J (2007) Transition management as a model for managing processes of co-evolution towards sustainable development. Int J Sustain Dev World Ecol 14(1):78–91. https://doi.org/10.1080/13504500709469709 Kiviranta K, Thomasson T, Hirvonen J, Tähtinen M (2020) Connecting circular economy and energy industry: a techno-economic study for the Åland Islands. Appl Energy 279:115883. https://doi.org/10.1016/j.apenergy.2020.115883 Lalander R (2016) The Ecuadorian resource dilemma: Sumak Kawsay or development? Crit Sociol 42(4–5):623–642. https://doi.org/10.1177/0896920514557959 Latorre S, Farrell KN, Martínez-Alier J (2015) The commodification of nature and socioenvironmental resistance in Ecuador: an inventory of accumulation by dispossession cases, 1980–2013. Ecol Econ 116:58–69. https://doi.org/10.1016/j.ecolecon.2015.04.016 Lund-Thomsen P, Lindgreen A, Vanhamme J (2016) Industrial clusters and corporate social responsibility in developing countries: what we know, what we do not know, and what we need to know. J Bus Ethics 133(1):9–24. https://doi.org/10.1007/sl0551-014-2372-8 MAE (2013) Política de Estado la Estrategia Nacional de Cambio Climático. Acuerdo Ministerial 95 Registro Oficial Edición Especial 9 de 17-jun.-2013. https://www.gob.ec/sites/default/files/ regulations/2018-10/Documento_Politica-Estado-Estrategia-Nacional-Cambio-Climatico.pdf MAE (2014) Reglamento Ambiental Actividades Mineras. Acuerdo Ministerial 37 Registro Oficial Suplemento 213 de 27-mar.-2014. https://www.ambiente.gob.ec/wp-content/uploads/down loads/2018/05/Reglamento-Ambiental-Actividades-Mineras-MAE.pdf Markard J, Raven R, Truffer B (2012) Sustainability transitions: an emerging field of research and its prospects. Res Policy 41(6):955–967. https://doi.org/10.1016/j.respol.2012.02.013 Masaitis A (2015) Reduction of conflicts in the extractive industries using good neighbor agreements [Doctor of philosophy in environmental science and health, University of Nevada]. https://search-proquest-com.libezproxy2.syr.edu/docview/1732683827/abstract/ 814A46F9F06E414BPQ/1?accountid¼14214 Mazzucato M (2021) Mission economy: a moonshot guide to changing capitalism, 1st edn. Harper Business. http://library.lol/main/DE77275C509164522DDA2B709E5AF98C Ministerio de Minería (2016) Plan Nacional de Desarrollo del Sector Minero, November. https:// drive.google.com/file/d/1IMvqmhSKKoW7Er6yPK2amNEFjnspfgDR/view?usp¼drive_ open&usp¼embed_facebook

37

Business Practices and Trends in the Transition to Sustainability: Case. . .

771

MPCEIP (2021) Camaroneras registradas y aprobadas [Lista Interna]. Subsecretaría de Calidad e Inocuidad (Ministerio de Producción, Comercio Exterior,Inversiones y Pesca). https://www. produccion.gob.ec/wp-content/uploads/2021/10/CAMARONERAS-GR-22102021-1.pdf Packer H, Swartz W, Ota Y, Bailey M (2019) Corporate social responsibility (CSR) practices of the largest seafood suppliers in the wild capture fisheries sector: from vision to action. Sustainability 11(8):2254. https://doi.org/10.3390/su11082254 Pesmatzoglou D, Nikolaou IE, Evangelinos KI, Allan S (2014) Extractive multinationals and corporate social responsibility: a commitment towards achieving the goals of sustainable development or only a management strategy? J Int Dev 26(2):187–206. https://doi.org/10. 1002/jid.2871 Piedrahita Y (2018) Current situation of the shrimp industry in Ecuador [Cámara Nacional de Acuacultura], June 11. https://abccam.com.br/wp-content/uploads/2018/10/Yahira-PiedrahitaCurrent-situation-of-the-shrimp-industry-in-Ecuador.pdf Preston LE, Post JE (2013) Chapter 7: The principle of public responsibility. In: Private management and public policy: the principle of public responsibility, 8th edn. Stanford Business Classics, pp 94–105. http://web.a.ebscohost.com.libezproxy2.syr.edu/ehost/ebookviewer/ ebook/ZTAwMHhuYV9fNzEzNDk2X19BTg2?sid¼1bb7090d-9ad0-4c78-bb759dc3ae288cd1@sdc-v-sessmgr01&vid¼0&format¼EB&lpid¼lp_153&rid¼0 Romero Salgado N (2014) Neoliberalismo e industria camaronera en Ecuador. Letras Verdes. Revista Latinoamericana de Estudios Socioambientales 15:55–78 SENPLADES (2013) Plan Nacional de Desarrollo/Plan Nacional para el Buen Vivir 2013–2017. Secretaría Nacional de Planificación y Desarrollo (SENPLADES). http://documentos.senplades. gob.ec/Plan%20Nacional%20Buen%20Vivir%202013-2017.pdf Sethi SP (1975) Dimensions of corporate social performance: an analytical framework. Calif Manag Rev 17(3):58–64. https://doi.org/10.2307/41162149 Slack K (2012) Mission impossible?: adopting a CSR-based business model for extractive industries in developing countries. Resour Policy 37(2):179–184. https://doi.org/10.1016/j.resourpol. 2011.02.003 SSP (2020) Sustainable shrimp partnership. Sustainable Shrimp Partnership (SSP). https://www. sustainableshrimppartnership.org/ Streimikiene D, Simanaviciene Z, Kovaliov R (2009) Corporate social responsibility for implementation of sustainable energy development in Baltic States. Renew Sust Energ Rev 13(4): 813–824. https://doi.org/10.1016/j.rser.2008.01.007 Torugsa NA, O’Donohue W, Hecker R (2013) Proactive CSR: an empirical analysis of the role of its economic, social and environmental dimensions on the association between capabilities and performance. J Bus Ethics 115(2):383–402. https://doi.org/10.1007/s10551-012-1405-4 Veltmeyer H (2016) Extractive capital, the state and the resistance in Latin America. Sociol Anthropol 4(8):774–784. https://doi.org/10.13189/sa.2016.040812 Vicepresidencia de la República del Ecuador (2015) Estrategia Nacional para el Cambio de la Matriz Productiva. Vicepresidencia de la República del Ecuador. https://www.vicepresidencia. gob.ec/wp-content/uploads/2013/10/ENCMPweb.pdf Visser W (2009) Corporate social responsibility in developing countries. In: Crane A, Matten D, McWilliams A, Moon J, Siegel DS (eds) The Oxford handbook of corporate social responsibility. Oxford University Press, p 9780199573943. https://doi.org/10.1093/oxfordhb/ 9780199211593.003.0021 Warnaars XS (2012) Why be poor when we can be rich? Constructing responsible mining in El Pangui, Ecuador. Resour Policy 37(2):223–232. https://doi.org/10.1016/j.resourpol.2011. 10.001 Wu Y, Zhang C, Yang Y, Yang X, Yun P, Cao W (2020) What happened to the CER market? A dynamic linkage effect analysis. IEEE Access 8:62322–62333. https://doi.org/10.1109/ ACCESS.2020.2983429 Zimmerman MA, Zeitz GJ (2002) Beyond survival: achieving new venture growth by building legitimacy. Acad Manag Rev 27(3):414–431. https://doi.org/10.2307/4134387

Science and Technology Parks and Environmental Governance: An Exploratory Analysis of the International Hub for Sustainable Development (HIDS/ UNICAMP)

38

Thais Dibbern, Evandro Coggo Cristofoletti, Felipe Bertuluci, Amanda Trentin, Denis dos Santos Alves, Milena Pavan Serafim, Jaqueline Nichi, and Leila da Costa Ferreira Contents 1 2 3 4

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges of Contemporary Environmental Governance: Guiding Principles of HIDS . . . Technology Parks: Implementation Models and Sustainability Dimensions . . . . . . . . . . . . . . The International Hub for Sustainable Development (HIDS): A Pioneering Experience in Latin America . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

774 775 778 782 787 788

Abstract

This chapter aims to analyze the experience of formulation of the International Hub for Sustainable Development (HIDS) project, focusing on discussing the participation of the University of Campinas (Brazil). HIDS, considered as a living lab, aims to contribute to the process of sustainable development, under the premise of the 2030 Agenda and the Sustainable Development Goals. Through an exploratory approach, this chapter is based on two types of research activities: the first refers to the carrying out of literature review on the aforementioned theme; the second refers to the documentary analysis of the official publications of our case study. The main questions to be answered are: how has HIDS been T. Dibbern (*) · E. C. Cristofoletti · A. Trentin Department of Science and Technology Policy, University of Campinas, Campinas, Brazil e-mail: [email protected]; [email protected]; [email protected] F. Bertuluci · J. Nichi · L. da Costa Ferreira Center for Environmental Studies and Research, University of Campinas, Campinas, Brazil e-mail: [email protected]; [email protected]; [email protected] D. dos Santos Alves · M. P. Serafim School of Applied Sciences, University of Campinas, Limeira, Brazil e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_163

773

774

T. Dibbern et al.

formulated as a model of technology park aimed at co-creating sustainable development and promoting the SDGs? How do the interactions between different actors occur within HIDS? To what extent HIDS can be considered a model to think about and practice the future of sustainability in the Latin American context? As a result, it was observed that models that integrate multi-actor networks can contribute to the development of technologies and education that aims for sustainable development. Thus, considering the case study, these technology park models can support a greater connection between universitygovernment-companies triads, in order to develop effective solutions of social and environmental interest. Through this chapter, we shed light on the importance of studying these initiatives to understand the local particularities in the Latin American region, in order to build and imagine a future where these experiences of co-production and sustainability are expanded. Keywords

International Hub for Sustainable Development · Sustainability · Sustainable Development Goals · Science and Technology Parks · Unicamp

1

Introduction

This chapter aims to discuss the formulation experience of the International Hub for Sustainable Development (HIDS), a proposal of a third-generation technology park linked to the University of Campinas (Unicamp), located in the city of Campinas, São Paulo State (Brazil). The HIDS project is based on the concept of “living labs,” being founded on co-creation process principles from the use of multiple learning and research methods, considering the agenda of the 17 Sustainable Development Goals (SDGs) as the basis for its actions (HIDS 2020). Therefore, the argument intended to build from this chapter is about the adoption of HIDS as an initiative with the potential of developing a unique experience on the scope of sustainable development in Latin American context. This is possible due to its specificities and its performance in terms of contemporary environmental governance (especially multiactor networks), as well as the observed leading role of universities in steering an initiative. The following research questions stand out: i. How has HIDS been formulated as a model of technology park aimed at co-creating sustainable development and promoting the SDGs? ii. How do the interactions between different actors occur within HIDS? iii. To what extent could HIDS be considered a model to think about and practice the future of sustainability in the Latin American context? Regarding the research methodology, this chapter shares an exploratory approach, based on a literature review and documentary research. The literature on technology parks is considered, with a focus on the basic features of the so-called third generation of technology parks, since this model has been incorporating sustainability as an important factor in the scientific and technological innovation process (Hoffmann et al. 2010; ANPROTEC and ABDI 2008; European

38

Science and Technology Parks and Environmental Governance: An. . .

775

Commission 2007; Pimentel 2017). Besides that, the chapter goes through discussions about the principles of contemporary environmental governance, since this debate becomes important in the context of alignment and coordination of different actors (government, business, university and science institutions, civil society) and steering mechanisms to achieve common goals (in this case, sustainability and the SDGs) (Bulkeley and Newell 2010; Dunlap and Brulle 2015; Hannigan 2006; Yearley 1996). Through documentary research (documents and publications disclosed in the official website of HIDS), the HIDS is described and analyzed, considering the apprehension of its constitutive characteristics and specificities, specially: (1) its stated goals, focusing the discussion on sustainable development, (2) its organization and composition in terms of participating actors, (3) its insertion as a unique project in the regional scope, and (4) how it has been incorporating the SDGs. Based on these methods and topics, the chapter addresses reflections on the future potential of this model in developing sustainability. The discussions in this chapter are based on the perspective of rethinking the construction of a sustainable future. It is considered that the debate on environmental governance can be connected to the debate on science, technology, and sustainable innovation. In this regard, it is important to observe models and experiences with the potential for developing co-constructive arrangements between educational and scientific institutions, government, civil society, companies, and other actors (Ferreira 2020). By adopting the experience of HIDS as an object of analysis, as a project that is in the early stages of implementation, the chapter presents the future possibilities of a model that can adapt to its regional and local contexts. In this sense, HIDS can become a third-generation technology park and a “living lab” specifically designed for the development of innovation and education in sustainability in the Latin American scope. The chapter is divided into three parts, besides this introduction and the final considerations. The first part deals with the problem of contemporary environmental governance in general, which offers a referential basis for the constitution of the project analyzed. The second part presents a literature review of the formulation and implementation of technology parks, with a focus on the multiplicity of different generations of technology parks. Finally, the last part deals, specifically, with HIDS, considering its formulation process, objectives, and particularities.

2

Challenges of Contemporary Environmental Governance: Guiding Principles of HIDS

The proposal of an International Hub dedicated to the challenges of building sustainable development is part of contemporary efforts to establish environmental governance. Therefore, its conceptual formulation and institutional structuring follow the principles that guide the establishment of successful processes of governance around socio-environmental issues. Among such principles, it is important to highlight the multi-actor actions of broad segments, groups, and social sectors, such as government agencies, scientific institutions, business actors, civil society

776

T. Dibbern et al.

organizations, interest groups, and citizens. Thus, it becomes possible to articulate several initiatives in favor of projects that involve the planning, promotion, and encouragement of sustainability and sustainable urban development (Hannigan 2006; Bhagavatula et al. 2013; Dunlap and Brulle 2015; Fenton and Gustafsson 2017; Ferreira 2018, 2020; Ferreira et al. 2020). According to Newell et al. (2012), the last decades of the twentieth century have represented the consolidation of new models, arrangements, and strategies for exercising political authority at the international level. From broad movements of change and restructuring commonly referred to as globalization, important constitutive characteristics of the processes of political action have been redefined, which implies a transition from an emphasis on centralized decision-making procedures in governments to more multifaceted and diffuse governance regimes (Bulkeley and Newell 2010; Dunlap and Brulle 2015; Hannigan 2006; Yearley 1996). With emphasis on the problems that involve the contemporary environmental issue, “this new focus, not on governments but on governance, and not on top-down but on multilevel processes, shows that a multiplicity of actors and modes of governance are operating in diverse and overlapping spheres of authority” (Newell et al. 2012, p. 369). Moreover, many of the political, economic, social, legal, and environmental attributions previously located in a privileged or exclusive way in governmental institutions are re-oriented in the face of a changing international political regime. This implies the constitution of new forms of governance with a broader, more dynamic, and complex character, involving the fundamental participation of public, private, and hybrid actors, who act in a legitimate way and form new arrangements through partnerships and collaborative networks (Newell et al. 2012; Bäckstrand 2008; Pattberg 2010; Fenton and Gustafsson 2017). Based on the analytical review of Newell et al. (2012), such actors can be categorized into the following forms of exercising authority: a) public actors, which comprise state government institutions, classically referenced as central agents for environmental governance, as well as organized civil society groups and collectives, cities (municipalities) and their political representatives at the local level, and international organizations with a role in facilitating multilateral relations between national governments; b) hybrid players, represented by publicprivate partnerships (in Portuguese, PPPs), especially the United Nations (UN) Global Compact, in the scope of corporate social and environmental governance on a transnational scale, and the international and transgovernmental partnerships and/or cooperation networks, as is the case of local government networks for climate and environmental governance; and c) private actors, represented by multinational companies, philanthropic foundations, small- and medium-sized enterprises, and citizens/consumers, who enjoy great financial and resource mobilization capacity (economic, technological, human, institutional) for the establishment and strengthening of private processes of corporate (environmental and social) governance (Newell et al. 2012; Hannigan 2006; Dunlap and Brulle 2015; Ferreira 2018, 2020). This categorization is summarized in Table 1. Such heterogeneity of social actors involved in decision-making processes on socio-environmental issues implies multiple possibilities for the construction of

38

Science and Technology Parks and Environmental Governance: An. . .

777

Table 1 Categories of actors in environmental governance Public actors Government actors Civil society

Cities

International organizations and regional environmental governance arrangements

Hybrid actors Public-private partnerships (PPPs) Transgovernmental and transnational networks and partnerships

Private actors Multinational companies Private philanthropic foundations Small- and medium-sized businesses Individuals (citizens/ consumers)

Source: Newell et al. (2012)

governance arrangements. Scobie et al. (2020a), based on a review of studies in this topic, list some important agency and governance profiles, such as multi-actor in order to facilitate the creation and dissemination of knowledge about ecology and sustainability; agency as the construction of social visions and imaginaries among shared aspirations; socio-environmental agency by facilitating the emergence of alliances, coalitions, and networks among groups and individuals; agency through leadership in movements for change, introducing and implementing new technical, economic, legal, institutional solutions to environmental challenges; agency as conflict resolution, in cases associated with resource scarcity, pollution, or other chronic material problems; agency as opportunity maximization; and agency as lobbying; among many other profiles (Scobie et al. 2020a). In the specific case of institutional actors linked to the research and teaching sectors, the potential for exercising power and authority based on technical-scientific knowledge as a source for decision-making is also highlighted (Milkoreit et al. 2020; Hannigan 2006; Dunlap and Brulle 2015; Yearley 1996). In addition to multi-actor action, environmental governance is also guided by the principles of multilevel and multisectoral action, in the multiple areas mobilized for its consideration. In this regard, it was possible to find reverberation of such premises in the socio-institutional context surrounding the proposition of the HIDS initiative. This means that, both in conceptual and practical terms, the actions related to the Hub must pay attention to the multiple levels of relevant and appropriate intervention (local, regional, national, and international levels). Moreover, its conception mobilizes multiple sectors and dimensions of the collective structuring of social life, in areas as diverse as urban planning, transportation, health, education, energy, housing, urban infrastructure, and social living (Gupta 2007; Bulkeley and Newell 2010; Dunlap and Brulle 2015; Ferreira 2018, 2020; Dewulf et al. 2015). In Ferreira’s perspective (2020), The global changes in climate, environment, economy, societies, governments, institutions and cultures converge in different locations. The effects at the local level, in turn, contribute to the global changes and are affected by them. As a result, the connection of the local and

778

T. Dibbern et al.

global scales, across a broad range of disciplines and issues – integrated assessments of population, economy, technology, and environmental changes – allows a potentially deeper understanding of global environmental change, including climate change in all its complexity. (Ferreira 2020, p. 279)

Because of such principles, the analysis of environmental governance processes is guided by elements of remarkable comprehensiveness, dynamism, and complexity. Therefore, when considering governmental actors, in their different spheres of legal and administrative organization (municipal, state, national, international), it is important to emphasize the need to not consider them as monolithic blocks supposedly free of contradictions and internal differences (Gupta 2007; Bhagavatula et al. 2013; Fenton and Gustafsson 2017; Ferreira 2018, 2020; Newell et al. 2012). Thus, the perspective of multilevel governance emphasizes the increasingly complex character associated with the mechanisms and spaces for political decision-making in the context of contemporary societies, emphasizing the relevance and legitimate participation of multiple social actors in different sectors, levels, and scales of action. Moreover, it is important to draw attention to the political disputes and power dynamics that underlie the definition, characterization, and consolidation of certain actors or levels of sociopolitical action to the detriment of other agents and arrangements. According to Scobie et al. (2020b, p. 113), “we expect that the sociopolitical dynamics of decision-making may vary across levels (and scales) depending on the particular rules of engagement, opportunities for participation, etc. with implications for agency” (Scobie et al. 2020b; see also Bulkeley and Newell 2010; Dunlap and Brulle 2015; Dewulf et al. 2015). Considering the discussion on environmental governance and the proposal to develop an International Hub focused on sustainable development, it is worthwhile to complement the debate on environmental governance with the discussion on technology parks, as models that promote the interaction between university, government, business, and other social actors. In the next section, general aspects that characterize the generations of technology parks will be addressed, to contrast the experience of implementing the HIDS in the Latin American context and insert these reflections in the broader context of the socio-environmental challenges of building sustainable development.

3

Technology Parks: Implementation Models and Sustainability Dimensions

Internationally, one can identify a series of experiences that deal with implementing technology parks, considering them as important instruments of multi-actor integration related to the processes of technological innovation (Mora-Valentín et al. 2018; Farré-Perdiguer et al. 2016; Hoffmann et al. 2010; Gómez 1999). The debate about their implementation goes back a long way and, over time, has become the subject of discussion in different pro-innovation forums, as well as being incorporated into public discourse through the adoption of different policies that encourage the

38

Science and Technology Parks and Environmental Governance: An. . .

779

formulation and implementation of these innovation spaces (Vedovello et al. 2006). In the Latin American case, the debate about technology parks gained greater notoriety from the late 1990s and early 2000s, when several experiences began to be implemented in Latin American countries, with the case of Silicon Valley, in the United States, as a basic example (Rodríguez-Pose 2012). However, it is worth noting that in the Brazilian case the first incentives to foster the development of technology parks began in the 1980s, with the creation of the Brazilian Technology Parks Program by the National Council for Scientific and Technological Development (CNPq) (Plonski 2010). The technology parks symbolize the strategic direction of resources and efforts in order to generate the capacity of the “integration processes between scientifictechnological knowledge of the academic-university base and the business world” (Vedovello et al. 2006, p. 105, own translation), considering the: (i) facilitation of information, knowledge and technology transfer among stakeholders relevant to the innovation process; (ii) creation and strengthening of micro, small and medium technology-based companies and the subsequent gains in competitiveness of these companies; (iii) generation of jobs; (iv) increase in entrepreneurial culture and activity, particularly those of a technological nature.

Based on the literature, technology parks are considered important instruments of a regional innovation system, since they bring together a series of elements in a single space, namely, public and private institutions, scientific and technological knowledge, as well as the territorial dimension (Hoffmann et al. 2010). Therefore, through this discourse, several studies have been developed aiming at documenting implementation experiences, as well as evaluating the real benefit of these innovation instruments. For better definition and conceptualization, the perspective of the generations of technology parks, which deal with the different contexts through which these spaces were created, was adopted. This perspective has, as a reference publication, the work “Third generation science parks. Why do the science parks go urban within the globalizing economy?”, written by Annerstedt and Haselmayer (2004). In this publication, the authors describe the existence of three generations of technology parks, being endorsed directly and indirectly by other studies (Hoffmann et al. 2010; ANPROTEC and ABDI 2008; European Commission 2007; Pimentel 2017). The first generation is characterized by being an extension of universities and/or research projects that generated companies, with spontaneous or natural birth, aiming at the creation of technology-based companies and the interaction between university and industry. This generation encompasses the “Pioneer Parks.” An emblematic piece of this group is the adopted philosophy of “Science-Push,” that is, a linear idea of how to “do innovation,” where unusual and original ideas arise from research and development (R&D) and scientific results, in this context, become indispensable inputs. Regarding the actors involved, this generation has the isolated participation of some researchers and university departments. Moreover, the management of these first generation parks is entirely performed by the university-nuclear park. Finally, this

780

T. Dibbern et al.

generation of parks provides a competitive advantage, in technological terms, for the nations that hosted them (ANPROTEC and ABDI 2008; European Commission 2007). As for the second generation of technology parks, it incorporates a new characteristic to the model, by the transition from “Science-Push” to “Demand-Pull.” If, on the one hand, the guiding premise of the first generation derives from the knowledge of basic scientific research, on the other hand, this new generation emerges during the 1970s to 1990s in the central countries of capitalism and is configured by the autonomy of the new Science and Technology Parks (STPs). Although it can still be organized as an extension of the university, it is also possible that the secondgeneration model is structured based on independent institutions of the teaching and research bodies. Thus, its management becomes more closely linked to companies. According to ABDI and ANPROTEC (2007), to the detriment of the first generation, the focus of these policies is on strengthening the university-company interaction. There is also a more evaluative content in relation to the financial or institutional scopes of the physical areas linked to the university campuses, with the intention of generating spaces for the implantation of innovative companies in the context of a determined region, with projections for a Technological Pole. The exploitation of scientific results in the early stages of the innovative process becomes detailed, prioritizing the final impacts that guide the R&D inside the park. Vedovello et al. (2006), in the same perspective, point to the process in which technology parks present adaptations to accommodate different stakeholders engaged in these initiatives – such as universities, research centers, entrepreneurs, and the so-called academic entrepreneurs, financial agents, and venture capitalists, in addition to development agencies and government authorities at national, regional, and local levels – with multiple and heterogeneous interests and expectations. In this same period (between the 1970s and the 1990s), the institutionalization of the parks promoting associations occurred with the creation of the International Association of Science Parks (IASP) and the United Kingdom Science Park Association (UKSPA), in 1984. In the Latin American context, second-generation parks gained momentum in the early 2000s with the creation of government incentives, such as sector funds and the innovation law, besides the creation of the National Support Program for Business Incubators and Technology Parks (PNi). The creation of these legal frameworks and national programs aimed to support the emergence and consolidation of these experiences (incubators and parks) and set up a laboratory infrastructure and support services to companies for the desirable achievement of scientific-technological development and innovation (MCTI 2009). Finally, the third generation of technology parks arises from a cumulative and contextual movement of the emerging concerns of the first- and second-generation parks; however, it adds to the concerns regarding economic development; the strong look of integration of the policies and strategies of urban, social, and environmental development, specifically and essentially centered in the local community, having as starting points the human being; and the open innovation and creativity, arising from the favorable environment for economic, academic, and governmental actors

38

Science and Technology Parks and Environmental Governance: An. . .

781

(Annerstedt 2006). It contemplates a range of services related to innovation, contributing to the development of the entrepreneurial culture of its region and establishing an interactive communication between the creators and users of knowledge and technologies. In short, one difference between this generation of parks and the previous ones is its concern with an interactive innovation model among academics, entrepreneurs, government, and the local community. Its governance model is based on long-term partnerships between the public and private sectors, in which stakeholders act together at the strategic level (Kakko and Inkinen 2009). The first generation parks, built exclusively based on the needs and opportunities of universities, were replaced by third-generation parks, more suited to the opportunities and needs of the local community. The “scientific drive,” proposal of firstgeneration parks, was supplanted by the idea of the research and innovation model based on the interaction with users and participative governance among stakeholders. Thus, the science and technology model of the third-generation parks questions the opportunistic and linear logic of only economic utility, to incorporate responsible innovation activities based on bidirectional knowledge with information flow among the actors participating in the process. The success of the thirdgeneration technological park starts to be measured by its impact that, by escaping the economic metric, incorporates as a degree of success the metric of interaction with a potential number of local and regional relationships. Although universities are still the main participants of science parks, cooperation among other stakeholders gains centrality and becomes the core of third-generation science parks. While the physical infrastructure of the first two generations of science parks was established on the outskirts of the cities, intentionally separated from the central region, thirdgeneration parks seek to be an organic part of the urban and peri-urban regions that host them (Annerstedt 2006) and their goals are not shaped to fit only the interests of a single stakeholder – especially those with market ties. To conclude for the characteristics of the third-generation science parks – in which our case study fits – it is necessary to point out that they also differ in the way the extension or third mission occurs in universities. While the first two generations of parks connect with the entrepreneurial model perspective, the third generation adheres to the socially engaged university model (Etzkowitz et al. 2000). In this generation, the promotion of what is called Responsible Research and Innovation (RRI) is part of the engaged university model, in which science park stakeholders, including the university, work for the broader development of their territory – which requires expanding the set of intervention instruments (e.g., public policy recommendations, among others). Finally, the separation of park models into three generations is only used for didactic and analytical purposes, and it is possible to visualize that, at the practical-empirical level, all three models are present in the same science park. In other words, typical solutions of parks from previous generations continue to coexist with defining characteristics of the most recent and current models. It is worth noting, more broadly, that the discussions about such models permeate the contexts of theoretical debate about the so-called knowledge society or knowledge economy (Rooney et al. 2005; Cummings et al. 2018), notions with important implications in the scope of public policies of science and technology and higher

782

T. Dibbern et al.

education around the world (Laredo 2007). In this regard, the ability to transform scientific knowledge into technological innovation, through knowledge transfer processes, is a fundamental factor for competitiveness and economic development at regional, national, and local levels. Higher Education Institutions (HEIs) have been considered important actors in this process, together with the government and the companies themselves, conforming interactive models, with emphasis on the so-called triple helix (Leydesdorff and Etzkowitz 1998). Nevertheless, along with the strengthening of discussions on responsible research and innovation and from a certain criticism of the centrality of the agenda and the interests of companies in interactive models, “quadruple-helix” models are also being discussed. Such models are proposed as ways to integrate citizens/community into technological innovation development processes, often by weighting broader social dimensions and problems and ethical aspects, and developing social/responsible innovation and open innovation (Yun and Liu 2019; Ratten et al. 2019). In this regard, interaction arrangements between university, government, business, and community should look at generating broader societal benefits, including issues related to sustainability (Carayannis and Campbell 2010; García-González and Ramírez-Montoya 2019). In other words, such a model highlights the dynamics of co-construction of knowledge and innovation (beyond the idea of knowledge transfer), considering societal goals that encompass the idea of sustainable development. The multilevel and multi-actor governance of models is highlighted as an important aspect to implementing initiatives that move towards near “quadruple-helix” models, considering the need to align the strategic objectives of actors before the policies and objectives of the entire arrangement (Bellandi et al. 2021). In other words, the discussion of third-generation technology parks, together with open innovation and quadruple helix as a background, has been opening possibilities for the insertion of issues related to sustainability. Observing such a discussion, together with the debate on environmental governance, forms an important path to reflect on experiences such as HIDS.

4

The International Hub for Sustainable Development (HIDS): A Pioneering Experience in Latin America

Before addressing HIDS, it is important to note that future perspectives with a view to sustainable development are taken as background of the chapter. Therefore, HIDS will be approached as a model of technology park and living lab for two reasons: firstly, the project is in the implementation phase. However, the main planning and modeling processes of the experience are in a mature and well-developed phase (which will be described); secondly, the idea of model is interesting to stimulate discussions about the future, keeping in mind the argument that the model proposed by HIDS is a relevant experience in the Latin American scope. As sources of analysis, the official documents, made available in the HIDS media (reports, meeting minutes, linked opinion texts, institutional websites, and social networks, among others), were used.

38

Science and Technology Parks and Environmental Governance: An. . .

783

The International Hub for Sustainable Development is located in the city of Campinas (in the State of São Paulo, Brazil). The location of the HIDS is an important factor to be considered: Campinas is considered the largest inland city in Brazil, with over one million inhabitants, and is the center of the Metropolitan Region of Campinas (MRC). The MRC is composed of 19 municipalities and totals more than 2.6 million inhabitants, concentrating about 3% of the Brazilian GDP. This region is close to the state capital (the city of São Paulo, 96 km away) and to the port of Santos (172 km away), the largest port in Latin America. In short, it is an economically dynamic region, with activities in various productive sectors (agriculture and cattle raising, industry, commerce, and services, among others), forming the third largest industrial park in Brazil (Miranda and Porto 2020). For the purposes of this chapter, it is interesting to highlight that this region has a significant number of teaching institutes, research centers, and universities, such as the Center for Research and Development in Telecommunications (CPqD), the National Center for Research in Energy and Materials (CNPEM), Pólos de Tecnologia do Sistema Paulista de Parques Tecnológicos (SPTec), the Santander Data Processing Center, the Eldorado Research Institute, the Brazilian Agricultural Research Corporation (Embrapa), and the Unicamp Innovation Agency (INOVA). Additionally, the region is home to important public and private universities that carry out teaching, research, and extension (outreach and engagement activities), such as Pontifical Catholic University of Campinas (PUC-Campinas, private), Mackenzie Presbyterian Institute (private), Faculties of Campinas (Facamp, private), and University of Campinas (Unicamp, public). Regarding the region’s socioeconomic context, it is also worth noting that the MRC is not exempt from social and environmental problems historically observed in the Brazilian reality, such as various social inequalities, economic segregation, environmental degradation and socio-environmental vulnerability, and structural issues associated with urban planning, education, housing, and social conflicts in urban and rural spaces, among others (Do Carmo and Hogan 2006; Hogan et al. 2016; Fernandes et al. 2019; Moysés and Rizzatti 2017). It can be said that HIDS had as a starting point the availability, by Unicamp, of a land area of 1.4 million m2, acquired by the university itself in 2013. The space represents 60% of the current territory of the main campus of the university, in Barão Geraldo/Campinas, São Paulo, and also integrates the “High Technology Pole – Ciatec II” of the city of Campinas. The Development Company for the Campinas High Technology Pole (Ciatec), a municipal mixed-economy company, is responsible for planning and executing the city’s science and technology policy, in partnership with the Support Service to Micro and Small Companies (Sebrae) and several research centers and universities. In August 2021, the city of Campinas sent to the City Council a bill based on the legal framework for startups, aiming to encourage the installation of new companies, creating a fund to enable projects, an environment for innovative solutions, and the possibility for the government to hire startups. The expectation is to increase by 30% the number of startups in the city (500 enterprises) in the first 2 years (Campinas 2021).

784

T. Dibbern et al.

Other recent investments in innovation include the Center for Bioethanol Science and Technology (CTBE), in which the Federal Government will conduct research, and the National Synchrotron Light Laboratory (LNLS), which integrates the National Center for Research in Energy and Materials (CNPEM), a social organization supervised by the Ministry of Science, Technology, and Innovations (MCTI). Another initiative at the local level was the launch, in August 2019, of the “Mixed Parliamentary Front to Support Technology Parks” with the function of stimulating and supporting the development of public policies for the creation or improvement of Technology Parks in Brazil. On the occasion, Minister Marcos Pontes (MCTI) presented the study Indicators of Technological Parks. According to the data released, in the 2000s there were only ten technology park initiatives in Brazil. This number has increased to 43 consolidated parks in the country, in addition to 12,000 startups. In line with such government initiatives, the HIDS project specifically proposes to be a model district for sustainable and smart urban development in the form of a living laboratory, whose mission lies in: [. . .] to build a structure that combines and articulates actions, through partnerships and cooperation between institutions that have competences and interests aimed at providing concrete contributions to sustainable development broadly, including actions that have impacts on the social, economic and environmental axes. This structure must be based in a place where the synergies are identified and potentialized, being thus denominated like a HUB. The occupation of this area is an opportunity to explore initiatives to promote and foster the UN Agenda 2030 with its 17 Sustainable Development Objectives, a commitment signed by 150 countries, including Brazil. The HIDS’S vision is to contribute to the process of sustainable development, adding national and international efforts to produce knowledge, innovative technologies and education of future generations, mitigating and overcoming the social, economic and environmental fragilities of contemporary society. (HIDS 2021, w/p)

As can be noted, HIDS relies on the idea of “coordination” and “articulation” of different institutions for developing solutions (knowledge, technology, and education) aimed at sustainable development. Given that HIDS envisions to be a model of regional development that stimulates sustainable innovation, it aims to (i) support scientific and technological activities (STI), integrating the university and technological campuses with the rest of the Campinas region; (ii) provide a regional development model that stimulates innovative and sustainable development; and (iii) position itself as a leading innovation center in Latin America, aiming to integrate knowledge in STI for achieving the UN Sustainable Development Goals. It is also interesting to note that the project seeks to connect local socioenvironmental problems to global agendas (such as Agenda 2030, SDGs, Global Compact). More precisely, the project listed some priority local/regional socioenvironmental problems, such as collection, treatment, and recycling of solid waste; rational use of water; clean and efficient energy; development of innovative technologies and business models such as the Internet of things (IoT), as well as autonomous vehicles and circular and shared economy; proposal of new solutions for housing; and guaranteeing zero net emission of greenhouse gasses (HIDS 2021).

38

Science and Technology Parks and Environmental Governance: An. . .

785

From the point of view of the institutional arrangement, HIDS involves several actors in its formulation and institutionalization process, highlighting 14 actors: 6 research institutions and universities (Unicamp, PUC-Campinas, Facamp, CPQD, Eldorado Institute, and CNPEM), 4 private companies (TRB Pharma, Cariba Empreendimentos e Participações, Cargill, and CPFL), 1 public company (Embrapa), 1 mixed-economy company (Sanasa), and 2 representatives of the Municipal and State Governments (Campinas City Hall and São Paulo State Government). Besides these actors, there are three partners that integrate the project: a private company (Inventta Consultoria) and two actors in the scope of international and financial cooperation, the Inter-American Development Bank (IDB) and KRIHS Consultoria (Fig. 1). Thus, a complex arrangement is perceived, based on cooperation among universities, governments, companies, and other stakeholders with the purpose of developing innovations that aim at sustainability. In analytical terms, it can be said that the model is close to the idea of “quadruple helix” and third-generation technology parks, considering the debate discussed in the last section. At this point, it is also possible to refer to the discussion on environmental governance, considering the multi-actor network that integrates it. Facing the contemporary socio-environmental problem of strong urbanization and its environmental impacts, especially climate impacts, and the urgency of the transition to sustainable development, HIDS proposes to bring together solutions that are innovative and, at the same time, support the adaptation and mitigation of negative socio-environmental impacts. In this way,

Fig. 1 Composition of the founding board of HIDS. (Source: HIDS (2020, 2021))

786

T. Dibbern et al.

it gives centrality to science and technology in reducing inequalities and improving the quality of life of citizens. At this point, it is possible to state that the universities involved (especially Unicamp and PUC-Campinas) have been playing a leading and coordinating role in the formulation process of HIDS, especially in developing the physical-spatial project, the legal model, the business model, and communication. Such leadership roles of the universities can be visualized in the development plan of the so-called masterplan of the district in which HIDS will be implemented. In this respect, HIDS is officially inspired by the idea of “living labs.” According to the project, the intention is to create a model of “smart and sustainable district,” considering HIDS as “a living laboratory of transition to sustainability” (HIDS 2020). Indeed, the idea of a living lab implies the development of spaces or cities that establish and explore sustainable relationships with their surroundings in co-construction processes. In other terms, HIDS is being modeled to plan urban space in a sustainable direction (HIDS 2020). Furthermore, HIDS officially recognizes international models that inspire its formulation and implementation. Such models are quite heterogeneous; moreover, there is no information on how, specifically, HIDS has been exploring such international experiences and adapting ideas to its context, such as Silicon Valley (California), the self-sufficiency in clean energy (HafenCity), the circular economy (Kalundborg/Denmark), the integration with Pittsburgh (Carnegie Mellon University), the innovation of Porto Digital (Recife), environmental recovery of the Tietê River Park (São Paulo), the disruptive health technology (Surrey/Canada), data generation and storage (London), smart city technology (Seoul), Solar Cycleway (Amsterdam), sustainable mobility (Paris), connectivity of high line (New York), and green infrastructure of Qunli Park (China), among others (HIDS 2020). Regarding the specific component of sustainability assessment, the project relied on tools already developed globally to incorporate the SDGs in an effective, efficient, and measurable way (HIDS 2020, 2021), through the following steps: (1) definition of the strategic drivers of HIDS; (2) mapping of positive and negative impacts of HIDS and of the activities carried out; (3) execution of a broad mapping of stakeholders, providing inclusion and representativeness; (4) development of a prioritization matrix of stakeholder mapping; (5) carrying out a broad engagement process of stakeholder mapping, including impacted communities, civil society organizations, companies, local, regional, and national governments, advocacy groups, regulatory bodies, and internal members of the HIDS (teams, board); and (6) definition of the materiality of the HIDS, among others. In addition to these guidelines, HIDS also includes the definition of priority SDGs, considering the positive and negative impacts of its actions, as well as the definition of indicators and targets capable of measuring the contribution of HIDS to achieving these goals. In the scope of the project, greater emphasis is given to SDG 11 (sustainable cities and communities) and SDG 17 (partnerships for the goals). For SDG 11, the focus is on building more inclusive, resilient, and sustainable cities, as well as infrastructure that considers the challenges of climate change mitigation and adaptation. As for SDG 17, HIDS seeks to achieve its goals by establishing partnerships between different actors (national and international) to strengthen the

38

Science and Technology Parks and Environmental Governance: An. . .

787

mobilization of resources, the promotion of investments, and the sharing of knowledge that permeates the project. In other words, it seeks, through the framework of the SDGs of the 2030 Agenda, to promote initiatives that meet and encourage the sustainable development process, considering national and international efforts to promote new knowledge and technologies.

5

Final Considerations

This chapter sought to discuss the formulation experience of the International Hub for Sustainable Development (HIDS), a proposal for a third-generation technology park linked to the State University of Campinas (Unicamp). The chapter was based on a literature review and document analysis, considering the literature on technology parks, the academic production about the principles of contemporary environmental governance, as well official documents published by the selected case study. Several contemporary and pertinent issues for thinking about the future of the debate and practice on sustainability and sustainable development have been identified. Firstly, the importance of environmental governance as a process of decision-making and exercise of political authority within current societies was found. Secondly, it was identified how models and arrangements that integrate diverse societal actors can contribute to developing technologies and education that aim at sustainable development. As a model, this project is based on the idea of living labs and can be considered a third-generation technology park whose central concern is sustainable development. Through its organizational and governance model, it seeks to integrate local/regional agendas with global agendas (e.g., the UN Sustainable Development Goals), considering partnerships among universities and research institutions, government, business, and civil society. The clues to imagine a more sustainable future lie in the incorporation in environmental governance of co-production dynamics, open and responsible science, thinking about transforming the university itself, and considering also a greater integration between science and technology in society. Taking this project as a model, it is possible to indicate some important questions to be deepened in further research, such as: what is the role of civil society and other actors relevant to the discussions on sustainability (e.g., social movements) in these arrangements? What are the specificities of Latin American universities and research institutes in such arrangements, especially considering the realization of their social commitment? How will this living lab promote the interlocution between global and local/regional agendas related to sustainability through the articulation of diverse actors that often have different objectives and interests? By bringing the debate on governance and technology parks and exposing a project (HIDS) to be implemented in Latin America, the chapter hopes to shed light on a debate about a possible “future” in the confrontation of the complex and multifaceted socio-environmental problems observed in contemporary societies. From an integrative perspective, the new social, economic, political, and environmental demands arising from multiple crises that characterize the world today, especially climate change and the current pandemic of COVID-19, configure unprecedented challenges for decision-makers in

788

T. Dibbern et al.

any sector, level, or scale of activities. In this sense, technology parks like HIDS can provide, in a fundamental way, knowledge, tools, resources, and methodologies for the construction of solutions aimed at mitigating and adapting to new crises, whether they are health, economic, social, political, or environmental.

References ABDI and ANPROTEC (2007) Parques tecnológicos no Brasil: Estudo, Análise e Proposição [Technology Parks in Brazil: Study, Analysis and Proposition]. Brasília: Consenso Editora Gráfica Annerstedt J (2006) Science parks and high-tech clustering. In: Bianchi P, Labory S (eds) International handbook on industrial policy. Edward Elgar, Cheltenham/Northampton, pp 279–297 Annerstedt J, Haselmayer S (2004) Third generation science parks. Why do the science parks go urban within the globalizing economy? Paper presented at the XXI IASP world conference on science and technology parks, Bergamo, Italy ANPROTEC, ABDI (2008) Parques Tecnológicos no Brasil – Estudo, Análise e Proposições [Technology parks in Brazil – study, analysis and proposals]. In: XVIII Seminário Nacional de Parques Tecnológicos e Incubadoras de Empresas. ANPROTEC: Aracaju, 2008 Bäckstrand K (2008) Accountability of networked climate governance: the rise of transnational climate partnerships. Glob Environ Polit 8(3):74–102. https://doi.org/10.1162/glep.2008.8.3.74 Bellandi M, Donati L, Cataneo A (2021) Social innovation governance and the role of universities: cases of quadruple helix partnerships in Italy. Technol Forecast Soc Chang 164:120518 Bhagavatula L, Garzillo C, Simpson R (2013) Bridging the gap between science and practice: an ICLEI perspective. J Clean Prod 50:205–211. https://doi.org/10.1016/j.jclepro.2012.11.024 Bulkeley H, Newell P (2010) Governing climate change, 1st edn. Routledge, New York Carayannis EG, Campbell DF (2010) Triple helix, quadruple helix and quintuple helix and how do knowledge, innovation and the environment relate to each other?: a proposed framework for a trans-disciplinary analysis of sustainable development and social ecology. Int J Soc Ecol Sustain Dev (IJSESD) 1(1):41–69 Cummings S, Regeer B, De Haan L, Zweekhorst M, Bunders J (2018) Critical discourse analysis of perspectives on knowledge and the knowledge society within the Sustainable Development Goals. Dev Policy Rev 36(6):727–742 Dewulf A, Meijerink S, Runhaar H (2015) Editorial: the governance of adaptation to climate change as a multi-level, multi-sector and multi-actor challenge: a European comparative perspective. J Water Clim Change 6(1):1–8. https://doi.org/10.2166/wcc.2014.000 Do Carmo RL, Hogan DJ (2006) Questões ambientais e riscos na Região Metropolitana de Campinas [environmental issues and risks in the Metropolitan Region of Campinas]. In: Cunha, J. M. P. da (org.). Novas metrópoles paulistas: população, vulnerabilidade e segregação. Campinas, Nepo/Unicamp Dunlap RE, Brulle RJ (2015) Climate change and society: sociological perspectives. Oxford University Press, New York Etzkowitz H, Webster A, Gebhardt C, Terra BRC (2000) The future of the university and the university of the future: evolution of ivory tower to entrepreneurial paradigm. Res Policy 29(2): 313–330 European Commission (2007) Regional research intensive clusters and science parks. European Communities, Belgium Farré-Perdiguer M, Sala-Rios M, Torres-Solé T (2016) Network analysis for the study of technological collaboration in spaces for innovation. Science and technology parks and their relationship with the university. Int J Educ Technol High Educ 13(1):1–12

38

Science and Technology Parks and Environmental Governance: An. . .

789

Fenton P, Gustafsson S (2017) Moving from high-level words to local action – governance for urban sustainability in municipalities. Curr Opin Environ Sustain 26–27:129–133. https://doi.org/10. 1016/j.cosust.2017.07.009 Fernandes JLM, Almeida MV, Pedro BP (2019) Movimento dos Trabalhadores Desempregados em Campinas (SP): o caso da ocupação Joana D’Arc [Unemployed workers movement in Campinas (SP): the case of Joana D’Arc occupation]. Novos Cadernos NAEA 22(2):205–224 Ferreira LC (2018) The sociology of environmental issues: theoretical and empirical investigations. Editora CRV, Curitiba Ferreira LC (2020) The multi-level governance challenge of climate change in Brazil. In: Legun K, Keller J, Bell M, Carolan M (eds) The Cambridge handbook of environmental sociology, 1st edn. Cambridge University Press, Cambridge, pp 285–300 Ferreira LC, Barbi F, Barbieri MD (2020) Dimensões humanas das mudanças climáticas no Sul Global [Human dimensions of climate change in the global south]. Editora CRV, São Paulo García-González A, Ramírez-Montoya MS (2019) Systematic mapping of scientific production on open innovation (2015–2018): opportunities for sustainable training environments. Sustainability 11(6):1781 Gómez E (1999) Polos tecnológicos y promoción del desarrollo: ¿Hecho o Artefacto? [Technology poles and development promotion: Fact or Artifact?]. REDES – Rev Estudios Soc Ciencia 6(14):177–216 Gupta J (2007) The multi-level governance challenge of climate change. Environ Sci 4(3):131–137. https://doi.org/10.1080/15693430701742669 Hannigan J (2006) Environmental sociology. Routledge, London/New York HIDS (2020) Laboratório vivo HIDS[Living labs HIDS]. Retrieved from http://www.hids.unicamp. br/wp-content/uploads/2020/10/HIDS_LL_rev06.pdf HIDS (2021) O que é o HIDS? [What is HIDS?]. Retrieved from http://www.hids.unicamp.br/ sobre/ Hoffmann MG, Mais I, Amal M (2010) Planejamento e gestão de parques científicos e tecnológicos: uma análise comparativa [Planning and management of science and technology parks: a comparative analysis]. Econ Glob Gestão 15(3):89–107 Hogan DJ, da Cunha JMP, do Carmo RL, de Oliveira AAB (2016) Urbanização e vulnerabilidades socioambientais diferenciadas: o caso de Campinas [Urbanization and differentiated socioenvironmental vulnerabilities: the case of Campinas]. Anais 1–25 Kakko I, Inkinen S (2009) Homo creativus: creativity and serendipity management in third generation science and technology parks. Sci Public Policy 36(7):537–548 Laredo P (2007) Revisiting the third mission of universities: toward a renewed categorization of university activities? High Educ Pol 20(4):441–456 Leydesdorff L, Etzkowitz H (1998) The triple helix as a model for innovation studies. Sci Public Policy 25(3):195–203 Milkoreit M, Bansard JS, van der Hel S (2020) Agency and knowledge in environmental governance: a thematic review. In: Gerlak AK, Betsill MM, Benney TM (eds) Agency in earth system governance. Cambridge University Press, Cambridge, pp 86–96 Ministério da Ciência, Tecnologia e Inovação – MCTI (2009) Programa Nacional de Apoio às Incubadoras de Empresas e aos Parques Tecnológicos – PNI. Portaria no 139 [National program of support to business incubators and technological parks – PNI. Ordinance no. 139]. Brasília Miranda H, Porto LR (2020) Desenvolvimento Urbano-regional (parte 3): Desafios e incertezas da Indústria na Região Metropolitana de Campinas, 2000–2016 [Urban-regional development (part 3): challenges and uncertainties of industry in the Metropolitan Region of Campinas, 2000–2016]. Texto para Discussão, (392) Mora-Valentín EM, Ortiz-de-Urbina-Criado M, Nájera-Sánchez JJ (2018) Mapping the conceptual structure of science and technology parks. J Technol Transf 43(5):1410–1435 Moysés M, Rizzatti H (2017) A urbanização de Campinas-SP e os recentes conflitos urbanos na região do Jardim Campo Belo [The urbanization of Campinas-SP and the recent urban conflicts in the region of Jardim Campo Belo]. Boletim Campineiro Geogr 7(1):131–153

790

T. Dibbern et al.

Newell P, Pattberg P, Schroeder H (2012) Multiactor governance and the environment. Annu Rev Environ Resour 37:365. https://doi.org/10.1146/annurev-environ-020911-094659 Pattberg P (2010) Public–private partnerships in global climate governance. WIREs Clim Change 1(2):279–287. https://doi.org/10.1002/wcc.38 Pimentel JV (2017) The evolution of the technology park [A evolução do parque tecnológico]. Retrieved from https://www.gazetaonline.com.br/opiniao/artigos/2017/09/a-evolucao-doparque-tecnologico-1014097730.html Plonski GA (2010) Empreendedorismo inovador sustentável. Parcerias Estratégicas [Sustainable innovative entrepreneurship. Strategic partnerships]. Centro Gestão Estudos Estratégicos 15(31):153–158 Prefeitura Municipal de Campinas (2021) Dez motivos para investir em Campinas: localização privilegiada [Ten reasons to invest in Campinas: privileged location]. Retrieved from https:// www.campinas.sp.gov.br/prefeitura/link4.html Ratten V, Jones P, Braga V, Marques CS (2019) Subsistence entrepreneurship: the interplay of collaborative innovation, sustainability and social goals. Springer, Cham Rodríguez-Pose A (2012) Los parques científicos y tecnológicos en América Latina: Un análisis de la situación actual [Scientific and technological parks in Latin America: an analysis of the current situation]. Inter-American Development Bank, Washinton, D.C. Rooney D, Hearn G, Ninan A (2005) Handbook on the knowledge economy. Edward Elgar, Cheltenham Scobie M, Benney TM, Brown C, Widerberg OE (2020a) Conceptualizing agency and agents in earth system governance. In: Betsill MM, Benney TM, Gerlak AK (eds) Agency in earth system governance. Cambridge University Press, Cambridge, pp 25–37 Scobie M, Betsill MM, Park H (2020b) Agency in a multiscalar world. In: Betsill MM, Benney TM, Gerlak AK (eds) Agency in earth system governance. Cambridge University Press, Cambridge, pp 108–119 Vedovello CA, Judice V, Maculan AM (2006) Revisão crítica às abordagens a parques tecnológicos: alternativas interpretativas às experiências brasileiras recentes [Critical review of the approaches to technology parks: interpretative alternatives to recent Brazilian experiences]. MR-Innov Manag Rev 3(2):103–118 Yearley S (1996) Sociology, environmentalism, globalization: reinventing the globe. Sage, London Yun JJ, Liu Z (2019) Micro-and macro-dynamics of open innovation with a quadruple-helix model. Sustainability 11(12):1–17. https://doi.org/10.3390/su11123301

Focusing on the Future: Current Practices and Future Perspectives in Implementing Sustainable Development Goals in the Regional University

39

Dzintra Iliško

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Redefining the Mission of Higher Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Envisioning More Sustainable Futures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Students as Co-creators of Sustainable Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Findings and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Further Research and the Limitations of This Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

792 792 794 796 797 797 800 802 802

Abstract

This chapter presents a theoretical conceptualization of changes that are taking place in academia in the regional university of Latvia and reflects on efforts in implementing the Sustainable Development Goals in the university setting. Considering a growing awareness in scientific literature on the critical role of higher education institutions in highlighting the importance of SDGs in building sustainable and resilient societies, this chapter reflects good practice of the regional university and conceptualizes a framework for initiating resilient and sustainable changes. The contribution of regional university is related to educating students about the urgency of integrating the UN Sustainable Development Goals in the study process and research, while learning from international partners, fostering collaboration with the European and global researchers, and strengthening a cooperation with the NGO sector. The study reflects students’ professional and personal gains after undertaking the sustainability course and learning about SDGs and their involvement and engagement with the sustainability activities. The case study reflects good practices of integration of the SDGs D. Iliško (*) Canter of Sustainable Development, Daugavpils University, Daugavpils, Latvia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_174

791

792

D. Iliško

in teaching and outreach and highlights major challenges of making bridges with the local communities in the process of implementing the UN Sustainable Development Goals. Further action is required to engage students in reimagining possibilities for the implementation of SDGs in the local community and building cooperation with a non-governmental sector and communities. Keywords

SDGs in the regional university · Co-creation · NGOs · Awareness · Unsustainability · Common good

1

Introduction

Globally, we are on the edge of economic, spiritual, and environmental crises where old systems and frames of references cannot serve as a valuable tool any longer for solving complex societal issues. The success of coping with those complex issues depends on multiple factors and conditions. This requires system and design thinking in solving complex problems with the engagement of multiple social partners from the NGO sector, government, and research. It calls for a more adaptive and sustainable approach of management of higher institutions. Sustainable development can serve as a viable framework for addressing strategically structural challenges of the twenty-first century (Disterheft et al. 2013). There is a long way to go in mainstreaming sustainability in academia as a whole institutional approach that is aimed at enabling students to become independent critical thinkers who are engaged with the societal challenges. Along with strategic and management changes, universities need to redesign pedagogy, to renew curriculum towards a competency-based model in education, by offering staff members the ground for a transition to a more sustainable organization. Therefore, in 2015, the United Nations made a commitment to achieve the Sustainable Developmental Goals until 2030 that were formulated around three areas: eradicating poverty, protecting the planet, and ensuring well-being for all people until 2030. The aim set in this document was to build a just and sustainable world for all countries and all stakeholders (Agenda 2030 2015). Higher education needs to undergo sustainable changes itself to become a change agent in the society. As this is underlined by the Association of University Leaders for a Sustainability (2015), this is a responsibility of higher education institutions to create sustainable future through education, research, and outreach.

2

Redefining the Mission of Higher Institutions

Higher education in Latvia is undergoing profound changes. Significant progress has been observed in building inclusive quality education for all, with reorganization of the systems of governance to become more adaptive and sustainable. Although

39

Focusing on the Future: Current Practices and Future Perspectives. . .

793

significant progress has been achieved since 1991, universities are dealing with new challenges, such as transition to competency-based curriculum, higher quality assurance, introduction of participatory and student-centered approaches, and hybrid forms of learning infrastructure. A rapidly changing social economic and political context took place due to the Covid pandemic. Despite many studies in higher education, not much attention has been paid about a changing purpose of higher education in the new normal, or how to respond to the demands of a labor market, how to build connectiveness with the industries, and how to develop new sustainability competencies. Higher educational institutions are called to implement Sustainable Development Goals in their practice as mandated by the major declarations and policies (Agenda 2030). To fulfill this role, universities need to integrate SDGs in most of the study courses not as isolated but as interdependent goals of a sustainable development, by developing new training programs in hybrid format for the non-academic participants in lifelong programs and designing a new conceptual research framework for a better understanding of linkages between Sustainable Developmental Goals. Universities are called to develop multiple stakeholder networks for implementing these goals. They need to become aware of their tremendous potential in fostering transformations in the communities. This can be reached by equipping students with knowledge, skills, and attitudes to address SDGs by engaging students in the research, by applying new transdisciplinary science approaches, and by encouraging innovative and diverse ways of implementing SDGs and fostering community engagement. Post-normal science highlights the need for generating new joint knowledge in relation to sustainability issues in wider social context by deconstructing big narratives and allowing space for new narratives, adaptiveness, vulnerability, and resilience (Stieglitz et al. 2009). Thus, universities will equip students with capabilities to become future leaders in their communities. As this is emphasized in SDSN Australia/Pacific (2017), universities need to become responsible agents of change through teaching and learning activities, professional training, student clubs, and other outreach channels. Universities are called to train transversal skills and such sustainability competencies such as critical thinking, creativity, collaboration, and entrepreneurship to address all the SDGs (UNESCO 2017). There are a number of initiatives that are taking place in the society, but in academia these challenges are undertaken either by the individual researchers or by a small group of enthusiasts, while there is no whole institutional approach for implementing sustainability in higher education. As Shawe et al. (2019) assert, to maximize the potential of higher institutions, both bottom-up and top-bottom approaches are needed in academia. Higher education needs to become a place for the creation of a new knowledge, innovations, and contribution to joint societal efforts in building a sustainable future. Universities are ideal settings for experimenting with the innovative ideas in teaching, research, and outreach in fostering societal transformations (Disterheft et al. 2015). However, many sustainability efforts have been carried out in the specific study courses or on the individual level. More often fragmentary approaches do not foster systemic changes. A transition to sustainability is difficult since there are lots of evidence about the increase of

794

D. Iliško

social injustice and equality. Therefore, social sustainability needs to become an important pillar for ensuring common good and in addressing the issue of the access to education and meeting the needs of all students. There has been an imperative for the universities not only to focus on teaching and research but to contribute to the well-being of a society. The so-called the Third Mission (TM) for the universities requires universities to expand their performance by promoting entrepreneurship skills and innovations, forming a human capital, and building a dialogue between industry and the society. The Third Mission model of university requires building partnerships with non-academic world and industries aiming at contributing to the social, cultural, and economic development of communities. This model refers to the assets of entrepreneurship university, linking research to innovative solutions, thus strengthening partnerships with industries. The model involves contributing to public debates and cultural activities (Rosli and Rossi 2016). While the quadruple helix framework (Miller et al. 2018) requires university-industry collaboration, new roles of the university have been evolving to meet the changing needs of the society. The new 17 SDGs play a vital role in reshaping the role of the university; however, their implementation is related to the openness of the universities and the initiative of individual staff members to embrace this new initiative. Universities need to engage in the inter- and transdisciplinary debate about developing new mental models, as well as anticipatory thinking for a smoother transition to more sustainable universities (Disterheft et al. 2013). Universities need to adopt a complex, systemic, and holistic approach by opening the space for the evolutionary perspective of things. The dialogical approach allows rethinking phenomena “by means of constant dialogue of opposites (order and disorder, stability and change)” (Exposito and Sánchez 2020, p. 3).

3

Envisioning More Sustainable Futures

Before planning and implementing a future agenda, we need to stop and reflect about the unsustainability of current practice that has led us to a “full catastrophic living” Jon Kabat-Zinn (2012) advocated: hostile human relationships, hatred, unimaginative future visions and planning, lack of empathy, inherent distortions how we view our earth, distortions of a collective memory of the traditional cultures, socially unaccountable governance, a collapse of the meaning, and increasing consumption patterns. Instead, a new social contract for education requires a new holistic vision, a greater interconnected approach (UNESCO 2021) in solving “wicked issues.” This requires collective intelligence in raising humanity to the highest consciousness level that is non-hierarchical, bottom-up, and networked that has a potential for implementing a new vision in life. Joint interconnected solutions of humanity for the interconnected wicked issues will allow one to embrace such values as empathy, cooperation, and solidarity and will allow us to reconnect with our bodies, emotions, communities, nature, the earth, and indigenous

39

Focusing on the Future: Current Practices and Future Perspectives. . .

795

wisdom. Therefore, universities have a huge responsibility to become co-creators of planning sustainable future visions, by opening spaces for creation of new ideas, developing evolutionary learning networks, co-creation, and opening the places for sharing best practices and innovations. The more holistic and healthier structures of higher education require more adaptive and resilient structures of governance where all partners involved feel empowered to contribute to a common good and to undertake collective responsibilities to work for a common good. This requires an ethical framework where one admits that our consumption patterns are exceeding planetary boundaries. We need to become aware about the fragility of our planet and crises in almost all spheres of life. We need global efforts and wisdom to formulate a bigger purpose for a more efficient governance framework of a higher education. New contracts in education suggested by the UNESCO (2021) require descriptive rather than prescriptive discourse where meta-narratives are gradually losing their value and meaning, and place is given to narratives of individual players. By connecting fragmentary data into a connected tapestry of experiences, universities can develop a vision that is richer and interconnected and cultivates creative approaches in restoring our connectiveness with the earth and humanity. As written in the UNESCO (2021) report, the new social contract for education until 2050 should focus on quality education for children, youth, and adults in order “to realize transformational potential of education as a road for sustainable collective futures” (p.vii). Future education should serve as a tool for tackling inequalities, building skills needed for education in the twenty-first century, and developing capabilities for students to be able to work together for a sustainable future and to benefit from diverse ways of knowing in an increasingly diverse and uncertain and complex world. The hope for a renewal in higher education is in shaping the world as a more just and sustainable place. Renewal in education can be reached by working together in creating futures that are shared and interdependent. As suggested in the UNESCO report, to ensure a sustainable future, education needs to be seen as a common good and every student needs to be assured with a right for quality education throughout life, “to enable individuals and communities to flourish together” (UNESCO 2021, p. 2). This requires a new pedagogy that is based on the principles of cooperation and solidarity that puts strong emphases on intercultural and interdisciplinary learning. Interdisciplinary approaches in education can lead to a more complex and internalized knowledge framework and will offer students a path to create more meaningful connections and will facilitate a more connected picture of the world; will expand larger horizons of meaning; will enhance students’ capacity for a proactive thinking and acting, critical thinking, and creativity; will enlarge their ability to see connectiveness; and will develop autonomous thinking skills. These all are transversal skills outlined in the competency-based curriculum for Latvia in the project initiated by the School 2030. Intercultural learning will enhance students’ ability to live and work in diverse community settings and will increase their responsibilities as global citizens and establish the dialogue with the different other (Krebs 2022).

796

4

D. Iliško

Students as Co-creators of Sustainable Changes

The students should be perceived as active co-creators and co-designers of a sustainable future who have the capacity and resources to bring along sustainable changes. As Mezirow (2009) states, “imagination of how things could be otherwise is central to the initiation of the transformative process” (p.95). Students’ resources that need to activate are their intellectual abilities, imagination, and their passion for making sustainable changes (Díaz-Méndez and Gummesson 2012). Lozano et al. (2017) assert that imagination and creativity allows one to produce something novel and shifts mindsets and lifestyles. This value co-creation process involves jointly co-creating new and innovative products (Perks et al. 2012). The engagement of students in joint collaborative venture with their classmates allows them to create innovative products and envision sustainable futures. In the process students are encouraged to integrate their experience and knowledge and co-create innovative solutions to the existing unsustainable problems. As Dollinger et al. (2018) assert, higher education already has already offered numerous opportunities for co-creation with students; therefore, higher institutions need to deepen their understanding about shared responsibilities and giving agency to students in designing their future. Participative approaches can facilitate integrating sustainability concepts into university’s culture. Participative approaches are interdependent with structural conditions, and personal engagement and participatory competences are a part of a new competency-based curriculum both in schools and at the university setting. Students as active co-creators and co-designers of a sustainable future are seen as future leaders in their communities. Students are future leaders, educators, and change agents; therefore, they will play an important role in building a sustainable future. Consequently, sustainability initiatives, courses, and outreach activities will provide the frame for identifying unethical and unsustainable behaviors, both in personal lifestyle and professionally, by training students to behave responsively in achieving sustainable development goals and adapting responsible environmental behavior. Therefore, education for sustainability in higher education needs to become a creative process of inquiry that promotes learning and fosters active engagement with community issues (VanWynsberghe 2022). This requires diverse technologies for engaging learners with real life issues. Seatter and Ceulemans (2017) suggest strategies that are student-centered and participative by allowing space for a dialogue and system thinking, for imagination of sustainable futures, and for a collaborative action for sustainability. This requires transformative learning (Mezirow 2009) approaches that includes a dialogue and a project-based learning (Wiek et al. 2014), experiential learning (Kasworm and Bowles 2012), and transdisciplinary inquiry (Sipos et al. 2008). Lotz-Sisitka et al. (2015) go a step further than transformative learning and suggest transgressive learning that implies students’ co-creating knowledge by inspiring active engagement with the present and exploring alternative futures. Envisioning changes means taking the best from the past, understanding the development and the roots of those new developments and thus drawing the lessons from failures and success, and then, engaging in the present and exploring alternative futures (UNECE 2012). Thus, engaging in the process of active imagination, the students can move from the anthropocentric to eco-centric understanding of the world.

39

5

Focusing on the Future: Current Practices and Future Perspectives. . .

797

Methods

Primary data was gathered from four focus group interviews with students from educational programs who were enrolled in sustainability course. The focus group interviews were conducted by the author of the chapter and the content analyses of data derived from the focus group interviews with the students about their professional and personal gains after undertaking the sustainability course “Education for cultural and sustainable changes in the community” with an emphasis on learning about SDGs, and their involvement and engagement with the sustainability activities and initiatives where they have participated in the university setting and in their communities for implementing SDG goals. The course includes such themes as challenges caused by globalization processes and covers such aspects of global education; teachers’ global, intercultural, and sustainability competencies; intercultural dialogue; SDGs; and Agenda 2030. The focus group interview had a focus on how hands-on and participatory approaches have fostered their sustainability competencies and professional advancement. Before data collection all participants signed a written consent to participate in this study and they could opt out of the study any time. The focus group interviews had the following aspects: Have you participated in university’s sustainability-oriented practices? How has the course that you have undertaken broadened your understanding about sustainability and SDGs, and in which ways? Does the course and initiatives that you undertook involve you in green practices? What are the initiatives that the university and the course provided you to support green practices? What are your learnings after undertaking this course?

6

Findings and Discussions

Data gained in the focus group interviews reveal that all students have participated in the sustainability-oriented practices, since most of their families practice ecological lifestyles to some degree: taking care of their ecological gardens where they are planting crops. The first learning that students have gained about sustainability actually comes from their families. On the question, whether they have participated in university’s and communities’ (P1) sustainability-oriented practices, we have gained the following responses: Students reported about their occasional participation in sustainability outreach activities in the community. Here NGOs play a critical role as social partners by engaging community to discuss SDGs, particularly SDG 4 and SDG 11, and how to green the city and make the city a safe and inclusive community. Students admitted that participating in NGO activities engaged them in the discussion about implementing the SDGs in practical projects that were beneficial to them and their community. They argued that the bottom-up approaches were the most useful for planning a more sustainable city model while participating in the simulation games offered by the NGO. By engaging in problem solving and learning by doing activities, students were provided with a chance to reinvent the city as a more

798

D. Iliško

sustainable place. As one of them reported, “By engaging with others we designed a new project on how to make a city a more sustainable place in 2030 agenda” (P3). Students did talk about various forms of participation, such as volunteering activities, participating in campaigns and projects related to SDGs, participating in national and international programs, and undertaking free online courses on sustainability and SDGs. On the question on how the courses that they had undertaken broadened their understanding about the SDGs and the Agenda 2030 and in which ways, master level program students reported that the course on sustainability did enhance their awareness about a social pillar of sustainability. Some of their responses were related to the aspects of inclusive and safe communities: “I am becoming aware and appreciating diversity more in my community,” “The course made me identify stereotypes in my language and everyday usage” (P1), “I re-evaluated my too judgemental attitude to the different others” (P2), “rethought my communication style and implicit meaning I pay to the words I use” (P3). Participatory pedagogical approaches employed in the study course have fostered the opportunity to engage in learning. As the students reported themselves, their involvement in the process of self-inquiry and self-reflection in schools and local communities touched deeper levels of their knowing and meaning where personal and professional transformations took place. By gaining inspiration the students have implemented some of the sustainability initiatives in their schools as well. As one of the students commented: “The activities that I have undertaken in the course were valuable for practicing in my school’s setting and engaging pupils in discussion and engaging in a discussion about the SDGs” (P3). The study course offered a safe space for engaging and experimenting with the innovative ideas and reflecting about students’ broadened understanding of sustainability, particularly a social aspect of sustainability. They expanded their knowledge about the notion of global citizenship as a tool for solidarity and change aiming towards a more sustainable change, and other initiatives around a wide spectrum of issues related to people, planet, partnerships, and networking. The students were asked to think critically and work in interdisciplinary teams in discussing complex issues in their communities, by working in interdisciplinary teams and making an attempt to overcome disciplinary fragmentation. Thus, students were given an opportunity to expand their implicit, theories, assumptions, beliefs, and prejudices, and they have learned to work in interdisciplinary teams. Epistemological development was another outcome that students gained from their participation in the courses by developing their control over learning and autonomy, by dealing with uncertainty, and by participating in active knowledge construction, leading to critical awareness by overcoming dualistic perception of the world. On the question whether the course and initiatives that they undertook involved them in the sustainability practices, the responses were the following: The course encouraged students to reflect on their everyday activities, to measure the footprint they leave on the planet. They highly appreciated the initiatives offered by the NGO sector, such as global week’s event that had a focus on such themes as

39

Focusing on the Future: Current Practices and Future Perspectives. . .

799

social justice, environmental issues, global citizenship, responsibility, and others. The courses that they undertook in the university helped them to re-evaluate their consumption patterns and develop a more sustainable governance in their households. By integrating small changes in their households, students have learned to take small steps in implementing their sustainability agenda by introducing environmentally friendly practices in their everyday routine. Some of them reported about the transformational aspect of the course: “The course made me think about how I could rearrange my everyday life by making small changes, like paying more attention to recycling and saving energy. It expanded my view about injustices in the community and beyond it” (P4). The other students commented: “The study course encouraged me to question my current beliefs about sustainability, the meaning of progress and the way we build our relationships with others” (P1). In relation to the initiatives that the university and the course have provided to support sustainability practices, students mentioned the following: The students reported that they had an opportunity to trace the aspects of unsustainable practice in their community and to model a more sustainable practice with the engagement of multiple stakeholders and envision a more sustainable future for their communities. In the sustainability course the students were given an opportunity to do field work in their nearest communities by identifying unsustainability in their nearby surrounding, by making in-depth inquiry, by planning the course of action for the transformation of current practice by working in the interdisciplinary teams with other students, and by envisioning a more sustainable perspective. The learnings after undertaking courses related to sustainability and SDG goals as mentioned by the students were the following: collaborative work in problem solving, team work, critical view on local issues, the use of creative imagination in dealing with unsustainability in the nearby environment, and re-evaluation of takenfor-granted assumptions. Among the best learnings mentioned by the students was participatory engagement in the course worse work, where students could engage collaboratively in exploring and identifying unsustainability in a nearby surrounding in finding the best solutions and rethinking current concept of progress and modernity in developing a new vision of the world. Students have re-examined their deeply hold assumptions about the world and manifestations of power embedded in those practices leading to ethical actions. The course was structured not only to go beyond developing cognitive skills but also developing attitudes and values that can facilitate transformations. Education is value-laden and values underpin all aspects of learning. Values practiced during the course such as respect, cooperation, and right purpose instead of indoctrination or lecturing can be translated as a hallmark of good practice. Some students reported about the possibility to reflect on their own actions by taking into account future economic, social, environmental, and cultural impacts and socio-political processes in moving societies to more sustainable development. They appreciated the possibility to share their ideas and actions on sustainable

800

D. Iliško

consumption and sustainable lifestyles and learning new information that impacts their daily choices and actions, and they appreciated the possibility of finding new and innovative solutions and alternatives for their community issues. The students have expanded their vision of sustainability with the social aspect, by focusing on inequality in the society and about the interrelatedness of SDGs and possibility to implement them in the local community. The course has engaged the students in envisioning healthier, more inclusive, and just future communities. The sustainability course served as a catalyst for further transformations, by placing emphases on process-driven, open-ended, inquiry-based collaboration between students by offering channels for multiple ways of knowing, involving not only mind, but also re-envisioning possibilities for social justice and peace. Firth and Robinson (2016) refer to consciousness rising groups in the 1970s as a form of collective transformational processes. The students did talk about the transformative moment of Kairos (Aha moment) when small and transformative events in one’s life, namely, subjective alignments, are being reconfigured on the bases of the group processes. This might be considered as biggest gains in the course. Not all participants who undertake the course and participated in university’s sustainability practices reported the same transformative learnings, since some students need more time for reflection and time to engage actively with the sustainability issues in the community. Higher education institutions need to become aware that they are becoming a crucial face of society by contributing to a sustainable development in a meaningful way. Universities can contribute to building sustainable societies by building collective knowledge about sustainable development, by finding solutions through research, and by engaging young people in reimagining regenerative futures to become future leaders and professionals for their communities. In future, students need to develop much broader vision of sustainability by perceiving it as a rhizome that opens up alternative ways of knowing, envisioning the world. Rhizomatic view on sustainability allows higher heterogeneity, connectivity, and inclusion of indigenous knowledge. As Le Grange (2011) argues, its transformative potential lies in the possibility of experimentation with real opportunities in addressing real problems faced by communities. Universities teaching pro-environmental knowledge will increase their understanding about their impact on the environment. Besides, action-related knowledge will influence their ecological worldview. Experiential learning mode and concentration on students’ lived experiences will provide a potential for a deeper engagement with “wicked issues,” thus building students’ capabilities to practice sustainability and become changemakers with an ambition towards regenerative future.

7

Conclusion

A new contract for education (UNESCO 2021) encourages one to rethink our relationships with others and the earth and allow one to oscillate between knowing and unknowing, unity and plurality, and totality and fragmentation (Vermuelen and

39

Focusing on the Future: Current Practices and Future Perspectives. . .

801

Van den Akker 2010). The social contract is oriented towards repairing injustices, transforming current practice, and is based on such principles as social justice, reciprocity, solidarity, and common good in building just and sustainable futures. Higher education is the sector that can contribute to promoting the implementation of the SDG goals. Universities can engage learners in an active inquiry process in developing students’ knowledge and skills and understanding how to address unsustainability in their lifestyles and in the community. Universities can become centers of expertise on how to develop students’ capabilities and leadership skills in adapting to more sustainable practices. University needs to coordinate all sustainability initiatives and undertake sustainability-related commitments and strategies. Outreach with the community can foster building trust and engagement in reshaping local practice as more sustainable. In order to reach Sustainable Development Goals, universities need to adopt a proactive approach for reshaping current models and reimagining new complex and adaptive models for fostering required sustainable changes into everyday reality. Universities need to readjust and reshape their role according to the local, national, and international contexts, by formulating a combination of academic, research, and business imperatives. Universities need to contribute to building more resilient communities. The education framework for action in implementing SDG 4 requires universities to make education as an integral part of the new agenda. Students’ transformative journeys are not taking place overnight or it is not a matter of undertaking one course on sustainability. It is rather a chronological journey that begins in the family and is being sustained and nurtured throughout life. This is an ongoing way of learning from one’s and other’s experiences through critical reflection and action. As the practice shows, only participatory approaches can foster a culture of participation in the universities’ transition to sustainability by strengthening collective resilience. The exploratory study has proven that participatory approaches are efficient for enhancing students’ knowledge and awareness about sustainability issues in the community. The sustainability courses in the university setting are a small effort to discuss the SDGs and their topicality for local communities. But its contribution is in activating students’ critical thinking skills, active imagination and communication, and system thinking and encouraging social innovations by bringing together all parties: students, teachers, entrepreneurs, and NGO sector in planning a more sustainable vision of a future. Experimental and inquiry-based learning allows students to become co-designers of desirable futures. It is also not enough to incorporate sustainability in overall institutional policy. It is essential to practice a variety of strategic approaches to include learning, research, outreach and networking, and volunteer programs. For sustainability to take place in academia, higher education needs strong, engaged, and supportive leaders. Active membership in national and international sustainability networks could foster joint efforts in implementing sustainability into practice.

802

8

D. Iliško

Further Research and the Limitations of This Study

Findings gained in this particular study were carried out in one of the regional universities and cannot be generalized, since this represents the case of good practice only in one cultural context of regional university. Although some progress has been made by implementing separate courses on sustainability, sustainability needs to become a mainstream principle in higher institution in all aspects of an institution. Within increasing complexity and uncertainty, educators need to engage students in transdisciplinary learning by involving multiple voice engagement in knowledge co-creation process by envisioning a more sustainable patterns of being and living. Sustainability can no longer be perceived as an option but rather as an imperative in academia on all levels, policy level, administrative level, curriculum, and personal level of each individual involved in higher education. Education needs to provide motivation for the most “pessimistic non-believers” (Lambrechrts 2018) in sustainability perspective in reorienting them to become more convinced problem solvers in local communities but still keeping with the global mindset. In designing similar courses in the future, one needs to reconsider dominant modes of teaching by applying more innovative and transdisciplinary approaches in addressing complex, real-life problems and fostering deeper collaboration with the local community. By overcoming disciplinary orientations in universities and fragmentation in learning, universities can contribute to the transformation of the society. Higher integration of theory and practice can be done by building bridges with the local communities and universities need to become laboratories of learning themselves. Students should be involved in critical inquiry of “wicked issues” in the context of uncertainty and complexity. Further research could be carried out in other higher institutions of the world by comparing the best practice for building a more sustainable future.

References Dollinger M, Lodge J, Coate H (2018) Co-creation in higher education: towards a conceptual model. J Mark High Educ 28(2):210–231. https://doi.org/10.1080/08841241.2018.1466756 Díaz-Méndez M, Gummesson E (2012) Value co-creation and university teaching quality: consequences for the European higher education area (EHEA). J Serv Manag 23(4):571–592 Disterheft CA, Caeiro S, Azeiteiro UM, Leal Filho W (2015) Sustainable universities – a study of critical success factors for participatory approaches. J Clean Prod 106(1):11–21. https://doi.org/ 10.1016/j.jclepro.2014.01.030 Disterheft A, Caeiro S, Azeiteiro UM, Leal Filho W (2013) Sustainability science and education for sustainable development in universities: a way for transition. In: Caeiro S, Filho W, Jabbour C, Azeiteiro U (eds) Sustainability assessment tools in higher education institutions. Springer, Cham. https://doi.org/10.1007/978-3-319-02375-5_1 Exposito LMC, Sánchez CG (2020) Implementation of SDGs in university teaching: a course for professional development of teachers in education for sustainability for a transformative action. Sustainability 12(8267):1–19. https://doi.org/10.3390/su12198267

39

Focusing on the Future: Current Practices and Future Perspectives. . .

803

Firth R, Robinson A (2016) For a revival of feminist consciousness-raising: horizontal transformation of epistemologies and transgression of neoliberal time space. Gend Educ 28:343–358. https://doi.org/10.1080/09540253.2016.116.6182 Kabat-Zinn J (2012) Full catastrophe living: using the wisdom of your body and mind to face stress, pain and illness. US: Delacorte Press. Kasworm CE, Bowles TA (2012) Fostering transformative learning in higher education settings. In: Taylor EW, Cranton P (eds) The handbook of transformative learning: theory, research, and practice. Jossey-Bass, San Francisco Krebs K (2022) Global, international, and intercultural learning in university classrooms across the disciplines. Res Comparat Int Educ. https://doi.org/10.1177/1745499920901947 Le Grange LL (2011) Sustainability and higher education: from arborescent to rhizomatic thinking. Educ Philos Theory 43(7):742–754. https://doi.org/10.1111/j.1469-5812.2008.00503.x Lotz-Sisitka H, Wals JE, McGarry D (2015) Transformative, transgressive social learning: rethinking higher education pedagogy in times of systemic global dysfunction. Curr Opin Environ Sustain 16:73–80 Lambrechrts W et al (2018) Sustainability segmentation of business students: towards self-regulated development of critical and interpersonal competences in a post-truth era. J Clean Prod 202: 561–557 Lozano R, Merrill MY, Sammalisto K, Ceulemans K, Lozano FJ (2017) Connecting comptences and pedagogical approached for sustainable development in higher education: a literature review and framework proposal. Sustainability 9:1889. https://doi.org/10.3390/su9101889 Mezirow J (2009) An overview on transformative learning. In: Illeris K (ed) Contemporary theories of learning. Routledge, Milton Park, pp 90–105 Miller K, McAdam R, McAdam M (2018) A systematic literature review of university technology transfer from a quadruple helix perspective: toward a research agenda. R&D Manag 48(1):7–24 Perks H, Gruber T, Edvardsson B (2012) Co-creation in radical service innovation: a systematic analysis of microlevel processes. J Prod Innov Manag 29(6):935–951 Rosli CA, Rossi F (2016) Third-mission policy goals and incentives from performance-based funding: are they aligned? Res Eval 25(4):427–441 Seatter CS, Ceulemans K (2017) Teaching sustainability in higher education: pedagogical styles that make a difference. Can J High Educ 47:46–70 Shawe WH, Moles R, O’Regan B (2019) Mapping of sustainability policies and initiatives in higher education institutes. Environ Sci Policy 99:80–88 Stieglitz JE, Sen A, Fitoussi JP (2009) Report by the commission on the measurement of economic performance and social progress. http://www.stiglitz-sen-fitoussi.fr Sipos Y, Battisti B, Grimm K (2008) Achieving transformative sustainability learning: engaging head, hands and heart. Int J High Educ 9:68–86. https://doi.org/10.1108/14676370810842193 SDSN Australia/Pacific (2017) Getting started with the SDGs in universities: a guide for universities, higher education institutions, and the academic sector. In: Australia, New Zealand and Pacific edition. Sustainable development solutions network – Australia/Pacific, Melbourne UNECE (2012) Learning for the future: competences in education for sustainable development. Geneva, United Nations Economic Commission for Europe UNESCO (2017) Education for Sustainable Development Goals. Learning objectives. Paris. https:// unesdoc.unesco.org/ark:/48223/pf0000247444 UNESCO (2021) Reimagining our futures. A new social contract for education. Paris: UNESCO Vermuelen T, Van den Akker R (2010) Notes in metamodernism. J Aesthet Cult 2(1). https://doi. org/10.3402/jac.v2i0.5677 VanWynsberghe R (2022) Education for sustainability, transformational learning time and the individual – collective dialectic. Frontiers 7:1–8. https://doi.org/10.3389/feduc.2022.838388 Wiek A, Xiong A, Brundiers K, Van Der Leeuw S (2014) Integrating problem -based – and project -based learning into sustainability programs: a case study on the school of sustainability at Arizona State University. Int J Sustain High Educ 15:431–449

Challenges and Opportunities for UK Seaports Toward Future Sustainability

40

The UK’s North East Smart Ports Testbed Case Study Matteo Conti, Marco Zilvetti, and Richard Kotter

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Smart Ports Testbed Pilot Project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Why Was the Smart Ports Testbed Project Innovative? . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 What Are the Competing Solutions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 What Is the Benefit to the Industry Partner? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Project Roadmap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Why Ports? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Connectivity: Linking Hinterland and Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1 Labor Market and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Port Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 The Gradual Transition to Smart Ports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 What Is a Smart Port? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Smart Port Innovation Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1 Analysis of Intertwined Aspects of Smart Port Innovation . . . . . . . . . . . . . . . . . . . . . . . . . 9.2 What Is the Role of the North East of England? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.3 North East of England Ports Research Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 North East of England Ports SWOT Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Port Size Comparison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.1 Ports Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Relevant Projects and Funded Research Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Relevant Projects and Funded Research Initiatives Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

807 807 809 809 809 810 810 812 813 813 814 815 816 817 818 821 822 824 825 826 826

M. Conti (*) · M. Zilvetti School of Design, Northumbria University, Newcastle upon Tyne, UK e-mail: [email protected]; [email protected] R. Kotter Department of Geography and Environmental Sciences, Northumbria University, Newcastle upon Tyne, UK e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_176

805

806 14

M. Conti et al.

Key Results from Interviews and Workshops with Local Ports . . . . . . . . . . . . . . . . . . . . . . . . . . 14.1 Main Outlines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14.2 Toward Future Smart Ports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

827 833 834 838 841

Abstract

Globalization and technological advancements in the transport sector have entailed a significant expansion of the maritime and offshore energy industry, while redefining the role of shipping and ports in global and national supply chains. Ports (often urban based) also play a significant role in their hinterland, through on-land business operations including logistics, renewable energy generation, and decommissioning/recycling activities. However, the ports and maritime sector have been identified as lagging behind other fields in terms of both a digital transformation strategy (to monitor, manage, and support decision-making and investment) and their readiness to accommodate technological innovation and sustainable development (especially vis-a-vis carbon emissions reductions) at a time of increasingly stringent environmental requirements in the domain of sustainability and energy efficiency. As these are strategic objectives for ports to achieve, the North East of England Smart Ports Testbed project, as part of a wider set of engagement activities by key actors in this remit, was developed by a multidisciplinary research team at Northumbria University together with stakeholders from local ports and businesses to tackle specific global-scale challenges at a regional level. Opportunities for sustainable growth, as well as cleaner and integrated logistics were investigated through desktop study and service design action research methods (workshops and interviews). Key research areas which are also embedded into the UK’s Industrial Strategy Grand Challenges in terms of the future of mobility (the optimization of freight and increased safety), artificial intelligence, the data economy (understanding the types of data generated by ports, and how to valorize them), and clean growth (cutting carbon and other emissions/pollution) were explored. Furthermore, this project focus directly connects to the UN Sustainable Development Goals 9 (“Industry, Innovation, and Infrastructure”), 11 (“Affordable and Clean Energy”), and 8 (“Decent Work and Economic Growth”) as well. The project contributed toward furthering the aims of the wider Smart Ports Testbed initiative by providing valuable insights to determine the focus areas of future technical and organizational solutions to be trialled at the ports in their quest to become smarter ports. The chapter will also provide an outlook on how some of those objectives can be framed and contribute toward increased circular economy efforts. Keywords

Sustainable development · Port operations · Integrated logistics · Technological innovation · Framing of future challenges

40

1

Challenges and Opportunities for UK Seaports Toward Future Sustainability

807

Introduction

The maritime and ports sector is an integral part of the broader national supply and logistics chain, with many stakeholders acting in it. Ports represent key infrastructures for maritime and logistics activities and contribute to value creation as part of the international trade and transport networks. Port infrastructures, intended as the physical and organizational structures needed for port operations to serve vessels, cargo, and passengers, require intensive investments and long-term planning. This means that the design of port infrastructures should anticipate the evolving needs of the maritime sector (for transport, logistics, cargo handling, and networking) – but also their connectivity to their hinterland, onshore, and inland markets they serve. Many port cities and towns have grown far beyond the respective port boundaries, but their ports may still be a very core presence to and in them. Often, the physical and spatial contact areas between the port and city/town are still a fragmented zone, with adjacent use functions – though this border space can also be regarded as an accumulator for change and dynamics in the future (Moretti 2020). Furthermore, alongside the internationalization of ports also regionalization strategies ought to be studied and developed strategically with regard to the improvement of competitiveness. Pistilli et al. (2020: 51), for instance, argue that “Nowadays, the success of a maritime port does not depend anymore on its traditional intrinsic points of strength, such as the internal capacity, but also on its ability to effectively integrate the development of its hinterland into business relations and supply chains.” Key points for this strategy, Pistilli et al. (2020: 51) contend, are the “hinterland’s involvement: logistics and transports integration, railways, the realization and development of dryports, terminals, distribution centres. All these are core elements for this purpose. The overall focus has changed from port performances to performance of the entire supply chain in the port-hinterland relationship.” The present time represents a crucial moment, as technological advancements are redefining the role of ports, potentially driving important changes to shipping and port operations in the coming years (Hillsdon 2018). The social, political, and regulatory elements are fundamental to the sustainability and viability of projects, initiatives, and port infrastructures (Waterborne 2018). New ports in the Pacific are often designed from the onset as digitalized “smart” ports (Asian Development Bank 2020). In the context of the Fourth Industrial Revolution, also called “Industry 4.0,” which is being accompanied by the emergence of new technological solutions (Fig. 1), the Internet of Things (IoT) and big data are creating development opportunities for industry alongside the development of supply chain management and “smart logistics” (Douaioui et al. 2018; Gonzales et al. 2020).

2

The Smart Ports Testbed Pilot Project

The project underpinning this chapter, undertaken at Northumbria University and funded by the university’s Industrial Strategy Challenge Fund (ISCF) pump-priming funding, was conceived to contribute toward furthering the aims of the wider

808

M. Conti et al.

Fig. 1 Smart ports key activities and infrastructure. (Source: Authors)

North-East Smart Ports Testbed initiative (Urban Foresight 2018) and to determine focus areas of future technical solutions to be trialled at the ports. The Smart Ports Testbed Pilot project included thematic areas specified by Industrial Strategy Grand Challenges as: future of mobility (optimization of logistics, and safer practices in movement of freight), clean growth (trialling solutions related to cutting carbon emissions at the port), AI, and the data economy (understanding the types of data generated by the port and translating this into valuable insights for decision-making). Project collaborators included Urban Foresight, an established smart cities and innovation consultancy responsible for developing the North-East Smart Ports Testbed on behalf of the North-East Satellite Applications Center for Excellence, as well as 3DEO, as an emerging SME specialized in advanced visualization of geolocated data and information, working with ports. As a prerequisite for testing technical solutions, the project was structured in three evolutionary work packages (WPs) in order to gain deeper knowledge of the following key areas: • WP1: Analyze, compare, and summarize current problems affecting ports and define future vision for each of the five North-East ports and harbors • WP2: Arrange visits, interviews with key partners, suppliers, and customers; relate findings to the market sector • WP3: Produce summary of long-term challenges (against predefined logistics, artificial intelligence, data, safety, and business parameters)

40

2.1

Challenges and Opportunities for UK Seaports Toward Future Sustainability

809

Why Was the Smart Ports Testbed Project Innovative?

This project was conceived to be developed with a design-led innovation approach by adopting design thinking tools and practices in a multiple perspective framing environment to enable researchers to propose pertinent solutions and strategies leading to new business opportunities across five North-East ports. Combining and mapping out background research data and insights allowed researchers to identify challenges, shortcomings, strengths, and opportunities of the local ports in order to gain a multilayered understanding of the complexities involved. This work informed and enabled the execution of action research activities with the selected ports to run live workshops to uncover barriers to innovation and frame longer-term challenges (against predefined logistics, AI, data, safety, and business parameters), future commercial opportunities (such as opening up of new sea routes), and assess the impact of the port operations. The intended project outcome was to demonstrate routes toward the implementation of solutions which could be used as a scalable blueprint or draft strategy aligned to the existing roadmaps devised by each port. The Testbed aimed to address five key drivers to innovation in the port environment: operational efficiency, increase global competition, safety and security, sustainability, and new business opportunities. Even though specific action research outputs have to remain confidential for legal and contractual reasons, some general trends and insights have been legitimately extrapolated and are presented in this chapter.

2.2

What Are the Competing Solutions?

The ports sector was identified through prior research as lagging behind other sectors in terms of a digital transformation strategy and its readiness to accommodate technological innovation (Johnson et al. 2018). The North-East Smart Ports Testbed was the first of its kind in the region. This research was developed within a preBrexit context, in which discussions on future freeport regimes involving the government and regional players in the North-East of England – as well as elsewhere in UK – were still taking place. For this reason post-Brexit negotiations and more permanent arrangements between the UK and the European Union are not covered here.

2.3

What Is the Benefit to the Industry Partner?

The project was multifaceted and required further specialist research on defined challenges and closer analysis in terms of identifying commercial potential and new business opportunities for the ports. The research sought to foster closer engagement with the hinterland and embedding the ports in the metropolitan environment through partnerships with universities, government, and the local business community.

810

3

M. Conti et al.

Project Roadmap

The research project has been structured according to a series of steps, designed to gain deeper understanding about the key aspects of the maritime sector at large and peculiarities of relevant European and UK ports – more specifically the ones in the North East of England. This allowed for the creation of a suite of considerations about long-term challenges for North-East ports, future opportunities for smarter ports, and potential impacts on local communities. For this reason, meetings and workshops with port professionals were planned to gather firsthand information about the current way of managing port operations, relevant issues, future challenges, expectations, and digital aspirations (Fig. 2). All collected data were analyzed and elaborated to outline potential future scenarios and suggest strategic opportunities with specific focus on: • Future logistics (optimization and safer policies) • Clean growth (solutions to cut carbon emissions) • AI and data economy (big data and decision-making)

4

Why Ports?

Ocean transportation has always been closely connected with trade, with the main function of port/terminal operations being the handling of cargoes and making them ready to be delivered to their final destinations via inland transportation. In this regard, ports become key facilitators for trading, and technological advances pave the way for smarter handling of cargoes and shipping, thus contributing to operational efficiency throughout the trading process. The Maritime 2050 Executive Summary (Department for Transport 2019) contends that the maritime sector has an integral role to play in the future of the UK and at an international level. Maritime transport represents the backbone of the global

Fig. 2 Research project development roadmap. (Source: Authors)

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

811

economy, with ships carrying over 80% of the world’s merchandise trade by volume and between 55% and 71%, depending on the data source and methodology, by value (Premti 2016 in Beresford and Pettit 2017). Pettit and Beresford (2018) define ports as business ecosystems consisting of a large set of networked entities, whose main function is the creation of value for their customers (shippers, companies, and manufacturers), in terms of: 1. 2. 3. 4. 5.

Innovation (of the overall ecosystem and subsystems) Connectivity (hinterland and overseas) Availability of resources Utilities (availability and price) Labor market

The main aspects leading to innovation in the field of ports relate to making ports both safe as well as profitable and competitive in the fast-expanding market, both at a local and global level. Competition in the maritime sector requires strategic visions and a commitment to investments, in order to keep the pace with commercial and technological advancements and strengthen the position of the port. Strategic visions may help decision-makers to reduce uncertainty by analyzing the right information about the present and use it to understand the future (Stopford 2009), although various issues confronting forecasters are impossible to predict in a fully reliable way. Competitivity, profitability, efficiency, and sustainability constitute four pivotal aspects of port innovation as mechanization, automation, and ICTs (information and communication technology) require constant investments, staff training (International Maritime Organization (IMO), 2019), and system updates (Fig. 3).

Fig. 3 Key factors of innovation in the port industry. (Source: Authors)

812

M. Conti et al.

As a result, a growing number of ports are currently investing substantial resources to integrate the physical infrastructures and digital ecosystems within their terminals. This plan will increase the level of automation and support the development of strategic solutions that improve ports’ competitiveness in the local and global markets.

5

Connectivity: Linking Hinterland and Region

Hinterland logistics and transport systems have acquired a growing importance as variables in the maritime sector planning, and are also integrated parts of the port value proposition and global supply chains (Song and Panayides 2015). Initiatives and investments are meant to allow a port to grow sustainably, support its competitivity, and improve its services quality by working on a variety of objectives involving key stakeholders, as graphically indicated in the next figure (Fig. 4). More specifically, ports should focus on a variety of geographical aspects regarding: • Port: The area within the port’s estate. • Seafront: The part of a coastal town next and directly facing the sea. • Buffer zone port-city: The interface land area that lies between the port and a city/ town. • Region: Specific territory or area of land, with definable characteristics, usually an administrative district of a city or a country. • Hinterland: Special type of region, linked to the port activities within its influence area. It can reach beyond municipal, regional, or even national limits (for instance, Rotterdam’s hinterland extends into Germany). • Foreland: Logistic concept. It defines the national or international ports connected by sea to a specific port (range in the same sea or reach ports in other countries, as international routes).

Fig. 4 Areas of interest in port initiatives and investments. (Source: Authors)

40

5.1

Challenges and Opportunities for UK Seaports Toward Future Sustainability

813

Labor Market and Training

Ports activities play a role of public interest as they serve trades at national and international level. They also have a social function, as they create jobs and wealth in their local community and area of influence (Alvarez-Romero et al. 2011). The North-East ports, such as Blyth or the Port of Tyne, host maritime and port/ logistics training providers and consultancies, either as part of their own commercial services or as separate commercial companies. This is often in partnership with further education colleges and modern apprenticeships in South Tyneside, for instance, and linked to National Vocational Qualifications levels and recognition, including part-time and on-the-job training which can be certified under certain portfolios and skills assessments.

6

Port Governance

Ports also have a social function, as they create jobs and wealth in their local community and area of influence (Angeliki 2005). In the academic literature on ports organization, this is considered as a matter of how appropriate functions are allocated to public and private entities, with specific roles and activities (Pettit and Beresford 2018). According to Russo and Musolino (2020) and Molavi et al. (2020), a range of ports classifications have been proposed in the literature, showing that no single established and accepted framework of taxonomy is existent due to the complexity and diversity of ports (and their entries into databases). Despite this, as they discuss, the United Nations’ Conference on Trade and Development (UNCTAD) in the 1990s introduced a new classification based on definitions of generations of ports, according to which some prevalent port characteristics can be associated to discrete periods in time. UNCTAD did fully define the features of three generations of ports but left the fourth (and most recent) generation of ports less specified. European ports are undergoing further technological and logistical change, after being containerized in the previous decades (Acciaro et al. 2020). Other researchers have since added, predominantly qualitative, new elements of such a (revised) classification. Ports which have been the relatively recent reason in the longer historical perspective for the establishment of industrial towns, and still present a core part of their economic activities – such as Goole in East Yorkshire (Fell OBE 2016) – have special characteristics again. But many ports have shared characteristics, and so a number of researchers adopt a deep case study approach to advance understanding across the sector (e.g., Botti et al. 2017; Tommasetti et al. 2014). We consider localized, feeder, and (international or even global) hub ports in our distinctions, inter alia. We agree with Russo and Musolino (2020) that this is not just about rankings and can also draw on synthetic indicators about ports in international/global networks, including over time as hybridization occurred

814

M. Conti et al.

in terms of specific characteristics over time and evolution/acquisition of additional ones. Ports can differ according to their ownership and governance: • State owned: When a port operator (particularly for port authorities) is owned by the state or a public body representing a community, as opposed to an individual or private party. • Company owned: When a port operator (a port authority or company that contracts with the port authority to move cargo through the port at a contracted minimum level of productivity) is privately run. • Trust port (TP): Is an independent organization that operates without government support (Department for Transport [DfT] 2019). In the UK, there are currently over 100 trust ports (according to the DfT 2019), and each one has independent statutory bodies and is controlled by a local independent board. They are accountable to stakeholders who play a role similar to shareholders in a private company, and any surplus is ploughed back into each port for the benefit of its stakeholders. The duty of trust board members and staff is to “hand it [the port] on in the same or better condition to succeeding generations. This remains the ultimate responsibility of the board, and future generations remain the ultimate stakeholders” (Transport Scotland 2012). • Free port: A port that charges little or no tax on goods brought there temporarily from a foreign country, before being transported to another country (Cambridge Dictionary n.d.). • Enterprise zone (EZ) is a designated area within a local enterprise partnerships’ (LEP) boundary across England, which can benefit from a range of incentives: – Benefits for businesses that are located in an EZ include business tax discount rate, capital allowances/tax relief, and simplified local authority planning – Benefits for local communities relate to the EZ ability to unlock key development sites, consolidate infrastructures, attract business, and create jobs – Benefits for the UK economy, as it helps attract more foreign investment into the country and bring jobs and businesses across England Businesses may cluster around centers of excellence in key sectors (financial services, biosciences, digital and creative industries, and renewable energy) to deliver long-term, sustainable growth and cutting-edge technology.

7

The Gradual Transition to Smart Ports

The pathway to smart port status as clearly suggested in the “Port of Rotterdam White Paper” outlines the roadmap to manage smarter port projects. In this regard, digitization is a relevant trend in contemporary maritime industry, and it informs a step-by-step approach to keep pace with innovation and trade competition (Port of Rotterdam 2019). This strategy outlines four different stages of digitization with progressive levels of integration:

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

815

• Phase 0 – no automation: This is the condition of several ports today, where most of the operations are manually managed, and paper based. • Phase 1 – individual automation: This is when port authorities, businesses, and organizations (warehouses, towing companies, inspection services, clients, etc.) within the port and in the immediate surrounding focus on the automation of processes, assets, and information management. • Phase 2 – integrated system in the port: This is when all port businesses involved in the processes integrate their IT systems to create a single digital environment and share information (as it would happen in the Port of Rotterdam with the Portforward and Pronto systems). • Phase 3 – integrated system from port to hinterland: This step involves the stakeholders of the logistics chain to and from the hinterland (rail and ship operators, shippers, inland ports and terminals, etc.) in the digital communications with the port. They share information to coordinate port operations (cargo tracking, departure times, modes of transport, etc.). The result is increased transparency and efficiency in port logistics and hinterland transport. • Phase 4 – smart port: This represents the future scenario of a connected port and logistics chains, in which information is shared with other stakeholders and digital communication between the port and its hinterland is scaled up at a global level. In this phase, ports adopt an open approach of collaboration with their competitors, in order to create a network that allows higher efficiency, cost reduction, and increased sustainability. The resulting system is meant to ensure full transparency between ports around the globe. To achieve such status, ports are required to produce a series of thematic roadmaps to support their main strategy, setting out in detail the steps required to achieve the vision as indicated in the UK’s Maritime 2050 policy paper, with recommendations divided into short term (1–5 years), medium term (5–15 years), and long term (15 years and beyond). In this regard, a continued partnership approach between industry and government is a crucial element (Jahn 2017). The trend toward the establishment of smart ports is also evident in the European Union (Bojić et al. 2020). The United Nations’ Economic and Social Commission for Asia and the Pacific (ESCAP 2021) considers the ports of Rotterdam, Hamburg, Singapore, as well as some South Korean (e.g., the so-called “Yes! u-Port”), US (such as Savannah, Houston, Los Angeles, Long Beach, and Oakland), and Chinese (such as Xiamen, Qingdao, and Shanghai) ports, as “global best practice in smart port development.”

8

What Is a Smart Port?

Ports are global gateways for physical traffic and there is a role for them as digital gateways as well (Bessid et al. 2020). Better data flow means improved certainty about the position of cargoes at any given time (Morris, in Hillsdon 2018). A smart

816

M. Conti et al.

port is a port that takes full advantage of space and technologies to generate profits, save natural resources, and optimize operations. Digital innovation can greatly help port areas, making the most of them and responding to the needs of an increasingly global and demanding market (Yang et al. 2018). By definition, a smart port is “a concept that could transform the speed of throughput while reducing costly and unnecessary handling by digitally connecting all aspects of port activity through the Internet of Things (IoT)” (Bird, in Williams 2016). The expression “smart port” has been used to refer to a port model that uses technology to: • Automate processes • Connect the various stakeholders of the logistics chain at platforms that make bureaucratic procedures easier, faster, more reliable, and easily traceable • Collect data through interactions among vehicles, individuals, and institutions, for better decision-making Shifting to a smart port model means evolving toward a more efficient, sustainable port that can provide 24/7 nonstop service. As a result, each port should be considered a unique ecosystem that must aspire to develop its own smart port model. This comes with measurements, instrumentation, and tools, and design approaches, for smart ports (Yang et al. 2018; Bessid et al. 2020). There are a range of barriers and facilitators, with no more than a neutral role in this regard (Carlan et al. 2016). Min et al.’s (2022) contribution synthesizes a number of smart port concepts as well as designs of their underlying architecture, and proposes specific milestones for monitoring a smart port development project. They identify a number of key success factors (e.g., essential components for smart port architecture, value propositions, and smart port performance metrics) for the successful establishment and sustainable growth of a smart port. Their research finds that a smart port does reduce port user response time, improves port asset utilization, and enhances maritime logistics visibility by automating and integrating end-to-end port operations digitally.

9

Smart Port Innovation Overview

Inspired by the smart port strategy of the Port of Barcelona (PierNext 2019), which considers people, governance, logistics, mobility, environment, and economy as driving forces for bringing change and create a smart port, a framework with five key factors has been devised to inform the analysis of the five UK North East of England ports included in the testbed of this study, as well as exploring challenges and opportunities in the process of becoming smarter ports.

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

817

a) Infrastructure Intended as the physical and organizational structure needed for port operations. United Nation’s Sustainable Development Goals (SDGs) integrate infrastructure and transport as an important consideration (United Nations 2015). While motorways are seen by some to be problematic for the future, as they are increasingly congested and environmentally unfriendly (Fell OBE 2016), ports may represent a significant strategic alternative for the future, as a sustainable way to trading cargoes and support the economy. b) Logistics Ports involve various value-adding services (warehousing, storage, packing, and arranging inland transport modes) in their logistics systems to ensure that cargoes handled at terminals be passed smoothly, efficiently, and quickly to the next stage of the broader complex logistics chain (Roh et al. 2007 in Song and Panayides 2015). Sometimes, third-party actors are engaged in the sea transport process to arrange logistics services. c) Onshore Transport As components of a wider logistics chain, modes of transport are a key element for the strategic positioning of a port. As hinterland logistics systems are relevant to port strategy, intermodal transport becomes a key factor for efficient performance of the system. In fact, international trades require a broader vision to integrate the supply chain and transport infrastructure as an important factor to achieve higher port efficiency. d) Cloud This definition gathers a wide range of technological advancements in the fields of information and communication technology (ICT), artificial intelligence (AI), machine learning (ML), and big data usage. Digital systems integrated in port infrastructures and operations can be strategic tools for real-time planning, operation monitoring, cargo tracking, and data sharing (online platforms and networks). Terminal operative systems (TOS) represent the digital operational basis inside a port, mainly related to container facilities (Heiling et al. 2017). e) Environment Commercial value must be sustainable, with environmental imperatives and sustainability factors becoming increasingly relevant to redefine maritime operations of the twenty-first century (Robinson 2006). The impact of industrial and commercial activities is gaining growing relevance, while policy and actions are driven by the raised awareness surrounding the impacts on our environment.

9.1

Analysis of Intertwined Aspects of Smart Port Innovation

It is self-evident that becoming a smart port is an ambitious but necessary step of evolution for ports to increase their competitiveness, keep their business relevant, and optimize operations. A simplified breakdown of those factors does not fully demonstrate how multifaceted and complex a plan toward increased competitiveness

818

M. Conti et al. Port image & role Socio-economic climate Technologies Port premises smart port competitivity

Financial resources

Product - Service System

Propensity to innovate

Efficiency & performance Port network

Fig. 5 Smarter port factors for strategic competitiveness. (Source: Authors)

can be, although it helps to comprehend that innovation is more than a mere planned adoption of modern technologies (Fig. 5). In this study, the five main factors were further explored through three layers of subfactors, each one detailing the previous one, with reference to: port infrastructures, operations, equipment, and port competitiveness. A map of interrelations is then obtained by linking the factors of a layer with the related subfactors of a lower level. This arrangement, widely used in design thinking practice, enables the intertwined nature of those aspects to be graphically illustrated to better appreciate the complexity of interports competitiveness. Figure 6 diagram unmistakably exposes the need for ports to develop well thought-out strategies as the level of complexity in today’s fast-paced world is far greater than ever before. We also note Boullauazan et al.’s (2022) notions of a strategic tool about maturity of ports with respect to greener modal shifts, increased reliability and process visibility of goods in the logistics flows, and more emphasis on sustainable activities (as economic, environmental, and social dimensions). This requires a consideration of the capabilities of an extended port community and underpinning enabling technologies. Process-focused studies exist on port optimization processes at medium-sized container terminals regarding solving standard berth and crane allocation problems with a multiquay layout (Grubisic and Maglic 2020), or proof-ofconcept studies from South Korea for performance monitoring platforms at container terminals (Park and Lee 2020).

9.2

What Is the Role of the North East of England?

The Maritime 2050 strategy underlines the importance of maritime clusters throughout the UK, as a source of significant impact on the national economy. The proposed operating model foresees the government to collaborate with industry and academia to create innovation and dynamic synergies in order to strengthen the UK’s position as a world’s leading country in development, manufacture, application, and use of

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

819

Fig. 6 Mapping of the main intertwined aspects of smart innovation. (Source: Authors)

maritime technologies. The UK Department for Transport’s vision (Department for Transport 2019, p. 13) identified seven national clusters (which include the most important local ports and shipyards together with businesses and organizations connected to the port activities), as shown in the following geographical map. Each cluster is concisely presented with its specific focused activities and business trajectory which indicates its chosen current specialisms to differentiate itself from the main competitors. The North East of England (labeled as “North-East” in Fig. 7) is not yet classified as a cluster in the Maritime 2050 strategy (Fig. 8). However, there is real potential for ports in the region to become the eighth cluster considering that the local maritime sector is gaining momentum and growing in terms of business volume and diversification of activities (as succinctly presented in Figs. 9 and 14). This proactive approach of local ports to develop assets and infrastructure, as well as attract funding to transition to a smart port status is a clear sign of the surging state of health of the North East of England’s economy (Smith 2022; Keighley 2022). This is demonstrated, for instance, by the latest business deal involving newly founded battery maker Britishvolt’s gigafactory to export electric car batteries through the Port of Blyth or by car maker Nissan signing a new 5year deal with Port of Tyne’s dedicated car terminal in mid-2022. Despite those recent achievements, this research project was carried out to obtain deeper insights about issues, long-term challenges, and commercial opportunities of the five North-East ports included in the testbed to suggest possible impacts on the local communities.

820

M. Conti et al.

Fig. 7 UK maritime clusters and key strategy focus. (Source: Authors)

Fig. 8 UK North East of England ports selected for this research study. (Source: Authors)

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

821

Fig. 9 UK North East ports’ main data based on a preliminary analysis. (Source: Authors)

9.3

North East of England Ports Research Summary

A thorough and multifaceted background research was conducted to capture the key features, activities, and state of development of each port. As a premise, it is worth pointing out that the North East of England is a small region when it comes to its geographical size, GDP, and population (European Commission n.d.). In fact, it has the lowest GDP per capita in the whole country as its contribution is about 3% of the UK total (European Commission n.d.). The region also features the second lowest employment rate, nearing 71%, which is below the national average of 74.7% (European Commission n.d.). Despite those statistics, since 1995 the region has made solid progress as the economy is more diversified and featuring a welcomed increase in knowledge-based businesses (European Commission n.d.). In addition, the number of new technology start-ups have registered the highest increase nationwide compared to the region size. Similarly, the level of development and ambition shown by local ports reflects the regional trend of increasing productivity, employment, and investment. Utilizing the same parameters, ports data were compared locally but also with other UK and selected EU ports which are successful and proactive in their development plans to become smarter ports and be more sustainable. To inform the research project, 20 EU ports from 9 countries (with their respective sizes ranging less than 100 ha to more than 12,000 ha) were considered as sources of insights, for analysis and comparative purposes based on:

822

M. Conti et al.

Fig. 10 UK and EU ports’ (less than 300 ha) main data based on a preliminary analysis. (Source: Authors)

• • • • • •

Specific nature of the port (size, location, and heritage) Location (wide range of European countries) Strategic aspects relevant to this research project Technology implementation Ways to improve the current situation through smart technologies Relevant ongoing/planned strategic projects

The next series of tables illustrate the most common but also the specific trends which make the ports of Amsterdam, Rotterdam, and Hamburg, to mention a few, stand out for their drive to evolve their operations in key areas as digitization, renewable energy production, electromobility, autonomous vehicles, environmental protection, etc. (Figs. 10, 11, 12, and 13).

10

North East of England Ports SWOT Analysis

In order to draw some initial conclusions based on the research outputs presented so far, a SWOT analysis was carried out to allow researchers to gauge what capabilities, deficiencies, and challenges local ports face (Fig. 14).

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

823

Fig. 11 UK and EU ports’ (between 300 ha and 605 ha) main data based on a preliminary analysis. (Source: Authors)

Fig. 12 UK and EU ports’ (over 610 ha) main data based on a preliminary analysis. (Source: Authors)

824

M. Conti et al.

Fig. 13 UK and EU ports’ main data through preliminary analysis. (Source: Authors)

From this analysis, it appears that due to the size, organizational structure, location, business focus, commercial partnerships, and potential for growth, each port has a different set of priorities despite the common ambition to become more competitive in their quest to acquire a smart port status. It is also clear that digitization of port logistics is also a shared requirement for all ports.

11

Port Size Comparison

Port size matters as it relates to the level of port’s operations with its complexities, infrastructures, capital equipment, and investment a port is prepared to sustain based on its revenue. The following diagram clearly illustrates that the North East of England ports selected for this study are spatially among the smallest, as they all are well below 0.5k ha in space (Fig. 15). In comparison with the four biggest European ports (namely Rotterdam, Antwerp, Marseille, and Hamburg) which handle a huge amount of cargo, there is a huge difference in the size, level of infrastructure, and technological capability which, in turn, can be interpreted in terms of business prowess, commercial credibility, and ability to evolve.

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

825

Fig. 14 UK North East of England ports SWOT analysis. (Source: Authors)

11.1

Ports Analysis

The following summary analysis is useful to better understand what the different areas of specialization and business focus offered by each port are (Figs. 16, 17, 18, and 19). It should be self-evident that each port, based on their location and proximity to rail and road infrastructure, manufacturing facilities, and other businesses, would have carved out their own niche activities exploiting what the local economy players have to offer, although there are also some general markets trends they are trying to capture and compete for even on a regional as well as national and international

826

M. Conti et al.

Fig. 15 UK and EU port size comparison. (Source: Authors)

basis. The resulting picture is very indicative of the wide and differing range of commercial activities UK ports feature, which provides them with a clear business identity in a competitive market. However, the same diversification of activities pattern emerged also in the case of EU ports reinforcing the concept of competitiveness within and beyond national boundaries (Fig. 20).

12

Relevant Projects and Funded Research Initiatives

Another key aspect to consider is the range of projects and funding opportunities available to ports within the UK and overseas to sustain their activities and growth.

13

Relevant Projects and Funded Research Initiatives Analysis

The adoption of spider diagrams has been instrumental in the realization and comparison of what each initiative provides against a set of key areas as outlined in the UK’s Maritime 2050 strategy. What clearly emerges from this analysis is that only one project, Team Humber Maritime Alliance (THMA), offers a very ample range of interventions, whereas all other initiatives are more focused on fewer development objectives (Figs. 21 and 22).

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

827

Fig. 16 UK and British overseas territories ports comparison. (Source: Authors)

14

Key Results from Interviews and Workshops with Local Ports

The workshops with local ports included semistructured expert interviews, a presentation and discussion of desktop results, and a final ideation session. More specifically, workshops were structured in the following manner: Activity 1: Analysis of port maps in relation to smart port requirements: Task 1: Updating port map including planned developments Task 2: Infrastructures and services (layout, zoning)

828

M. Conti et al.

Fig. 17 EU ports comparison. (Source: Authors)

Task 3: Logistics, mapping out goods and people’s movements Task 4: Analysis of current port daily operating model Task 5: Broader view, such as hinterland connections, transport, technologies, and environment All tasks were conducted by considering the following parameters: challenges, opportunities, as well as pros and cons. As specific workshop outputs can only be shared with the respective ports, as previously agreed with approved informed ethical consent as project collaborators and research participants, the following key targets and (prospective) activities are a general summary of the conducted action research:

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

Fig. 18 Project initiatives and funding. (Source: Authors)

829

830

Fig. 19 Project initiatives and funding. (Source: Authors)

M. Conti et al.

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

831

Fig. 20 Project initiatives and funding. (Source: Authors)

• Become a business partner of offshore wind energy companies • Produce renewable energy on site • Reduce the environmental impact of port operations, largely by electrifying them and greening the energy generation sources of the electricity used • Capitalize on smart data collection, applying artificial intelligence, and creating business services application for other partners in the domain of logistics • Use the port estate as an innovation hub and spin-off territory (business park)

832

Fig. 21 Comparison of smart port initiatives. (Source: Authors)

M. Conti et al.

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

833

Fig. 22 Impressions from a stakeholder workshop held at a local North East of England port. (Image source: Authors)

14.1

Main Outlines

The maritime sector, with its complex logistics chain, can be seen as an enabler of cross-border transport networks, where ports become gateways to international trade. As identified through the action research activities, the main long-term challenges for a traditional port in the North East of England relate to: • • • •

Port operations and quality of life The application of cutting-edge technologies to management and operations Skills training required to handle advanced operations and technologies The capability of planning and taking advantage of disruptive commercial opportunities • Energy transition and climate change impact reduction Competitivity in the maritime sector is not an easy aspect to assess, as it depends on the type of port, quality of trades, cargo handled, and the range of services provided at terminals. Different methods may be applied to assess the competitivity of a port (or terminal), focusing on quantitative and measurable variables. Digitalization is major and necessary turning point in ports’ operations. Integrated digital systems, designed to provide real-time planning, support the various stakeholders involved in port activities, alongside transport and logistics. In this regard, a terminal operative system (TOS) represents the IT basis for port operations,

834

M. Conti et al.

especially when related to container terminals, to better monitor the flow of products and operations (Beresford and Pettit 2017). Digital networks represent important elements to enhance and optimize port operations, as data sharing and communication among all actors involved in port activities and shipping. As technologies advance, and ports become strategic players in the field of energy – by supplying land and specialized facilities for logistics and components manufacturing – training facilities for staff and workers in the maritime field become a crucial element that bolsters the competitivity of both ports and enterprises in the global market. With the significant growth of the shipping industry over the past two decades, environmental imperatives are redefining the maritime transport sector and its capability to address customers’ demand while maintaining profitability and competitiveness. Consequently, sustainability represents a key challenge for the maritime sector, as the commercial value of port activities has to be sustainable (Sislian et al. 2016). Despite difficulties in enforcing regulations – partly due to the international nature of the maritime industry – policymakers’ activities today tend to be driven by the raising awareness about the impacts of industrial and commercial activities on our environment. In this regard, the United Nations’ Sustainable Development Goals (SDGs) become important tools for meaningful evaluations and considerations about infrastructures, transport, and services (Pettit and Beresford 2018; Vega-Muñoz et al. 2021). Energy transition is another imperative which can be gradually accomplished if the energy and the mobility sectors are brought closer to each other. Achieving this data-driven analysis is more urgent than ever. Consequently, there are major challenges for policymakers and port authorities to tackle in terms of the type of infrastructures to design and develop resilient solutions to meet the priorities outlined in governmental strategies both at national (UK Maritime 2050, Net Zero Strategy 2050) and international level (International Maritime Organization 2030 Agenda for Sustainable Development, UN Sustainable Development Goals, UN Net Zero Coalition).

14.2

Toward Future Smart Ports

As ports are interchange points in the maritime supply chain, they can be regarded as micro socioeconomical regions grouping companies which become stakeholders of the shipping process. Today shipping has become a “tightly knit global business community, built on communication and free trade” (Stopford 2009, p. 46). Ports need to be resilient to adapt to changing conditions and global trends, to keep the pace with digitization making them part of an advanced and integrated supply chain. Ports also need a port-centric information strategy and management approaches, and frameworks that enable this (Heilig and Voβ 2017). This should be underpinned by an approach to analyze different structural factors evident in different domains and their relationships with each other, with measures around, e.g., energy efficiency and emissions reduction and digital technologies

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

835

supported by a suitable set of governance policies at port, industry, regulator, and governmental levels (Chen et al. 2019). The growth of e-commerce represents a factor for potential business opportunities, as it gives access to a wider selection of goods and brands, at lower costs and with shorter delivery time. On the other hand, this trend alters consumers’ shopping behavior and expectations, and ports are called to meet customers’ needs in a smarter way. Technologies can play a vital role in this regard, as a tool for guiding the transition toward a cleaner, safer, and more efficient maritime sector, with highly skilled professional workforce (Department for Transport 2019).

14.2.1 Resilience The idea of resilience refers to the ability of a substance, an object, or a system to spring back into shape, following a disturbance or a shock. It has been used in many disciplines, with increasing interest stimulated by global trends and developments in different fields (services, companies, products, policies, etc.). Adaptive resilience (Martin 2012) is an evolutionary concept, according to which a system can learn from its mistakes and adapt to reduce future ones. It entails a dynamic process in which the system finds the way to adapt to an evolving environment, depending on levels like management, technology, skills, flexibility, and location (Pettit and Beresford 2018; Wei 2020). 14.2.2 Technologies Internet-based global communication increases the amount of information we receive every day about a wide range of topics at a multiple scale. This scenario can make management decisions more complex as the consequence of any multifaceted analysis conducted to assess perceived risks, trends, and opportunities at local and international level. As Beresford and Pettit (2017) stated, the role of ICT in maritime logistics activities is still underestimated, and despite the advancements in technologies and trade data exchange standards, many operations are still “analogically” paper based, with network infrastructures often inadequate to cope with the requirements of new IT applications. Gizelis et al. (2020) diagnosed an important opportunity for the telecom industry to play a major role in the development and operations of smart ports. Yau et al. (2020) profile different information and communications technologies and their use in ports and port networks. Haidine et al. (2021) review some of the most recent models of smart ports and propose certain extensions, taking into account also recent recommendations by the International Maritime Organization (IMO) which have also found their way into fresh regulatory frameworks by the European Union, on for instance maritime environmental monitoring and air pollution, etc. They contend that “smart” environments are modeled in an Internet of Things (IoT) layered fashion, and present a version where the networking/communications layer plays the core role. They also analyzed possible networking technologies that could support the respective smart domains making up a smart port environment. To this end, they started with defining

836

M. Conti et al.

the different sublayers of their hierarchical communication layer, followed by comparing different technologies for building a broadband mobile sublayer. Ericsson (2021b), for instance, has made a commercial plea for the benefits of using private cellular technology in and by ports, including with their so-called “Smart Ports Value Calculator.” Likewise, Nokia, in conjunction with Port Technology (2020), have made the case for wireless connectivity (based on 5G and LTE) in port terminals. Similarly, IBM (Campfens and Dekker 2018) toward autonomous ships (in, e.g., the Port of Rotterdam) through Digital Twins, and Deutsche Telekom with Nokia (5G-MoNArch 2019) for 5G in the Port of Hamburg, and Wärtsilä (2020) through an ecosystems approach toward and for smart ports to improve safety, security, efficiency, and environmental protection with – inter alia – their just-in-time (JIT) and sea traffic management (STM) solutions. Wärtsilä Voyage’s Navi-Port platform, launched in February 2019, connects a ship navigation system to the port. Wärtsilä’s Sea Traffic Management (STM) developments and trials methodology were developed by the Swedish Maritime Administration (SMA) MonaLisa project initiated by the European Commission. Wärtsilä then used the standards and approach developed during that project in NaviPort, coupling it with open formats to encourage more ships and ports to use. Lacalle et al. (2021) present a prototype of an IoT application collecting a range of data from heterogeneous access networks and apply a composite indicators theory to validate environmental impact monitoring for maritime ports. Karaś et al. (2020) note that determining which technologies to choose and how to implement them in the concrete operational context remains a challenge. They analyze smart port projects implemented in the North Sea and the Baltic Sea in particular. Port Technology’s (2022) Smart Digital Ports of the Future 2022 edition of their Port Technology International Journal flags up in its editorial (among others such as the Port of Los Angeles – the Western Hemisphere’s largest port – which has expanded its Port Optimizer digital platform across all cargo terminals in its facility) the International Port Community Systems Association (IPCSA) on its latest progressions with regard to their Network of Trusted Networks with ports across Morocco, to collaboration with the Port of Antwerp on drone usage and contend that “port community systems are becoming more agile and connected to provide efficiencies in the supply chain.” They note, with regard to the North East of the England, that “the Port of Tyne is harnessing data to better understand its operational processes. The newly-launched digital platform as part of the Clean Tyne project, providing real-time information on the port’s energy use to help the facility reduce its carbon emissions.” According to the “Smart Ports Global Market Report 2022” (The Business Research Company, June 2022), smart ports – both seaport and inland ports – are a coordinated assemblage of different technologies. The use of smart digital technologies such as smart sensors and IoT assist for instance in the efficient and effective handling of cargo. Smart ports typically include various elements such as terminal automation and cargo handling, a port community system, a traffic management system, a smart port infrastructure, and smart safety and security. The encouragement and participation from governments all over the world in the form

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

837

of initiatives is seen to stimulate significantly the growth of the smart port market. To implement digitization, governments are found to be encouraging the adoption of relevant enabling technologies in the ports sector. The report sees the adoption and implementation of smart technologies such as IoT, artificial intelligence, blockchain, process automation, and big data which are changing the way smart ports operate in comparison to the traditional ports as a key trend gaining popularity in the smart port market. The report finds that Asia Pacific was the most active region in the global smart ports market in 2021 and that it is also expected to be the fastest growing region in the forecast period. According to the report, “The global smart ports market is expected to grow from $1.43 billion in 2021 to $1.78 billion in 2022 at a compound annual growth rate (Compound Annual Growth Rate) of 24.3%. The smart ports market is expected to grow to $4.37 billion in 2026 at a CAGR of 25.1%.” The report suggests that “major players in the smart ports market are Wipro Limited, IBM Corporation, Accenture, ABB, Ramboll Group A/S, Abu Dhabi Ports, Awake. AI, PORT OF ROTTERDAM, Royal Haskoning, Trelleborg AB, Ikusi Redes de Telecomunicaciones, S.L., Navis, China Merchants Port Holdings Company, General Electric, and Siemens.” Case study highlights of the global smarts ports report 2022 include that “Abu Dhabi Ports introduced a new digital service to smoothen the management of Abu Dhabi’s slipways which are ramps for moving boats and other watercraft to and from the water to ease congestion at peak times.” With regard to strategic corporate acquisitions, it is worth pointing out that “in January 2022 ABB – a Swedish multinational corporation in Switzerland that operates smart ports – acquired InCharge Energy [which is] . . . expected to expand ABB company’s e-mobility division on the north-American consumer market by providing fleet electrification and offering digital services in the market.” Investments by and in smart ports need to be justified through a (proposed, modeled, or replicated if possible) business case, return on investment (ROI) and/or compliance. Park (2020), for instance, provides a study of a financial analysis of automated container capacity from the perspective of a terminal operating company (for the new port of Busan, in South Korea), considering operating profit preservation. An (2021), on the other hand, developed an economic analysis to calculate the proper investment for a public sector automated container terminal (also for the new port of Busan, in South Korea). In terms of safety optimization through technology, Namgung and Kim (2020) explore digitalized vessel trajectory analysis in designated harbor routes influenced by external factors. Looking more into the, but perhaps not too distant, future, on the energy and power side, Song et al. (2020) consider through the case study of a “typical port district in China” a framework model and method they developed for modeling an integrated port energy system. This includes configurations and sizing scenarios dependent on integrated demand response and energy interconnections to various degrees and depths, while considering the uncertainties presented by ships using shore-side power.

838

M. Conti et al.

In conclusion, several factors are progressively redefining maritime trade and port activities, while IT solutions and digital networks represent essential elements to enhance and optimize port operations, as technologies allow to: • Connect the actors in a port • Optimize the flow of information • Support collaboration among stakeholders (supply chain, operations, and logistics chain) • Manage port operations • Automate port logistics processes • Improve customs services and import/export • Control cargo and operations

15

Conclusion

As secondary research highlighted in the field of innovation, it appears that the North East’s ports (and UK ports more generally) are trailing behind the major global ports in terms of digitization, preparedness for technological disruption, and automated processes. This context has prompted the need for this design-led project to investigate the maritime challenges engaged with local ports and initiate a research collaboration to support the ports’ ambitions and their future plans. The conducted research key findings provided a conceptual basis for local ports to identify key areas for strategic policies application of ICT applications as leverages for smarter port development. From the action research outputs and concurrent analysis, a set of common findings for actors engaged in smart ports development can be drawn: • The transition to “smart port” status is a lengthy and challenging process that requires an integrated approach, and a new organizational mind set. • Before automation, IT systems, connected logistics, and waste elimination are applied within the port and its surroundings; more remedial infrastructure interventions are needed to increase port operations’ efficiency of resources optimization. • Innovation, cooperation, and sustainability goals require each port to strive in the realization of resilient strategies which manage complexity and deal with different scenarios. • Implementing advanced IT solutions to redefine maritime trade and port operations requires firstly current infrastructures to be upgraded. • A clear roadmap for the reduction of environmental impacts, and use of renewable sources of energy are key factors that ensure sustainability of operations and competitive positioning of the port within both local and global scenario. Some revealing insights emerged from the research including the current skills gap in terms of big data analytics, and research required to inform new business

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

839

models to underpin longer-term digital transformation strategies. In terms of collaboration, maritime trade requires a global vision to deal with international trades, complex logistics chain, international agreements, and cross-border transport networks. In doing so, networks and partnerships are gaining growing relevance. Environmental impact, especially related to greenhouse gas emissions and urban air pollution as well as land and marine contamination, is becoming an increasingly crucial factor for the evaluation of human (industrial and commercial) activities. In terms of implications of the research conducted, the digital transformation of ports in terms of linking to the maritime operations as well as the onshore support activities regarding logistics and the offshore renewable energy industry is a common priority in the maritime sector. In practical terms, this will ensure, for instance, a complete tracking of cargo flows to be safer, more efficient, and introduce a sustainable logistics chain in a globally networked maritime system. Similarly, the need for ports to become connected innovation hubs for their hinterland in logistics and beyond (including skills development and business incubation) require both shorter-term remedial actions, organizational planning, and change aligned to smart and sustainable growth (connected with the UN Sustainable Development Goals) in close collaboration with their local city municipalities. It is apparent to recognize that further strategic leadership is required within the North East of England region alongside a more developed partnership approach with the right governance framework (which differ by port types as well as individual ports). This is a tangible and current limitation that needs to be addressed for the common good. Becoming the eighth maritime cluster in the UK should be regarded by the North East of England as an ambitious yet realistic goal to be achieved in the short term to strengthen the regional business and logistic prowess which in turn should attract further commercial and development opportunities. The innovation domains scrutinized and highlighted by this research center revolves around the urgent need to implement digitization in line with governmental and international guidance in order to keep up with market requirements and embed technologies such as artificial intelligence, IoT, and big data analysis in the port’s activities. The use of centralized platforms fed by data sourced through smart port technologies and networked initiatives enables the exchange of information and processes optimization leading to increased logistics efficiencies and decrease the carbon footprint in line with the UN Sustainable Development Goals. Therefore, the increasing number of government initiatives drives the smart ports development and growth boosting their potential future market success. As previously suggested in Fig. 23, transitioning to a smart port status (phase 1–4) requires the commitment of top management and skilled personnel, who are open to collaboration and sustainable development agendas and demands to be internalized into their respective work, skills, and operational remits. It is the foundation needed to be able to tackle the challenges ahead with an innovation mindset. This also represents a demanding and complex task and requires a periodic

840

M. Conti et al.

Fig. 23 Key factors in the transition from a traditional port to a smart port. (Source: Authors)

micro- and macroenvironment analysis of key drivers involved against an established port development roadmap. One way to assist in this is the application of strategies for efficient process planning results in energy conservation and emission reduction. Developing a smarter and greener port is key as the maritime shipping sector expands at a global scale, gaining an increasing role in the context of worldwide trade. Ports can also keep developing the use of land they control or can develop by enterprises in the field of renewable energy (substations, manufacturing facilities, etc.), so as to be hubs of innovation and help to connect maritime and onshore domains while knitting together regional economies. This also should entail a connection not just to large international and national players but also to local SMEs and a range of stakeholders in the field of manufacturing and business services. Ports can and do make valuable employment contributions, including in the developing “green economy,” and contribute to developing an innovative skill based across logistics, smart operations, and digitalization. Ports also enable localities and regions to be part of a global network of trade activities, which is especially important for export-oriented regions. The overall contribution of this study presented in the chapter is that it has identified opportunities for an ongoing and intensified collaboration between local ports and academic institutions in the definition of key areas of innovation derived from the analysis of ongoing national and international project, government policies, and key ports’ commercial strategies. These collaborations can strategically contribute to decarbonization efforts, but also to define future commercial opportunities based on the creation of new value-adding networks and further develop innovation hubs. Academic institutions can also help to more fully document and explore the impact of port operations and prospected innovation on the communities of the North East of England, in terms of skills development, training, and employment.

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

841

This research contribution underscores that the innovation element of any strategy should be based on design thinking and innovation approaches to make sense of latest technologies, market requirements, and environmental challenges that entail a deep transformation for the transport and logistic sector. Even if this pilot project due to its limited resources and its timeline cannot fully address the challenges by developing in-depth strategies, it nonetheless represents a stepping stone in terms of future research collaboration with the local North East of England ports that can be built upon in the coming years.

References 5G-MoNArch (2019) 5G Mobile Network Architecture for diverse services, use cases, and applications in 5G and beyond. Smart Sea Port Use Case. Retrieved 21 June 2021 from: https://5gmonarch.eu/smart-sea-port-use-case/ Acciaro M, Renken K, El Khadiri N (2020) Technological change and logistics development in European ports. In: Salomone R, Cecchin A, Deutz P, Raggi A, Cutaia L (eds) Industrial symbiosis for the circular economy. Springer, Berlin, pp 73–88 Alvarez-Romero JG, Pressey RL, Ban NC, Vance-Borland K, Willer C, Klein CJ, Gaines SD (2011) Integrated land-sea conservation planning: the missing links. Annu Rev Ecol Evol Syst 42: 381–409. https://doi.org/10.1146/annurev-ecolsys-102209-144702 An Y (2021) Economic analysis for investment of public sector’s automated container terminal: Korean case study. J Mar Sci Eng 9(5):459. https://doi.org/10.3390/jmse9050459 Angeliki P (2005) The way a third generation port can boost local employment: the case of Piraeus. Eur Res Stud III(3–4):22–44 Asian Development Bank (2020) Smart ports in the Pacific. ADB, Mandaluyong Beresford A, Pettit S (eds) (2017) International freight transport. Cases, structure and prospects. Kogan Page, London Bessid S, Zouari A, Ahmed Frikha A, Benabdelhafid A (2020) Smart ports design features analysis: a systematic literature review. In: 13ème Conference Internationale de Modelisation, Optimisation et Simulation (MOSIM2020), Agadir, November 2020. https://hal.science/hal-03177580 Bojić F, Bošnjak R, Anita Gudelj A (2020) Review of smart ports in the European Union. Conference paper at ICTS 2020, Portorož: Kataložni zapis o publikaciji (CIP) pripravili v Narodni in univerzitetni knjižnici v Ljubljani COBISS.SI-ID¼27962371, pp 48–53 Botti A, Monda A, Pellicano M, Torre C (2017) The re-conceptualization of the port supply chain as a smart port service system: the case of the Port of Salerno. Systems 5:35. https://doi.org/10. 3390/systems5020035 Boullauazan Y, Sys C, Vanelslander T (2022) Developing and demonstrating a maturity model for smart ports. Marit Policy Manag. https://doi.org/10.1080/03088839.2022.2074161 Cambridge Dictionary (n.d.) “Free port”: Business English. Retrieved 20 April 2021 from: https:// dictionary.cambridge.org/dictionary/english/free-port Campfens V, Dekker C (2018) Turning Rotterdam into the world’s smartest port” with IBM Cloud & IoT. Retrieved 11 June 2021 from: https://www.ibm.com/blogs/think/2018/01/smart-portrotterdam/ Carlan V, Sys C, Vanelslander T, Roumboutsos A (2016) Digital innovation in the port sector: barriers and facilitators. Netw Ind Q 13(3):11–14 Chen J, Huang T, Xie X, Lee P, Hua C (2019) Constructing governance framework of a green and smart port. J Mar Sci Eng 7(4):83. https://doi.org/10.3390/jmse7040083 Department for Transport (2019) Maritime 2050: navigating the future. Retrieved 12 June 2021 from: https://www.gov.uk/government/publications/maritime-2050-navigating-the-future

842

M. Conti et al.

Douaioui K, Fri M, Mabrouki C, Semma EA (2018) Smart port: design and perspectives. In: 2018 4th international conference on logistics operations management (GOL), pp 1–6. https://doi.org/ 10.1109/GOL.2018.8378099 Ericsson (2021a) Connected ports. A guide to making ports smarter with private cellular technology. Ericsson IoT/ifm/Arthur D. Little, Stockholm Ericsson (2021b) Smart ports value calculator. Ericsson IoT, Stockholm. Retrieved 20 April from: https://www.ericsson.com/en/internet-of-things/audience-page/measure-ports-productivity? utm_campaign¼bteb_global_connected-ports-report_20210223&utm_source¼Web%20Con t e n t & u t m _ m e d i u m ¼e m a i l & m k t _ t o k ¼O D k x L U J M Q y 0 2 M T k A A A F - Wa t 6 R B _ cwhH9E6YvTVWudLrMmMlKeekwpvRj7jeIsBZyPROIZv5YHtGMIONNAF9Wn0sUzm koEoSuH3QZf_MxGbuTwbklj4GvzHTxQH6XMGQ0kg ESCAP, Transport Connectivity and Logistics Section, Transport Division (2021) Smart ports development policies in Asia and the Pacific. United Nations Economic and Social Commission for Asia and the Pacific, Bangkok European Commission (DG Internal Market, Industry, Entrepreneurship and SMEs) (n.d.) Regional Innovation Monitor Plus. Region: North East of England. Retrieved 20 April 2021 from: https:// single-market-economy.ec.europa.eu/tools-databases/regional-innovation-monitor/base-profile/ north-east Fell OBE MG (2016) An illustrated history of the Port of Goole and its railways. Irwell Press, Clophill Gizelis CA, Mavroeidakos T, Marinakis A, Litke A, Moulos V (2020) Towards a smart port: the role of the telecom industry. In: Maglogiannis I, Iliadis L, Pimenidis E (eds) Artificial intelligence applications and innovations. AIAI 2020 IFIP WG 12.5 international workshops. Springer, Cham. https://doi.org/10.1007/978-3-030-49190-1_12 González AR, González-Cancelas N, Molina Serrano B, Camarero Orive A (2020) Preparation of a smart port indicator and calculation of a ranking for the Spanish Port System. Logistics 4(2):9. https://doi.org/10.3390/logistics4020009 Grubisic N, Maglic L (2020) The optimization process for seaside operations at medium-sized container terminals with a multi-quay layout. J Mar Sci Eng 8(11):891. https://doi.org/10.3390/ jmse8110891 Haidine A, Ait-Allal A, Aqqal A, Dhabi A (2021) Networking layer for the evolution of maritime ports into a smart environment. Int Arch Photogramm Remote Sens Spat Inf Sci XLVI-4/W52021:251–257. https://doi.org/10.5194/isprs-archives-xlvi-4-w5-2021-251-2021 Heilig L, Voβ S (2017) Chapter 14. Port-centric information management in smart ports. A framework and categorisation. In: Geerlings H, Kuipers B, Zuijdwijk R (eds) Ports and networks: strategies, operations and perspectives. Routledge, London Heiling L, Lalla-Ruiz E, Voss S (2017) Digital transformation in maritime ports: analysis and a game theoretic framework. In: NETNOMICS: Economic Research and Electronic Networking, December 2017, 18(4). Retrieved 20 April 2021 from: https://link.springer.com/article/10.1007/ s11066-017-9122-x Hillsdon M (2018) How technology is creating the digital ports of the future (online). Retrieved 25 June 2021 from: https://www.raconteur.net/finance/technology-digital-port International Maritime Organization (IMO) (2019) The 2030 agenda for sustainable development. Maritime Transport Policy Development. Retrieved 12 July 2022 from: https://www.imo.org/ en/ourwork/technicalcooperation/pages/nationalmaritimetransportpolicy.aspx Jahn C (2017) Digitalization of seaports – visions of the future. Fraunhofer Verlag, Berlin Johnson K, Dalton G, Masters I (eds) (2018) Building Industries at sea: “blue growth” and the new maritime economy. River Publishers, Gistrup Karaś A (2020) Smart port as a key to the future development of modern ports. TransNav 14(1). https://doi.org/10.12716/1001.14.01.01 Keighley T (2022) Port of Tyne extends partnership with Nissan to export new cars for a further five years. Retrieved 5 August 2022 from: https://www.business-live.co.uk/ports-logistics/port-tyneextends-partnership-nissan-24500301

40

Challenges and Opportunities for UK Seaports Toward Future Sustainability

843

Lacalle I, Vaño R, Palau CE, Milosevic T, Pilicic S, Siroka M, Tserga E (2021) Functioning prototype of IoT and composite indicators for smart port environmental monitoring. In: IEEE Explore, 2021 IEEE international Mediterranean Conference on Communications and Networking (MeditCom) Martin R (2012) Regional economic resilience, hysteresis and recessionary shocks. J Econ Geogr 12(1):1–32. https://doi.org/10.1093/jeg/lbr019 Min H (2022) Developing a smart port architecture and essential elements in the era of Industry 4.0. Marit Econ Logist 24:189–207 Molavi A, Lim GL, Race R (2020) A framework for building a smart port and smart port index. Int J Sustain Transp 14(9):686–700. https://doi.org/10.1080/15568318.2019.1610919 Moretti B (2020) Beyond the Port City. The condition of portuality and the threshold concept. JOVIS, Berlin Namgung H, Kim J-S (2020) Vessel trajectory analysis in designated harbor route considering the influence of external forces. J Mar Sci Eng 8(11):860. https://doi.org/10.3390/jmse8110860 Nokia/Port Technology (2020) Wireless connectivity in port terminals E-book. Using 5G and LTE networks in ports and terminals today. Nokia/Port Technology International, Espoo/London Park NK (2020) Financial analysis of automated container capacity from the perspective of terminal operating company. J Mar Sci Eng 8(11):954. https://doi.org/10.3390/jmse8110954 Park NK, Lee JH (2020) PoC (Proof of Concept) for performance monitoring platform of container terminals. J Mar Sci Eng 8(12):971. https://doi.org/10.3390/jmse8120971 Pettit S, Beresford A (eds) (2018) Port management. Cases in port geography, operations and policy. Kogan Page Limited, London PierNext (2019) The Smart Port model at the Port of Barcelona. (online). Retrieved 22 June 2021from: https://piernext.portdebarcelona.cat/en/technology/the-smart-port-model-at-theport-of-barcelona/ Pistilli G, Campagna A, Persia L, Saporito MR (2020) Regionalization of ports as a strategic leverage to improve competitiveness: a study on Central Italy ports and related hinterland. Int J Transp Dev Integr 4(1):51–61 Port of Rotterdam (2019) Move forward: step by step towards a digital port. White paper (pdf). Retrieved 20 April 2021 from: https://connect.portofrotterdam.com/portforward-digitalmaturity-bpa Port Technology (2022) Smart Digital Ports of the Future 2022 edition of the Port Technology International Journal. https://www.porttechnology.org/editions/smart-digital-ports-of-thefuture-2022/ Robinson R (2006) Port-oriented landside logistics in Australian ports: a strategic framework. Marit Econ Logist 8(1):40–59 Russo F, Musolino G (2020) Quantitative characteristics for port generations: the Italian case study. Int J Transp Dev Integr 4(2):103–112 Sislian L, Jaegler A, Cariou P (2016) A literature review on port sustainability and ocean’s carrier network problem. Res Transp Bus Manag 19:19–26 Smith M (2022) Gigafactory transformation on track as Port of Blyth becomes key materials hub. Retrieved 5 August 2022 from: https://bdaily.co.uk/articles/2022/07/07/gigafactory-transforma tion-on-track-as-port-of-blyth-becomes-key-materials-hub Song DW, Panayides PM (2015) Maritime logistics. A guide to contemporary shipping and port management, 2nd edn. Kogan Page Ltd, London Song T, Li Y, Zhang X-P, Wu C, Li J, Guo Y, Gi H (2020) Integrated port energy system considering integrated demand response and energy interconnection. Int J Electr Power Energy Syst 117:105654 Stopford M (2009) Maritime economics, 3rd edn. Routledge, London/New York The Business Research Company (2022) Smart ports global market report 2022. https://www. reportlinker.com/p06290016/Smart-Ports-Global-Market-Report.html?utm_source¼GNW Tommasetti A, Troisi O, Tuccillo C (2014) Smart and green technologies in the Mediterranean ports: the Genoa port case study. In: Proceedings of the 2nd International Conference on Contemporary Marketing Issues (ICCMI), pp 480–488. https://doi.org/10.13140/2.1.4779.8408

844

M. Conti et al.

Transport Scotland (2012) Trust ports and their stakeholders. Retrieved 20 April 2021 from: https:// www.transport.gov.scot/publication/modern-trust-ports-for-scotland-guidance-for-good-gover nance/j249946-03/ United Nations (2015) Transforming our world: the 2030 agenda for sustainable development. Retrieved 20 April 2021 from: https://sdgs.un.org/publications/transforming-our-world-2030agenda-sustainable-development-17981 Urban Foresight (2018) Launch of North East Smart Ports Testbed. Retrieved 20 April 2021 from: https://urbanforesight.org/latest/launch-of-north-east-smart-ports-testbed/ Vega-Muñoz A, Salazar-Sepulveda G, Espinosa-Cristia JF, Sanhueza-Vergara J (2021) How to measure environmental performance in ports. Sustainability 13:4035. https://doi.org/10.3390/ su13074035 Wärtsilä (2020) Demand for efficiency drives smart port developments. https://www.wartsila.com/ insights/article/demand-for-efficiency-drives-smart-port-developments Waterborne Technology Platform (2018) Waterborne vision 2030 & 2050. Retrieved 20 April 2021 from: www.waterborne.eu Wei YY (2020) Business and economics of port management: an Insider’s perspective. Routledge, London Williams M (2016) UK summit: smart ports could solve bottlenecks says ABP. Retrieved 20 April 2021 from: https://www.automotivelogistics.media/uk-summit-smart-ports-could-solve-bottle necks-says-abp/16640.article Yang Y, Zhong M, Yao H, Yu F, Fu X, Postolache O (2018) Internet of Things for smart ports: technologies and challenges. IEEE Instrum Meas Mag. https://doi.org/10.1109/MIM.2018. 8278808 Yau K-LA, Peng S, Quadir J, Low Y-C, Ling MH (2020) Towards smart port infrastructures: enhancing port activities using information and communications technology. IEEE Access. https://doi.org/10.1109/ACCESS.2020.929990961

Part II Approaches and Methods to Foster Sustainability

Global Models of Sustainability and Values

41

Bertrand Guillaume

Contents 1 Introduction: Backcasting and Forecasting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Two Sides of Normativity: Sub-jectivity and Retro-jectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Two Cases: “World 3” and “Bariloche” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Conclusion: Toward New Global Models of Sustainability? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

847 849 850 852 853

Abstract

This chapter is about axiology and normativity in global models of sustainability. Based on a short epistemological and historical inquiry into forecasting and backcasting global models, and prominent examples of them, the argument is about the need for more normative, yet transparent, models of sustainable development in future sustainability science and research. Keywords

Values · Sustainability · Global models · Normativity · Axiology

1

Introduction: Backcasting and Forecasting

Global models of sustainability (or, equivalently, of sustainable development) are proposed in science and research on a regular basis. Significant cases are, e.g., Motesharrei et al. (2014) or Vogel et al. (2021). However, fundamental epistemological issues of such models often remain underexplored. Both for theoretical and practical purposes, this chapter aims at sketching an inquiry into some of their important normative and axiological dimensions. B. Guillaume (*) University of Technology of Troyes (UTT), Troyes, France e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_15

847

848

B. Guillaume

According to the now canonical definition of the Brundtland report, Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs. It contains within it two key concepts: the concept of ‘needs,’ in particular the essential needs of the world’s poor, to which overriding priority should be given; and the idea of limitations imposed by the state of technology and social organization on the environment’s ability to meet present and future needs. (United Nations 1987, p.54)

From this point of view, some global models of sustainable development, or global models of sustainability, are inevitably normative – in the general sense of “what on which judgements are based and what recommends choices” – for they proceed from an anticipation for which thought travels backward in time from a limit state considered desirable. This given goal is, precisely, one of a sustainable society, which in full compatibility and consistency with the above definition would have taken up the double challenge of the imbalance in the inter- and intraregional distribution of wealth, on the one hand, and the global ecological problems related to economic activities and modern lifestyles, on the other hand. Backward from such a future state of the world considered sustainable, this first modeling approach is about deducing some implementable strategy likely to bring it about. In this framework, sustainability strategies can, for instance, be reasonably be regarded as programs of human development under ecological constraints, or conversely as measures for ecological protection and restoration under socioeconomic constraints. In both cases, the intellectual movement travels backward in time, from the future wished for to the actual present, while sustainability is set as a normative objective to be attained eventually. Another, dual, approach involves exploratory models that follow the traditional arrow of time, which ex post check the potential match between their final outcomes and the above-mentioned idea of sustainability. Therefore, models of this kind do not offer any “ought-to-be” vision of the future of obvious normative nature. Rather, they explore possible, or probable, futures in the long run, starting from assumptions related to a given system, then extrapolating over time some of its variables considered as “driving forces,” curbing some others in a more or less contrasted way, representing their relationships, interconnections, and interactions through a consistent formal representation. It is no surprise that exploratory models can ultimately produce prospects, which may not be sustainable. They do not look to the future as the concretization of some ultimate human intent, but as the contingent emergence of one singular reality, among other possible ones, which results from the complex combination and interaction of variables within a dynamic system simulated over time through some stepwise pathway. Thus, they would exhibit unsustainable futures in principle, for they are not a priori projections of preconceived images of a sustainable future. Rather, they compose sets of data and variables, chain causes, and effects and deploy chance and necessity in order to produce resulting outcomes, which will be relative surprises instead. They would exhibit unsustainable futures a fortiori as long as the

41

Global Models of Sustainability and Values

849

scientific findings, which constitute their basis, confirm the reality of biophysical limits for the global environment to meet some human needs in the current and reasonably foreseeable state of technology and social organization (Rockström et al. 2009; IPCC 2014; Steffen et al. 2015). It follows that it is possible, indeed likely, that the functional relationships of these models might, in their systemic explorations of the future over a certain time horizon, convert eventually their initial assumptions into “landscapes of the future” bearing potential threats to the conditions of “permanence of genuine human life” (Jonas 1984, p.11) on Earth. Let us here simply suggest tragic practical and moral consequences for the safety and welfare of individuals and communities among the most fragile or vulnerable ones by recalling that one of the adjustment variables sometimes highlighted or suggested is, critically, a collapse of society in the form a decline in population and standard of living (Meadows et al. 1972; Tainter 1988; Diamond 2005). Again, of course, the outcome of such a forecasting exploration into different pathways for the advent of the future has no particular reason to be sustainable, for the very reason that it was never constrained by the normative framework of sustainability in the first place.

2

Two Sides of Normativity: Sub-jectivity and Retro-jectivity

Distinguishing between those two kinds of models because of their different metaphysics of time (normative on the one hand, exploratory on the other hand) is obviously relevant. Yet that is not to say that exploratory models of sustainability – or more exactly, as we just suggested, exploratory models of un-sustainability, for most of them – do not incorporate any normativity, the term having then a quite different meaning, however. In fact, it would be vain, and both naïve and reckless, to think that exploratory models would be more value-free or more scientifically objective than normative models. Every model of the future necessarily assumes some implicit normativity under the form of an underlying axiology. Each causal inference relationship, each choice of parameters, and each selected variable (and all the more the dynamic evolution patterns or pathways used for each of them) involve fundamental value judgments, even if those are neither deliberately nor explicitly mentioned – as this is often the case in exploratory models. The outcome of a model, its equilibria, and internal variability depend on how modeling emphasizes, or ignores, trends or processes (related to the economy, society, politics, technology, or population). They depend on how modeling translates these trends and processes into one set of variables over another, and how modeling extrapolates, transforms, or reverses their course over time, specifying discontinuities with various degrees of irreversibility, subject to threshold effects at different timescales, allowing for more or less uncertainty, with more or less tight coupling, etc. To put it another way, a model of sustainability always depends more or less implicitly of a bounded conception of the world, of an ontology which establishes the nature of things, their mode of existence, and their mutual bonds, and of an

850

B. Guillaume

epistemology which states the scientific means and mediations for knowing them. Thus, even before accessing the data, and before elaborating theories from them, the mind is predisposed by history and culture to favor some phenomena or processes among others, the expression modes and measure metrics of which can additionally modify meaning and weighting depending on the modeling objective and context. It should also be pointed out that each set of variables can include indicators, which are themselves the result of data and measures composition, with theories involved and underlying values playing a pivotal role in cause-and-effect relationships or evolution dynamics of complex systems. Regarding models of sustainability, a double formal distinction should therefore distinguish between these two figures of the “normative” established in the above paragraphs. On the one hand is a figure of the normative in opposition to the objective, namely a figure of the subjective, both a condition and a consequence of the building of any model of the future (and in a broader sense of any foresight exercise). On the other hand is a figure of the normative in opposition to the descriptive, that is to say a figure of the projective, or backcasting, namely the sketching of a new society satisfying a set of arbitrary chosen constraints (the ones of sustainability), as well as the demonstration, backward in time, of the possibility of its actualization, or its advent. This is, basically, the two-faced “normative Janus” of sustainability models.

3

Two Cases: “World 3” and “Bariloche”

However not recent, and prior to the abovementioned definition of sustainability by the Brundtland report, the two pioneering and paradigm models World 3 and Bariloche allow, in their duality and complementarity, to exemplify, and retrospectively ponder, the two figures of the normative in global models as developed after preliminary debates around sustainability (Meadows et al. 1972; Herrera et al. 1977). After the international conference on the “rational use and the conservation of the Biosphere” held at Unesco, Paris in 1968, in order to think about a new, more global approach of environmental problems (UNESCO 1970), the World model, soon popularized by the Report to the Club of Rome, is historically the first global model of sustainability. Based on system dynamics (Forrester 1971), it is introduced to the world as a scientific demonstration that, during the century to come (i.e., by 2099), the fundamental limits to growth would be of a physical nature. In other words, theoretically immutable and unsurpassable “limits to growth” exist, and the only way to avoid the associated future, dark and catastrophic for mankind because of its “overshoot and collapse” pattern (Breierova 1997), a quite unsustainable prospect indeed, would involve the deliberate limitation of the increase in world population and the stabilization of industrial per capita production. The media coverage and popular echo following the publication of the model’s outcomes are at the time enormous. The simulation method and the conclusions of the report cause not only serious worries, but also strong criticisms, in particular in

41

Global Models of Sustainability and Values

851

academia, which will soon lead to the development of new global models of sustainability, among which the Latin-American model (Vieille Blanchard 2007). The fundamental criticism from this Argentinian model (also known as the Bariloche model) to the World 3 model shaped by Meadows et al. is primarily epistemological, beyond purely methodological criticisms raised by international research teams (Gallopin 2001). Rightfully, they pointed to, in particular, the complete absence of price mechanisms likely to account for the relative scarcity of natural resources. They also suggest that, for instance, the assumption of the univocal and literally irreversible destruction of ecosystems (without any possible processes of regeneration nor restoration) is probably simplistic. They finally discuss various aspects such as the disputable meaning of some causal relationships, the extreme behavior (of exponential nature) of some variables over time, the excessive sensitivity of the model to the joint variation of some parameters, and the unrealistic hypothesis of a perfectly homogeneous world from one area of civilization to another (Vieille Blanchard 2010). The epistemological criticism raised by the Bariloche model touches on the first figure of the normative as brought out above, namely the dialectics of the subjective and the objective in sustainability models. More precisely, the criticism, which is of philosophical nature in the first place, is aimed at the pretense to objectivity of the World 3 model. It was, indeed, heralded as a neutral scientific exercise, resulting from the then recent works on the dynamics of systems developed at the Massachusetts Institute of Technology by Jay Forrester, and based on the best available knowledge at the time (Forrester 1971). On the opposite, the group of Latin-American scholars led by Amilcar Herrera under the sponsorship of the Bariloche Foundation points out that any conception of the world and concrete ideology cannot be separated from the simulation of complex interactions between objects. No more can they be isolated from the making of models of the future, because they are nothing less but a set of beliefs and assumptions determining the perception of reality (Herrera et al. 1977). Moreover, it is pointed out that, aiming explicitly at informing policy decisions, the World 3 model cannot – at least implicitly – be so different of a political message to some degree. Actually, the Bariloche model fully undertakes its part of subjectivity and exhibits it throughout its pages in the most explicit and transparent manner. It is the case with the choice of components and functional features (production functions with substitution between capital and labor, chosen criteria for dealing with the issues of natural resources, energy, and pollution), to begin with. But it is also the case in its clear opposition to Neo-Malthusianism (quite trendy, then) and in this central assumption that, regarding the spatial and temporal scales considered, the key obstacles to sustainability do not in fact fall into economic considerations stricto sensu, but rather, fundamentally, into political and social aspects. These, it is argued, result directly from the inequality in the distribution of power in the world characterized by “alienation and oppression.” This makes the authors write in their introduction:

852

B. Guillaume

The model presented here [. . .] does not pretend to be “objective” in the sense of being value-free as generally understood. It portrays a conception of the world shared by its authors and to which they are deeply committed. (Herrera et al. 1977, p.7)

The other major difference between the World 3 and Bariloche models is indeed related to the other normative side of sustainability models, namely the dialectic figure of the projective (backcasting) as opposed to the descriptive (forecasting). The World 3 model is based on trend scenarios. Contrariwise, the Bariloche model offers concrete utopia to be achieved, which would, in this case, be compatible with the idea of sustainability as later promoted and popularized by the World Commission on Environment and Development (United Nations 1987). This “ideal” society to come would so be “fair,” regarding the egalitarian existence of inalienable rights to the satisfaction of certain human needs (housing, health, food, and education). It would also be “post-materialistic,” with production determined by the satisfaction of basic human needs only, not by profit. It would finally be “participatory,” with social decisions taken in an open and democratic way at all levels of society, both as an end in itself and as a legitimate basis for nonconsumption. The method chosen by the authors of the Latin-American world model somehow implies to choose the destination in order to set the path. The satisfaction of basic needs thought of as both fundamental and invariable corresponds to the conceptual proposal of a new normative society (the destination), while the model allows to examine its material possibility and to check the possibility of its realization through a series of cultural and institutional changes (the path). In the very words of the report: The model presented here is quite explicitly normative. It is not an attempt to discover what will happen if present trends continue but tries to indicate a way of reaching a final goal, the goal of a world liberated from underdevelopment and misery. (Herrera et al. 1977, p.7)

4

Conclusion: Toward New Global Models of Sustainability?

Steering and planning frameworks to achieve sustainable development goals have been proposed through innovation, manufacturing, and supply chain management (Awan 2020; Awan et al. 2019). Yet, we are now in a situation where global environmental change is worsening, with rather discouraging ecological trends regarding, e.g., changes in atmospheric constituents and radiative forcing (IPCC 2014) or the deterioration of biodiversity and ecosystems functions and services (Millennium Ecosystem Assessment 2005; IPBES 2019). At the same time, our knowledge of the future, its surprises and what may determine them, is still limited. As we lack widely accepted theoretical frameworks to explain the multiscale dynamics of the world and its mysteries, it might be that unpredictability is nothing but a part of reality itself (Bergson 1911). In the contemporary globalized diversity, agents in society continue to pursue distinct goals and to have different ambitions both for themselves and for humankind, on Earth and sometimes beyond.

41

Global Models of Sustainability and Values

853

Based on a philosophical/epistemological inquiry focused on axiology in global modeling, this chapter argues that the time has come to develop more widely new normative models of sustainability, in the double (and cumulative) sense highlighted throughout our analysis, and reflected by the comparison between the World 3 model and the Bariloche model. Vogel et al. (2021) recently provided a good and promising example of what we have in mind for future research directions in global modeling (Richardson 1978) within academia and society. In other words, for all the abovementioned reasons, it seems now important to recognize and make explicit the conceptions of the world at the basis of models of sustainability, and in some cases to use several of them, in parallel or simultaneously, within an approach promoting a “biodiversity” of models of the future in sustainability science and research (Guillaume 2015). We of course know the terrible results of great doctrinaire utopias in the twentieth century, which pretended to save humankind while sacrificing people (Hobsbawm 1994; Mattei 2005). Thus, global models of sustainability should contribute to imagining a common future with these lessons of history in legacy, in dialectics with an ecological and universal awareness, and toward open futures, different from what the world actually is. Yet, it seems today truly necessary to think afresh the core values of our societies, in order to be able to offer alternative visions for the future, and to suggest new worlds, in summary to revitalize the very meaning and nature of human ethics and politics on Earth. One sufficient reason for this would be that the crisis, which threatens tomorrow, is in fact as of now affecting a number of people today, who survive in dire conditions of poverty and despair. To them, in a way, the catastrophe is already there and seems to remain unanswered.

References Awan U (2020) Steering for sustainable development goals: a typology of sustainable innovation. In: Leal FW, Azul A, Brandli L, Lange SA, Wall T (eds) Industry, innovation and infrastructure. Encyclopedia of the UN sustainable development goals. Springer, Cham. https:// doi.org/10.1007/978-3-319-71059-4_64-1 Awan U, Kraslawski A, Huiskonen J, Suleman N (2019) Exploring the locus of social sustainability implementation: a south Asian perspective on planning for sustainable development. In: Leal FW, Tortato U, Frankenberger F (eds) Universities and Sustainable Communities: Meeting the Goals of the Agenda 2030. World Sustainability Series. Springer, Cham. https://doi.org/10. 1007/978-3-030-30306-8_5 Bergson H (1911) Creative evolution. Henry Holt and Company, New York Breierova L (1997) Generic structures: overshoot and collapse. MIT System Dynamics in Education Project Diamond J (2005) Collapse: how societies choose to fail or succeed. Viking Press, New York Forrester J (1971) World dynamics. MIT Press, Cambridge Gallopin G (2001) The Latin American world model (a.k.a. the Bariloche model): three decades ago. Futures 33:77–88 Guillaume B (2015) Prospective. In: Bourg D, Papaux A (eds) Dictionnaire de la pensée écologique. Paris, Presses Universitaires de France, pp 832–835 Herrera AO, Scolnik HD, Chichilnisky G, Gallopin GC, Hardoy JE (1977) Catastrophe or new society? A Latin American world model. International Development Research Centre, Ottawa

854

B. Guillaume

Hobsbawm E (1994) The age of extremes: the short twentieth century, 1914–1991. Vintage Books, New York IPBES (2019) In: Brondizio ES, Settele J, Díaz S, Ngo HT (eds) Global assessment report on biodiversity and ecosystem services of the intergovernmental science-policy platform on biodiversity and ecosystem services. IPBES secretariat, Bonn IPCC (2014) In: Pachauri RK, Meyer LA (eds) Climate change 2014: synthesis report. Contribution of working groups I, II and III to the fifth assessment report of the intergovernmental panel on climate change. [Core Writing Team,. IPCC, Geneva Jonas H (1984) The imperative of responsibility: in search of an ethics for the technological age. University of Chicago Press, Chicago Mattei J-F (2005) Le sens de la démesure. Sulliver, Paris Meadows DH, Meadows DL, Randers J, Behrens WW III (1972) The limits to growth: a report for the Club of Rome’s project on the predicament of mankind. Universe Books, New York Millennium Ecosystem Assessment (2005) Ecosystems and human well being: synthesis. Island Press, Washington DC Motesharrei S, Rivas J, Kalnay E (2014) Human and nature dynamics (HANDY): modeling inequality and use of resources in the collapse or sustainability of societies. Ecol Econ 101: 90–102 Richardson JM (1978) Global modelling. Futures 10:386–404 Rockström J, Steffen W, Noone K, Persson Å, Chapin FS III et al (2009) A safe operating space for humanity. Nature 461:472–475 Steffen W, Richardson K, Rockström J, Cornell SE, et al. (2015) Planetary boundaries: guiding human development on a changing planet. Science 347(736):1259855 Tainter J (1988) The collapse of complex societies. Cambridge University Press, New York UNESCO (1970) Use and conservation of the biosphere: proceedings of the intergovernmental conference of experts on the scientific basis for rational use and conservation of the resources of the biosphere, Paris, 4–13 September 1968. United Nations Educational, Scientific and Cultural Organization, Paris United Nations (1987) “Brundtland Report”, Report of the World Commission on Environment and Development. New York: United Nations. See as well: World Commission on Environment and Development (1987). Our common future. Oxford University Press, Oxford Vieille Blanchard E (2007) Croissance ou stabilité ? L’entreprise du Club de Rome et le débat autour des modèles. In: Dahan A (ed) Les modèles du futur : Changement climatique et scénarios économiques, enjeux scientifiques et politiques. La Découverte, Paris, pp 19–43 Vieille Blanchard E (2010) Modelling the future: an overview of the ‘Limits to growth’ debate. Centaurus 52:91–116 Vogel J, Steinberger JK., O’Neill DW., Lamb WE, Krishnakumar J (2021) Socio-economic conditions for satisfying human needs at low energy use: an international analysis of social provisioning. Glob Environ Chang, in press

The Role of Innovation in a Postgrowth Society

42

Christian Sartorius, Elisabeth Du¨tschke, Hendrik Hansmeier, Nils B. Heyen, Sabine Preuß, Philine Warnke, and Andrea Zenker

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Interdependency Between Innovation and Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Technical Innovation and Postgrowth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Service Innovation and Postgrowth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Social Innovation and Postgrowth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Innovation and Well-Being Under Postgrowth Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Conclusions and Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

856 857 859 861 863 865 866 868

Abstract

From an economic perspective, innovation and growth constitute a very close relationship with the former being a prerequisite for, and at the same time relying on, the latter. However, continued growth requires increasing amounts of natural resources and by doing so leads to the transgression of the boundaries for a safe operation of the system earth. In order to avoid this drawback, a halt (steady state) or even reversal of growth (de- or postgrowth) is proposed. What does this mean for innovation? This chapter shows that innovation is a far more diverse and complex phenomenon as the common notion of growth-related techno-economic innovation suggests. Not only are there different types of innovation, but also the relationship between these diverse innovation types, their intended impacts, nonintended side effects, and contributions to universally accepted societal goals such as well-being or sustainability is heterogeneous and far from linear. Although economic growth might remain a more or less relevant intermediate C. Sartorius (*) · E. Dütschke · H. Hansmeier · N. B. Heyen · S. Preuß · P. Warnke · A. Zenker Fraunhofer Institute for Systems and Innovation Research ISI, Karlsruhe, Germany e-mail: [email protected]; [email protected]; [email protected]; [email protected]; [email protected]; [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_16

855

856

C. Sartorius et al.

factor in some contexts, it generally seems by no means indispensable, neither as a prerequisite for innovation nor as a means to reach well-being nor as an end in itself. Keywords

Postgrowth · Degrowth · Innovation · Sustainability · Well-being · Social innovation · Common-good orientation

1

Introduction

Economic growth is a dominant feature of the economic policy of most countries as it is considered as the prerequisite for the continuous improvement of their citizens’ (material) well-being. It creates jobs and, by raising their income, enables people to enjoy increasing standards of living (OECD 2015). Innovation and the concomitant increase of knowledge is seen in turn as a precondition of growth, as it brings about the necessary increase in productivity (Binswanger 2006). However, economic growth as it is commonly known utilizes large and increasing amounts of natural resources, e.g., sources of raw materials, energy, and biodiversity as well as sinks for all types of disposals. It does so to an extent that the planetary boundaries of a safe operating space for humanity are progressively transgressed (Rockström et al. 2009). In response to this, an increasing number of scientists call for a decrease in the utilization of resources (factor X, Lehmann et al. 2018) or, more generally, a halt (steady state, Daly 1991) or even reversal of economic growth (i.e., degrowth, Kallis et al. 2012). Since it is unclear how much degrowth would in fact be needed, some prefer to use the term postgrowth to rather express the intention to become independent of growth than to reduce it to a specific, greater or lesser extent (Petschow et al. 2018). Against this backdrop, the question arises what a phaseout or even reversal of the actual economic growth path would mean in terms of human wealth and well-being and, in particular, which role innovation might play in this context. It is a typical characteristic of a capitalist market economy and the legitimation for most research and innovation policies that innovation enables companies to raise their productivity, create new products, and use new market opportunities. Thus, becoming more competitive, they are less likely to be displaced by other companies (Schumpeter 1934). On the economy level, innovation and the accumulation of the resulting profits leads to growth. If now growth is contested owing to its negative effect on human living conditions, does this render innovation obsolete? Conversely, innovation appears to rely on growth and profits in order to be financed. Does this imply that without growth no capital is left to finance innovation? Compared to technical innovations, other innovation types such as service and social innovations often show different characteristics in terms of entrepreneurship, capital requirements, and their sustainability effects. What can be their respective contributions to a postgrowth society? Humans have always tried to find ways to improve their living

42

The Role of Innovation in a Postgrowth Society

857

conditions, i.e., in a very broad sense, to innovate. Therefore, they are not likely to stop innovating under the conditions of postgrowth. The question is, rather, how innovation is brought about and how this might improve human well-being. In order to answer these questions, this chapter will proceed along the following steps. Section 2 will elucidate the general interdependency between innovation and growth – under growth as well as post- or degrowth conditions. Section 3 will focus more specifically on technical innovations, which may be considered as both, a cause and a possible solution to the crisis of growth. Sections 4 and 5 will then discuss the role of service and social innovations and their possible role for a postgrowth economy. Section 6 will outline ways on how innovation can improve human well-being without the need for (material) growth. Finally, Sect. 7 provides some conclusions and an outlook to possible future research.

2

Interdependency Between Innovation and Growth

Originally defined as “new combinations of production means” (Schumpeter 1934), innovation generally reflects a novel or improved product or process that is implemented (on the market) and thus made available for use (OECD and Eurostat 2018). Although Schumpeter (1934) has also highlighted other forms of innovation such as organizational adjustments and new production methods, technical innovations have always been of particular economic, political, and scientific interest. According to standard economic theories, the importance of technical innovation or progress for economic growth and competitiveness ultimately lies (besides the creation of new products) in its increasing effect on productivity or efficiency, i.e., total factor productivity. Accordingly, innovations generate more output with the same input of the production factors’ capital, labor, or natural resources (OECD 2015). Particularly important in this regard is capital, which enables the successive replacement of costly factors such as labor. This creates a comparative advantage for the innovators and allows them to grow and make profits (Binswanger 2006; Nelson and Winter 1977). Since companies compete with one another for scarce production inputs and customers, those producing most efficiently prevail. Less or non-competitive companies are sorted out in the process of “creative destruction” (Schumpeter 1934), which creates intermittent phases of economic crises in a longterm trend of growth. The positive correlation between innovation output and economic growth also applies the other way round. Not only does innovation give rise to profits and growth, but also profits and growth are seen as preconditions for taking the risks of innovation and disposing of the necessary capital. Consequently, as long as the demand for the produced goods expands, this creates a self-reinforcing feedback loop of growth, innovation, and entrepreneurship (Galindo and Méndez 2014). Whether the economy as a whole is able to grow also depends on the availability of financial capital, which is a matter of monetary policy and interest rates (Binswanger 2006).

858

C. Sartorius et al.

Beyond the link between innovation and growth, it has been recognized that interactive learning processes and organizational routines are a key source for the generation and diffusion of innovation (Nelson and Winter 1982). Against this background, knowledge accumulation and innovation are no longer understood as linear processes, but as embedded in systemic structures characterized by many interdependencies (Freeman 1994). This system of innovation understanding (Edquist and Hommen 1999) stresses the importance of interactions between elements as diverse as institutions, policies, technologies, and actors (Warnke et al. 2016). More recently, today’s growing economy has come under criticism for its continuous transgression of physical planetary boundaries (e.g., Rockström et al. 2009). Like other ecological economists, Daly (1991) argues that the transgression has to be avoided because the economy will not survive without a functioning natural environment. To achieve this objective, two basic approaches exist. The first approach is ecology-oriented and tries to change the conditions of the actual (growing) economy such that the boundaries are no longer transgressed. It goes beyond a (mere) green economy or eco-modernization approach by conceding that increasing efficiency alone might not be sufficient. Rather, it is necessary to 1. Substantially increase the price of natural resources in order to reduce the demand for them and thereby avoid rebound effects (Sorrell 2009) 2. Limit the growing money supply (and resource-consuming investments fueled by that) through the introduction of 100%-money (only federal banks are allowed to create money, see Fisher (1935) in Binswanger 2009) 3. Introduce zero or negative interest rates to reduce financial capital availability (Loehr 2012) 4. Change from profit to common good-oriented business models (Paech 2013; Felber 2018) In this approach, no or negative growth is not an end, but an unavoidable means to achieve sustainability. It corresponds to the precaution-oriented postgrowth approach developed by Petschow et al. (2018). The second approach is much more comprehensive. Like the first approach, it considers economic growth and capitalism as the principal causes for the transgression of planetary boundaries, but unlike this approach (owing to its many negative side effects), it considers efficiency-oriented technology within an unchanged growth regime as deeply insufficient and inadequate to solve the sustainability challenge (Grunwald 2018; Heikkurinen 2018). More specifically, the degrowth movement following this approach sees the necessity to change the entire system fundamentally and abandon the growth-leads-to-welfare logic altogether (Latouche 2012), because 1. Participation in the yields of growth is very unequal across the population of most countries and worldwide (Piketty 2014).

42

The Role of Innovation in a Postgrowth Society

859

2. Availability of more income and more goods does not generally lead to higher well-being. 3. Working in large-scale and high-tech factory leads to the alienation of the workers from their work, and accordingly to a lack of self-assurance and decreased wellbeing. 4. Citizens become mere “consuming machines” with little to no influence on where innovation is heading nor with the possibility to use the entire utility potential of the acquired goods (Strand et al. 2018). While (growth-oriented) capitalism is based on reproduction, intellectual property, growth (of firms), accumulation, commodification and centralization, the proponents of degrowth abandon these concepts because they are seen as running contrary to people’s well-being. Accordingly, degrowth can be brought about only by changing the system itself, i.e., the nature of the acting organizations and institutions, and not within the existing system by just changing its conditions (Pansera and Fressoli 2020).

3

Technical Innovation and Postgrowth

As pointed out in Sect. 2, it is the standard neoclassical argument that the gain in productivity (or efficiency in technical terms) caused by technical innovation enables the generation of profits, which in turn give rise to the investment in more research and innovation. On the economy level, this leads to growth and a (presumably) concomitant increase in well-being, but, in a more comprehensive view, it has also led to an overuse of the required natural resources, which will compromise human well-being in the longer term. With respect to this shortcoming, it is argued that technical innovation can also serve as a cure giving rise to an increase in, for instance, energy or material resource efficiency. As long as neither profits nor wages suffer, this win-win situation nurtures hopes among policy makers for so-called “green growth”: the opportunity to reconcile economic growth and ecological sustainability (Pesch 2018). So far, however, this potential is limited and the low-hanging fruits driving a green economy turn out to give rise only to a relative decoupling of material resource use from economic growth (DeStatis 2021). Owing to various rebound effects (Sorrell 2009) and continued growth, the absolute decoupling necessary for complying with the planetary boundaries has not been achieved (Lehmann et al. 2018). If stronger goals are to be achieved under the conditions of growth, more money has to be spent for installing and operating the necessary technological equipment. In the context of climate protection, for instance, even the large number of regulatory barriers and economic drivers actually implemented or planned and the resulting technology investments are expected to be insufficient to limit the global rise in temperature by 2100 to 1.5 or 2 degrees representing the global boundary (UNFCCC 2021). In order to incentivize compliance with these limits, the price of tradeable greenhouse gas emission certificates would have to increase from now EUR 25 to at

860

C. Sartorius et al.

least EUR 180 per ton of CO2 equivalents. A similarly strong price increase would be required to limit the extraction of material resources for industrial use and the use of fertilizers in agriculture to ecologically sustainable limits (Matthey and Bünger 2020). Under such conditions, the production of goods would evidently become more costly, the economy might not grow anymore or even shrink, and people could possibly afford less – at least in material terms (Daly 1991). In principle, however, such a regime appears feasible. If taxes were used to raise the prices of resourceintense goods and services, their revenues could be used, among other things, to cofinance the respective investments and maintain the necessary innovation system, especially its education and research capacity. From a policy perspective, missionoriented research and innovation policy could help to direct the scarce financial resources to the most important sustainability goals. Insofar, efficiency-oriented technical innovation does in principle not depend on growth. Additionally, exnovations as the intended elimination of unsustainable practices, products, technologies, and socio-technical infrastructure could be employed (Krüger and PellicerSifres 2020). In the degrowth community and its discourse, by contrast, the role of technical innovations is far from clear (Kerschner et al. 2018). There is both technological skepticism and enthusiasm; some even speak of “[d]egrowth’s intrinsic love-hate relationship with technology” (Kerschner et al. 2018, p. 1623). While for the skeptics technology represents the old economic “innovation for growth” paradigm or the new technoscience-based “green growth” approach they strive to overcome (Strand et al. 2018), the enthusiasts believe that technologies could contribute to a postgrowth society as long as they are designed in a specific (e.g., “democratised”) way (Zoellick and Bisht 2018). However, both sides agree that technologies should be evaluated according to certain criteria (Kerschner et al. 2018). The work of Illich (1973) is the dominant reference in this regard. He introduced the term of “convivial tools,” which describes techniques that, in contrast to “manipulative tools,” help to enable or reestablish the autonomy and control of humans in order to restrain hierarchical power relationships established by the capitalist system or the state. Accordingly, for Illich conviviality is an intrinsic ethical value. Inspired by this concept, Vetter (2018) developed the notion of convivial technologies which score high on five dimensions: relatedness (not only to other people, but also the natural environment), accessibility (of everything needed to create or use the technology), adaptability (to different use contexts, needs, or scales), bio-interaction (usefulness in an ecological cycle), and appropriateness (with regard to the local context and the relation between input and output). Another line of thought within the degrowth discourse focusses on the actors producing technical innovations rather than on the output itself. Pansera and Fressoli (2020), for instance, propose nine dimensions to distinguish growth-oriented from postgrowth-oriented organizations. They include underpinning values and resources, ownership and governance, production and consumption patterns, use of surplus, intellectual property, technology design, power relationships, and scale. Moreover, based on empirical studies Gebauer (2018) shows that a large fraction of small and

42

The Role of Innovation in a Postgrowth Society

861

medium-sized enterprises (SMEs) are nongrowers or slow growers. Economically surviving despite operating primarily according to ecological, social, and democratic (rather than pure economic) principles, they can be considered models for postgrowth-oriented companies (Gebauer et al. 2017). Also from a classical technology assessment (TA) perspective (Grunwald 2018), it seems to be not enough to evaluate the intended and unintended (side) effects of technical innovations within the system setting of the growth paradigm. Rather, “‘[t]hinking in alternatives’ empowered by TA [. . .] also need to deal with the ‘big’ questions such as the role of the growth paradigm and expectations of technological progress. Otherwise, there is the very real danger that TA will eventually become a repair business condemned to failure for a system that is not sustainable itself” (Grunwald 2018, p. 1862). Although evaluative frameworks, such as the one proposed by Vetter (2018), are without doubt valuable and important regarding the question how technologies under postgrowth conditions should look like, several aspects remain vague and require more research. Even if such evaluative criteria contributed to change the design of technical innovations in the future, what would that mean for the “big” picture of a whole economy covering all societal needs? How would, for instance, big socio-technical infrastructures such as the energy or the medical aid system look like if aligned with the five dimensions mentioned above? Many of the technologies that are positively evaluated from a degrowth perspective represent only niches (e.g., bicycles, composting toilets), which leaves the implications for a potential economy-wide upscaling unclear.

4

Service Innovation and Postgrowth

In Western societies for a long time, an increasing shift of output and employment shares toward the service sector can be observed, and service innovation gained importance in innovation research and policy during the last decades. Given the size and heterogeneity of the service sector, specific activities were considered particularly important with respect to innovation: knowledge-intensive (business) services (KIBS), their engagement in innovation activities, and their innovation interactions with their clients (Hipp and Grupp 2005; Miles et al. 1995; Muller 2001; cf., for instance, Strambach 2001). Core characteristics of KIBS are their knowledge intensity and creativity, their problem-solving and innovation capacity, and the high user or client specificity of their products (Muller et al. 2010; Windrum and Tomlinson 1999). More recently, however, research shows that technological advances also help to transform “traditional” services into innovative ones (Gallouj et al. 2017). Service innovation can have different forms and characteristics. Innovation within the service sector includes new services developed and implemented by companies that belong to the service sector, e.g., in retail, health and care, creative industries, information and communication, technical and business-supporting sectors, etc. Such innovations may include digital tools and processes such as self-services in

862

C. Sartorius et al.

retail, online banking, or new diagnosis opportunities in medicine and health care (cf., for instance, Windrum 2014). In addition, new or improved services are developed by industrial (manufacturing) firms accompanying their goods and products. Examples are mobility services in automotive production and maintenance agreements as accompanying service to machine development. This generates “hybrid” value instead of a distinction between products and services (Hollanders et al. 2014; Lerch 2015; Miles 2000; cf. also OECD and Eurostat 2018, p. 76) or new combinations in the Schumpeterian sense (see also Likavčan and Scholz-Wäckerle 2018). Innovative solutions may also result from cooperation between manufacturing and service firms that jointly produce a novel solution. In short, main clients of innovations in the service sector are firms, as well as households and individuals. New services also occur in the public and semipublic sector, i.e., in government, public bodies, and institutions, and in the intermediary sector that coordinates different (business) actors. Often, those new services are cocreated in collaboration between different actors. Examples are new solutions in providing municipal duties (Beaudet and Shearmur 2019), participatory and sharing formats in municipalities, or new services needed in unpredictable situations (such as the current pandemic). As a consequence, service industries differ in their productivity rates and resource inputs (Wölfl 2003). Thus, a direct connection between services and (less) resource intensity is ambiguous (Petschow et al. 2018). Innovations in some service sectors may have similar features as technical innovations, while others differ. Taking the example of health and care services and related innovations, some services formerly provided by societal actors (mostly families) are increasingly transferred to commercial suppliers. This includes day care and extraschool teaching for children, or care services for elderly people. Innovations in this sector include new rehabilitation methods or new ways to organize and deliver those services. The commercialization of this service alone leads to an increased gross domestic product (GDP) (¼ growth). According to Reuter and Zinn (2011), societies with aging population have a growing demand for personal, care, education, and training services, which in turn requires income in order to purchase those services. Services provided by the public sector may follow different rationales, as the public sector itself is not (directly) subject to market forces. But through commissioning of private businesses (Djellal et al. 2013), public bodies are indirectly linked to markets. Additionally, their service supply depends on sufficient financial means, mainly through tax revenues, fees, etc. Parts of services and service innovations are strongly technology-oriented. Though their development follows market rationales, they might play a role in degrowing spatial development, as March (2018) shows for the example of Smart City initiatives. Rather intangible new services based on knowledge input and strong interactions between producer and user of the service are strongly based on qualification and can be considered less capital-intensive. They often use technical solutions such as IT-based platforms and thus depend on previous investment and use of resources in other sectors. Under postgrowth conditions, lower shares of revenues for financing innovation can be expected which leads to the necessity to

42

The Role of Innovation in a Postgrowth Society

863

define priorities and missions. Concerning a degrowth perspective, Likavčan and Scholz-Wäckerle (2018) plead for using surplus for repair and maintenance (services), for redistribution and recombining existing capital. New care and social services with an expected increasing demand in aging societies require either sufficient income of households or financial means to offer those services publicly. Some authors propose to develop new concepts for describing work and activities including (unpaid) community and social work, but the implementation and implications of those approaches remain to be discussed (Petschow et al. 2018). Others include health and education in their approach to degrowth, and discuss the need for limiting them similarly to material (and resource-utilizing) technologies (Samerski 2018).

5

Social Innovation and Postgrowth

Recently, the interest in “social innovations” has risen both in academia and in policy circles. Looking at social innovation has often been linked with the debate of the need to move beyond a “pro-growth oriented innovation paradigm” (Bolz and de Bruin 2019, p. 742). However, social innovations are defined quite differently (Ayob et al. 2016), which has important implications for the evaluation of their impact or relation to economic growth. One often-used understanding distinguishes social innovation from other innovation types through its positive impact on society, for example, by stating that “social innovations are both good for society and enhance society’s capacity to act” (The Young Foundation 2012, p. 18) and “the value created accrues primarily to society as a whole rather than private individuals” (Phills et al. 2008). Thus, the attribute “social” refers to their outcome. This outcome-oriented definition is adopted also for market-based innovations by some authors like Aksoy et al. (2019) referring to: “the creation of novel, scalable and sustainable-market based service offerings that solve systemic societal problems.” In this case, social innovations differ from other innovation types by their purpose to contribute to the solution of societal problems, however, follow the same logic in terms of a market-driven and thus growth-oriented development. Furthermore, such an approach to social innovation is highly instrumental and normative and, thus, downplays possible negative consequences and implies a high dependence on the societal and political contexts (Bolz and de Bruin 2019). Another approach to the concept links it with “social entrepreneurship.” An OECD definition in this context describes social enterprises as “any private activity conducted in the public interest, organized with an entrepreneurial strategy, but whose main purpose is not the maximization of profit but the attainment of certain economic and social goals” (OECD 2013, p. 3). In this case, social enterprises are different from voluntary organizations as they produce goods and/or sell services with a minimum amount of paid work. Such an understanding positions social innovation at the margin of a market-driven economy with a close link to activities evolving outside the market such as unpaid voluntary or care work. To some extent,

864

C. Sartorius et al.

this resembles the actual economic system where, due to historical power structures, the main societal trajectories follow a market-based growth-driven logic while some processes, especially care work, operate outside the dominant economic paradigm. Nevertheless, the social enterprise could well be interpreted as an institutional innovation that lowers the dependency of societies on economic growth as they address welfare outside the established growth-dependent paradigm. A third group of authors focus in their definition of social innovations on new social practices (Howaldt and Schwarz 2010) and emphasize the orientation toward the innovators’ needs: “What distinguishes social innovations from other manifestations of social change is that they are driven by certain actors in an intentional targeted manner with the goal of better satisfying or answering needs and problems than is possible on the basis of established practices.” (Howaldt and Hochgerner 2019, p. 19). In this understanding, social innovations are different from technical innovations because they involve novel practices rather than novel technologies or products. This definition also directly connects the innovation itself (the change in practices) with certain outcomes (fulfilling innovators’ needs) and possible wider societal impact that may be perceived as negative or positive depending on the normative framework in place. Defined in this way, social innovations are eventually understood as not intertwined with a market and thus a growth logic. A slightly broader definition is adopted by Avelino et al. (2019) and, with a focus on the energy sector, by Wittmayer et al. (2020). These authors conceptualize social innovations as “a combination of ideas, objects and/or actions that change social relations and involve new ways of doing, thinking and/or organizing” (Wittmayer et al. 2020, p. iv). Following Avelino et al. (2019), this means that social innovations may be transformative and challenge, alter, or replace dominant institutions in the social context. This opens the field for a more systematic research into the relationship between social innovation and economic growth. At the same time, such an understanding explicitly allows social innovation to contribute to changes in the current system by triggering change in institutions. However, it is also able to capture smaller-scale social innovations that manifest in changes of daily practices. Little research so far has been done to evaluate the impact of social innovations in terms of growth dependence. Furthermore, the breadth of the definition makes it difficult to differentiate social innovations from technical or service innovations as most innovations lead to at least some change in social relations and practices. From an innovation systems perspective, the focus on innovation in social practices needs to be added to the established understanding of the innovation system which is (still) very much focusing on technical innovation (Warnke et al. 2016). Warnke et al. (2016) further point out that innovation in social practices and in particular those that are not primarily aiming at market introduction are usually not recognized by the established system. This links back to the challenge outlined above to capture social innovation with existing evaluation tools and sets of indicators. The discussion in this section demonstrates the current ambiguity in the understanding of social innovation and the dominant attempt to integrate them into the current capitalist system. Social innovations can not only contribute to system

42

The Role of Innovation in a Postgrowth Society

865

change and to the transition toward a postgrowth society, but they can also increase marginalization, for instance, in situations “characterized by market failures and withdrawal of the state” (Deserti and Rizzo 2020, p. 867). Thus, an evaluation of their impacts is critical to make use of the societal potential of social innovation by capturing their benefits and downsides in a systemic way.

6

Innovation and Well-Being Under Postgrowth Conditions

As a matter of course, the impacts and effects of innovations can be positive and negative (Engelbrecht 2018). Regarding well-being, most research indicates that innovations have a positive impact on subjective well-being (Engelbrecht 2014). This established relationship between innovations and well-being can be direct or indirect. Looking closer at the concept of well-being, there are numerous definitions of (subjective) well-being, which often overlap partly or completely with definitions of quality of life, happiness, and luck. The definition used here is closely connected to quality of life: Well-being is how a person perceives and evaluates her own life, including the experience of positive and negative emotional responses as well as the cognitive satisfaction with life (e.g., Diener et al. 2009; Proctor 2014; Stone and Mackie 2013). More specifically, the definition used by the World Health Organization (The WHOQOL Group 1996) defines quality of life as an aggregate of the following four domains including different facets (in brackets): 1. Physical health (e.g., activities of daily living, sleep and rest, pain and discomfort, and work capacity) 2. Psychological health (e.g., negative/positive feelings, self-esteem, and personal beliefs/religion) 3. Social relationship (e.g., social support, personal relationships, and sexual activity) 4. Environment (e.g., freedom, physical safety and security, financial resources, transport, and physical environment such as pollution, traffic, noise, and climate) Under the assumption of welfare maximization, economists often reduce wellbeing (and the absence of risk and fear) to more financial security. However, when looking at the WHO definition of well-being and its facets, the impact of innovations on well-being can be diverse and all linkages need to be considered. While the dependence of well-being on technical (Frey and Stutzer 2005), service (Card 2020), and social (Casini et al. 2018) innovations is well-established, the reverse connection (with well-being being a precondition for innovations) appears to be relevant as well. Research shows that there are many links between the two concepts: A qualitative study of Honkaniemi et al. (2015) with 14 interviews suggested that there are eight possible connections between well-being and

866

C. Sartorius et al.

innovation or innovativeness, respectively. Similarly, quantitative research indicated that well-being has a significantly positive influence on individual innovation behavior (Wang et al. 2017). Interestingly, in this study, the relationship between well-being and innovation behavior was not direct but indirect (mediated by knowledge sharing). The underlying thought is simple: Only if people are happy and feel well, they dispose of sufficient resources to generate new ideas. Nonetheless, there is another stream of research suggesting the opposite view: Mulgan (2012) stresses that especially when people are in difficult situations (i.e., they miss an important aspect for their well-being), they need to become creative and generate new ideas and innovations to improve their situation. Either way, there is research showing that well-being is both a precondition and a consequence of innovations. Both perspectives underline a direct relationship between well-being and innovations without growth as a mediating factor, implying that growth is not a required condition for the positive effect of innovations on wellbeing. Thus, promoting innovations makes sense also under postgrowth conditions. As outlined above, well-being consists of a range of different factors – financial security is just one facet of it. Thus, it is not surprising that Martin (2013) postulated different challenges for innovation research, called “From ‘more is better’ to ‘enough is enough’” and “From ‘the winner takes it all’ to ‘fairness for all’” both highlighting a postgrowth perspective. Similarly, the Easterlin paradox demonstrates that the increase of well-being does not always correlate with increasing financial resources, but instead, life satisfaction and income disconnect over time (Easterlin 1974). More recent work also showed that people who highly value material gain are more likely to suffer from emotional disorders (Kasser 2002), demonstrating that the association between growth and well-being might be weaker than expected. With respect to postgrowth, this does not imply that well-being cannot increase. The use of different resources including time is an important factor. People adopting a sufficiency lifestyle (“living better with less”), for instance, need fewer resources for their living – environmental and financial resources – and thus might work less. Since fewer personal resources (e.g., time and individual energy) are spent in working hours to gain money, they can spend these resources in personal activities such as social relationship or physical activities leading to no increase in financial or material resources but to an increase in their meaning of life and, thus, well-being. In addition, the “free time” is also often spent for political, voluntary, or social work that does not only increase the individual’s meaning of life and social well-being (Michaelson et al. 2009), but has also benefits for society (Demaria et al. 2013). Thus, it can be assumed that well-being without growth is possible – especially in the context of sufficiency lifestyles.

7

Conclusions and Outlook

As we have shown in this chapter, innovation is a far more diverse and complex phenomenon as the common notion of growth-related techno-economic innovation suggests. Not only are there different types of innovation (such as “convivial”

42

The Role of Innovation in a Postgrowth Society

867

technical, service or social innovation), but also the relationship between these diverse innovation types, their intended impacts, nonintended side effects, and contributions to universally accepted societal goals such as well-being or sustainability is heterogeneous and far from being linear. Although economic growth might remain a more or less relevant intermediate factor in some contexts, it generally seems by no means indispensable, neither as a prerequisite for innovation nor as a means to reach well-being nor as an end in itself. Although the financial resources will be scarcer under postgrowth than under the actual growth conditions, innovations will continue to play an important role for two main reasons. First, they may contribute positively to people’s well-being even in the absence of growth, and second, they may help to reorient the society’s path toward increased sustainability. The latter point stands in contrast to the past role of technical innovation as a catalyzer of growth, which has led to the transgression of the planetary boundaries and to the need of a transition toward postgrowth in the first place. The resolution of this contradiction depends on the precondition that more efficiency-oriented technical innovations in fact contribute to the prevention of the environmental collapse, e.g., by means of strong regulatory incentives. High costs and a decrease or even reversal of economic growth might be the price of this approach. One way to reduce these adverse effects could consist in a shift from technical to other types of innovation. Service innovations, however, can also be rather resourceintense, and the productivity increase they give rise to often drives economic growth as much as technical innovations. Social innovations could perform better since they do not only use more intangible inputs, but also are – at least according to some definitions – less profit-oriented. Therefore, they exhibit a certain potential to attenuate material growth and reduce the ecological impact of the remaining growth. Another, more comprehensive way to overcome the downsides of a growth-based economy might consist in the reorientation of its main characteristics. For instance, profit as the most important driver of growth could be replaced by common-good orientation as described in the “Gemeinwohl-Ökonomie” of Felber (2018). Moreover, a small-scale economic structure with smaller and more regional or even local companies may not only be able to better match the regional demand, but it may also have the potential to avoid some of the environmental disadvantages of the global growth economy. The latter point also fits to the prominent argument within the degrowth discourse that technologies (technical innovations) have to undergo a transition from uniform large-scale efficiency orientation toward the better appreciation of the preferences and autonomy of the individual users (“conviviality”), which is more readily accounted for by a small-scale structure. After all, it appears likely that this multitude of changes needs to be accompanied by a change of attitudes on several societal levels. While the literature reviewed in this chapter provides many examples for postgrowth-compatible (technical) innovation and a variety of criteria for their evaluation, it remains unclear how these (often niche) examples are to be upscaled to the whole economy or society. Another open question concerns the role of the market. Some critics of capitalism and growth consider competition and the market

868

C. Sartorius et al.

as its crucial components. However, while this is certainly true for competition and the struggle for survival of the market participants, it should nevertheless be investigated how the search and allocation function of the market could be integrated in a less capitalist system. Innovation evidently contributes to the increase in human well-being. It does so with or without growth. So far, the dominant indicator of wealth is GDP, which is closely linked to material growth. Although suitable alternatives exist, they are rarely used when policy makers have to decide about the direction of economic and societal progress.

Literature Aksoy L, Alkire L, Choi S, Kim PB, Zhang L (2019) Social innovation in service: a conceptual framework and research agenda. J Serv Manag 30(3):429–448 Avelino F, Wittmayer JM, Pel B, Weaver P, Dumitru A, Haxeltine A, Kemp R, Jørgensen MS, Bauler T, Ruijsink S, O’Riordan T (2019) Transformative social innovation and (dis)empowerment. Technol Forecast Soc Chang 145:195–206 Ayob N, Teasdale S, Fagan K (2016) How social innovation ‘came to be’: tracing the evolution of a contested concept. J Soc Policy 45(4):635–653 Beaudet G, Shearmur R (2019) L’innovation municipale. Sortir des sentiers battus. Les Presses de l’Université de Montréal, Montréal Binswanger H-C (2006) Die Wachstumsspirale. Geld, Energie und Imagination in der Dynamik des Marktprozesses. Metropolis, Marburg Binswanger H-C (2009) Die Wachstumsspirale in der Krise. Ansätze zu einem nachhaltigen Wachstum. TU Dresden, Faculty of Business and Economics, Dresden Bolz K, de Bruin A (2019) Responsible innovation and social innovation: toward an integrative research framework. Int J Soc Econ 46(6):742–755 Card E (2020) Precision vision: empowering innovation and well-being. J Perianesth Nurs 35(3): 234–236 Casini A, Bensliman R, Callorda Fossati E, Degavre F, Mahieu C (2018) Is social innovation fostering satisfaction and well-being at work? Insights from employment in social enterprises providing long-term eldercare services. Volunt Int J Volunt Nonprofit Org 29(6):1244–1260 Daly HE (1991) Steady-state economics. Island Press, Washington, DC Demaria F, Schneider F, Sekulova F, Martinez-Alier J (2013) What is degrowth? From an activist slogan to a social movement. Environ Values 22(2):191–215 Deserti A, Rizzo F (2020) Context dependency of social innovation: in search of new sustainability models. Eur Plan Stud 28(5):864–880 DeStatis (2021) Nachhaltige Entwicklung in Deutschland. Indikatorenbericht 2021. Statistisches Bundesamt, Wiesbaden Diener E, Lucas RE, Oishi S (2009) Subjective well-being: the science of happiness and life satisfaction. In: Lopez SJ, Snyder CR (eds) The Oxford handbook of positive psychology. Oxford University Press, New York, pp 187–194 Djellal F, Gallouj F, Miles I (2013) Two decades of research on innovation in services: which place for public services? Struct Chang Econ Dyn 27:98–117 Easterlin RA (1974) Does economic growth improve the human lot? In: David PA, Readers W (eds) Nations and households in economic growth: essays in honous of Moses Abramovitz. Academic, New York, pp 89–125 Edquist C, Hommen L (1999) Systems of innovation: theory and policy for the demand side. Technol Soc 21:63–79

42

The Role of Innovation in a Postgrowth Society

869

Engelbrecht H-J (2014) A general model of the innovation - subjective well-being nexus. J Evol Econ 24(2):377–397 Engelbrecht H-J (2018) The (social) innovation – subjective well-being nexus: subjective wellbeing impacts as an additional assessment metric of technological and social innovations. Innov Eur J Soc Sci Res 31(3):317–332 Felber C (2018) Gemeinwohl-Ökonomie. Piper, München Freeman C (1994) The economics of technical change. Camb J Econ 18(5):463–514 Frey BS, Stutzer A (2005) Happiness research: state and prospects. Rev Soc Econ 63(2):207–228 Galindo M-Á, Méndez MT (2014) Entrepreneurship, economic growth, and innovation: are feedback effects at work? J Bus Res 67(5):825–829 Gallouj F, Rubalcaba L, Toivonen M, Windrum P (2017) Understanding social innovation in service industries. Ind Innov 25:551–569 Gebauer J (2018) Towards growth-independent and post-growth-oriented entrepreneurship in the SME sector. Manag Rev 29(3):230–256 Gebauer J, Lange S, Posse D (2017) Wirtschaftspolitik für Postwachstum auf Unternehmensebene: Drei Ansätze zur Gestaltung. In: Adler F, Schachtschneider U (eds) Postwachstumspolitiken. Wege zur wachstumsunabhängigen Gesellschaft. oekom Verlag, München, pp 239–251 Grunwald A (2018) Diverging pathways to overcoming the environmental crisis: a critique of eco-modernism from a technology assessment perspective. J Clean Prod 197:1854–1862 Heikkurinen P (2018) Degrowth by means of technology? A treatise for an ethos of releasement. J Clean Prod 197:1654–1665 Hipp C, Grupp H (2005) Innovation in the service sector: the demand for service-specific innovation measurement concepts and typologies. Res Policy 34:517–535 Hollanders H, Buligescu B, Es-Sadki N, Foldspang L, Lange P, MacAulay B, Muller E, Zenker A (2014) Methodology for measuring the transformative power of service innovation – European Service Innovation Scoreboard (ESIS). ESIC European Service Innovation Centre, European Commission, DG Enterprise and Industry Honkaniemi L, Lehtonen MH, Hasu M (2015) Well-being and innovativeness: motivational trigger points for mutual enhancement. Eur J Train Dev 39(5):393–408 Howaldt J, Hochgerner J (2019) Desperately seeking: a shared understanding of social innovation. In: Howaldt J, Kaletka C, Schröder A, Zirngiebl M (eds) A world of new practices. 2nd volume: a world of new practices. Oekom, München, pp 18–21 Howaldt J, Schwarz M (2010) Social innovation: concepts, research fields and international trends. In: Henning K, Hees F (eds) Studies for innovation in a modern working environment – international monitoring. IMA, IfU of RWTH Aachen, Aachen Illich I (1973) Tools for conviviality. Harper & Row, New York Kallis G, Kerschner C, Martinez-Alier J (2012) The economics of degrowth. Ecol Econ 84:172–180 Kasser T (2002) The high price of materialism. The MIT Press, Cambridge Kerschner C, Wächter P, Nierling L, Ehlers M-H (2018) Degrowth and technology: towards feasible, viable, appropriate and convivial imaginaries. J Clean Prod 197:1619–1636 Krüger T, Pellicer-Sifres V (2020) From innovations to exnovations. Conflicts, (De-) Politicization processes, and power relations are key in analysing the ecological crisis. Innovations 33(2):115–123 Latouche S (2012) Can the left escape economism? Appl Econ Lett 23:74–78 Lehmann H, Schmidt-Bleek F, Manstein C (2018) Factor X – 25 years – “factor X concept” is essential for achieving sustainable development. In: Lehmann H (ed) Factor X. Challenges, implementation strategies and examples for a sustainable use of natural resources. Springer, Cham, pp 3–12 Lerch C (2015) Interaktion von Produkt- und Dienstleistungsinnovationen. Eine Analyse der Wechselwirkungen in Industrieunternehmen. Gabler, Wiesbaden Likavčan L, Scholz-Wäckerle M (2018) Technology appropriation in a de-growing economy. J Clean Prod 197:1666–1675

870

C. Sartorius et al.

Loehr D (2012) The euthanasia of the rentier – a way toward a steady-state economy? Ecol Econ 84: 232–239 March H (2018) The Smart City and other ICT-led techno-imaginaries: any room for dialogue with degrowth? J Clean Prod 197:1694–1703 Martin BR (2013) Innovation studies: an emerging agenda. In: Fagerberg J, Martin BR, Andersen ES (eds) Innovation studies. Evolution and future challenges. Oxford University Press, Oxford, pp 168–186 Matthey A, Bünger B (2020) Methodenkonvention 3.1 zur Ermittlung von Umweltkosten. Kostensätze Stand 12/2020. Umweltbundesamt, Dessau-Roßlau Michaelson J, Abdallah S, Steuer N, Thompson S, Marks N (2009) National accounts of well-being. Bringing real wealth onto the balance sheet. New Economics Foundation, London Miles I (2000) Services innovation: a reconfiguration of innovation studies. University of Manchester Miles I, Kastrinos N, Flanagan K, Bilderbeek R, den Hertog P, Huntink W, Bouman M (1995) Knowledge-intensive business services. Users, carriers and sources of innovation. A report to DG13 SPRINT-EIMS. PREST Mulgan G (2012) The theoretical foundations of social innovation. In: Nicholls A, Murdock A (eds) Social innovation. Palgrave Macmillan UK, London, pp 33–65 Muller E (2001) Innovation interactions between knowledge-intensive business services and small and medium-sized enterprises. An analysis in terms of evolution, knowledge and territories. technology, innovation and policy, Series of the Fraunhofer Institute for Systems and Innovation Research (ISI), vol 11. Physica, Heidelberg Muller E, Zenker A, Héraud J-A (2010) Inside KIBS’ black box: exploring the existence and function of knowledge angels. In: Doloreux D, Freel M, Shearmur R (eds) Knowledge-intensive business services. Geography and innovation. Ashgate, Farnham, pp 211–231 Nelson RR, Winter SG (1977) In search of useful theory of innovation. Res Policy 6(1):36–76 Nelson RR, Winter SG (1982) An evolutionary theory of economic change. Belknap Press of Harvard Univ. Press, Cambridge, MA OECD (2013) Policy brief on social entrepreneurship – entrepreneurial activities in Europe, Luxembourg OECD (2015) The innovation imperative. Contributing to productivity, growth and Well-being. OECD Publishing, Paris OECD, Eurostat (2018) Oslo manual 2018: guidelines for collecting, reporting and using data on innovation. 4th edition, the measurement of scientific, technological and innovation activities. OECD Publishing, Luxembourg Paech N (2013) Jenseits der Wachstumsspirale. Forschung Lehre 4:276–277 Pansera M, Fressoli M (2020) Innovation without growth: frameworks for understanding technological change in a post-growth era. Organization 28(3):380–404 Pesch U (2018) Paradigms and paradoxes: the futures of growth and degrowth. Int J Sociol Soc Policy 38(11–12):1133–1146 Petschow U, aus dem Moore N, Pissarskoi E, Korfhage T, Lange S, Schoofs A, Hofmann D (2018) Gesellschaftliches Wohlergehen innerhalb planetarer Grenzen: Der Ansatz einer vorsorgeorientierten Postwachstumsposition. Dessau-Roßlau Phills J, Deiglmeier K, Miller D (2008) Rediscovering social innovation. Stanf Soc Innov Rev Fall:34–43 Piketty T (2014) Capital in the 21st century. Belknap Press of Harvard Univ. Press, Cambridge, MA Proctor C (2014) Subjective well-being (SWB). In: Michalos AC (ed) Encyclopedia of quality of life and well-being research. Springer Netherlands, Dordrecht, pp 6437–6441 Reuter N, Zinn KG (2011) Moderne Gesellschaften brauchen eine aktive Dienstleistungspolitik. WSI Mitteilungen 9:462–469 Rockström J, Steffen W, Noone K, Persson Å, Chapin FS III, Lambin E, Lenton TM, Scheffer M, Folke C, Schellnhuber H, Nykvist B, De Wit CA, Hughes T, van der Leeuw S, Rodhe H, Sörlin S, Snyder PK, Costanza R, Svedin U, Falkenmark M, Karlberg L, Corell RW, Fabry VJ,

42

The Role of Innovation in a Postgrowth Society

871

Hansen J, Walker B, Liverman D, Richardson K, Crutzen P, Foley J (2009) Planetary boundaries: exploring the safe operating space for humanity. Ecol Soc 14(2):32 Samerski S (2018) Tools for degrowth? Ivan Illich’s critique of technology revisited. J Clean Prod 197:1637–1646 Schumpeter JA (1934) Theorie der wirtschaftlichen Entwicklung. Eine Untersuchung über Unternehmergewinn, Kapital, Kredit, Zins und den Konjunkturzyklus. Duncker & Humblot, Berlin Sorrell S (2009) Jevons’ paradox revisited: the evidence for backfire from improved energy efficiency. Energy Policy 37:1456–1469 Stone AA, Mackie CJ (eds) (2013) Subjective well-being. Measuring happiness, suffering, and other dimensions of experience. The National Academies Press, Washington, DC Strambach S (2001) Innovation processes and the role of knowledge-intensive business services (KIBS). In: Koschatzky K, Kulicke M, Zenker A (eds) Innovation networks. Concepts and challenges in the European perspective. Physica-Verlag, Heidelberg, pp 53–68 Strand R, Saltelli A, Giampietro M, Rommetveit K, Funtowicz S (2018) New narratives for innovation. J Clean Prod 197:1849–1853 The WHOQOL Group (1996) WHO-QOL-BREF. Introduction, administration, scoring and generic version of the assessment. World Health Organization, Geneva The Young Foundation (2012) Social innovation overview – part I: defining social innovation. European Commission, Brussels UNFCCC (2021) Nationally determined contributions under the Paris agreement. Synthesis report by the secretariat. United Nations Framework Convention on Climate Change, Bonn Vetter A (2018) The matrix of convivial technology – assessing technologies for degrowth. J Clean Prod 197:1778–1786 Wang J, Yang J, Xue Y (2017) Subjective well-being, knowledge sharing and individual innovation behavior. Leadersh Org Dev J 38(8):1110–1127 Warnke P, Koschatzky K, Dönitz E, Zenker A, Stahlecker T, Som O, Cuhls K, Güth S (2016) Opening up the innovation system framework towards new actors and institutions. In: Fraunhofer ISI discussion papers “Innovation Systems and Policy Analysis”, no. 49 Windrum P (2014) Third sector organizations and the co-production of health innovations. Manag Decis 52(6):1046–1056 Windrum P, Tomlinson M (1999) Knowledge-intensive services and international competitiveness: a four country comparison. Tech Anal Strat Manag 11(3):391–408 Wittmayer JM, Fraaije M, Hielscher S, Avelino F (2020) Report on preliminary typology of social innovation in the energy sector. Deliverable 1.1 to Horizon 2020 SONNET project. https:// sonnet-energy.eu/wp-content/uploads/2020/03/SONNET_D1_1_TYPOLOGY_SUBMIT TED_v1_0_20200131.pdf Wölfl A (2003) Productivity growth in service industries: an assessment of recent patterns and the role of measurement. OECD science, technology and industry working papers, no. 2003/07 Zoellick JC, Bisht A (2018) It’s not (all) about efficiency: powering and organizing technology from a degrowth perspective. J Clean Prod 197:1787–1799

Impacts of Social Hazards on Urban Sustainability

43

Jose Manuel Diaz-Sarachaga

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Linking Sustainability and Resilience in Urban Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Characterization of Social Hazards with Regard Resilience Thinking . . . . . . . . . . . . . . . . . . . . . 4 The Complex Nature of Urban Adaptive Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Digital Cities to Manage Complex Adaptive Urban Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Impacts of Coronavirus Pandemic on Urban Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

874 875 876 877 878 879 883 884

Abstract

The prominent role played by cities on human life has meant that one of the 17 Sustainable Development Goals included in the 2030 Agenda is focused on the urban phenomenon. Sustainability, resilience, inclusiveness, and safety are four aspects to be significantly strengthened in cities before the end of 2030. Climate change has been the usual source of natural disasters that have hit urban settings in the last years causing thousands of fatalities and billionaire property losses worldwide. As a consequence, resilience has captured the attention of scholars to promote the abilities of communities to prepare, adapt, response, and recover to/from a disaster. Nevertheless, the analysis of hazards that emerge from society and led to a profound social transformation has been scarcely addressed. With the purpose of bridging this gap, this chapter introduced the term “social hazard” and provided an overview of linkages with sustainability and resilience thinking in the urban realm. As an exponent of a social hazard, the impacts of the coronavirus pandemic on urban settlements were analyzed. The study concluded that resilience in cities should be mostly focused on maintaining J. M. Diaz-Sarachaga (*) GTDS Research group, University of Oviedo, Oviedo, Spain e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_17

873

874

J. M. Diaz-Sarachaga

the operation of urban systems, for which a changing scenario that encompasses complex adaptive systems should be considered. Keywords

Social hazards · Urban resilience · Adaptive capacity · Sustainable urban development · Complex adaptive systems

1

Introduction

Cities are hazardous places (Tiefenbacher 2014) where people and activities can be impacted by diverse stressors such as natural and man-made disasters (Sharifi 2020). Climate change (Tyler et al. 2016) and externalities tied to people concentration and urbanization have mainly captured attention from scholars (Suárez et al. 2016). However, new risks and challenges for urban areas are expected due to the changing context in which we live (Bai et al. 2018). In this vein, the coronavirus pandemic and ongoing mass protests worldwide caused by a state of growing social unrest suggest reconsidering the classification of hazards listed in the Sendai Framework for Disaster Risk Reduction (UNISDR 2015), namely biological, environmental, geological, hydrometeorological, and technological phenomena by also including social hazards. Inequality trend continues to rise among middle and lower income groups, as the figures show, with 10% rise in average income inequality across the most advanced economies over the last 30 years (Keeley 2015). As a result, the social fabric and institutional trust are being undermined. Civil unrest has doubled in the past decade due to economic hardship and political instability. Riots and general strikes around the world have thus experienced a growth of 282% and 821% in the same period, respectively (Institute for Economics and Peace 2020). Although global statistics on the estimate of civil unrest costs are not available worldwide, economic impacts of major disruptive events can be accessed. For instance, $2 billion were paid as insurance claims generated by riots in 140 US cities after the killing of George Floyd from 26 May to 8 June 2020 (PCS 2020). Growing unemployment, inequality, labor precariousness because of COVID-19 pandemic will boost those numbers and therefore, civil disorder. While a large body of literature has examined natural and man-made hazards, research on social hazards is insufficient. This chapter attempts to fill this lacuna by exploring the notion of social hazard as a part of sustainability and resilience thinking in cities. This chapter proceeds as follows: the next Sect. 2 connects sustainability and resilience in urban settlements. The notion of “social hazard” is introduced in the framework of resilience thinking in the Sect. 3. Section 4 examines the complex nature of urban adaptive systems to understand how resilience works and the liaison with social hazards. The management of complex adaptive urban systems by means of digital cities was addressed in the Sect. 5. The impacts of the coronavirus

43

Impacts of Social Hazards on Urban Sustainability

875

pandemic as a “social hazard” on the sustainable urban development are then presented. The chapter ends with a summary of main conclusions.

2

Linking Sustainability and Resilience in Urban Settings

Experts have coined a broad spectrum of definitions to depict urban concept on the premise that nonagricultural sectors are represented in it and two main criteria characterize cities: population size and built environment. The former relates the number of people living within a certain administrative boundary (Minx et al. 2013). Residential density, land use, street grid, and infrastructure system fundamentally distinguish the latter (Seto et al. 2013). But other scholars as Fuller (2013) conceive cities as evolving sets of interwoven cultural, physical, and ecological elements that shape complex socio-ecological systems (Folke et al. 2002; Ahern 2013). In this chapter, an approach of cities as socio-ecological systems where human beings interact was adopted. Since world urban population is expected to expand to 68% before 2050 (UN 2018), the examination of key trends in urbanization is crucial to outline a new framework for urban development. A global interest in urban resilience and urban sustainability has therefore emerged. Current interpretations of both concepts often lead to confusions and overlaps (Elmqvist et al. 2017) due to vague and narrow definitions used interchangeably in some instances (Redman 2014). Diaz-Sarachaga and Jato-Espino (2019a) define urban sustainability as the ability of meeting essential needs of inhabitants without exceeding environmental constraints and balancing economic, social, and environmental goals across an inclusive and participatory governance. And Zhang and Li (2018) consider urban sustainability as an active integration and coevolution of urban subsystems without compromising the development of surrounding areas and reducing the harmful effects of development on the biosphere. Well-being and equal sharing of wealth could be guaranteed for present and future generations by means of the integration of subsystems and an efficient management of resources in cities (Elmqvist et al. 2019). The introduction of some resilience-related notions is necessary when discussing urban resilience. While the concept “risk” is associated to a probability that something negative could occur (Alexander 2000), “hazard” refers to an event that might wreak negative impacts on people, economy, and environment (Dickson et al. 2012). Disasters are thus the result of the effects derived from hazards that exceed the capability of systems to cope with them (Diaz-Sarachaga and Jato-Espino 2019b). In this context, exposure and vulnerability become both relevant. Exposure involves “everything than can be affected in an area where a hazard event may occur” (Cardona et al. 2012, p. 68). And vulnerability represents “the predisposition of exposed elements to be negatively influenced by hazard events” (Birkmann and Wisner 2006, p. 37). Although exposure is a key component of vulnerability, it is not determinant (Fuchs et al. 2011). Conversely, exposure is essential for vulnerability (Thywissen 2006). Physical attributes pertaining to, inter alia, construction features of housing and/or infrastructure, and qualitative properties such as age, health, or

876

J. M. Diaz-Sarachaga

poverty level can sway vulnerability. The multidimensional condition of vulnerability results in three distinct categories: physical, social, and economic. Physical vulnerability examines properties of physical elements which determine the level of damage when a hazard event occurs (Espada et al. 2017), while social vulnerability involves capabilities of communities to deal with the effects of hazards (Solangaarachchi et al. 2012). The impact of hazards on people’s livelihoods is analyzed by economic vulnerability (UNISDR 2015). The faculty of cities to recover from the effects of hazards or disasters has been closely linked to urban resilience (Cutter et al. 2010). “The adaptive capacity of urban systems to maintain or return to desired functions in case of a hazard event, to adapt to change and to quickly transform systems” was emphasized by Meerow et al. (2016), which suggests that resilience needs to be studied within a changing context of complex adaptive systems (Levin 1998). Resilience may be also deemed as an attribute of the systems that ought to be analyzed under the perspective “of what, to what and for whom” (McPhearson 2014). Furthermore, the combined analysis of the multiple scales of urban systems from household to neighborhood and from neighborhood to city is required to avoid misleading conclusions, since the transformation of the lower scales can contribute to strengthen resilience at the city scale. Cross-scale dynamics challenge integration of resilience and sustainability as well. Urban resilience and urban sustainability exemplify the duality of urban systems. Resilience represents a passive process where external factors influence a virtual cycle formed by ecosystem services and human welfare. On the other side, sustainability is an active process that seeks the integration and coevolution of all urban subsystems (Bănică et al. 2020) around social, economic, environmental, and institutional aspects. Despite their close relationship, actions towards resilience can conflict with sustainability goals as, for instance, optimization of urban infrastructures such as transportation or energy systems can thus neglect redundancy, a key feature of resilient systems, which may increase the level of vulnerability.

3

Characterization of Social Hazards with Regard Resilience Thinking

The interaction between complex urban socio-ecological systems is covered by resilience thinking (Mai and Chan 2020) that intends to strengthen the ability of city systems to react and response to hazards by returning to the previous operational state (Vale and Campanella 2012) or transforming them into a new stable system (Serfilippi and Ramnath 2018). Resilience, adaptability, and transformability are the pivotal aspects of resilience thinking (du Plessis 2008). In this respect, resilience epitomizes the capacity of systems to change and adapt without crossing critical thresholds. Adaptability, as a piece of resilience, describes the capability of systems to adjust responses to hazards within their stability domains. When thresholds are surpassed, systems seek transformation to maintain their stability (Folke et al. 2010). Since resilience, adaptability, and transformability are interlinked at diverse scales,

43

Impacts of Social Hazards on Urban Sustainability

877

any action on one of them at smaller scales can reverberate in any other aspect at larger scales (Walker et al. 2004). For instance, the construction of building flood walls to protect a condo beside a river can also reduce flooding risk in adjacent neighborhoods. Resilience thinking entails the five dimensions of urban resilience: physical, natural, economic, social, and institutional (Ostadtaghizadeh et al. 2015). The built environment, ecosystems, economy, and governance and policies are addressed, respectively, by physical, natural, economic, and institutional resilience. Social resilience is instead focused on people and communities. The concept of social resilience has evolved from a generic definition proposed by Adger (2000) as “the ability of a human community to cope with and adapt to stresses such as social, political, environmental, or economic change” to “the ability of social entities and social mechanisms to effectively anticipate, mitigate and cope with disasters and implement recovery activities that minimize social disruptions and reduce the impact of future disasters” adopted by Saja et al. (2018). The latter highlights the role of social agents and their interaction with social systems. In this sense, diverse levels of engagement with formal institutions can be observed among citizens to enhance conditions. Furthermore, the paucity of funds results in an uneven distribution of resources allocated by local governments to address the needs of the whole population in detriment of equal rights and justice for all, which undermines social cohesion and triggers social unrest. Although literature is primarily oriented to analyze the importance of social resilience and processes to foster the abilities of communities to prepare, response, and recover to/from the occurrence of a disaster, the combination between resilience thinking and the social facet is a pending task for prospective studies. At this stage, the introduction of the new concept “social hazard” is convenient and necessary as a complement to the current Anthropocene epoch where we live, characterized by the growing impacts of human activities on the planet (Crutzen and Stoermer 2000). Social hazard can be thus defined as “any event produced within society that has the potential to trigger severe ripple effects on human activity systems and leads to the transformation of society as a way to overcome the negative impacts caused.” Crime, strikes, anti-government demonstrations, riots, economic crisis, and pandemics, inter alia, can be deemed as expressions of social hazards in this respect.

4

The Complex Nature of Urban Adaptive Systems

Complex system theory (Holland 1995) studies the evolution of systems through the dynamics, interactions, and feedbacks of diverse components (Strathern and McGlade 2014) that have some degree of independence and autonomous behavior (Heylighen et al. 2007). Under this premise, cities can be considered as complex adaptive systems embedded in a multilayered landscape where several systems coevolve in response to changes (Liljenström and Svedin 2005) and in search of an optimal “fit” with their dynamic environment (Portugali 2006). Uncertainty is therefore a key ingredient of urban settings (De Roo 2012).

878

J. M. Diaz-Sarachaga

Complex adaptive systems encompass a large amount of agents interconnected through multiple networks that interact dynamically affecting the whole system (Tsoukas 2005). Those interfaces show a nonlinear pattern whose development trajectories may vary over time according to the degree of uncertainty. As a result, new system configurations that need to be adapted to maintain their functionality can emerge rapidly (Moroni 2015). Informal settlements are an example of how urban systems self-organize in response to changing circumstances. The continuous reconfiguration processes towards the adaptation between urban systems represent the coevolutionary feature of complex adaptive systems. In this line, changes in urban governance to promote civil participation that reduce social unrest illustrate coevolution among local institutions and society. Following this reasoning, a panarchy (Gunderson and Holling 2002) can be regarded as a nested set of adaptive cycles organized hierarchically in a spatiotemporal framework. These adaptive cycles can interact or connect with each other at different levels. When the threshold of a level is exceeded, a new slower and larger level is established and so forth. Contrariwise, the panarchy collapses when several crises coincide in distinct levels at the same time (Walker and Salt 2006). In case of hazard, systems seek a stability domain to retain their function and structure, namely the capacity to be resilient. The understanding of complex adaptive systems is thus pivotal to manage resilience. As an inherent condition of the prior definition of social hazards, they are dynamic, nonlinear, with high degree of uncertainty and reflect interdependencies across the five dimensions of urban resilience. Their effects on cities reveal a nested impact on urban systems that respond by adapting their configuration through the retention of the equilibrium within a concrete regime or changing the thresholds of the systems to enlarge the stability point. This process is referred to as adaptive renewal cycle (Holling 1986) that comprises several stages: growth (exploitation), conservation (steady state), collapse (release), and reorganization. Based on the example of a general strike occurred in a city, interruptions in infrastructure, economic activities, and disturbances affecting the functions of institutions are the common effects in the growth phase. The persistence of the strike in time tends to remain stable (conservation stage), but surpassing a certain period of time urban systems cease to be operative (collapse). And from that moment, systems try to reconfigure the operation by providing basic minimum services to citizens (reorganization) or conversely, the strike is radicalized starting a new cycle (exploitation).

5

Digital Cities to Manage Complex Adaptive Urban Systems

A large volume of data is necessary to explore the performance of nonlinear trajectories governing complex adaptive urban systems over time (Levin et al. 2013). And as such, the adaptation process relies on the availability, access, and interpretation of information gathered from systems (Olsson et al. 2006). Digital city represents a city where people, critical infrastructures, and services are simultaneously interfaced through a grid of vehicles, buildings, smart devices, sensors,

43

Impacts of Social Hazards on Urban Sustainability

879

and diverse equipment that enables the communication and data exchange among them. Although digitalization in cities seeks to improve the performance of urban systems and the quality of citizen life, some scholars argue the poor integration of the human dimension with technology which results in a scarce attention to social and economic issues (Steep and Nabi 2016). Besides, the comprehension of interactions between humans and technology needs to understand reasoning, decision-making, and behavior of actors within the system, rather than the reductionist analysis of data. Some similarities between digital cities and complex adaptive urban systems are found such as connectivity, autonomy of agents, emergent behavior, nonlinearity, or reconfiguration. Resilience thinking can be thus strengthened by considering more resilient digital systems (Biggs et al. 2015). Some tenets that bind resilience and digital cities are presented next in this regard. Systems are more resilient when different components perform the same functions even appearing redundant. Redundancy in networks of digital cities is essential to reduce disruption of systems in case of failure. Separate cable routes, redundant power supplies, data backups, inter alia help achieve redundancy (Sterbenz et al. 2013). Connectivity contributes to maintain the operation of systems when a hazard occurs. Modularity has been an important criterion employed in the design of digital cities to manage connectivity at an affordable cost. The configuration of separate systems through the segmentation of connected nodes serves to modulate the network of digital cities and prevent the spread of disturbances and cascading failure (Little 2010). Resilience management requires the detection of slow changes in systems that enables to identify when a threshold is surpassed to trigger their reorganization into a different level (Folke 2016). Digital cities are also focused on slow and less visible dynamics in addition to extreme events. Because urban systems are in constant development, continuous learning and experimentation are needed to facilitate adaptation to change. Adaptive management and governance also adopt learning among social groups as a key component of decision-making process (Schultz et al. 2011). In this sense, digital cities provide models that support stakeholders to make best decisions. Nevertheless, some issues may emerge when people interact with digital systems such as device misconfiguration or infringement of policy rules. Unauthorized users and cyberattacks are other threats associated to the storage of big data. Ostrom (1990) termed “nested institutions” as the set of connected norms and rules that interact hierarchically to address timely problems in systems at the right level. Based on nested institutions, a polycentric governance system is proven to be effective to lead collective action in response to a hazard. The development of such structures is necessary to enforce and monitor regulations of sensors, devices, and big data in digital cities.

6

Impacts of Coronavirus Pandemic on Urban Sustainability

Although the Sendai Framework for Disaster Risk Reduction adopted in 2015 categorizes epidemics and pandemics as biological hazards, they can be also deemed as a clear exponent of social hazards given that their dynamic, nonlinear, and

880

J. M. Diaz-Sarachaga

Fig. 1 Impacts of coronavirus in social, economic, environmental, and institutional dimensions

uncertain nature, as well as the devastating effects on human activity systems which trigger a profound transformation of society to cope with upcoming crises. Main impacts of the COVID-19 pandemic observed hitherto on the sustainability dimensions of cities and the life of the inhabitants are presented next (Fig. 1). Social distancing has been described as the most efficient protection against the coronavirus. This practice means remaining at home and avoiding contact with people. But, alas, high density in slums and informal settlements has hindered the implementation of social distancing measures in the poorest environments. The use of public transport and shared mobility has been significantly curtailed due to health and safety concerns by fostering pedestrians and private mobility (bicycles, scooters, and cars). Disparity in the pandemic’s impact between people of different socioeconomic backgrounds is high, being minority and vulnerable groups the most affected. For instance, the number of fatalities among the white community in the city of New York is half that of Latinos and Afro-Americans (Wade 2020). Social tensions have also emerged between some migrant groups and domestic residents in several countries derived from the breach of lockdown rules. Home confinement has exacerbated social isolation as a result of minimizing interpersonal interaction and has rocketed the amount of cases associated with mental illness, depression, and suicide in the midst of rumors and misinformation. Besides, restrictions on movement have also undermined the physical condition of citizens rising the risk of cardiovascular disease, obesity, and diabetes. Domestic violence against women and girls has reflected a growth of 30% in diverse countries (UN 2021). At the same time, the enforcement of the State of Emergency in most countries has generated a great deal of controversy among the citizenry that considers it as an abuse of power and a loss of liberties. The measures taken by governments worldwide to contain the rapid spread of coronavirus have entailed ruinous consequences for the economies of all nations of the planet which will remain for a long time. A severe shock on all activity sectors has produced cascading effects, inter alia unemployment, underconsumption, economic recession, and poverty, which further aggravated the situation of countries with preexisting serious socioeconomic crises. Those impacts have been acutely evident in urban settings. Small and medium-sized businesses have borne the brunt of economic disruption. More specifically, a large number of shops located in the city

43

Impacts of Social Hazards on Urban Sustainability

881

center has been forced to close, prompting the decline and deterioration of the downtown, the urban fabric, and the social structure of cities. This process has marginalized vulnerable social groups that rely on motorized vehicles to meet their daily needs and questions the model of compact cities. Although the loss of jobs has particularly affected to the lower social strata, the near demise of informal labor that provided subsistence revenues to a large percentage of urban population in many developing economies has wreak havoc on the lowest class of society, increasing poverty and widening inequalities in those countries. Remote working was practically institutionalized due to the lockdown situation, with many organizations implementing it in the long run. However, this practice has encountered several difficulties. The unexpected outbreak of coronavirus has thereby challenged the digitalization process for business activities, but digital infrastructure has revealed shortcomings and weaknesses in serving customers and users, e.g., banks and public institutions. Further drawbacks of telework were also found in the limited size of housing units that negatively influences worker performance and the increase of home utility expenses. The distribution of household responsibilities among men and women when working from home represents a potential source of gender inequity, being women who mostly assume an extra workload. Drops in family incomes have sharply reduced consumption with ensuing repercussions on production and employment. The purchase of nonessential goods has been replaced by basic foods and home cleaning products, while commercial activities based on e-commerce have substantially grown in detriment of traditional urban trade. Contrariwise to the catastrophic impacts of coronavirus on economic and social dimensions of urban settlements, the pandemic has notably enhanced various environmental aspects in cities. Restrictions on mobility and transportation have drastically lowered energy consumption and consequently air pollution and the environmental footprint. Reducing air pollutants also helps to control the spread of coronavirus and strengthen coping capacity of diseased people. In this vein, concentrations of nitrogen dioxide, carbon monoxide, sulfur dioxide, and aerosol optical depth, linked to the transportation sector, have reflected minimum values in comparison with those of the last decades. Surprisingly, ozone levels have risen owing to the drop of nitrogen dioxide in the atmosphere. Moreover, the surface urban heat island caused by the warmer temperature of urban settings has been impaired because of the scarce mobility. Resulting from the limited human activities, water consumption in cities has fallen in all sectors excluding the residential category with the subsequent decline in air pollutants, as the main contributor of the improvement of quality in water bodies, inlets, and the coastline of cities. However, wastewater treatment processes were reinforced as a precaution against a prospective pollution derived from the use of antiretrovirals for treatment of coronavirus and the transmission of those through fecal matter. On the other hand, the production of household waste has grown steeply. More specifically, nonbiodegradable objects such as disposable utensils (masks, surgical gloves, and protective equipment) and plastic-based recipients. The latter can have

882

J. M. Diaz-Sarachaga

an impact on the amount of microplastics in rivers and seas. The reuse and recycling of waste and shared mobility practices were halted due to sanitation measures set to address the pandemic. And an unprecedented event also occurred during lockdowns when wild animals explored deserted streets given the absence of humans. Urban life has been seriously altered by coronavirus and such disruptions require public institutions to design short-term and long-term plans to deal with upcoming pandemic outbreaks. The recent crisis leaves us a range of lessons learned that suggest the need to think about compact urban development, future housing, green infrastructure, emergency preparedness, the use of smart technologies for effective adaptive response to disruptive events and identification of infected people, and social and economic resilience. The model of compact cities results in a high density in urban centers that complicates infection control and the implementation of social distancing measures during the pandemic. But the sprawl of cities in a wider geographical areas entails an increase in mass public transportation which can help to promote the spread of disease among passengers. Innovative design solutions for housing are necessary to combine living and working by preserving well-being of home dwellers in a small space. Urban greening connecting densely areas provides significant outcomes that alleviate negative impacts of the epidemic on social and environmental domains. Urban policymakers and planners have a great challenge to reshape the postpandemic urban model that addresses all shortcomings revealed. With regard to the 2030 Agenda and more specifically the 17 Sustainable Development Goals (SDG), the coronavirus has negatively hit most SDGs, namely those related to poverty, hunger, education, work, well-being, equality, and economy. The SDG 11 focused on sustainability, resilience, inclusiveness, and safety in cities has been particularly affected by lockdowns and urban system disruptions. The consideration of cities as complex adaptive systems which coevolve in response to changes proposed by Liljenström and Svedin (2005) seems pertinent for understanding the behavior of urban settlements under the effects of the COVID19 pandemic. The pandemic has displayed a cyclical trend that comprises three main stages. Firstly, random effects on urban systems were initially caused at the beginning of the outbreak until population was confined at home. Functionality of cities was fully broken afterwards when authorities decided lockdowns. And lastly, the decrease in the number of infected people contributed to a de-escalation of measures taken against the coronavirus which enabled the reconfiguration of urban processes towards the adaptation to the new normal. The following waves of the pandemic are determining the onset of nested adaptive cycles following the model of panarchy defined by Gunderson and Holling (2002) which will conclude when stability among all components of the systems is achieved. Urban systems have certainly collapsed as a house by dint of the coronavirus, which shows inter alia the lack of emergency preparedness as evidenced by the insufficient amount of health care services and facilities or the unawareness of citizens to how to handle strong confinement effects. Resilience, adaptability, and transformability as the bases of resilience thinking (du Plessis 2008) should be embedded in urban development plans that include effective measures to bolster

43

Impacts of Social Hazards on Urban Sustainability

883

social and economic resilience. The analysis of nonlinear trajectories governing complex adaptive urban systems has need of digital technologies and big data (Levin et al. 2013), which can be also employed to boost efficiency of urban operations and minimize social contact, trace infected people, estimate diffusion patterns, and determine actions for effective adaptive response to disruptive events.

7

Conclusions

The Brundtland Commission laid the foundation stone of sustainable development in 1987 to express the great concern worldwide generated by environmental damage incurred that threatens the future of coming generations. Since that time, the social dimension has gained momentum to equal the importance conferred on economic and environmental aspects, as a result of the evolution of society in the last decades. However, social metamorphosis goes beyond little changes and aims to seeking an in-depth transformation of society that meets the needs of the citizenry. Urban settings, meanwhile, continue to experience an accelerated growth of population that puts increasing pressure on the physical environment, while social, economic, and environmental issues are exacerbated under the powerless gaze of the ineffective public institutions. Moreover, last natural disasters occurred have emphasized the high level of urban vulnerability that results in critical disruptions of basic services. Under this context, this study can be deemed as an initial approach to associate events produced within society that have the potential to interrupt human activity systems to urban sustainability. A new concept as “social hazard” was introduced in this regard. Because sustainability and resilience appear both as an indissoluble binomial, resilience thinking, and adaptive systems were discussed as well. The recent coronavirus pandemic served to analyze how the four sustainability dimensions were impacted in cities as an example of a social hazard. The main conclusion of this chapter is that resilience in cities should be mostly focused on maintaining the operation of urban systems in case of a hazard event, for which it requires to be explored through the prism of a changing scenario that encompasses complex adaptive systems. The dynamic, nonlinear, and uncertain nature of social hazards makes them suitable to be analyzed according to this perspective. The coronavirus pandemic has highlighted the close interrelationship among the four sustainability dimensions and how impacts on one of them affect seriously others. Digitalization was revealed as an effective tool to control and monitor the progress of adaptive systems and therefore to strengthen emergency preparedness in the urban realm. Social unrest already manifested in many countries of the planet will be greatly boosted over the post-COVID era. Hence, more research is thus needed to better understand how expressions of social unrest can have influence on sustainability and resilience of the cities. Furthermore, the incorporation of effective measures that enhance resilience into urban development planning is a pending topic to be addressed.

884

J. M. Diaz-Sarachaga

References Adger WN (2000) Social and ecological resilience: are they related? Prog Hum Geogr 24(3):347– 364 Ahern J (2013) Urban landscape sustainability and resilience: the promise and challenges of integrating ecology with urban planning and design. Landsc Ecol 28(6):1203–1212 Alexander D (2000) Confronting catastrophe-new perspectives on natural disasters. Oxford University Press, Oxford Bai X, Dawson RJ, Ürge-Vorsatz D, Delgado GC, Salisu Barau A, Dhakal S, Dodman D, Leonardsen L, Masson-Delmotte V, Roberts DC, Schultz S (2018) Six research priorities for cities and climate change. Nature 555:23–25 Bănică A, Istrate M, Muntele I (2020) Towards green resilient cities in eastern European union countries. J Urban Reg Anal 12(1):53–72 Biggs R, Schlüter M, Schoon ML (2015) Principles for building resilience: sustaining ecosystem services in social-ecological systems. Cambridge University Press, Cambridge Birkmann J, Wisner B (2006) Measuring the unmeasurable: the challenge of vulnerability. UNU-EHS source. UNU- EHS. Retrieved from https://collections.unu.edu/view/ UNU:1872#viewAttachments Cardona OD, van Aalst MK, Birkmann J, Fordham M, McGregor G, Perez R, Pulwarty RS, Schipper ELF, Sinh BT (2012) Determinants of risk: exposure and vulnerability. Managing the risks of extreme events and disasters to advance climate change adaptation. Cambridge University Press, Cambridge Crutzen PJ, Stoermer EF (2000) The Anthropocene. IGBP Global Change News 41:17–18 Cutter SL, Burton CG, Emrich CT (2010) Disaster resilience indicators for benchmarking baseline conditions. J Homeland Secur Emerg Manage 7(1):Article 51 De Roo G (2012) Spatial planning, complexity and a world ‘out of equilibrium’. In: de Roo G, Hillier J, van Wezemael J (eds) Complexity and planning: systems, assemblages and simulations. Ashgate Publishing, Farnham/Burlington/Vermont Diaz-Sarachaga JM, Jato-Espino D (2019a) Development and application of a new resilient, sustainable, safe and inclusive community rating system (RESSICOM). J Clean Prod 207: 971–979 Diaz-Sarachaga JM, Jato-Espino D (2019b) Analysis of vulnerability assessment frameworks and methodologies in urban areas. Nat Hazards 100(1):437–457 Dickson E, Baker JL, Hoornweg D, Asmita T (2012) Urban Risk Assessments. In: Urban risk assessments: understanding disaster and climate risk in cities (English). Urban development series. World Bank Group, Washington, DC du Plessis C (2008) Understanding cities as social-ecological systems. World sustainable building conference, Melbourne, Australia, 21–25 September 2008, 1–9 Elmqvist T, McPhearson T, Gaffney O, Andersson E (2017) Sustainability and resilience differ. Nature 546:352–352 Elmqvist T, Andersson E, Frantzeskaki N, McPhearson T, Olsson P, Gaffney O, . . . Folke C (2019) Sustainability and resilience for transformation in the urban century. Nat Sustain 2(4):267–273 Espada R, Apan A, McDougall K (2017) Vulnerability assessment of urban community and critical infrastructures for integrated flood risk management and climate adaptation strategies. Int J Disaster Resilience Built Environ 8(4):375–411 Folke C (2016) Resilience (republished). Ecol Soc 21(4):44 Folke C, Carpenter S, Elmqvist T, Gunderson L, Holling CS, Walker B (2002) Resilience and sustainable development: building adaptive capacity in a world of transformations. AMBIO J Hum Environ 31:437–440 Folke C, Carpenter SR, Walker B, Scheffer M, Chapin T, Rockstrom J (2010) Resilience thinking: integrating resilience, adaptability and transformability. Ecol Soc 15(4).: Nature Nanotechnol 15 (4):20

43

Impacts of Social Hazards on Urban Sustainability

885

Fuchs S, Kuhlicke C, Meyer V (2011) Editorial for the special issue: vulnerability to natural hazards! The challenge of integration. Nat Hazards 58(2):609–619 Fuller C (2013) Urban politics and the social practices of critique and justification conceptual insights from French pragmatism. Prog Hum Geogr 37(5):639–657 Gunderson LH, Holling CS (2002) Panarchy: understanding transformations in human and natural systems. Island, Washington, DC Heylighen F, Cilliers P, Gersick C (2007) Complexity and philosophy. In: Bogg J, Geyer R (eds) Complexity, science and society. Radcliffe Publishing, London Holland JH (1995) Hidden order: how adaptation builds complexity. Addison Wesley, New York Holling CS (1986) The resilience of terrestrial ecosystems: local surprise and global change. In: Clark WC, Munn RE (eds) Sustainable development of the biosphere. Cambridge University Press, Cambridge Institute for Economics & Peace (2020) Global peace index 2020: measuring peace in a complex world. Retrieved from https://www.visionofhumanity.org/wp-content/uploads/2020/10/GPI_ 2020_web.pdf Keeley B (2015) Income inequality: the gap between rich and poor. OECD Publishing, Paris Levin SA (1998) Ecosystems and the biosphere as complex adaptive systems. Ecosystems 1: 431–436 Levin S, Xepapadeas T, Crépin A-S, Norberg J, de Zeeuw A, Folke C, Hughes T, Arrow K, Barrett S, Daily G, Ehrlich P, Kautsky N, Mäler K-G, Polasky S, Troell M, Vincent JR, Walker B (2013) Social-ecological systems as complex adaptive systems: modeling and policy implications. Environ Dev Econ 18(2):111–132 Liljenström H, Svedin U (2005) System futures, dynamics, and resilience – some introductory remarks. In: Liljenström H, Svedin U (eds) Micro, meso, macro. Addressing complex systems couplings. World Scientific Publishing, Singapore Little RG (2010) Managing the risk of cascading failure in complex urban infrastructures. In: Graham S (ed) Disrupted cities: when infrastructure fails. Routledge, London Mai X, Chan RCK (2020) Detecting the intellectual pathway of resilience thinking in urban and regional studies: a critical reflection on resilience literature. Growth Chang 51(3):876–889 McPhearson T (2014) The rise of resilience: linking Resilience and sustainability in city planning. Retrieved from https://www.thenatureofcities.com/2014/06/08/the-rise-of-resilience-linkingresilience-and-sustainability-in-city-planning/ Meerow S, Newell JP, Stults M (2016) Defining urban resilience: a review. Landsc Urban Plan 147: 38–49 Minx J, Baiocchi G, Wiedmann T, Barrett J, Creutzig F, Feng K, Förster M, Pichler PP, Weisz H, Hubacek K (2013) Carbon footprints of cities and other human settlements in the UK. Environ Res Lett 8:035039 Moroni S (2015) Complexity and the inherent limits of explanation and prediction: urban codes for self-organizing cities. Plan Theory 14:248–267 Olsson P, Gunderson LH, Carpenter SR, Ryan P, Lebel L, Folke C, Holling CS (2006) Shooting the rapids: navigating transitions to adaptive governance of social–ecological systems. Ecol Soc 11 (1):18 Ostadtaghizadeh A, Ardalan A, Paton D, Jabbari H, Khankeh HR (2015) Community disaster resilience: a systematic review on assessment models and tools. PLOS Currents Disasters. Edition 1 Ostrom E (1990) Governing the commons: the evolution of institutions for collective action. Cambridge University Press, New York PCS (2020) Property claim services. Retrieved from https://pcs.iso.com/pcs/app/start.do Portugali J (2006) Complexity theory as a link between space and place. Environ Plan A 38: 647–664 Redman C (2014) Should sustainability and resilience be combined or remain distinct pursuits? Ecol Soc 19:37

886

J. M. Diaz-Sarachaga

Saja AMA, Teo M, Goonetilleke A, Ziyath AM (2018) An inclusive and adaptive framework for measuring social resilience to disasters. Int J Disaster Risk Reduct 28:862–873 Schultz L, Duit A, Folke C (2011) Participation, adaptive co-management, and management performance in the world network of biosphere reserves. World Dev 39(4):662–671 Serfilippi E, Ramnath G (2018) Resilience measurement and conceptual frameworks: a review of the literature. Ann Public Cooperative Econ 89:645–664 Seto KC, Parnell S, Elmqvist T (2013) Urbanization, biodiversity and ecosystem services: challenges and opportunities. Springer, Berlin Sharifi A (2020) Urban resilience assessment: mapping knowledge structure and trends. Sustainability 12(15):5918 Solangaarachchi D, Griffin AL, Doherty MD (2012) Social vulnerability in the context of bushfire risk at the urban-bush interface in Sydney: a case study of the Blue Mountains and Ku-ring-gai local council areas. Nat Hazards 64(2):1873–1898 Steep M, Nabi M (2016) Smart cities improve the health of their citizens. Forbes. Retrieved from https://www.forbes.com/sites/mikesteep/2016/06/27/can-smart-cities-improve-the-health-ofits-citizens/?sh¼2eafec493957 Sterbenz JPG, Çetinkaya EK, Hameed MA, Jabbar A, Qian S, Rohrer JP (2013) Evaluation of network resilience, survivability, and disruption tolerance: analysis, topology generation, simulation, and experimentation. Telecommun Syst 52(2):705–736 Strathern M, McGlade J (2014) The social face of complexity science: a festschrift for professor Peter M. Allen. Emergent Publications, Litchfield Suárez M, Gómez-Baggethun E, Benayas J, Tilbury D (2016) Towards an urban resilience index: a case study in 50 Spanish cities. Sustainability 8(8):1–19 Thywissen K (2006) Core terminology of disaster risk reduction: a comparative glossary. UNU Press, Tokyo Tiefenbacher J (2014) Urban Hazards. In: Benton-Short L (ed) Cities of North America: contemporary challenges in US and Canadian cities. Rowman and Littlefield, New York Tsoukas H (2005) Complex knowledge: studies in organizational epistemology. Oxford University Press, Oxford Tyler S, Nugraha E, Nguyen HK, Van Nguyen N, Sari AD, Thinpanga P, . . . Verma SS (2016) Indicators of urban climate resilience: a contextual approach. Environ Sci Pol 66:420–426 UN (2018) 2018 Revision of World Urbanization Prospects. Retrieved from https://www.un.org/ development/desa/publications/2018-revision-of-world-urbanization-prospects.html UN (2021) Sustainable Development Goal 5: achieve gender equality and empower all women and girls. Retrieved from https://sdgs.un.org/goals/goal5 UNISDR (2015) Sendai framework for disaster risk reduction 2015–2030. Retrieved from https:// www.unisdr.org/files/43291_sendaiframeworkfordrren.pdf Vale LJ, Campanella TJ (2012) The Resilient City. Oxford University, New York Wade L (2020) An unequal blow. Science 368(6492):700–703 Walker B, Salt D (2006) Resilient thinking. Sustaining ecosystems and people in a changing world. Island Press, Washington, DC Walker BH, Holling CS, Carpenter SR, Kinzig A (2004) Resilience, adaptability and transformability in social-ecological systems. Ecol Soc 9(2):5 Zhang X, Li H (2018) Urban resilience and urban sustainability: what we know and what do not know? Cities 72:141–148

Young Children’s Understanding of Environmental Issues

44

Jane Spiteri

Contents 1 2 3 4

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Environmental Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Environmental Education in Early Childhood . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Young Children in Environmental Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 Environmental Perceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 The Natural Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3 Environmental and Sustainability Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 Environmental Attitudes and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5 Educational Interventions and Future Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Concluding Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

888 889 890 892 892 893 894 896 898 899 900

Abstract

Environmental issues are a major threat the world is currently facing. To cope with this situation, urgent action is necessary; otherwise, young children will have to pay the consequences of the current unsustainable lifestyles. This chapter focuses on how young children, up to age eight, make sense of environmental issues around them and explores how their values and attitudes help them develop their pro-environmental behaviors in the longer term. By drawing on research conducted in diverse contexts and cultures, this chapter highlights that young children have already experienced some impacts of environmental issues around them, and consequently, they are able to understand and talk about issues they are familiar with, even if at a very basic level. Children tend to oscillate between anthropocentric and biocentric worldviews when discussing environmental issues with adults. Such understandings are essential with respect to supporting young J. Spiteri (*) Department of Early Childhood and Primary Education, Faculty of Education, University of Malta, Msida, Malta e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_20

887

888

J. Spiteri

children in developing their environmental worldviews. These debates are contextualized within the fields of environmental education, education for sustainable development, and early childhood education. Implications for further research and education are highlighted at the end of the chapter. Keywords

Young children · Environmental issues · Early childhood education · Environmental education · Education for sustainable development

1

Introduction

In the history of humanity, nature has always been an essential part of our existence (Davis 2018). Humanity has utilized natural resources for survival for millennia. In recent times, however, overconsumption of natural resources has led to dire environmental consequences for all life systems on earth. Issues such as globalization, deforestation, climate change, global temperature rise, and environmental degradation, to mention but a few, are threatening all life systems on the planet (United Nations 2015). The increasing awareness of the imbalance in the ecosystem and the array of environmental problems the world is currently facing have led to an urgent call for action to safeguard the natural environment (United Nations Environment Programme [UNEP] 2019a; UNEP 2019b). Realizing the current complex and challenging situation has led many to take action, but that is not enough to overcome these global challenges. Children worldwide are constantly being exposed to, and affected by, these environmental issues. Should such practices continue in the future, children will suffer the socio-ecological and economic consequences of lifestyle choices made by the current generation for longer (Spiteri 2020a). To tackle these issues seriously, action to transform the current unsustainable lifestyles needs to be taken as early as possible. One way of overcoming these challenges is by teaching children to value nature from an early age. And what is the better way to teach them how to appreciate nature than by allowing them to experience nature first-hand? After all, there are numerous benefits to children spending time in nature. Such benefits range from stress buffering, general physical and mental health enhancement, and physical activity. Nature helps children relieve stress, and enhances the development of creative, cognitive, social, and intellectual skills, particularly through play. Clearly, the rich multisensory experiences offered by nature support child development (Louv 2005). Formative early experiences in nature help children develop both understanding and appreciation of nature through the development of environmental literacy (Davis 2018; Phenice and Griffore 2003; Spiteri 2020b). It is believed that pro-environmental behaviors and connection to nature developed in the early years can last a lifetime (Kos et al. 2016; Louv 2005; Simsar 2021; Simsar et al. 2021; Spiteri 2020a, 2021b). Together, such experiences may lead children to create strong personal connections with nature, early in life (Spiteri et al. 2022).

44

Young Children’s Understanding of Environmental Issues

889

In recent decades, however, the increase in urbanization and developments in digital technology are keeping children indoors more often. As a result, over the years, children’s contact with nature has diminished (Louv 2005). Children’s lack of experiences in the natural world has resulted in them not using their senses to their full potential, and such situation has had an impact on children’s mental health issues (Louv 2005). Data from several studies strongly suggest that children who lack experiences in nature are more likely to perceive nature as a threatening place (Barraza 1999; Keliher 1997; Louv 2005; Rickinson 2001). Of course, such perceptions are likely to be influenced by context and life experiences, that may contribute to the diversity in children’s relationship with nature (Spiteri 2020b, 2021a; Spiteri et al. 2022). Nevertheless, concerns have been expressed that if young children are not familiar with their natural surroundings, their pro-environmental behaviors could decline (Louv 2005). Children are the ones who will carry on the norms and values that shape societies in the future. If young children do not acquire pro-environmental behavior in the early years, there is the danger that they will lack the capacity for conserving pro-environmental values and norms in the future, actions that could be detrimental to all life systems on earth. It is therefore suggested that children are introduced to environmental education (EE) from an early age (Kos et al. 2016; Sageidet et al. 2019; Spiteri 2020a, 2021a, b). Young children’s (up to age eight) awareness of ecological and sustainability issues is the subject of this chapter. Thus, the overall aim of this chapter is to enhance our understanding of young children’s voices in relation to ecological and sustainability issues, as presented in international academic literature. Specifically, young children’s awareness of environmental issues refers to whether they are conscious, or aware, of various environmental problems and how human behavior might have contributed to a particular issue (Kollmuss and Agyeman 2002). This chapter starts with a brief overview of the term “environmental conceptions.” Then, it discusses the terms “nature” and “environment” in relation to the pivotal role of EE and the education of young children as the way forward to a sustainable future for all. In the last part, this chapter provides an overview of research around young children’s perceptions of the environment; their perceptions of ecological and sustainability issues; and their environmental values attitudes. In the end, it provides some insight into future directions both for the implementation of environmental education (EE) and environmental learning in the early years. This chapter concludes with some recommendations for future research to broaden the field.

2

Environmental Education

At the international policy level, EE has been proposed as the most important resource in helping individuals, of all ages, learn to live sustainably (United Nations 2015; UNESCO 2019, 2020). Often, EE programs use the terms “environment” and “nature” interchangeably. Such conceptualization of the “environment” in EE is problematic as it indicates a sense of separateness between humanity, natural elements, and other living species on the planet (Christie and Higgins 2020). From

890

J. Spiteri

this anthropocentric perspective, the environment is seen as separate from humanity and as something that is “out there” or something we can go to. Similarly, because of the way the disconnect between the human-environment relationship is perceived, environmental problems are perceived as being “out there” and need to be solved. Such perceptions lead to the belief that the environment is an external concept to either be explore or even exploited (Christie and Higgins 2020). Hence, the anthropogenic degradation of nature is believed to be due to humanity’s lack of connection with nature. In this chapter, the term “environment” is understood as being made up of “the biophysical environment, namely the interaction of the ecological and physical phenomena of the Earth, including the role and effects of human impact” (Higgins, 2009, as cited in Christie and Higgins 2020, p. 2). Since its inception in the 1970s, EE has been aimed at helping individuals in developing the appropriate skills to address environmental challenges, in order to encourage them to develop attitudes and behaviors that ensure environmental protection (UNESCO-UNEP 1976; UNESCO 1977). EE is not concerned with the transmission of environmental knowledge to children. Rather it is aimed at increasing their awareness and knowledge of environmental issues, and teach them how to think critically in order to solve problems, and how to take decisions that would benefit the environment (Davis and Elliott 2014). More importantly, EE does not advocate for a particular viewpoint. Rather, multiple perspectives from diverse contexts and cultures are welcomed (Davis 2018). Despite these complexities, there are many possibilities for focusing on EE and the related concept education for sustainable development (ESD). In the literature, EE and ESD are often used interchangeably, even though both have a history of their own. In this chapter, ESD is regarded as a process that encourages children to understand the human-environment relationship and develop respect for all species (human and nonhuman), while enabling them to develop agency and critical thinking skills that enable them to become active participants, committed to environmental stewardship (Pace 2009). It stands to reason, therefore, that a disconnect from nature can be reversed via humanity’s reconnection with the environment through meaningful learning experiences starting in the early years of a person’s life.

3

Environmental Education in Early Childhood

Internationally, it has long been established that the early childhood period, from birth till age eight, plays a crucial role in human development as it is a time marked by enormous curiosity. It is a time when children show strong willingness to learn. Consequently, good quality education in the early years is of utmost importance for human development, particularly to help children reach their full potential (United Nations 2015). Early childhood education and care (ECCE) refers to the education of children between birth and 8 years of age (Davis 2018; UNESCO 2017a). Recently, the importance of ECEC in achieving a sustainable future has been highlighted in the sustainable development goal (SDG) 4 that aims to “Ensure inclusive and quality

44

Young Children’s Understanding of Environmental Issues

891

education for all and promote lifelong learning” (United Nations 2015, p. 15). With its focus on quality education, as one of the indicator for SDG 4, Target 4.2 focuses on the importance of ECEC and states that “By 2030, ensure that all girls and boys have access to quality early childhood development, care and pre-primary education so that they are ready for primary education” (United Nations 2015, p. 19). Curriculum planning is also very important for sustainable development. As proposed in Target 4.7, “By 2030, ensure that all learners acquire the knowledge and skills needed to promote sustainable development, including, among others, through education for sustainable development and sustainable lifestyles, human rights, gender equality, promotion of a culture of peace and non-violence, global citizenship and appreciation of cultural diversity and of culture’s contribution to sustainable development” (United Nations 2015, p. 19). Interestingly, the connection between ECEC and EE is not new. Pedagogically, ideas around EE in ECEC have been reinforced by Western curricula (Elliott and Young 2016; Wilson 2019). As a result, ECEC curricula have been rooted in learning in and with nature. Since the time of Froebel, ECEC has often taken the form of education in nature and consequently has been recognized as being key instrument to connecting children with nature (Spiteri 2020b). Meaningful environmental learning experiences during early childhood can empower children “to take informed decisions and responsible actions for environmental integrity, economic viability and a just society for present and future generations” (UNESCO 2017b, p. 7). It is believed that environmental learning, and pro-environmental behavior and attitudes that are formed in early childhood, tend to last a lifetime (Kos et al. 2016; Louv 2005; Simsar 2021; Simsar et al. 2021; Spiteri 2020a, 2021b). Because of the enormous potential of ECEC in helping humanity achieve sustainable development, now and in the future, young children have been identified by many as key players in the achievement of long-term sustainability (Pramling Samuelsson and Kaga 2008; Spiteri 2020a, b; United Nations 2015). Central to EE in the early years is the concept of providing children with both content and pedagogy, therefore providing them with knowledge, and personal experience and opportunities, through play (Edwards et al. 2014a; Pramling Samuelsson and Park 2017). Pramling Samuelsson and Park (2017) argue that there is no one-size-fits-all way of integrating EE in ECEC. More importantly, the aim of EE in ECEC is not to burden young children with environmental issues which they did not create and which are beyond their control (Spiteri 2020a). While it remains a task for educators to determine what constitutes meaningful environmental learning in their early years’ settings, Pramling Samuelsson and Park (2017) suggest the provision of meaningful learning experiences that enable children to develop a sense of place in nature and to understand what is un/just, to understand what it feels like to be part of a group, and to learn skills related to negotiation, creativity, and problem-solving, all of which, are an essential part of EE in the early years. As a result, the successful implementation of EE in ECEC requires that children enjoy high-quality ECEC for lifelong learning (Pramling Samuelsson and Park 2017). It also requires the appropriate teacher training; curricular plans that cater for sustainable development, parental involvement; and finally, the need to address questions related to values

892

J. Spiteri

(Pramling Samuelsson and Park 2017). This can be achieved through the provision of a combination of different kinds of play experiences, ranging from open-ended to modeled play experiences that assist children in understanding of environmental issues and develop engagement with different aspects of EE (Edwards et al. 2014b). In fact, various types of play can help young children develop biophilic dispositions (Edwards et al. 2014b). For such dispositions to develop, however, outdoor play experiences in nature need to involve meaningful conversations between children and educators who hold biophilic dispositions to help children understand the necessary content knowledge particularly during modeled and purposefully framed play (Edwards et al. 2014a). From this perspective of EE, ECEC is the ideal time in human development for laying the foundation for active participation in pro-environmental behavior by increasing young children’s environmental literacy from an early age (UNESCO 2020). But what do young children know about the current environmental and sustainability issues the world is currently facing?

4

Young Children in Environmental Research

Internationally, there is increasing interest in how young children relate to the natural environment and to various environmental issues (Ardoin and Bowers 2020; Davis 2018). As a result, a considerable amount of literature that has been published exploring these issues. In light of the important findings presented in the literature, this section of the chapter presents findings from a series of publications that concern young children’s perceptions of the environment and environmental and sustainability issues; their environmental values and attitudes; and the implications of these for educational interventions and research, particularly in ECEC.

4.1

Environmental Perceptions

Perceptions represent the mental models of the world individuals hold, that enable them to make sense of the world around them (Mónus 2021). Environmental perceptions represent one’s values and beliefs about the environment, and explains how these correlate with one’s pro-environmental choices and behaviors (Marcinkowski and Reid 2019; Mónus 2021). Recent research has shown that environmental perceptions are formed in early childhood (Engdahl 2015; Spiteri 2016; Spiteri et al. 2022). Hence, it is important to study the way environmental perceptions are shaped during early childhood, an important period in human development. International research exploring children’s perceptions of, and experiences in, the environment and related issues has adopted a social constructivist perspective. Findings from these studies confirm that children experience the environment differently in various contexts and cultures. Consequently, they develop different understanding of the environment, and build different relationships with it (Payne 1998).

44

Young Children’s Understanding of Environmental Issues

893

One commonality across research includes the romanticized perception of the environment, where the environment is represented as consisting of natural and pristine places, with or without humans (Alerby 2000; Payne 1998; Spiteri et al. 2022). Research related to individual perceptions indicates that children’s understanding of, and their relationship with, the environment is influenced by their lived experiences (Kalvaitis and Monhardt 2012). Nevertheless, findings tend to differ. Some show that perceptions are not easily changed (Shepardson 2005), whereas other research shows that environmental perceptions could be changed as a result of new experiences because conceptions are subject to change under new experiences (Loughland et al. 2003; Phenice and Griffore 2003). EE programs need to be informed by children’s understanding of the environment, rather than on assumptions of what children know and believe (Loughland et al. 2003). Therefore, understanding young children’s environmental perceptions could offer valuable insights for effective curriculum planning (Kalvaitis and Monhardt 2012; Shepardson 2005).

4.2

The Natural Environment

In some earlier studies in environmental research, it has been observed that children possess some knowledge about the environment. Prior research suggests that often children equated the environment as nature, most of which did not include humans. One such study has been conducted by Rejeski (1982), with children aged 6–14 years, who were asked to describe “nature.” Here, children perceived the environment to be synonymous with the natural environment. Rejeski reported that children romanticized nature as being a pristine and beautiful natural environment, and pointed out that the younger children excluded human beings from their ideas of nature; whereas older children included people doing activities in nature. According to Rejeski (1982), children’s perceptions of how they relate to the natural environment developed with age, and continued developing as they got older. This is understandable since children acquire more knowledge and understanding with age; hence, they are able to understand more complex concepts about the environment. Similar findings have been corroborated by preliminary data from a study of Maltese children’s (aged 3–7 years) perceptions of nature, presented by Spiteri et al. (2022), who concluded that children perceived the environment as nature, consisting of different elements of flora and fauna found within the children’s local context. In this study, young children were able to understand some basic concepts related to the human-environment relationship, indicating that environmental learning starts in the early years. A much-debated question is whether young children should be exposed to the negative impacts of environmental issues. This concept has been challenged by Sobel (2008), who argued that exposing children to large-scale environmental issues can be harmful. Scholars have long debated whether it is ethical to ask children to come up with solutions for complex environmental problems, due to the impact this might have on children’s well-being. Since young children are still at an age where

894

J. Spiteri

they may not be able to understand the scientific concepts behind certain environmental issues, there is the danger that they can develop ecophobia, or fear of environmental issues and environmental degradation, as a consequence (Sobel 2008). Indeed, some environmental research with young children supported the idea of ecophobia, or biophobia, to some extent. This research (e.g., Barraza 1999; Keliher 1997; Rickinson 2001; Wilson 1994) suggested that young children expressed fear of, and pessimistic thoughts about, the environment. For example, when exploring young children’s, aged 2.5–5 years, knowledge of the natural environment, Wilson (1994) learnt that children possessed knowledge about the natural environment and they even possessed attitudes towards it. Yet, such attitudes were related to fear of the environment and violence, perhaps as a result of the children’s lack of understanding of concepts related to the natural environment. Similarly, young children in Keliher’s (1997) study saw “nature [as being] everywhere” (p. 245); they were aware of pollution and litter; however, they did not distinguish between the human-made environment and the natural environment. Furthermore, the 6- to 7-year-old children in Keliher’s (1997) study, which extended Rejeski’s (1982) study, perceived nature as threatening place, an idea she believed was derived from the influence of media coverage of environmental issues on children’s understanding of environmental issues. Indeed, the media has long been reported to be an influential factor on young children’s perceptions of environmental issues in several studies (e.g., Musser and Diamond 1999; Spiteri 2016). In contrast, research has also shown that in some parts of the world, children did not express fear of the environment. For example, Grodzieska-Jurczak et al. (2006) reported that young children hailing from rural environments expressed stronger environmental stance than children hailing from urban areas. In Spiteri’s (2021a) study, young children (aged 3–7 years) expressed an ethics of care for the environment; whereas in Spiteri’s (2021b) study, whenever fear was expressed, it was always discussed in relation to the damage caused to the environment by human activity rather than fear of natural elements. A likely explanation is that environmental perceptions are constructed in context, and therefore, they are context-dependent (Barraza and Robottom 2008; Spiteri 2021b). A key aspect in recent environmental research is the fact that it indicates a positive relationship between children and the natural environment (Davis 2018; Engdahl 2015; Sageidet et al. 2019). More importantly, recent research shows that young children are capable of expressing a sense of responsibility towards the natural environment (Sageidet et al. 2019; Šorytė and Pakalniškienė 2019; Spiteri et al. 2022; Spiteri 2021a). Findings like these are encouraging because they recognize the critical role played by young children in the achievement of sustainable lifestyles.

4.3

Environmental and Sustainability Issues

Young children’s awareness of environmental and sustainability related issues have been studied by many researchers. Indeed, extensive research has highlighted the fact that young children in preschool possess knowledge about certain environmental

44

Young Children’s Understanding of Environmental Issues

895

issues. These studies also confirm that young children are more willing to develop values and behavior in the early years that promote lifelong learning around sustainable lifestyles and choices (Ardoin and Bowers 2020; Davis 2018; Pramling Samuelsson and Kaga 2008; Spiteri 2021a, b; Spiteri et al. 2022; United Nations 2015). A series of studies have tackled the issue of waste and waste management with young children. Palmer (1995) investigated children’s (aged 4–6 years) conceptions and misconceptions around waste, and waste management. Palmer (1995) concluded even though the children held misunderstandings around waste management issues, they were still able to exhibit some understanding of certain processes and events related to waste. A few years later, Palmer et al. (2003) elaborated on Palmer’s (1995) study in their longitudinal research with English and Polish children, aged 4–6 years, to explore their constructions around waste management. Surprisingly, data from Palmer et al.’s (2003) study showed that this time, children were capable of developing sophisticated understanding of waste issues. Based on their findings, Palmer et al. (2003) suggested that teacher training and the right teaching resources centered around a holistic approach may have contributed to the children’s developing understanding around environmental issues, like waste management. In Turkey, Kahriman-Ozturk et al. (2012) explored the understanding of the 7Rs of sustainable development (reduce, reuse, respect, rethink, reflect, recycle, redistribute) held by 5 to 6-year-old children. Kahriman-Ozturk et al. (2012) reported that at this age, children expressed ideas about four of the seven Rs, including reduce, reuse, respect, and recycle, but they were unaware of ideas related to reflecting on and rethink about the redistribution of waste. Similarly, Sageidat and Davis (2014) provided preliminary findings of a study of Australia and Norwegian children, aged 4–5 years, to explore their understanding of sustainability issues. Sageidat and Davis (2014) reported that at this age, children were unable to make any distinguish between everyday activities and sustainability-related activities, and most had poor understanding of terms like “nature” and “rubbish.” In their international study, Engdahl (2015) and Engdahl and Rabušicová (2011) uncovered young children’s ideas of environmental sustainability, using the OMEP logo (a picture of children “washing” the planet). The researchers concluded that children possessed knowledge about the environment and some environmental issues. Nevertheless, Engdahl (2015) observed that often adults in her study underestimated children’s abilities to either discuss or deal with environmental issues. This finding has been corroborated by recent research by Spiteri et al. (2022), who argued that if adults underestimate young children’s abilities to deal with environmental issues, they run the risk of not teaching children the values, skills, and attitudes necessary to lead sustainable lifestyles. Consequently, Spiteri et al. (2022) suggested that ECEC curricula need to be rethought to include ideas about environmental issues based on young children’s understandings and lived experiences. A study conducted with Maltese children, aged 3–7 years, by Spiteri (2021b) showed that the children were able to identify some environmental issues (fishing, deforestation, waste management, pollution, clean sources of energy) within their local context and they had some basic knowledge about them. However, they also held misconceptions. A similar study to Spiteri’s (2021b) has been conducted by

896

J. Spiteri

Sageidet et al. (2019), who reported that 4- and 5-year-old children attending Norwegian and Australian kindergartens had limited understanding of environmental and sustainability-related terms. Sageidet et al. (2019) found that while Norwegian children had more opportunities to experience nature, some Australian children had some in-depth knowledge of sustainability issues and the relationships and interconnections of these. Nevertheless, in Sageidet et al.’s (2019) study and in Spiteri’s (2021b) study, children were still able to talk about environmental issues to a certain extent. In both studies, children were able to understand issues related to waste management, such as rubbish and recycling, and energy conservation. More importantly, the children were able to understand environmental issues found within their local context the best, indicating the value of first-hand experience in environmental learning.

4.4

Environmental Attitudes and Values

Over the years, environmental research has also sought to understand young children’s environmental attitudes and values. An earlier study by Musser and Diamond (1999) explored the environmental attitudes of children, aged 3–6 years, and their parents, but no relationship was reported between the two groups. It is likely that the children’s attitudes developed from other influences, such as siblings, teachers, grandparents, media, and books. More interesting perhaps is the fact that Musser and Diamond (1999) observed that the children’s attitudes were correlated with their participation in pro-environmental activities at home, rather than with their verbal abilities. As a result, Musser and Diamond (1999) concluded that children who had opportunities to participate in pro-environmental activities at home tended to show more positive attitudes towards the environment. The development of environmental values of primary children, aged 4–7 years, by Owens (2004), found that children could express their ideas about certain environmental values. Owens (2004) suggested that children’s outdoor experiences; their participation in structured teaching and learning opportunities; motivation; and their involvement in their local environment together with the school ethos had an impact on their understating of and behavior towards their environment. In addition, such experiences also helped develop in them a shared sense of community and a shared sense of purposeful participation. In cross-cultural research of children’s, aged 7–9 years, of drawings attending primary schools in England and Mexico, Barraza (1999) showed that some children manifested deep concerns for the environment but they expressed pessimistic tendencies towards the future of the environment. Barraza (1999) concluded that such pessimistic thoughts were influenced by the environmental ethos of the schools, where children coming from schools with a higher environmental ethos were more likely to express pessimistic views about environmental issues. In contrast, the most recent research by Spiteri (2016) with young children, aged 3–7 years, showed that the high environmental ethos of the school did not influence children’s environmental values and concerns. Similarly, an international study with young children living in 28 countries has been conducted by

44

Young Children’s Understanding of Environmental Issues

897

OMEP. This large-scale study explored 9142 children’s (aged 2–8 years) comments about, and their understanding of, the OMEP 2010 Congress logo (a picture of children “washing” the planet), in an attempt to enhance the awareness of ESD among OMEP members (Engdahl and Rabušicová 2011). Engdahl and Rabušicová (2011) reported that young children all over the world engaged in positive discussion about various environmental and sustainability issues and their thoughts were also future-focused. Possibly, the timing of the studies was a limiting factor, and these different perspectives may have been influenced by the sociocultural contexts of the children, even if this area merits further investigation. Strong evidence suggests that young children tend to exhibit a combination of anthropocentric and ecocentric attitudes towards the environment and environmental issues. Ecocentric attitudes imply behaviors towards valuing nature for its own sake; anthropocentric attitudes imply behaviors towards valuing nature for its benefits to humanity (Spiteri et al. 2022). In a study with young Greek children, Ergazaki and Andriotou (2010) found that often children offered both anthropocentric and biospheric worldview of the natural environment. The researchers explained that children discussed some ecocentric ideas, indicating that the natural environment needs to be protected. Similarly, in a Turkish study by Kahriman-Öztürk et al. (2012) exploring the attitudes towards environmental issues of children, aged 5–6 years, found that initially, Recently the children expressed more ecocentric attitudes towards environmental issues; however, these responses were later replaced by anthropocentric ones. These findings have been corroborated in other international studies as well (e.g., Grodzieska-Jurczak et al. 2006; Palmer 1995; Simsar 2021; Simsar et al. 2021; Spiteri 2021b; Spiteri et al. 2022). Recently, Spiteri (2021a) explored why young children, aged 3–7 years, believed it was important to protect the environment and found that children believed that it was morally, ethically, and aesthetically important to protect the environment. In this study, children presented both anthropocentric and ecocentric reasons for the need to protect the natural environment. A similar study by Simsar et al. (2021) with Syrian children explored how children in kindergarten make sense of environmental phenomena. Simsar et al. (2021) sought their ecocentric and anthropocentric attitudes towards various ecological problems, including consumption patterns of water, paper, and electricity; environmental protection of plants, insects, birds, and other animals; and environmental pollution and litter management, use of recycle bins, separation of waste, reuse of old toys, and life habits, such as preferences for playgrounds, communities, and transportation). Simsar et al. (2021) concluded that young Syrian children had demonstrated a mixture of both anthropocentric and ecocentric attitudes. These attitudes changed according to the issue under discussion, for example, children presented mostly anthropocentric attitudes towards consumption and their daily habits; whereas their attitudes towards environmental protection, recycling, and reuse were mostly ecocentric. In another study with children aged 5–6 years, Simsar (2021) studied their awareness of their ecological footprint and their environmental attitudes towards energy and water use, recycling, food consumption, and transportation. Findings indicated that children’s awareness of their ecological footprint was low and most of their attitudes towards environmental

898

J. Spiteri

phenomena tended to be mostly anthropocentric. Simsar (2021) concluded that this finding is related to the cognitive developmental stage the children were in. Interestingly, in Simsar’s study mothers turned out to be the main influence upon their children’s awareness of their ecological footprint and the pro-environmental behaviors they engaged in. It is likely, however, that young children tend to discuss environmental issues based on their everyday experiences and they tend to attribute ecocentric or anthropocentric values to these issues based on the impact these have on their daily habits (Spiteri 2021b).

4.5

Educational Interventions and Future Directions

Taken together, these findings suggest the need for educational interventions to help young children understand these issues and avoid misconceptions around environmental issues (Keliher 1997; Spiteri et al. 2022). Educational interventions in the early years are best designed based on children’s lived experiences in order to be more effective. This has been exemplified in an eco-psychological study, investigating children’s, aged 2–6 years, relationship with nature, by Phenice and Griffore (2003). These researchers suggested that by providing young children everyday experiences and interaction with elements in the natural environment, such as eating an apple, can provide the impetus for discussions around environmental issues with the children. Phenice and Griffore (2003) suggested that such experiences would provide children with a clear and concrete understanding of the concept under discussion. However, Edwards et al. (2014a) argued that such meaningful discussions are more likely to happen if educators possess more pro-environmental attitudes. Specifically, Edwards et al. (2014a) explained that whether young children develop dispositions towards eco-/biophobia or biophilia is related to the way educators express these dispositions and the impact these dispositions have on the way children are engaged in environmental experiences by their educator. Educators with biophilic dispositions tend to support children’s experiences in nature and help them understand important concepts related to biodiversity, for example. In this regard, Spiteri et al. (2022) call for educators to revisit their practices related to sustainable development so that they start addressing children’s (mis)understandings as early as possible. There remain various aspects about young children’s understanding of environmental and sustainability related issues about which relatively little is known. Surprisingly, young children’s understanding of the social and economic aspects of sustainability has received scant attention in the literature. This lack of research has existed for many years now. One major obstacle to this lack of research may be related to the linguistic limitations of young children. However, research has constantly shown that if the appropriate research methods are used with young children, environmental researchers can still explore these important areas with young children (Barraza 1999; Sageidet et al. 2019; Spiteri 2020c). Certainly, the field would benefit from a systematic understanding of what young children can understand about the social and economic aspects of sustainability and how they construct their ideas around these issues.

44

5

Young Children’s Understanding of Environmental Issues

899

Concluding Comments

A plethora of research has employed diverse data collection methods to understand how young children make sense of the environmental aspect of sustainable development by understanding their knowledge of environmental issues and their values and attitudes towards these. Together, this growing body of literature showcasing young children’s understanding of environmental issues suggest that young children growing up in diverse contexts and cultures can understand, and talk about, some environmental issues they are mostly familiar with. Furthermore, the literature has confirmed that young children possessed some basic ideas of how to deal with these issues, even though at times they proposed anthropocentric worldviews. Most importantly, children seemed to be able to create their own meanings of the human-environment relationships which make most sense to them, and they were able to share their ideas about these with adults (Spiteri 2016). In fact, some conclusions from these studies can be drawn. First, they signal the need to start teaching children about environmental issues in the early years via contextually appropriate, age-appropriate, and meaningful learning experiences. Second, as evidenced by these studies, young children often struggle to use terminology related to environmental issues; therefore, it is important to start teaching them about environmental issues from an early age. In fact, there is evidence to suggest that as the children get older, they tend to be able to more critically think about environmental issues and about the moral dilemmas underlying these and they tend to be more capable of distinguishing between different values in relation to environment (Rickinson 2001). Clearly, this strong evidence supports the feasibility of teaching young children about environmental and sustainability issues in ECEC. Internationally, to date, the education of young children has been recognized as a time for building the foundations for the skills, values, and attitudes required to ensure sustainable development, a core concern for education for ensuring a sustainable future for all. In recent years, this recognition has extended to the field of ECEC too. Education can help young children develop positive environmental behavior (Simsar et al. 2021; Spiteri 2018). Environmental learning in ECEC, however, involves more than just teaching young children about environmental issues (content). Since contextual and culture factors, and children’s lived experiences, tended to influence the children’s understanding of environmental issues and their environmental behaviors and attitudes, it is paramount that any environmental learning in ECEC is based upon children’s understanding and experiences (Spiteri et al. 2022). It can also be focused on the way children can contribute towards sustainable development by first determining how environmental issues are understood by young children. Educators and parents also play a vital role in helping children construct their understanding of environmental issues; therefore, appropriate teacher training programs, and collaborations between teachers and parents, can improve young children’s ecological awareness and pro-environmental behaviors. Funding This study was self-funded by the author.

900

J. Spiteri

References Alerby E (2000) A way of visualizing children’s and young people’s thoughts about the environment: a study of drawings. Environ Educ Res 6(3):205–222. https://doi.org/10.1080/ 13504620050076713 Ardoin NM, Bowers AW (2020) Early childhood environmental education: a systematic review of the research literature. Educ Res Rev 31:1–16 Barraza L (1999) Children’s drawings about the environment. Environ Educ Res 5(1):49–66 Barraza L, Robottom I (2008) Gaining representations of children’s and adults’ constructions of sustainability issues. Int J Environ Sci Educ 3:179–191 Christie B, Higgins P (2020) The educational outcomes of learning for sustainability: a brief review of literature. The University of Edinburgh, Edinburgh Davis JM (ed) (2018) Young children and the environment. Early education for sustainability, 2nd edn. Cambridge University Press, Cambridge Davis J, Elliott S (eds) (2014) Research in early childhood education for sustainability. International perspectives and provocations. Routledge, Oxon Edwards S, Cutter-Mackenzie A, Moore D, Boyd W (2014a) Environmental education and pedagogical play in early childhood education. In: Cutter-Mackenzie A, Edwards S, Moore D, Boyd W (eds) Young children’s play and environmental education in early childhood education. Springer briefs in education. Springer, Cham, pp 25–37. https://doi.org/10.1007/9783-319-03740-0_3 Edwards S, Cutter-Mackenzie A, Moore D, Boyd W (2014b) A challenge reconsidered: play-based learning in early childhood environmental education. In: Cutter-Mackenzie A, Edwards S, Moore D, Boyd W (eds) Young children’s play and environmental education in early childhood education. Springer briefs in education. Springer, Cham, pp 75–80. https://doi.org/10.1007/9783-319-03740-0_7 Elliott S, Young T (2016) Nature by default in early childhood education for sustainability. Aust J Environ Educ 32(1):57–64 Engdahl I (2015) Early childhood education for sustainability: the OMEP world project. Int J Early Child 47(3):347–366 Engdahl I, Rabušicová M (2011) Children’s voices about the state of the earth. Int J Early Child 43(2):153–176 EPA (n.d.) What is environmental education? Retrieved from https://www.epa.gov/education/whatenvironmental-education Ergazaki M, Andriotou E (2010) From “forest fires” and “hunting” to disturbing “habitats” and “food chains”: do young children come up with any ecological interpretations of human interventions within a forest? Res Sci Educ 40:187–201 Grodzieska-Jurczak M, Stepska A, Nieszporek K, Bryda G (2006) Perception of environmental issues among pre-school children in Poland. Int Res Geogr Environ Educ 15:62–76 Kahriman-Ozturk D, Olgan R, Guler T (2012) Preschool children’s ideas on sustainable development: how preschool children perceive three pillars of sustainability with the regard to 7R. Educ Sci Theory Pract Spec Issue:2987–2995 Kahriman-Öztürk D, Olgan R, Tuncer G (2012) A qualitative study on Turkish preschool children’s environmental attitudes through ecocentrism and anthropocentrism. Int J Sci Educ 34(4): 629–650. https://doi.org/10.1080/09500693.2011.596228 Kalvaitis D, Monhardt RM (2012) The architecture of children’s relationships with nature: a phenomenographic investigation seen through drawings and written narratives of elementary students. Environ Educ Res 18(2):209–227. https://doi.org/10.1080/13504622.2011.598227 Keliher V (1997) Children’s perceptions of nature. Int Res Geogr Environ Educ 6:240–243 Kollmuss A, Agyeman J (2002) Minding the gap: why do people act environmentally and what are the barriers to pro-environmental behavior? Environ Educ Res 8:239–260 Kos MJ, Jerman UA, Torkar G (2016) Preschool children’s understanding of environmental behaviours: is it too hard for them? Int J Environ Sci Educ 11(12):5554–5571

44

Young Children’s Understanding of Environmental Issues

901

Loughland T, Reid A, Walker K, Petocz P (2003) Factors influencing young people’s conceptions of environment. Environ Educ Res 9(1):3–19. https://doi.org/10.1080/13504620303471 Louv R (2005) Last child in the woods: saving our children from nature-deficit disorder. Workman, New York Marcinkowski T, Reid A (2019) Reviews of research on the attitude–behavior relationship and their implications for future environmental education research. Environ Educ Res 25(4):459–471. https://doi.org/10.1080/13504622.2019.163423 Mónus F (2021) Environmental perceptions and pro-environmental behavior–comparing different measuring approaches. Environ Educ Res 27(1):132–156. https://doi.org/10.1080/13504622. 2020.1842332 Musser LM, Diamond KE (1999) The children’s attitudes toward the environmental scale for preschool children. J Environ Educ 30(2):22–30 Owens P (2004) Researching the development of children’s environmental values in the early school years. Res Prim Geogr 1(August):64–76 Pace P (2009) Emerging from limbo: environmental education in Malta. In: Taylor N, Littledyke M, Eames C, Coll RK (eds) Environmental education in context. An international perspective on the development of environmental education. Sense Publishers, Rotterdam, pp 73–82 Palmer JA (1995) Environmental thinking in the early years: understanding and misunderstanding of concepts related to waste management. Environ Educ Res 1(1):35–45 Palmer JA, Grodsinski-Jurczak M, Suggate J (2003) Thinking about waste: development of English and Polish children’s understanding of concepts related to waste management. Eur Early Educ J 11(2):117–139 Payne P (1998) Children’s conceptions of nature. Aust J Environ Educ 14(1):19–26. https://doi.org/ 10.1017/S0814062600003918 Phenice LA, Griffore RJ (2003) Young children and the natural world. Contemp Issues Early Child 4(2):167–171 Pramling Samuelsson I, Kaga Y (eds) (2008) The contribution of early childhood education to a sustainable society. UNESCO, Paris. Retrieved from: http://unesdoc.unesco.org/images/0015/ 001593/159355e.pdf Pramling Samuelsson I, Park E (2017) How to educate children for sustainable learning and for a sustainable world. Int J Early Child 49:273–285 Rejeski DW (1982) Children look at nature: Environmental perception and education. J Environ Educ 13(4):27–40 Rickinson M (2001) Learners and learning in environmental education: a critical review of the evidence. Environ Educ Res 7:207–320 Sageidat B, Davis J (2014) Children’s understanding of sustainability in their home and kindergarten. J Comenius Assoc 23:9–10 Sageidet BM, Christensen M, Davis JM (2019) Children’s understandings of environmental and sustainability-related issues in kindergartens in Rogaland, Norway, and Queensland, Australia. Int J Environ Sci Educ 14(4):191–205. ijese.net/makale/2115.html Shepardson D (2005) Student ideas: what is an environment? J Environ Educ 36(4):49–58 Simsar A (2021) Young children’s ecological footprint awareness and environmental attitudes in Turkey. Child Indic Res. https://doi.org/10.1007/s12187-021-09810-7 Simsar A, Dogan Y, Sezer G (2021) The ecocentric and anthropocentric attitudes towards different environmental phenomena: a sample of Syrian refugee children. Stud Educ Eval 70(2021): 101005. https://doi.org/10.1016/j.stueduc.2021.101005 Sobel D (2008) Childhood and nature: design principals for educators. Stenhouse Publishers, York Šorytė D, Pakalniškienė V (2019) Why it is important to protect the environment: reasons given by children. Int Res Geogr Environ Educ 28(3):228–241. https://doi.org/10.1080/10382046.2019. 1582771 Spiteri J (2016) Young children’s perceptions of environmental sustainability: a Maltese perspective. Unpublished PhD thesis, The University of Edinburgh, Edinburgh

902

J. Spiteri

Spiteri J (2018) Young children’s perceptions of environmental sustainability: a Maltese perspective. Environ Educ Res 24:924. https://doi.org/10.1080/13504622.2017.1383361 Spiteri J (2020a) Early childhood education for sustainability. In: Leal Filho W, Azul A, Brandli L, Ozuyar P, Wall T (eds) Quality education. Encyclopedia of the UN Sustainable Development Goals. Springer, Cham Spiteri J (2020b) Experiences in nature as a precursor to achieving sustainability. In: Leal Filho W, Azul A, Brandli L, Ozuyar P, Wall T (eds) Quality education. Encyclopedia of the UN Sustainable Development Goals. Springer, Cham Spiteri J (2020c) A reflection on research methods that engage young children with environmental sustainability. An Leanbh Og 13(1):149–170 Spiteri J (2021a) Why is it important to protect the environment? Reasons presented by young children. Environ Educ Res 27(2):175–191. https://doi.org/10.1080/13504622.2020.182956 Spiteri J (2021b) Can you hear me? Young children’s understanding of environmental issues. Int Stud Sociol Educ 30(1-2):191–213. https://doi.org/10.1080/09620214.2020.1859401 Spiteri J, Higgins P, Nicol R (2022) It’s like a fruit on a tree: young Maltese children’s understanding of the environment. Early Child Dev Care, 192(7), 1133–1149. https://doi.org/10.1080/ 03004430.2020.1850444 UNESCO (1977) Intergovernmental conference on environmental education. Retrieved from: http://unesdoc.unesco.org/images/0003/000327/032763eo.pdf UNESCO (2017a) Early childhood care and education. UNESCO website. Retrieved from: http:// en.unesco.org/themes/early-childhood-care-and-education UNESCO (2017b) Education for sustainable development goals: learning objectives. United Nations Educational, Scientific and Cultural Organization. UNESCO, Paris. Retrieved from: https://www.iau-hesd.net/sites/default/files/documents/247444e.pdf UNESCO (2019) Futures of education: learning to become. A global initiative to reimagine how knowledge and learning can shape the future of humanity and the planet. Retrieved from: https:// en.unesco.org/futuresofeducation/sites/default/files/2019-11/UNESCO%20-%20Futures%20of %20Education%20-%20Brochure%20-%20ENG.pdf UNESCO (2020) International day of education. UNESCO website. Retrieved from https://en. unesco.org/commemorations/educationday UNESCO-UNEP (1976) The Belgrade charter: a global framework for environmental education. Connect: UNESCO-UNEP. Environ Educ Newsl 1(1):1–2 United Nations (2015) Transforming our world: the 2030 Agenda for sustainable development. A/RES/70/1. United Nations, Geneva. Retrieved from: https://sustainabledevelopment.un.org/ content/documents/21252030%20Agenda%20for%20Sustainable%20Development% 20web.pdf United Nations Environment Programme (2019a) UN Report: urgent action needed to tackle chemical pollution as global production is set to double by 2030. Retrieved from: https:// www.unenvironment.org/news-and-stories/press-release/un-report-urgent-action-neededtackle-chemical-pollution-global United Nations Environment Programme (2019b) Global environment outlook–GEO-6: healthy planet, healthy people. Cambridge University Press, Cambridge Wilson RA (1994) Preschool children’s perspectives on the environment. Paper presented at the international conference of the North American Association for Environmental Education, Cuncun, Mexico. Wilson R (2019) What is nature? Int J Early Child Environ Educ 7(1):26–39

Investigating the GreenMetric World University Ranking as an Equitable Tool

45

Natha´lia Hipo´lito Cardozo and Se´rgio Ricardo da Silveira Barros

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 Sustainability Assessment Tools for Higher Education Institutions . . . . . . . . . . . . . . . . . 1.2 Issues Related to Sustainability Assessment Tools for Higher Education Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 GreenMetric World University Ranking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Vulnerabilities of the GreenMetric World University Ranking: A Bibliometric Survey . . . 4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

904 905 908 910 912 915 916

Abstract

Understanding sustainable development and its consequences for society are ongoing as global natural resources diminish and the negative actions of humans, such as deforestation, intense industrialization, and climate change continue. With that, decision-makers, scholars, and politicians gather in various meetings and conferences to plan concrete initiatives toward sustainability. The Our Common Future (1987) report offered a universal definition of sustainable development and positioned it as a global priority with the Brundtland report (Brundtland, The Brundtland Report: “Our Common Future.” The World Commission of Environment and Development. Oxford University Press, New York, 1987), followed by the release of numerous charters and declarations. These included sustainable development by Higher Education Institutions (HEIs), albeit there remains a lack of clarity in the sector. This is where Sustainability Assessment Tools (SAT) can help. The GreenMetric World University Ranking (WUR) is a SAT used by HEIs worldwide in developed and developing countries. However, its use in diverse HEIs presents possible challenges and vulnerabilities to its methodology. Therefore, this research sought to identify the fragilities of the N. H. Cardozo (*) · S. Ricardo da Silveira Barros Instituto de Geociências, Universidade Federal Fluminense (UFF), Niterói, RJ, Brazil e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_21

903

904

N. H. Cardozo and S. Ricardo da Silveira Barros

WUR questionnaire and scoring methods through bibliometric research. Results lead to significant recommendations, such as the need for a pre-assessment to be a WUR participant HEI, the weakness of quantitative indicators, the necessity of clusters to a fair assessment, and in situ verification of quantitative data. It also indicates problems with the scoring and weighting systems. Further, this research contributes to the continuous improvement of the tool so that HEIs can be assessed and compared more equitably. Keywords

Education · Higher education institution · Sustainable development · World ranking · Sustainability · Equity in ranking · Bibliometric research · Sustainability assessment tool

1

Introduction

Our Common Future (1987) identifies actions to be taken by “companies, governors, education institutions and citizens working as one to achieve sustainability for both society and environment” (Cardozo et al. 2020). Given the importance of Higher Education Institutions (HEIs) in pursuing sustainability and being a role model for society, there is an opportunity for HEIs to assess their actions to improve their sustainability initiatives. Hence, this paper analyzes the GreenMetric World University Ranking (WUR) methodology among other Sustainability Assessment Tools (SATs), highlighting its vulnerabilities and suggesting adaptations to its methodology. The WUR was designed to accommodate the participation of HEIs from developed and developing countries through a modern design and scoring system; it adapts its methodology over the years in response to the research of experts and participant HEIs, demonstrating its eagerness for improvement. The creation of SATs has expanded rapidly over the years (Jajo and Harrison 2014; Yudkevich et al. 2015; Moed 2017) mainly due to their goal of supporting HEIs to analyze their sustainable development actions and compare themselves to other HEIs. The WUR presents itself as a valuable SAT because it is the first with a global range (Grindsted 2011). While many authors affirm the quality and importance of the WUR (Lauder et al. 2015; Fischer et al. 2015; Ragazzi and Ghidini 2017), there are also critiques surrounding its methodology, especially for HEIs in developing countries (Lauder et al. 2015; Sonetti et al. 2016; Parvez and Agrawal 2019). Intertwined with this, Urquiza Gómez et al. (2015) highlight the scarcity of studies covering the usefulness of SATs for HEIs in developing countries. Hence, this chapter implements bibliometric research selecting studies that discuss issues related to the WUR methodology and applicability for HEIs, especially from developing countries. The goal is to highlight vulnerabilities of the WUR and offer suggestions for the continuous improvement of the sustainability ranking tool that can be helpful for HEIs, especially those of developing countries that are initiating their planning and actions toward sustainability. Also, having a fair and

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

905

inclusive SAT is essential so HEIs can get an accurate picture of improvement and target their goals focusing on sustainability appropriately.

1.1

Sustainability Assessment Tools for Higher Education Institutions

To achieve a global level of sustainability, all stakeholders must contribute to actions in the short- and long-term range (Veiga 2013). In the post-Brundtland moment (after 1987), academics, citizens, and governors start seeing the potential of HEIs in leading global transformations toward sustainability due to their background of influencing individual changes and working on the benefits for communities (Halifax Declaration 1991; Waas et al. 2010; Disterheft et al. 2013; FernandezSanchez et al. 2014; Thomashow 2014; Filho et al. 2015). Many charters and declarations on Sustainability in Higher Education (SHE) for HEIs assume their place as role model for sustainability, such as Talloires Declaration (1990), Halifax Declaration (1991), Agenda 21 – Chapter 36 (1992), Kyoto Declaration (1993), Swansea Declaration (1993), COPERNICUS Charter (1994), Declaration on HE for the Twenty-First Century (1998), Luneburg Declaration (2001), Graz Declaration (2005), Sapporo Declaration (2008), Turin Declaration (2009), COPERNICUS Charta 2.0 (2011), Treaty on Higher Education (2012), Commitment to Sustainable Practices of Higher Education Institutions (2012), and Nagoya Declaration (2014), which have been signed between the 1990s and 2000s (Cardozo et al. 2020). A brief overview of some mentioned charters and declarations’ main points are presented below: • Talloires Declaration (1990): Composed of ten actions to be carried out by the 22 HEIs that signed it. Some of the actions are: raising awareness of sustainable environmental development, creating an institutional culture of sustainability, educating for environmentally sustainable citizenship, and collaborating for interdisciplinary approaches. • Halifax Declaration (1991): Declares HEIs as most responsible for supporting society in shaping current and future development policies in sustainable and equitable formats, aiming at an environmentally safe and civilized world. It also emphasizes that, as providers of education, research, and public services, HEIs form citizens who are effectively trained to contribute to the necessary changes for a sustainable future. The Declaration, in general, invites HEIs to use their intellectual and academic resources for sustainable development and increase their efforts in not only teaching but also practicing the principles of sustainable development. • Agenda 21 – Chapter 36 (1992): Resulting from the Earth Summit in Rio de Janeiro, Chapter 36 mentions the critical role of HEIs in building a sustainable future, in addition to the need for interdisciplinary curricula on the theme of sustainable development, research focused on sustainability, the formation of

906

•

•

•

•

•

•

•

N. H. Cardozo and S. Ricardo da Silveira Barros

networking for dissemination and promotion of environmental and sustainable awareness. Kyoto Declaration (1993): Recalls principles contained in past international declarations (Talloires 1990; Halifax 1991), such as the use of HEIs’ resources, the international relevance of sustainable development, ethical teaching obligations, and sustainable practices, in addition to the necessary cooperation of all segments of society in the search for political and practical measures for sustainable development. Swansea Declaration (1993): Emphasizes the use of HEIs’ resources to stimulate the understanding of government officials and citizens about the interdependence and international dimensions of sustainable development; and encourage HEIs to review their activities and operations they reflect best practices for integrating sustainable development. COPERNICUS Charter (1994): Declares the importance of partnerships with the most diverse sectors of society, also active in this theme. Emphasizes that HEIs’ professors, employees, and representatives need to be guided on sustainability and promote actions and behavior changes to demonstrate how education can become environmental education. HEIs should encourage interdisciplinary collaboration in their teaching and research programs as a central part of their mission while also reducing possible competition between departments and disciplines. Declaration on HE for the Twenty-First Century (1998): Proclaims the importance of equitable access to higher education for all, especially members of particular groups such as indigenous people, those from disadvantaged groups, with disabilities, and other minorities; increase in participation and promotion of the role of women; provide access to general education but also on targeted education according to skill and aptitudes to raise individuals able to live in a world facing climate change; diversification of recruitment methods and criteria to increase international demand and be opened to various models of access to the wider public; it calls for reforms on HEIs approaches and methodologies, so it is more student-oriented aiming again, for diversity. Luneburg Declaration (2001): Reaffirms the COPERNICUS Charter (1994) principles, and it had the commitment of its creators in the production of an action toolkit aimed at HEIs, managers, administrators, and university students in order to evolve all from theories to concrete actions in the pursuit of sustainability. Graz Declaration (2005): States the role of HEIs in supporting society in the transition to sustainability and the strategies for opening HEIs’ walls to civil society. It calls for HEIs to prioritize their strategies and activities and implement comprehensive and integrated sustainability actions according to its three main functions – learning and teaching, research, and social responsibility (internal and external). Sapporo Declaration (2008): Shares the importance of HEIs in problem-solving to prepare a sustainable world for future generations. HEIs are responsible for disseminating knowledge of a new sustainable culture to society as a whole. It clarifies that campuses should be used as experimental bases for sustainable city

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

907

models based on the interactions of different stakeholders in society, as they are proper places to test new knowledge relevant to sustainability in a social context. • Turin Declaration (2009): HEIs must educate on the rational use of natural resources, proactive development in society’s transition to alternative energy resources, and make this knowledge accessible to all people. HEIs need to foster an understanding of human impacts based on the idea of interdependence between the environment and human activities so that society and government understand the consequences of their actions. It also emphasizes the creation of partnerships for knowledge sharing between HEIs from developed and developing countries. • Commitment to Sustainable Practices of Higher Education Institutions (2012): Aims at teaching the concepts of sustainable development, promoting research on the same theme, making the green campus, supporting sustainable efforts in local communities, and sharing results through international events. • Nagoya Declaration (2014): Reaffirms and renews the commitments made in the United Nations Decade of Education for Sustainable Development (2002). The Declaration also served as an appeal to world leaders to give due support to HEIs in their transformative role toward sustainable development. The various SHE reinforce the fact that these documents aim to provide a path for HEIs to follow in order to implement sustainable development initiatives into their planning and strategies (Lozano and Lozano 2014). Hence, there is a greater expectation that HEIs progress sustainable development actions supported by SHE guidelines. However, this may not be the dominant position (Velazquez et al. 2006) because signing a SHE does not necessarily guarantee the implementation of its principles. This may be due to some obstacles that prevent HEIs from doing so or from a lack of effort. Connected with that, SHE is criticized for not penalizing, stipulating thresholds, or stimulating participant HEIs to share their progress (Grindsted 2011). Also, as most institutions commit to more than one SHE, this can cause disorientation on where to start planning and acting sustainably or modifying and adapting their policies to achieve SHE demands (Contreras 2020). Alghamdi et al. (2017) state that despite the importance of SHE for HEIs’ understanding of their role in sustainable development efforts, the various declarations do not reach as many HEIs as expected. Consequently, another tool to monitor and measure sustainable advances of HEIs needs to be developed to complement SHE and attract more HEIs into sustainability (Alghamdi et al. 2017). Sustainability Assessment Tools (SATs) are designed to consider the most crucial points of the various charters and SHE to access sustainability in HEIs (Shriberg 2002). Such tools generate more visible and concrete data to measure sustainability initiatives of HEIs and help operationalize sustainability at HEIs (Shriberg 2002; Alghamdi et al. 2017). Roorda and Martens (2008) and Urbanski and Leal Filho (2014) connect the performance of HEIs sustainability initiatives with their participation in SATs. Sonetti et al. (2016) note that SATs, such as the GreenMetric World University Ranking (WUR), have many positive aspects, such as widespread accessibility by HEIs and “the contribution to the academic discourse on sustainability in education and the greening of campuses” (Sonetti et al. 2016).

908

N. H. Cardozo and S. Ricardo da Silveira Barros

1.2

Issues Related to Sustainability Assessment Tools for Higher Education Institutions

Many SATs have been designed over the years (Yarime and Tanaka 2012; Lambrechts and Ceulemans 2013; Bullock and Wilder 2016). SATs can serve different purposes according to HEIs goals, such as for monitoring internal initiatives (Urquiza Gómez et al. 2015; Lambrechts 2015; Alghamdi et al. 2017), confirming accordance to specific standards/certifications, or comparing efforts with other HEIs (Fischer et al. 2015). Table 1 displays SATs selected for relevant studies in the field of sustainability for HEIs (Lambrechts and Ceulemans 2013; Fischer et al. 2015; de Araújo Góes and Magrini 2016; Alghamdi et al. 2017; Berzosa et al. 2017; Caeiro et al. 2020) over the years. More studies, such as from de Araújo and Magrini’s (2016), identify 20 SATs through bibliometric research and select eight for their study that sought to propose a SAT for Brazilian HEIs. The eight SATs are: • Assessment Instrument for Sustainability in Higher Education (Roorda et al. 2009), • Alternative University Appraisal Model (AUA 2012). Table 1 SATs commonly analyzed or mentioned in papers Abbreviation DUK SAQ CRUE GASU SUM P&P UEMS AISHE USAT CSAF BIQ-UAU WUR GP ASSC STARS SCAS AMAS

Sustainability assessment tool Campus Sustainability Assessment Framework Sustainability Assessment Questionnaire Conference of Rectors of Spanish Universities Graphical Assessment of Sustainability in Universities tool Sustainable University Model People & Planet (Green League) University Environmental Management System Assessment Instrument for Sustainability in Higher Education Unit-based Sustainability Assessment Tool Campus Sustainability Assessment Framework Core Benchmarking Indicators Questions – Alternative University Appraisal Green Metric World University Ranking Gren Plan Assessment System for Sustainable Campus Sustainability Tracking, Assessment and Rating System Sustainable Campus Assessment System Adaptable Model for Assessing Sustainability in Higher Education

Year – 2001 2002 2006

Orign Germany Global Spain Global

2006 2007 2008 2009

Global United Kingdom Saudi Arabia Netherlands

2009 2009 2009

Africa Canada Asia-Pacific

2010 2012 2013 2014

Indonesia France Japan Northern America Japan Chile

2014 2014

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

909

• Campus Sustainability Assessment Framework Core (CSAF Core 2009). • Green League (People and Planet Green League Guide 2013). • UI’s GreenMetric University Sustainability Ranking (Universitas Indonesia 2010). • The Green Plan – National Framework (Green Plan 2010). • Sustainability Tracking, Assessment & Rating System (STARS 2014). • Unit-Based Sustainability Assessment Tool (USAT 2009). With HEIs using SATs on a large scale, many studies identify issues and vulnerabilities (Marginson and van der Wende 2007; Usher 2009; Hazelkorn 2011; Yarime and Tanaka 2012; Lauder et al. 2015; Sonetti et al. 2016; Alghamdi and den Heijer 2017) that can affect the way HEIs are assessed and, consequently, how they plan their next steps toward sustainability according to SAT’s results (Sonetti et al. 2016; Parvez and Agrawal 2019). One of the most common issues relates to the concept of quality, given that each HEI may have its working definition of the concept. Some HEIs prioritize reputation, while others focus on education or research. After analyzing 19 league tables and HEIs’ rankings, Usher and Savino (2006) state that each ranking has a focus and, consequently, a different association of what composes HEI quality. Also, the authors note the subjectivity in the weighting systems used by SATs to construct their methodology. Therefore, the lack of consensus on what represents the quality of an HEI can be considered a weakness in SATs when looking for a homogeneous concept and methodology (Usher and Savino 2006; Marginson and van der Wende 2007). Another issue is that SATs tend to favor HEIs in developed countries and, specifically, “English-speaking, research-intensive institutions with strengths in natural sciences” and “large, older institutions in countries with long ranking traditions” (Lauder et al. 2015). Hence, HEIs focused on humanities and social sciences, which are of smaller dimension or not research-oriented, can be disadvantaged when assessed by some SATs (Usher 2009; Lauder et al. 2015). Further, Sonetti et al. (2016) note the significant social-economic gaps between HEIs from developed and developing countries and reinforce the need to create indicators compatible with HEIs’ context or use thresholds to make the assessments fairer. Compared with one another, most HEIs from developed countries are advanced in sustainable development practices, with various actions already underway. In contrast, those from developing countries may lack resources to operationalize sustainable development efforts related to waste, water, and transportation elements of some SATs (Parvez and Agrawal 2019). Regardless of location, Lauder et al. (2015) identify a significant number of variables that can interfere with the interpretation of a SAT’s questionnaire by an HEI representative authority, such as: • Geography and climate, mentioning different demands for energy depending on an HEI’s location. For example, if it is in a tropical rain forest or a subarctic setting, the HEI will have different energy use demands when compared with another from a semi-desert or continental setting.

910

N. H. Cardozo and S. Ricardo da Silveira Barros

• The different levels of commitments related to “green space” criteria from an HEI in Venice or another in Nottingham due to cultural comprehensions can greatly differ. • Access to funding from third parties varies according to the HEI’s location. The settings of HEIs, even from the same country, taking into account if it is in a city or the countryside, can lead to different levels of investments. These examples demonstrate the difficulties faced by SATs in developing an equitable methodology to accommodate HEIs worldwide. Therefore, this chapter analyzes the commitments by the WUR to be suitable for HEIs in all regions. As mentioned by many authors (Grindsted 2011; Tiyarattanachai and Hollmann 2016; Ragazzi and Ghidini 2017; Parvez and Agrawal 2019), it is crucial to confirm whether the WUR results are reliable when presenting its scores, especially for HEIs in developing countries. This is because, based on Urquiza Gómez et al. (2015), there is a lack of studies on the functionality of SATs in HEIs from developing countries; Also, because through the results of the WUR, HEIs can assess their strengths and weaknesses, improving their planning-to-action approach in an effort to improve sustainable development management and action initiatives.

2

GreenMetric World University Ranking

The UI GreenMetric World University Ranking (WUR) was created and launched by the University of Indonesia in 2010 (Universitas Indonesia 2010). This initiative arose after analyzing other rankings models, intending to bring a different perspective than other SATs already popular among HEIs. Some of the well-known rankings used in the creation of the WUR include the Holcim Sustainability Awards; the College Sustainability Report Card (Green Report Card); the Sustainability, Tracking, Assessment and Rating System (STARS); and the GREENSHIP (Universitas Indonesia 2010). Grindsted (2011) highlights that the WUR is the first genuinely global ranking tool because it does not focus on just one or two key criteria, recognizing that a HEI must pay attention to various aspects inside and outside its walls be a sustainable institution. Thus, the WUR appears in 2010 with a design, in theory, suitable for HEIs of all regions and backgrounds. The sustainable development concept adopted by the WUR is based on the three pillars of sustainability, covering environmental, economic, and social elements. The first component includes “natural resources use, environmental management, and pollution prevention.” The economic aspect focuses on “profit and cost-saving.” Finally, the third element includes “education, community, and social movement” (Universitas Indonesia 2010). In 2010, the WUR had 23 categories within five criteria; some changes were applied in 2011 with 34 indicators. After 2012, one category was removed from the questionnaire (“smoke-free and drug-free campus environment”), and new criteria was added (education), making the total number of six criteria in the ranking. In 2015, two more questions connected with energy and climate change and a few

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

911

sub-indicators were added on the water and transportation criteria. Then, in 2017, a significant change was made to the WUR’s methodology, followed by the addition of detailed answer options on more than ten categories. Some of the questions now seek more detailed information related to the following categories: use of energy-efficient appliances, smart building implementation, the ratio of renewable energy produce/ production toward total energy usage per year, elements of green building implementation, the greenhouse gas emission reduction program, all of waste and water criteria, and the ratio of parking area to the total campus area. Still, in 2017, one question on the education criteria was added – “the existence of published sustainability report,” and the question that focused on bicycles only was changed to “Zero Emission Vehicles” to permit more options for green transportation. In 2019, questions on smart building were added, while 2020 aimed at information on the positive impacts a HEI can make to the community when focusing on a green campus. Thus, to have better data on institutions’ social and economic areas, new information is required, such as networking and partnership with the community relating to public access to open space, community services, and startup for the green economy (this assessment part is not for scoring, only for profiling). Finally, for 2021, having as a theme “Universities, UI GreenMetric and SDGs in the Time of Pandemic,” the WUR included specific categories on the questionnaire, such as “percentage of operation and maintenance activities of building during Covid-19 pandemic” (SI7), “health infrastructure facilities for students, academics and administrative staff’s wellbeing” (Sl10), “number of innovative program(s) during Covid-19 pandemic” (EC9), “number of innovative program(s) during Covid-19 pandemic” (WR5), among others (Universitas Indonesia 2020). Based on the WUR’s newest guideline (2021), the ranking is still based on six leading criteria with individual percentage weights totaling 100%, as shown in Table 2. Each criterion has specific categories, totaling 82 categories. HEIs’ representative authorities must answer the online questionnaire composed of quantitative data and multiple-choice options. The scoring system of the WUR is numeric, so the data can be processed statistically, facilitating the analyses and final results of more than 900 participant HEIs as in the 2020 ranking. Also, as shown in Table 2, each indicator has a different weighting within the total score and is “categorized in a general class of information.” Consequently, when the results are processed, “the raw scores will be weighted to give a final calculation” (Universitas Indonesia 2020). Table 2 The WUR indicators and weights percentage

N
1 2 3 4 5 6 TOTAL

Criteria Setting and Infrastructure (SI) Energy and Climate Change (EC) Waste (WS) Water (WR) Transportation (TR) Education and Research (ED)

Weighting (%) 15 21 18 10 18 18 100

912

N. H. Cardozo and S. Ricardo da Silveira Barros

As acknowledged by several researchers such as Suwartha and Sari (2013), Lauder et al. (2015), Fischer et al. (2015), and Ragazzi and Ghidini (2017), the fast popularity of the WUR can be attributed to some variables, such as its openness to countries of all regions; the apparent objective and intuitive design that covers essential areas of sustainability; the online participation method that allows participation by HEI’s even in remote locations, and its scoring system. The WUR can be used as a guideline by HEIs to take the first steps toward sustainability if used as a self-assessment tool (Tiyarattanachai and Hollmann 2016; Ragazzi and Ghidini 2017). However, even with the favorable factors mentioned and its increasing popularity, many HEIs do not feel embraced by the WUR methodology and its aim to be suitable for all. When englobing HEIs worldwide, the ranking can be exposed to some issues that would not exist if focusing on a smaller range (Sonetti et al. 2016), leading to discrepancies when ranking participant HEIs from contrasting locations (Suwartha and Sari 2013; Lauder et al. 2015; Parvez and Agrawal 2019). Some of these elements are indirect, such as investments from third parties on HEIs sustainable development initiatives, government incentives, and even adjacent community involvement in sustainability planning and actions. It is also vital to mention natural factors, such as weather patterns, climate change variables, and HEIs settings, because these can affect scoring, mainly on the WUR’s Setting and Infrastructure, and Energy and Climate Change criteria (Sonetti et al. 2016).

3

Vulnerabilities of the GreenMetric World University Ranking: A Bibliometric Survey

The critical review of the WUR’s methodology mainly identified issues that could bring disadvantages for some HEIs when assessed by the ranking. Using SCOPUS as a search engine, many articles that highlight critiques and identify vulnerabilities on the WUR’s methodology were selected through bibliometric research. Figure 1 gives the papers selected for this study, together with a brief description of each. The goal is to offer some clarification and suggestions by compiling the preliminary information on the papers selected. Significant issues are organized by topic for a more straightforward interpretation of the data, hoping to guide the WUR for continuous improvement of its method. The Need for a Pre-Assessment to Be a WUR Participant HEI: Even though the WUR is well constructed around the Berlin Principles (which is a document written to analyze the quality of HEIs’ rankings) (IREG 2006), the SAT has some issues when englobing the idea of a quality-HEI. Ragazzi and Ghidini (2017) state that the WUR should demand a minimum commitment from the institutions to preserve the environment as a prerequisite to participating in the ranking. The authors suggest that participation in the. WUR could lead to a sustainability certificate for the HEI, serving as one more incentive for continuous actions.

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

913

Fig. 1 Papers selected for the WUR analyses through bibliometric research

Weaknesses of Quantitative Indicators Aspects: As highlighted by Sonetti et al. (2016), one of the main issues of the WUR is the use of generic quantitative indicators because these do not cover social and local dimensions, which are specific and vary according to local variables. Consequently, some HEIs can be penalized for not fulfilling an aspect, when in fact that initiative is not its responsibility. Most of the WUR indicators do not cover more profound and equally important aspects, such as policies, management, diversity, and equity, essential in achieving a sustainable campus (Caeiro et al. 2020). By having a unique generalized methodology that is not flexible to attend to the various dimensions of HEIs, the WUR can negatively affect the final result of some participant HEIs. The Creation and Use of Clusters: After reviewing some campus sustainability assessments, Sonetti et al. (2016) states the need to set up clusters so the WUR can be more coherent when ranking its participants. Some cluster examples relate to urban morphology since some HEIs, such as POLITO (in Turin, Italy), have campuses dispersed across the city and are “penalized” with low performance related to “total green spaces” category. Other examples are “total area on campus covered in forest vegetation” (SI2) and “total area on campus covered in planted” (SI3) categories. The reality is that for POLITO institution, there are physical and legal frameworks that do not permit the HEI to plant on city center spaces or to build more green spaces because it does not own them. The same argument goes for waste treatment categories given that the HEI is not concentrated in a unique campus area, reaffirming that some categories do not make sense for all participant institutions

914

N. H. Cardozo and S. Ricardo da Silveira Barros

of the WUR. Therefore, for this issue, Sonetti et al. (2016) propose the creation of two macro-categories in the WUR: (a) HEIs that could be considered urban units themselves and (b) “a scattered group of buildings and infrastructure nested within the town.” These so-called clusters would allow more consistent comparison among participant HEIs, mainly for the Setting and Infrastructure, Waste, and Transportation criteria. Further, through comparing two participant HEIs of the WUR from different countries, it is evident for Sonetti et al. (2016) that another cluster should consider the climate zone of HEIs. That is because the WUR analyzes HEIs’ energy performance in the same way when, in fact, that can vary depending on weather patterns or their location. Also, energy consumption can fluctuate according to an institution’s building typology because some departments (medicine, veterinarian, and biology, for example) need to maintain a specific room temperature to conserve materials for study or general laboratory appliances. Also, as a ranking suitable for HEIs from diverse regions, elements such as waste management, wastewater, and drinking water management present enormous disparities when comparing HEIs (Suwartha and Sari 2013). Thus, the authors suggest using a minimum cluster to analyze the elements mentioned so that HEIs would be accessed more equally in the WUR according to their contrasting realities. Also, for Lauder et al. (2015), it is a concern “the way rankings treat all universities the same when there are differences between them whether due to their geographical context or other aspects of their typology.” Therefore, affirmations like these reinforce that even though the WUR is considered an innovative ranking that covers most of the other rankings’ disparities, there is still much to improve. No In Situ Verification of Quantitative Data – Reliability: Because the WUR questionnaire is entirely online and completed by HEIs’ authorized members, there should be an in situ verification or the inclusion of more resounding evidence to guarantee the veracity of information. These measures must be of great importance since some questions can be ambiguous or subjective depending on who reads the questionnaire and provides the data (Caeiro et al. 2020). Suwartha and Sari (2013) state the essentiality of two verification methods because there is no on-site visit to double-check information given by institutions’ authorized members. Depending on the data (the Setting and Infrastructure criteria, for example), that could be done through the use of technology, such as Google Maps or Google Earth (Suwartha and Sari 2013) to verify questions, such as “total campus ground floor area of buildings, “number of campus site,” “the ratio of open space area to total area,” and “total area on campus covered in forest.” The same issue is stated by Lauder et al. (2015) – “the data submitted by the participant HEIs is not reliable enough to draw important conclusions from, especially where the questions do not call for quantifiable responses but instead use a scaled set of options, or where the question rubrics are ambiguous.” That can be seen in questions that demand environmental program development levels, such as “water recycling program implementation” (WR2), where options are “none”; “program in preparation”; “1–25% implemented at an early stage”; “>25–50% water recycled”; and “>50% water recycled.”

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

915

Score Fluctuation Sensitivity: Another critique acknowledged by Ragazzi and Ghidini (2017) is the sensitivity of the ranking score method. Slight indicator score differences can make an HEI fluctuate on the ranking with significant positional changes. This variation may confuse data interpretation by the general public as the ranking presents many HEIs with little score contrast on one criteria and extreme on others. Score Weighting System: Connected with the previous finding, Puertas and Marti (2019) propose an alternative index created from the WUR variables, where one of its main goals is to use data envelopment analysis to avoid identical score results among participant HEIs. That brings a more accurate view of the ranking position of a HEI, which gives a clearer idea of where an institution should focus on its next planning and action steps. Another approach, as proposed by Ragazzi and Ghidini (2017), is the introduction of scoring bands to go with the WUR punctuation; thus, it would not be necessary for readers to compare each category score of a HEI with another on the ranking to understand their performance, making the reading of the scores easier for the audience. The scoring bands could show qualitative elements such as “insufficient, sufficient, good, and excellent.” Continuous Improvement of Participant HEIs: Sonetti et al. (2016) also focus on the Energy and Climate Change criteria and superficiality of some of the questionnaire parts. As an example, only ticking off the percentage that an HEI has on “Energy-efficient appliances usage” (EC1) or on “Greenhouse gas emission reduction program“(EC7) does not necessarily mean the institution is a role model on the energy-efficiency aspect because other variables, such as the incorrect maintenance of these appliances can change a whole scenario when showing ranking’ results. Addition or Adaptation of Current Indicators: Lauder et al. (2015) critique that the Energy and Climate Change criteria have the highest percentage, while categories covering the importance of green preservation are not given the same importance on the WUR’s questionnaire. The authors also question the WUR in not having a criteria or category for campus policies, HEI-wide targets or HEI governance structures (e.g., committees on sustainability), elements that are understood and essential for a sustainable HEI.

4

Conclusion

The WUR was launched in 2010 with the premise of being different from other SATs. Focusing on HEIs, its online accessibility and design make it suitable for institutions globally. However, the WUR’s main vulnerability maybe its proposal to englobe HEIs from developed and developing regions. This is due to most critiques highlighted by the selected papers cover issues related to the inflexibility of the questionnaire to assess HEIs from different backgrounds; the lack of clusters to make the scoring assessment fairer; the lenience for questions that favor specific HEIs groups; and indicators with significant different weightings. Hence, while the WUR does not create clusters for criteria such as Setting and Infrastructure, Climate Change, and Transportation, HEIs will continue being assessed in an inequitable

916

N. H. Cardozo and S. Ricardo da Silveira Barros

manner. Generically analyzing HEIs can change the course of the final WUR ranking results. Consequently, it is ambitious to propose a ranking that aggregates more than 900 HEIs, as in 2020, under a unique methodology. As for the scoring system, it is suggested that the creation of scoring bands would help the general public better understand the results. Therefore, even though adopted by many HEIs already, the WUR presents problems that can affect how HEIs assess themselves and, consequently, manage and plan their future steps to sustainability. Furthermore, because the ranking can also be used to compare HEIs’ success, when not assessed equitably, that comparison can lead to misinterpretation. Thus, there is still much to adjust in the WUR in order to be a reliable SAT for both HEIs from developed and developing countries. That said, improvements to the WUR methodology could be a pre-assessment to direct participant HEIs into suitable clusters based on urban morphology, climate zone, economic investments, and others. Finally, to enhance the level of understanding of inequity among the various participant HEIs and assess them better, further studies must provide data from case studies and more analyses of the WUR questionnaire. This chapter contributes information for future advances to help improve the WUR and its use by HEIs across the globe.

References Alghamdi N, den Heijer A (2017) Assessment Tools’ indicators for sustainability in universities: an analytical overview. Int J Sustain High Educ 18(2):84–115 Alghamdi N, den Heijer A, de Jonge H (2017) Assessment tools’ indicators for sustainability in universities: an analytical overview. Int J Sustain High Educ 18(1):84–115 Alternative University Appraisal Model for ESD in Higher Education (AUA), version 1.2. 2012. Retrieved from: http://sustain.oia.hokudai.ac.jp/aua/. Last accessed 14 Apr 2021 Association of Commonwealth Universities (1993) The Swansea Declaration. Swansea. Retrieved from: http://www.iisd.org. Last accessed 10 Feb 2021 Berzosa A, Bernaldo MO, Fernández-Sanchez G (2017) Sustainability assessment tools for higher education: An empirical comparative analysis. J Clean Prod 161:812–820 Bullock G, Wilder N (2016) The comprehensiveness of competing higher education sustainability assessments. Int J Sustain High Educ 17(3):282–304 Caeiro S, Hamón LAS, Martins R, Aldaz CEB (2020) Sustainability assessment and benchmarking in higher education institutions-a critical reflection. Sustainability (Switzerland) 12(2). https:// doi.org/10.3390/su12020543 Calder W, Clugston RM (2003) International efforts to promote higher education for sustainable development. Plan High Educ 31(3):34–48 Campus Sustainability Assessment Framework (CSAF) Core (2009). Retrieved from: http://www. syc-cjs.org/sites/default/files/SYC-CSAF-core.pdf. Last accessed 14 Apr 2021 Cardozo NH, da Silveira Barros SR, Quelhas OLG, Filho ERM, Salles W (2020) Benchmarks analysis of the Higher Education Institutions Participants of the GreenMetric World University Ranking. In: Leal Filho W, Tortato U, Frankenberger F (eds) Universities and sustainable communities: meeting the goals of the agenda 2030. World sustainability series. Springer, Cham. https://doi.org/10.1007/978-3-030-30306-8_40 Contreras L (2020) Sustainable universities around the world: a model for fostering sustainable university Program’ effectiveness. Massachusetts. Thesis (Doctorate in engineering (“science in work environment”). Universidade de Massachusetts Lowell

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

917

COPERNICUS (1994) The University Charter for Sustainable Development (COPERNICUS Charter). Geneva. Retrieved from: http://www.copernicus-campus.org/sites/charter_index1. html. Last accessed 05 Mar 2021 COPERNICUS (2001) The Lüneburg declaration on higher education for sustainable development. Lüneburg. Retrieved from: http://www.lueneburg-declaration.de/. Last accessed 23 Jan 2021 COPERNICUS-CAMPUS (2005) Graz Declaration. Graz. Retrieved from: http://www.uni-graz.at/ sustainability/Graz_Declaration.pdf. Last accessed 05 Mar 2021 Copernicus Charta 2.2. (2011) COPERNICUS CHARTA 2.0/2011 European Commitment to Higher Education for Sustainable Development. https://www.copernicus-alliance.org/images/ Downloads/COPERNICUSCharta_2.0.pdf Corcoran PB, Wals AEJ (2004) The problematics of sustainability in higher education: an introduction. In: Corcoran PB, Wals AEJ (eds) Higher education and the challenge of sustainability: problematics, promise, and practice. Kluwer Academic Publishers, Dordrecht, pp 3–6 Cortese AD (2003) The critical role of higher education in creating a sustainable future. Plan High Educ 31(3):15–22 de Araújo Góes HC, Magrini A (2016) Higher education institution sustainability assessment tools: considerations on their use in Brazil. Int J Sustain High Educ 17(3):322–341. https://doi.org/10. 1108/IJSHE-09-2014-0132 Disterheft A, Caeiro S, Azeiteiro UM, Filho WL (2013) Sustainability science and education for sustainable development in Universities: away for the transition. In: Caeiro S, Filho WL, Jabbour C, Azeiteiro U (eds) Sustainability assessment tools in higher education institutions: mapping trends and good practices around the world. Springer International Publishing, Heidelberg/New York, pp 3–28 Fernandez-Sanchez G, Bernaldo MO, Castillejo A, Manzanero AM (2014) Education for sustainable development in higher education: state-of-the-art, barriers, and challenges. Higher Learning Research Communications 4(3):3–11. https://doi.org/10.18870/hlrc.v4i3.157 Filho WL, Shiel C, do Paço A (2015) Integrative approaches to environmental sustainability at universities: an overview of challenges and priorities. J Integr Environ Sci 12(1):1–14 Fischer D, Jenssen S, Tappeser V (2015) Getting an empirical hold of the sustainable university: a comparative analysis of evaluation frameworks across 12 contemporary sustainability assessment tools. Assess Eval High Educ 40(6):785–800. https://doi.org/10.1080/02602938.2015. 1043234 G8 University Summit (2008) Sapporo Sustainability Declaration. Sapporo. Retrieved from: http:// engagement.illinois.edu/globalsummit2012/PDFs/All_Declarations.pdf. Last accessed 05 Mar 2021 G8 University Summit (2009) Torino (Turin) Declaration on Education and Research for Sustainable and Responsible Development. Torino. Retrieved from: http://www.g8university.com/ pagine/pagina.aspx?ID¼Reports001&L¼EN. Last accessed 05 Mar 2021 Góes HC de A (2015) Análise Comparativa de Instrumentos para Avaliação da Sustentabilidade em Universidades visando uma proposta para o Brasil. Universidade Federal do Rio de Janeiro Green Plan – National Framework (2010). Retrieved from https://sdgs.un.org/sites/default/files/ documents/2015Referentiel_CGE-CPU_2012_EN.pdff. Last accessed 20 Apr 2021 Grindsted TS (2011) Sustainable universities from declarations on sustainability in higher education to National law. Environ Econ 2(2):29–36 Hazelkorn E (2011) World-class universities or world-class systems? Rankings and higher education policy choices. UNESCO Forum on Rankings and Accountability in Higher Education, pp 16–17 IAU (International Association of Universities) (1993) Kyoto Declaration. Retrieved from: http:// www.iisd.org/educate/declarat/kyoto.html. Last accessed 05 Mar 2021 IAU (International Association of Universities) (1991) The Halifax Declaration. Halifax. Retrieved from: www.iau-aiu.net/content/rtf/sd_dhalifax.rtf. Last accessed 05 Mar 2021 IREG (2006) Berlin principles on ranking of higher education institutions adopted at IREG’s 2nd meeting in Berlin, 18–20 May, 2006

918

N. H. Cardozo and S. Ricardo da Silveira Barros

Jajo NK, Harrison J (2014) World university ranking systems: an alternative approach using partial least squares path modeling. J High Educ Policy Manag 36(5):471–482 Lambrechts W (2015) The contribution of sustainability assessment to policy development in higher education. Assess Eval High Educ 40(6):801–816 Lambrechts W, Ceulemans K (2013) Sustainability assessment in higher education: evaluating the use of the auditing instrument for sustainability in higher education (AISHE) in Belgium. In: Caeiro S, Filho WL, Jabbour C, Azeiteiro U (eds) Sustainability assessment tools in higher education institutions: mapping trends and good practices around the world. Springer International Publishing, Heidelberg/New York, pp 157–174 Lauder A, Sari RF, Suwartha N, Tjahjono G (2015) Critical review of a global campus sustainability ranking: GreenMetric. J Clean Prod 108:852–863 Lozano FJ, Lozano R (2014) Developing the curriculum for a new Bachelor’s degree in Engineering for Sustainable Development. J Clean Prod 64:136–146 Lukman R, Glavič P (2007) What are the key elements of a sustainable university? Clean Techn Environ Policy 9(2):103–114 Marginson S, van der Wende M (2007) To rank or to be ranked: the impact of global rankings in higher education. J Stud Int Educ 11(3/4):306–329 Mochizuki Y, Fadeeva Z (2008) Regional centres of expertise on education for sustainable development (RCEs): an overview ed. M.C.E. (Rietje) van Dam-Mieras. Int J Sustain High Educ 9(4):369–381 Moed HF (2017) A comparative study of five world university rankings. In: Applied evaluative informetrics. Qualitative and quantitative analysis of scientific and scholarly communication. Springer, Cham Parvez N, Agrawal A (2019) Assessment of sustainable development in technical higher education institutes of India. J Clean Prod 214:975–994. https://doi.org/10.1016/j.jclepro.2018.12.305 People & Planet Green League Guide (2013). Retrieved from: http://peopleandplanet.org/dl/ greenleague/2013/guide.pdf. Last accessed 14 Apr 2021 Puertas R, Marti L (2019) Sustainability in universities: DEA-GreenMetric. Sustainability (Switzerland) 11(14). https://doi.org/10.3390/su11143766 Ragazzi M, Ghidini F (2017) Environmental sustainability of universities: critical analysis of a green ranking. In: International conference on technologies and materials for renewable energy, environment and international conference on technologies and materials for renewable energy, environment and sustainability, TMREES. Energy Procedia, Beirut Lebanon, pp 111–120 Roorda N, Martens P (2008) Assessment and certification of higher education for sustainable development. Sustainability 1(1):41–56 Roorda N, Rammel C, Waara S, Fra Paleo U (2009) AISHE 2.0 manual: assessment instrument for sustainability in higher education, edition 2.0. Second draft. Retrieved from: www.box.net/s/ 0dglhugzyyzta4kkfb83. Last accessed 14 Apr 2021 Shriberg M (2002) Institutional assessment tools for sustainability in higher education: strengths, weaknesses, and implications for practice and theory. Int J Sustain High Educ 3(3):254–270 Sonetti G, Lombardi P, Chelleri L (2016) True green and sustainable university campuses? Toward a clusters approach. Sustainability (Switzerland) 8(1):1–23. https://doi.org/10.3390/su8010083 STARS Technical Manual, version 2.0. (2014). Retrieved from https://stars.aashe.org/resourcessupport/technical-manual/. Last accessed 14 Apr 2021 Suwartha N, Sari RF (2013) Evaluating UI GreenMetric as a tool to support green universities development: assessment of the year 2011 ranking. J Clean Prod 61:46–53 The Halifax Declaration (1991) The Halifax Declaration. IAU (International Association of Universities). www.iau-aiu.net/content/rtf/sd_dhalifax.rtf. Last accessed 05 Mar 2021 Thomashow M (2014) The nine elements of a sustainable campus. MIT Press, Cambridge, MA Tiyarattanachai R, Hollmann NM (2016) Green Campus initiative and its impacts on quality of life of stakeholders in Green and Non-Green Campus universities. SpringerPlus 5(1):84 Treaty on Higher Education (2012) Rio þ 20 treaty on higher education. COPERNICUS-ALLIANCE. http://www.copernicus-alliance.org/images/Documents/treaty_rio.pdf

45

Investigating the GreenMetric World University Ranking as an Equitable Tool

919

Turin Declaration (2009) Torino (Turin) declaration on education and research for sustainable and responsible development. G8 University Summit.Torino. http://www.g8university.com/pagine/ pagina.aspx?ID¼Reports001&L¼EN ULSF (Association of University Leaders for a Sustainable Future) (1990) The Talloires Declaration: 10 point action plan. In the Talloires Declaration UNESCO (1998) World declaration on higher education for the twenty-first century: vision and action. 1–21. Retrieved from http://www.unesco.org/education/educprog/wche/declaration_ eng.htm. Last accessed 23 Jan 2021 UNESCO (2009) Education for sustainable development and climate change – policy dialogue 4. http://unesdoc.unesco.org/images/0017/001791/179122e.pdf. Last accessed 20 Sept 2018 UNESCO (2012) Commitment to Sustainable Practices of Higher Education Institutions. Rio de Janeiro. Retrieved from: https://sustainabledevelopment.un.org/content/documents/1889HEI% 20Declaration%20English%20new%20version.pdf. Last accessed 23 Jan 2021 UNESCO (1992) Chapter 36 – Promoting education, public awareness and training. In: Agenda 21. Rio de Janeiro. Retrieved from: http://www.un-documents.net/a21-36.htm. Last accessed 07 Mar 2021 UNESCO (2014) Nagoya Declaration on higher education for sustainable development. Aichi. Retrieved from: http://www.c-linkage.com/for/hesd/declaration.html. Last accessed 07 Mar 2021 Unit-Based Sustainability Assessment Tool (USAT) (2009). Retrieved from www.unep.org/ Training/docs/USAT_Tool.pdf. Last accessed 14 Apr 2021 United Nations (1992) The Rio declaration on environment and development. Rio de Janeiro. Retrieved from: http://www.unesco.org/education/pdf/RIO_E.PDF. Last accessed 07 Mar 2021 Universitas Indonesia (2010) UI GreenMetric World University rankings: background of the ranking. Retrieved from: https://greenmetric.ui.ac.id/. Last accessed 14 June 2021 Universitas Indonesia (2020) Guideline of UI GreenMetric world university rankings 2020 – Universities’ responsibility for sustainable development goals and World’s Complex Changes”. Retrieved from: http://greenmetric.ui.ac.id/wp-content/uploads/2020/10/UI_GreenMetric_ Guideline_2020_English_Rev.3.pdf. Last accessed 14 Apr 2021 Urbanski M, Leal Filho W (2014) Measuring sustainability at universities by means of the Sustainability Tracking, Assessment and Rating System (STARS): early findings from STARS data. Environ Dev Sustain 17(2):209–220 Urquiza Gómez F, Sáez-Navarrete C, Rencoret Lioi S, Ishanoglu Marzuca V (2015) Adaptable model for assessing sustainability in higher education. J Clean Prod 107:475–485 Usher, A., & Savino, M. 2006. A world of difference: a global survey of university league tables. Retrieved from http://www.educationalpolicy.org. Last accessed 19 June 2021 Usher A (2009) University rankings and league tables: their construction and use (with a note on the use of rankings in developing countries). In: Sari RF, Surajaya IK (eds) Proceedings of the international conference on world university rankings and quality of education 2009. UI Press, Depok, pp 12–28 Veiga JE da (2013) A desgovernança mundial da sustentabilidade. São Paulo (1st ed.). Editora 34 Velazquez L, Munguia N, Platt A, Taddei J (2006) Sustainable university: what can be the matter? J Clean Prod 14(9–11):810–819 Waas T, Verbruggen A, Wright T (2010) University research for sustainable development: definition and characteristics explored. J Clean Prod 18(7):629–636 Yarime M, Tanaka Y (2012) The issues and methodologies in sustainability assessment tools for higher education institutions: a review of recent trends and future challenges. J Educ Sustain Develop 6(1):63–77 Yudkevich M, Altbach PG, Rumbley LE (2015) Global university rankings: the “Olympic Games” of higher education? PROSPECTS 45(4):411–419

Environmental Communication and Health Promotion

46

C. Skanavis, C. Sardi, and G.-T. Zapanti

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Importance of Natural Ecosystem Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 A New Geological Epoch: The Anthropocene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Climate Change: “The Leader of All Risk Factors” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 An Eco-Cultural Health Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 The Need to Change Our Mind Settings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Environmental Communication Necessity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1 Environmental Communication Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2 The Role of Communicator Concerning Environmental Issues . . . . . . . . . . . . . . . . . . . . . 7 Health Promotion and New Public Health Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

922 923 924 925 926 927 928 929 931 934 936 940 940

Abstract

The Earth’s health and that of humans are inextricably connected. In the case of the biological ecosystem, the behavior and actions of mankind have fractured this – precious for life – stability. In order to establish the Anthropocene consciousness 2.0, we need behavioral shifts. People’s actions, ecological and cultural devastation, and global health are all intertwined and must be taken into account while responding to these challenges and achieving global sustainability. Science is often cited as a source of information for sustainable development. Unfortunately the available scientific knowledge cannot alone effectively guide us to a sustainable C. Skanavis (*) School of Public Health, University of West Attica, Athens, Greece e-mail: [email protected] C. Sardi · G.-T. Zapanti Research Unit of Environmental Education and Communication, School of Public Health, University of West Attica, Athens, Greece e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_22

921

922

C. Skanavis et al.

way of thinking. Professionals must be able to effectively interpret research, discuss costs and advantages, and involve stakeholders throughout an operation if they are to handle environmental concerns. The greatest utility of environmental communication may be its power to form and reform humanity’s knowledge in a way that encompasses the ever present relation between the human being and the natural world. As we concentrate on the most pressing public health issue of our day, effective communication to engage people, communities, and populations in dialogue is important. Creative and transformative approaches are required in order to embrace changes and determine uncertainty. Environmental communication and health promotion can become the dominant method of changing our way of thinking and therefore our behavior.

1

Introduction

Almost 60 years have passed since the publication of “Silent Spring” and this book is more essential than ever. It is arguably one of the most influential books, as wellcharacterized by Pimentel (2012), where the impacts of the extensive usage of pesticides on the environment were first analyzed. Rachel Garson managed to bring to notice and communicate the possible effects of environmental contaminants on the health of the planet and human as well, and after years gave rise to American and global environmentalism (Montrie 2019). The town described by Rachel Carson as “silent” without “voices from nature” may not have existed then but the feeling is quite familiar today. The nascence of this way of thinking dates back to the late 1960s, where in order to understand the Earth’s beauty, aloneness, vulnerability, and apparently special capacity to sustain life, we have to make a long trip. It was Christmas Eve in 1968 when Bill Andres looked out his spacecraft’s window and snapped a stunning picture of the Earth rising beyond the lunar horizon. This photograph meant to be the historic and epochal image of environmentalism, emphasizing the need to protect our planet. Eventually, the same technological advancements that took us to the moon also paved the way for humanity to produce an enormous ecological distraction on the Earth’s natural systems and resources. Probably the most important insight into this ecological conundrum was the realization that the status of human health and the state of the Earth’s natural system is evolving in diametrically opposed directions (Myers 2018). Therefore, regarding our existence here, we shall consider not only the philosophical, but also the real, practical context of our influence on the planet. The emergence of COVID-19 reflects a rupture of the human relationship with the natural world. The COVID-19 pandemic is not just a rare event, but it can be considered as a symptom of ecological disruption according to The Lancet Planetary Health (2021). One of the things that the pandemic is making evident to us is the absolute degree to which life is interconnected on this planet. As it happens, COVID-19 is a prototypical planetary health story, meaning that the virus’ origin is related to our interactions with nature and wildlife, our food system, and can change depending on the demography and technology (Myers and Frumkin 2020).

46

Environmental Communication and Health Promotion

923

Having experienced a modern “Silent Spring” in 2020–2021, with a small number of driving cars and air transportation becoming rare, background noises had eliminated globally. It was an important wake-up call that made us understand that it is not too late for rapid and drastic changes because if we get this done, species will have great chances to recover from anthropogenic pressures (Halfwerk 2020). Lockdowns have also shown that personal responsibility especially, when performed globally, can create significant benefits that matter on a global scale. Let this be the boost to change our mind settings with effective communication among global populations, with the aim to engage the public in the critical discussions on nature and health (Ros et al. 2020). Who wants to drink unsanitary water or breathe polluted air? As Pezzullo and Cox (2018) mentioned, differences exist among opinions of the public about which environmental “crises” are truly crises, how society could solve environmental problems, and how it could be a dream or a reality a life in an ideal environment. Environmental communication expresses threats to the environment, as well as its wonders but always faces a fundamental dilemma. Although the environment is among us as part of our daily routine, it has little voice in the public sphere without human interventions (Pezzullo and Cox 2018).

2

The Importance of Natural Ecosystem Services

Into the hierarchy of ecology, an ecosystem is “an interactive complex of communities and the abiotic environment affecting them within a particular area.” For example, a wetland, grassland, forest, coral reef, sand dune, each with its esteemed species in a particular area, can be studied as separate ecosystems. Human beings also constitute parts of an ecosystem, but in some cases, humans are the main force of an ecosystem; from this perspective in the scientific field of urban ecology such systems are considered human-dominated systems (Wright and Boose 2011). Planetary health is inseparable from human health and is defined as ‘‘the interdependent vitality of all natural and anthropogenic ecosystems; this vitality includes the biologically defined ecosystems (at micro, meso, and macro scales) that favor biodiversity; it includes the more broadly defined human-constructed social, political, and economic ecosystems that favor health equity and the opportunity to strive for high-level wellness; this definition also includes the business ecosystems that influence sustainable and health-promoting local and global commerce” (Prescott and Logan 2019). Now, with the human population almost exceeding eight billion people, and the adverse amplification of good and services consumption, the growing ecological footprint of mankind is changing the Earth’s land cover, rivers and oceans, climatic system, bio-geochemical cycles, and ecosystem functions. As we know, human health depends on the available air, water, food, energy, recreation, hygiene, exposure to microorganisms, toxins and environmental threats, and several other factors such as gender, behavior, or sociality (Barrett et al. 2015). Therefore, relying on healthy natural systems to support healthy communities and societies is a reality that

924

C. Skanavis et al.

forces us to understand how humans rely on natural ecosystems and their services (Patz et al. 2012). Ecosystem services consist of three interconnecting concepts: • The physical ecosystem elements (structure) • The operating of and interlinkage between those elements (process or function), and • The ecosystem’s irreplaceable contribution to human welfare (benefit or benefitproviding service) (Danley and Widmark 2016). As the growth of population continues, so does the demands for food production, which puts additional pressure on the existing natural resources. By cutting down forests, by utilizing wetlands, ponds, and green belts, more arable land can be provided. The latest agriculture advancements call for more quantities of water, more fertilizers and more pesticides. The application of chemical fertilizers and pesticides cause soil degradation to the point of becoming non-fertile. Deforestation has its own serious effects, and the entire environment loses its balance (Mittal and Mittal 2013). While it is easier to understand the living world as a sum of separated and unique ecosystems, in reality one ecosystem very rarely is completely isolated from another (Wright and Boose 2011).

3

A New Geological Epoch: The Anthropocene

Impacts from human activities are observed in almost every sector of the Earth (Roka 2020, pp. 24–32). This series of changes gave rise to a new term for a new geological era, the Anthropocene. In the Anthropocene, humanity is both the source of the issue and the sole being capable of determining the planet’s destiny. The same scientific and technological innovation that drove us to the moon has driven a largescale expansion of mankind’s global ecological footprint, with environmental and climate changes leading to the extinction of species and the hyper exploitation of resources (Myers 2018; Roka 2020, pp. 24–32). The impact of mankind on the global environment has become so pressing leading to transformation of natural ecosystems. Population activity is driving basic biophysical changes at a much faster rate than what has already existed in our history. These biophysical changes occur in various aspects, such as: • • • • • •

Global climate change Atmospheric, water, and soil pollution Loss of biodiversity Disturbance of biogeochemical cycles (such as carbon, nitrogen, and phosphorus) Intense alteration in land use and cover Scarcity of resources (consisting of fresh water and fertile land) (Myers 2018)

These aspects affect each other in various ways resulting in adverse changes on breathing air, the water we use, and our food supplies. Due to ongoing environmental

46

Environmental Communication and Health Promotion

925

changes, our exposure to infections and natural dangers such as heatwaves, droughts, floods, and tropical storms fluctuates. All these dimensions are determining every aspect of the quality of our lives, such as health and well-being. Eventually, outcomes of nutrition, communicable and non-communicable diseases, migration and wars, and mental balance are some of the dimensions facing severe impacts (Myers 2018). The whole process can simply be represented as a causal chain from source to effect as:

•overpopulation, burning fossil fuels, deforestation, transportation (by sea, land and air), energy production, industrial activities, agriculture, waste disposal, use of chemicals, external inputs (fertilizer usage, pest control), overfishing, etc.

Human activities

Environmental degradation

Health effects

•climate change, ozone layer depletion, scarcity of land and freshwater, biodiversity loss, changes in land use, reconfigurati on of biogeochemical cycles, ocean acidification, land erosion, eutrofication, damage to coastal ecosystems and coral reefs, ocean warming, etc.

•Direct impacts: floods, heatwaves, water shortage, land uses, exposure to pollutants •Indirect impacts: numerous health consequences of loss of livelihood, population relocation (slum habitation), conflict, and ineffective adaptation and mitigation •Impacts mediated by ecosystems: changes in infectious illness risk, diminished food fields, depletion of natural remedies, mental health, and the effects of aesthetic/cultural deprivation

Li (2017), Briggs (2003), and Myers and Frumkin (2020)

3.1

Climate Change: “The Leader of All Risk Factors”

Climate change affects both the ecosystem and the human health, although we tend to focus on the environmental impacts ignoring the health effects (Patz et al. 2012). Several human health threats have emerged due to climate changes, with impacts in water and food supplies, waves of heat, droughts, severe storms, communicable diseases, rising sea levels (Barrett et al. 2015), and tropical populations at risk of survival are only some examples of many (Myers 2018). Climatic instability is threatening also indirectly the human health through alteration in air pollution, expansion of disease vectors, nutrition insecurity and malnutrition, migration, and mental illnesses (Watts et al. 2015). Biodiversity, ecosystems, and ecosystem services are impacted as well (Weiskopf et al. 2020). In this view, combating climate change may be the greatest global health opportunity of our time (Watts et al. 2015). According to Martin and Landrigan (2016) “tackling the ‘leader of all risk factors,’ it will address pollution’s impact on health, economics, poverty, social justice, and the sustainable development goals and will conclude with solutions to prevent and control this massive, neglected global threat.” It is a well-known fact that human and animal health depend on the ecosystem. Human disturbance of terrestrial and marine environments, combined

926

C. Skanavis et al.

with over-population and climatic changes in the next few decades could make us realize that developed countries are as vulnerable as the developing ones, resulting in affecting everyone the same (Li 2017). We may anticipate more similar shocks if we continue to perform global experiments and quickly change the majority of the biophysical needs of the only livable planet we know (Myers 2018). The adverse health effects of exposure to environmental toxic substances are huge, and this growing problem has not attracted enough attention. It’s time to draw the world’s attention to the escalating issue of global pollution, which is becoming more severe. The moment has arrived to create pollution control goals (Landrigan et al. 2016). Unfortunately the available scientific knowledge cannot alone effectively guide us to a sustainable way of thinking. Many scientists, writers, conservationists, citizens, philosophers, and more have for centuries communicated in several ways the emergent situation of planetary health we are dealing with today.

4

An Eco-Cultural Health Perspective

We live in a golden age full of improvements for human health (Martin and Landrigan 2016). Planetary health intricately links the health of human beings with the health of the Earth. Under the current circumstances, the greatest global challenge of our time is the improvement of both human and planet health (Martin and Landrigan 2016). But how could it be achieved? Responding to these dangers and achieving global sustainability need an ecological and cultural health approach based on an awareness of the linkages between human activities, ecological and cultural disturbance, and public health (Rapport and Maffi 2011). So far, mankind has survived the ghost of a nuclear war. The constraints of resources and ecosystems have given birth to the fundamental contradiction of a perpetual growth trajectory (Barrett et al. 2015). These conditions have led to the rise of a new research area, the ecosystem health, which allows the ecosystem to maintain its full functions while involving social aspects, such as sustainable livelihoods and conditions that are conducive to cultural well-being and public health, governance, etc. The evaluation of the health of ecosystems and landscapes is the main target, along with the determinants of health, the connection between the human’s activities, and the resulting changes on ecosystems and landscapes. Its views are vastly different from the dominant economic and engineering methods. The concept of “healthy” or “well-functioning” of the ecosystem is often ignored by the current engineering and economic methods in environmental management. In these methods, efficiency and monetary value are the key indicators of success. From the perspective of ecosystem health, maintaining the health of ecosystems and enabling them to maintain their full functionality to support life itself is the main goal (Rapport 2007). Planetary health methods can help to study the interrelationship between the health of the Earth’s natural systems and the health of mankind (Floss and Barros 2019).

46

Environmental Communication and Health Promotion

927

Taking an ecologically healthy approach to sustainable development science can provide a unique perspective for achieving sustainable development goals and methods. The goal should be to restore all the functions of the planet’s ecosystems and landscapes, as determined by the following key health indicators: flexibility, organization, vitality, etc. (Rapport 2007). The lack of the ecological distress syndrome, which is a tally of indicators that the ecosystem is deteriorating (Rapport and Maffi 2011), consist one of the most important key health indicators, forming “the response of many different ecosystems to various sources of anthropogenic stress” (Li 2017). The means should be coordinated and work in time to change human behavior to reduce the cumulative stress effects. Accomplishing eco-health should become a cornerstone of sustainability, as healthy ecosystems provide sustainable livelihoods, human health, and others (Rapport 2007).

5

The Need to Change Our Mind Settings

Expanding our horizons, we observe that the fast deterioration of planet’s natural systems indicates that urgent action must be taken to prevent this imminent collapse. And as a result, will lead to a reversal of the advancements in global health trends over the past few decades (Floss and Barros 2019). Therefore, science informs all environmental decisions. As the Prime Minister of India, Narendra Modi, said, “The world needs to shift to a paradigm of environmental philosophy that is anchored in environmental consciousness rather than merely government regulations” (UN Environment Programme 2018). According to Motloch (2019b, p. 2087), there is a rising realization for the need to maintain, renew, and regulate the energy-waste-food nexus, indicating that a change in consciousness is taking place. Anthropocene 2.0 consciousness is now building and accepting the analogically robust knowledge system required to emerge into a sustainable future. Knowledge should invigorate introspection and action. As Motloch (2019, p. 260) informs us, early Anthropocene 2.0 consciousness has the potential to reprovision and integrate analytical thinking in order to optimize operation in nowadays world with the aim of becoming more sustainable. In order to achieve a shift in society and create an impartial and sustainable planet, we need to innovatively activate and use all accessible knowledge resources. Environmental awareness is arguably the key success factor. Being aware of sustainability issues means to be able to understand how fragile the environment is and how vital its protection is. In order to acquire a deeper understanding about the environment and its importance, we have to think in terms of ecological consciousness (Motloch 2019, p. 260). This kind of thinking is associated with the development and expansion of awareness and consciousness in order to comprehend our influence on the environment. There is an urgent need for new methods to support a more philosophical cultural shift and the transition to sustainable development. It has to be mentioned at this point that in preparation for the very much needed transformation to happen, four important elements are required. We must have

928

C. Skanavis et al.

compelling shared visions that drive hope and optimism, we need to change the way we generate and share knowledge, we need to deepen the human relationship with the natural world, and we need to build movements for social action to drive needed change (Myers and Frumkin 2020, p. 480). Although the Anthropocene idea reflects the history and present nature, magnitude, and breadth of human impact on the Earth system, its real significance lies in using it to guide attitudes, alternatives, policies, and actions that may affect the future (Roka 2020). Creative and transformative approaches are required in order to embrace changes and determine uncertainty (Plummer et al. 2020). As we concentrate on the most pressing public health issue of our day, effective communication to engage people, communities, and populations in dialogue is important (Ros et al. 2020). Flor (2004, p. 29) argues that the overall purpose of environmental communication is to achieve mutual understanding, which can be equal to societal environmental consciousness.

6

Environmental Communication Necessity

While Anthropocene reverses the past and present nature, it is essential for determining the future through values, options, and navigation of actions (Roka 2020). Nonetheless, information alone cannot help us to bring the solution in this complicated context. Although people’s awareness and knowledge of environment is in place, essential behavioral shifts have not yet occurred. • But why this important change is still absent? • What can be stated about the flow of environmental communication in the midst of the ever-increasing flow of information (Jurin et al. 2010)? Communicating the intricate and systemic nature of environmental concerns is always complex and demanding (Zikargae 2018). • Do people understand the message that climate scientists are trying to communicate? Is it feasible to influence people to care actively about the environment (Ajaps et al. 2015)? Environmental communication could arguably show us the way to achieve this (Landrigan et al. 2016). Communication about the dangers posed by climate change may help people better prepare and raise their chances of survival in the event of a crisis (Skanavis and Kounani 2018). Firstly, our understanding of the environment and our roles within it cannot be separated from the need to communicate with others (Pezzullo and Cox 2018). Communication is necessary almost in every aspect of our daily routine. Communication as a skill-based process, defines how to improve our abilities to send and decode massages. Though scientists have recognized many actions between animals that can be characterized as “communication,” humans are the only ones to

46

Environmental Communication and Health Promotion

929

employ environmental communication with each other, and in such richness (Jurin et al. 2010). Environmental communication includes any type of environment-related information flow using different ways of communication (Zikargae 2018), which helps to increase awareness and better understanding of the environment. There is no communication without an environment, and life on Earth can either be saved or destroyed with communication (Pezzullo and Cox 2018).

6.1

Environmental Communication Field

Five decades ago, environmental education and communication were considered to be inextricably linked areas. As mentioned by Jurin, Roush, and Danter (2010), in the first article of Environmental Education, Schoenfeld at 1969 defined environmental education as “communication aimed at producing a citizenry that is knowledgeable concerning our environment and its associated problems, aware of how to help solve those problems, and motivated to work toward their solution.” These years the main locus was to differentiate environmental from previous descriptive terms such as outdoor, nature, and conservation, than separating “education” from “communication.” The dominant school of thought toward the solution was interconnectedness and a fixation on negative human impacts. From the beginning of the environmental communication field it is undoubtably profound that the interdependence is the basic theme – that everything is connected to everything else. Environmental communication has proliferated as a professional field since 1980 (Pezzullo and Cox 2018). Environmental communication has its roots in the urgent need to better comprehend and interpret human interactions with the rest of the environment, and it has existed for as long as people have communicated with one another and with nature. From this perspective Jurin, Roush, and Danter (2010) defined Environmental Communication as “the systematic generation and exchange of humans’ messages in, from, for, and about the world around us and our interactions with it.” Pezzullo and Cox (2018) suggest that defining environmental communication simply as information or “talk” about environmental topics can be confusing. Taking account the roles of protests, language, visual images, music, or scientific reports as different forms of symbolic action could give us a clearer definition. Pezzullo (2017, as mentioned in Pezzullo and Cox 2018) has identified seven general approaches as a way of studying environmental communication: 1. Environmental personal identity and interpersonal relationships. This approach evaluates the ecological footprint of individuals, autoethnography, a sense of self in place, consumption studies, and practice of environmental education. This approach also takes into account the importance of various perspectives regarding each cultural background.

930

C. Skanavis et al.

2. Environmental organizational communication studies. Access how businesses and institutions are placed in regard with environmental matters. Also has to do with the way that the environmental and add environmental discussion impacts our daily whereabouts. Some research examples include nuclear energy and the disposal of nuclear waste. 3. Environmental science, technology, and health communication. Investigates a number of different subjects such as personal technological choices, interpersonal communication between doctor and patient, etc. This approach focuses on technical conversations such as how scientists interact and communicate with individuals and the community. 4. Public participation in environmental decision making. Is derived from discourse studies, institutional communication, rhetoric, and follows democratic practices. 5. Environmental mass media studies. Are quite popular in our times since many scientists use mass media in order to inform bigger audience about climate change. This approach also includes the research on how mainstream news present environmental issues and in which context. The environmental narrative across media can be quite different. 6. Green applied media and art. In this category we find among other environmental architecture, environmental journalism, public relations, and green design. In addition, green arts may also include artistic communities, which try through art with eco-friendly context. 7. Environmental rhetoric and cultural studies. Within this approach we find extensive analysis of communication-related phenomena such as environmental campaigns, activism, movements, performances, and controversies in a public dialogue. The respected studies are less interested in universal truths, instead they scrutinize the relation among organizations and power struggles. This approach is interested in things such as environmental documentary films, possible connections between racial injustices and environmental degradation. Environmental communication is interconnected with many other sub-disciplines as well as other scientific fields. Zikargae (2018) has described environmental communication as “the social and symbolic constructions of environment, public participation in environmental decisions, conflict resolution, environmental journalism, social media, environmental advocacy campaigns, science communication, environmental justice and climate justice movements, risk communication, green marketing, and corporate advocacy campaigns.” Additionally, Harris (2019, p. 9) and Lie and Servaes (2015, p. 251) describe it as a relatively young topic within communication science that intersects with environmental education and health communication, particularly in its emphasis on public involvement and opinion. The interdisciplinary nature of the field means that environmental communication is also an important area of discussion in environmental science, environmental planning, development studies, and disaster risk management, among other areas. According to Harris (2019, p. 9), climate change communication is one of the sub-themes that continue to dominate environmental communication. Climate

46

Environmental Communication and Health Promotion

931

change in order to be tackled successfully in the future needs to be better communicated especially to young people (Skanavis and Kounani 2018). As a tool, environmental communication provides information about environmental actions, such as reducing environmental burden and promoting protection of the nature, and demonstrating individuals, departments, enterprises, and organizations through listening and dialogue with stakeholders. Environmental communication is the main driving force for the creation of a sustainable society (Zikargae 2018). All the above show us the need to connect climate scientists and the public, and environmental educators can play an important role (Ajaps et al. 2015).

6.2

The Role of Communicator Concerning Environmental Issues

According to Clement (2021, p. 249), while academics care a lot about expressing complexity and ambiguity, it is vital to apply theory into practice. As Jurin, Roush, and Danter (2010) mentioned, successful communication is to send a clear message to a specific predetermined recipient. The burden of this process falls on the shoulders of the communicator. Capable communicators form their messages in the appropriate way to maximize effectiveness. Professionals must be able to correctly understand research, effectively explain costs and benefits, and engage stakeholders along the process in order to tackle environmental challenges (Pontius and McIntosh 2020). As Jurin, Roush, and Danter (2010) mentioned, a mythical monster can be likened to the fields of environmental communication, education, and interpretation (ECEI): “Cerberus, the canine guardian of Hades. This devil dog purportedly has three heads atop three necks protruding from a common body. The heads, though able – at least in legends – to attack different targets, were essentially the same creature.” Natural resource professionals can anticipate the need for daily use of communication, interpretation, and education skills in their daily work. 1. Formal education takes place in classrooms, while formal environmental education takes place in formal settings. 2. Informal education is less structured, and it includes nonformal assessment and environmental interpretation. 3. Nonformal education includes the dissemination of knowledge largely via mass media, as well as environmental communication in nonformal contexts. “Each of these three settings – formal, informal, and non-formal – depends on a mediator. This mediator may be called a teacher, facilitator, host, interpreter, journalist, communicator, tour guide, information/outreach specialist, educator, scientist, engineer, or one of many other titles. The environmental communicator’s job is to transmit environmental, scientific, and/or natural resource information to interested recipients” (Jurin et al. 2010).

932

C. Skanavis et al.

According to Frehm, Gravinese, and Toth (2019), environmental educators are faced with the demanding task of teaching recipients to be good environmental stewards. Academicians, professors, and practitioners have the duty to educate, doubt, evaluate with a critical eye, or otherwise speak in suitable forums when “social/ symbolic representations of ‘environment,’ knowledge claims, or other communication practices are constrained or suborned for harmful or unsustainable policies toward human communities and the natural world.” Similarly, via their work, they are accountable for discovering and advocating actions that conform with the first normative principle: to increase society’s capacity to react appropriately to environmental “alarms” connected to both human and environmental eudaimonia (Cox 2007). This kind of relationship, as early as the nineteenth century, which may characterize scientists as equal members, still has a strong hierarchy today. Scientists have repeatedly affirmed their status as “experts” and they believe in the mission of “education” of the public (Cox and Hansen 2015). For a health-care professional, this could be a great chance of transforming to an educator or an advocate (Myers 2018). Interpreters, educators, naturalists, nature guides, docents, tour guides, and heritage interpreters are individuals who conduct interpretive programs, according to Skanavis and Giannoulis (2009). Interpretation may be personal (e.g., interpreter-led walks, camping programs, speeches, etc.) or nonpersonal (i.e., films, exhibits, and publications). Interpreters aim to instill in visitors a feeling of ownership and care for the resource. A key purpose of environmental interpretation in informal free-choice learning settings is to try to educate visitors on complicated natural resource concerns linked with national and local protected areas and sensitive ecotourism settings. One effective way for people to actively promote sustainability is the environmental stewardship (Bennett et al. 2018). An environmental steward’s primary responsibility is to interact with the ecosystem in a responsible manner by balancing the usage of supply with the social and ecological demands of a bigger and more diverse portfolio of ecosystem services (Cockburn et al. 2019). Although we focus on direct stewardship actions, there are also indirect operations. These stewardship – providing activities – might include operations such as environmental education, communication of fixed ecological knowledge, network developing activities, governance or policy renovations, behavior modification system, and academic or participatory observation and research. Eventually, people could participate effectively on changing mindsets through the way of environmental stewardship (Bennett et al. 2018). Furthermore, a novel multi-actor approach toward sustainability is provided by Biosphere stewardship. Despite the important function of environmental stewards, biosphere stewardship emphasizes the need of community action, and hence governance. Biosphere stewardship denotes a fresh governance modulation capable of effectively approaching sustainable transformation (Plummer et al. 2020). Concerning the importance of young actors’ roles as biosphere stewards, there has been little research effort despite the focus of sustainability on future generations. Young stakeholders with the potential to be agents of sustainable transformation are

46

Environmental Communication and Health Promotion

933

critical players in social-ecological systems, but they are also particularly vulnerable to global change issues (Barraclough et al. 2021). Planetary health communicators need to recognize, esteem, and combine the variety of other ways of approaching the world in a participatory way so as to realize cross-cultural grassroots solutions (Myers 2018).

6.2.1 Motivation Motivation can transform thoughts and plans into actions. Usually, something we are interested in or appeals to us is easier to do. Motivation is that which enables us to perform the most easiest to the most difficult task. It is an inner force that fluctuates depending on the personality and the task at hand. Motivation can be characterized as intrinsic or extrinsic. Intrinsic motivation comes from within. These means that we have decide to make something happen because we want to. For example, if I care deeply about the environment I will recycle, not for any other reason but solely because I want to. On the other hand, extrinsic motivation comes from the outside. It is something that I am obligated to do, for example, when I have to do a project at my job that I don’t like I will get it done because I don’t like being unemployed. From the aforementioned short analysis it becomes evident that the best kind of motivation and the most effective is the intrinsic. That’s why a good communicator should strive to find ways to tap into peoples’ intrinsic motivation. Moreover the good communicator should know beforehand his audience. For example, asking poor people to buy organic food because it is better for the environment doesn’t sound appealing or feasible. According to this theory, people are motivated when they wish to correct problems with their basic needs and to achieve higher goals or personal growth (Jurin et al. 2010). So it is of great importance that the communicator knows the recipients of his message well along with their economic status, cultural background, knowledge level, etc. 6.2.2 Locus of Control Locus of control is an important psychological aspect that we must keep in mind when we are engaged in environmental communication. Different people think differently about their ability to control situations they are in. An individual who is convinced that his action can change the outcome of a situation has internal locus of control. One who thinks has no power in changing the outcome of a situation has an external locus of control. Internal and external loci of control are two concepts that they are not clear cut, but they are positioned along a continuum. What it means is that while in some cases the same individual can experience different loci of control, their place toward one end of the continuum or another remains relatively stable over time (Jurin et al. 2010). Let us think of the difference between climate and weather. In a tropical climate the temperature is usually hot but on some days the weather may be cold. So goes for people, some people may have external locus of control but a few times they feel that they have internal locus of control. Internal locus of control is usually characterized by the beliefs that actions can make a difference, a sense of internal control, and supporting their beliefs through actions even though these actions are not obligatory. External locus of control is usually characterized by a

934

C. Skanavis et al.

sense of locking the necessary information in order to take action or a belief that their actions will have no impact, they believe they are powerless in changing things. Lastly, they need another person to assure and persuade them that they can too change things. When the audience we are trying to convince or transmit a message have internal locus of control, then raising awareness about a specific problem may be enough to motivate them to take action. Externals (people with external locus of control) on the other hand need a very different approach in order to take action. In this case the communicator may have to employ empowering messages. He could begin his speech by convincing them that their actions have the power to bring great changes. Some externals that are close to internals within the continuum may only need some education and some training to become active. As a consequence, a successful communicator must first recognize that beliefs and values are difficult to alter. Most of them are avoiding changes in their lives. Change requires motivation, energy, planning, and action, which make the whole process of changing challenging. The communicator must also be aware if the audience has been exposed in the past to the message he/she tries to relay or this would be the first time. If it is the first time the communicator should try to deliver a message as a choice, a good choice (Jurin et al. 2010). For example if the message is to drastically lessen the use of plastic the internals will need some information about the problem and a solution. Then they will act. On the other hand, the externals should be convinced first that this kind of action could be a solution. That they have the power to bring change and this change can come from them and only them. An approach of this kind can help externals to generate action, since they are convinced of their value and power.

7

Health Promotion and New Public Health Approaches

Nowadays, due to the adverse effects of climate change and environmental degradation, health promotion programs have begun to actively connect the human health with the requirements of environmental sustainability. In order to pay for our needs and wants we have mortgaged the health of the planet (Martin and Landrigan 2016), which led us considering an alternative way of thinking. In the last decades, the context of health has been widened. According to the definition of the World Health Organization “health is a state of complete physical, mental and social well-being and not merely the absence of disease or infirmity.” It mainly depends on the complex environment of social and economic systems, biophysical environment, and human personal characteristics and behaviors. Li (2017) explained the influence of ecological environment driving forces on population health and advocated the application of ecological thinking and methodologies for public health intervention and education to address the difficulties caused by these ecological threats. As the world continues to develop, several public health

46

Environmental Communication and Health Promotion

935

strategies have been altered to satisfy the transitional demands of the shift from the old public health model to the new public health model. The ecological public health concept was still in its early stages until recently. The ultimate goal of this transitional period demand is to try to make positive impact and actions to deal with the multiple impacts of ecological determinants on our health (Li 2017). Promoting health means changing the paradigm into a social ecological understanding of health, with a focus on strength, resilience, and assets for health. Health education and health promotion are two phrases that are sometimes used interchangeably (Kumar and Preetha 2012). From the one hand, according to Health Promotion Glossary (1998 as mentioned in World Health Organization), “Health promotion is the process of enabling people to increase control over, and to improve their health.” Health education, on the other hand, attempts to give people and communities health information and knowledge, as well as the skills to encourage them to adopt healthy habits willingly. When it comes to health promotion, a multisectoral strategy is used with a more complete approach that involves several players and focuses on changing people’s values and beliefs, rather than just developing information and skills (Kumar and Preetha 2012). Ball’s public health refers to the organized, both public and private, actions he/she takes to avoid sickness, promote health, and prolong the life of the whole people. Its activities are designed to provide people with healthy conditions and focus on the population as a whole, rather than individual patients (Li 2017). Recently, the area of health promotion has embraced planetary health, which is a study field as well as a practice aiming at boosting human health and the natural environment within a safe planetary limit boundary (Patrick et al. 2021). Its goal is to safeguard and advocate health and well-being, prevent illness and disability, eliminate circumstances that endanger health and well-being, and enhance flexibility and adaptability. To achieve these goals, our actions must respond to the fragility of our planet and our responsibility to protect the natural and human environment in which we live (Horton et al. 2014). The new public health is a wider health approach, which aims to protect and promote the health of individuals and society. It is based on the balance of hygiene, environment, health promotion, personal and community health care services, and interrelates with an extensive range of therapeutic methods, rehabilitation, and longterm care facilities. It develops with the aid of new science, technology, and knowledge of human and system behavior to maximize the health benefits of individuals and populations (Tulchinsky and Varavikova 2014). According to Horton et al. (2014), our attitudes and behaviors must be urgently transformed based on a knowledge of our interdependence and the interconnection of the hazards we face. From the perspective of the “old public health model” focusing on sanitation, disinfection, and cleaning to the “new public health model,” which has shifted the staff directly to health, with an emphasis on lifestyle, with the government’s national health policy turn into health improvement as an initiative, the main focus is lifestyle, as an integral part of the concept of health. So far, it has focused on “ecological public health” in the direction of focusing on major needs and supporting

936

C. Skanavis et al.

our ecological environment and human communities’ sustainability to promote our continued existence on the planet, especially with regard to the world environmental hazards to human health (Li 2017). • How could we engage health promotion with environmental awareness in an effective way? Environmental sustainability could be addressed from health promotion methods’ point of view. So, a vital role could be played by health promotion professionals in achieving planetary health harmony by promoting health and environmental sustainability. In order to achieve the required changes in practice, it is necessary to work on the development of a holistic ecological model. In this paradigm, the methods of environmental sustainability promotion are seen as a fundamental part of promoting human health, fairness, and well-being. To address the dangers presented by climatic instability, environmental degradation, and deprivation, health promotion has embraced a global health viewpoint (Patrick et al. 2021). Improving the health of mankind and the planet may be a huge challenge but putting health promotion at the center of the global development agenda may be a good solution (Martin and Landrigan 2016; WHO 2021). Sustainable societies cannot be separated from the health of their ecosystems even though healthy ecosystems can be defined autonomously from humans (Rapport and Maffi 2011). Effective communication must touch people’s feelings in order to change behavior, so it could be a key concept that encourages a paradigm shift to participate in the three specific areas of the brain; “the cognitive, psychomotor, and affective domains, or head, hands, and heart” (Gaffney and O’Neil 2019).

8

Discussion

Ecosystems (biological, business, man-made, and others) are complex networks of interdependent parts within a particular context (Wright and Boose 2011). The state of every link in this chain can affect significantly the state of the whole chain. Consequently, the ecosystems work when they are in a dynamic stability that is ever transforming and developing without losing their inner tendency for stability. In the case of the biological ecosystem, mankind’s behaviors and actions have fractured this – precious for life – stability. The technological advances in combination with the rapid growth of the population have increased our needs as species for energy, food, water, and a variety of goods. These needs are being fulfilled by the aforementioned services that the ecosystem provides to us. But we exploit these services rapidly and with ways that disturb the function of the ecosystem (Myers et al. 2013). At the same time, we build our own artificial ecosystems such as agriculture and cities without thinking enough about the interconnections with the surrounding natural ecosystems. In the last decades the planet behaves erratically and has become less friendly toward living organisms. The climate is changing, the natural resources are

46

Environmental Communication and Health Promotion

937

shrinking, the biodiversity lessens, the quality of air, soil, and water is worsening. The above do not paint a picture of stability, and certainly they are not natural phenomena, rather the other way around (Roka 2020, pp. 24–32). They are the result of mankind’s rapid and careless exploitation of the planet, our ecological footprint. The scale of human impact on our planet indicates our influential power as species. Thus, it can be supported that we are living in the age of Anthropocene. The adverse human activities can cause environmental degradation, which in turn can cause a number of effects to humans (Li 2017; Briggs 2003; Myers and Frumkin 2020). Water shortage and floods, for example, are not a mere inconvenience but can have severe impact on large populations. They can cause conflicts, loss of property, housing problems, health problems, even migration. It is of importance to be noticed that potential health problems are not limited in somatic aspects only. The feelings of stress, uncertainly, and insecurity derived by such situations can lead to mental health problems as well. It’s becoming clearer that Planetary health is the condition for human health (Prescott and Logan 2019). Climate change is today widely accepted as a major environmental issue by scientists and laymen alike. But the relation between climate change and human health is a less known subject (Patz et al. 2012). The burning of fossil fuels and the droughts that facilitate wildfires contaminate the air we breathe with pollutants hazardous for our health, and rise the Earth’s temperature. In addition, climate change endangers biodiversity, ecosystems, and the services of ecosystems (Weiskopf et al. 2020) and by extension the human health. “The king of all risks” should be addressed further in the contexts of economics, poverty, social justice, and sustainable development (Martin and Landrigan 2016). In the current rate the impact of climate change will affect all nations equally within the next decades (Li 2017). Putting an end to climate change is not just “the right thing to do,” it is an urgent matter of survival. Thus, there is a need to raise awareness about the negative role of climate change in human health. There is a need for the scientific community to address this matter effectively to the people and the decision-makers. There is a need for all countries to set more strictness and effective pollution control policies (Landrigan et al. 2016). While the energy-waste nexus is not as “healthy” as it used to be, there is a growing awareness of recognition of the importance of sustainability issues. This could mark the birth of an early Anthropocene 2.0 consciousness. A growth and maturation of the Anthropocene 2.0 consciousness could give a great push to the concepts and terms we employ in our thinking, toward pro-environmental behavior. The key is to act, without having the full understanding of an emerging problem. No, we must understand how this particular problem came to be and why should we care about it. The answers to these questions will begin to bring a new mindset and consequently the appropriate actions. To facilitate the aforementioned transformation in mind-setting we need to share optimism and knowledge, we need to strengthen the relation between humans and nature, we need movements for social action, and above all, we need a beautiful shared vision as our beacon of hope and as our common direction, so we may never lose our way. In order for the Anthropocene consciousness 2.0 to be established we need behavioral shifts. We all know that communication is a major part of our lives, but

938

C. Skanavis et al.

what may be less known is that environmental communication happens every day whether we are aware of this or not. Many of our everyday thoughts and actions influence the environment one way or the other. What is more, communication is a complex, skill-based process. Specifically, environmental communication incorporates all the environment-related information flow, employing different ways of raising awareness and a better understanding of our environment. Communication can help save our planet or destroy it. According to Jurin, Roush, and Danter (2010), Environmental Communication is “the systematic generation and exchange of humans’ messages in, from, for, and about the world around us and our interactions with it.” Environmental communication is all around us using different forms, different faces and different vehicles. There are environmental art movements, climate justice movements, environmental science and health communication, environmental personal identity, environmental mass media, environmental rhetoric, and many others. So, it can be said that environmental communication is interconnected with many scientific fields and sub-disciplines. This interdisciplinary nature of environmental communication can facilitate an organic collaboration of discussion in environmental science, environmental planning, development studies, and disaster risk management, among other areas. As such a tool, it can also provide information about environmental action and engage stakeholders in discussion with enterprises, organizations departments, and other institutions as well. Lastly, it should be noted that this relatively new sub-discipline of communication – environmental communication – overlaps with environmental education and health communication, especially when it comes to reaching out to the public and engaging the public. Environmental communication can be the science and the platform we need if we are to engage the “head, hands, and heart” of the individual. A successful communication is simple, clear, and designed for a specific audience. There is no such thing as “bad” audience or “people who do not pay attention,” but there are only insufficient communicators, people unable to interpret the science with simplicity, or people who cannot inspire the stakeholders throughout a process. Education is a process which can be formal (i.e., occurring in classroom), informal (occurring in informal places), and non-formal (occurring in non-formal places). These settings depend on the mediator. The mediator can be a teacher, a host, a communicator, a scientist, a tour guide, or one of many other titles. All environmental educators have the responsibility of teaching recipients to be good environmental stewards (Frehm, Gravinese, and Toth (2019). Interpretive programs are delivered by persons who identify themselves as interpreters, educators, naturalists, nature guides, docents, tour guides, or heritage interpreters, according to Skanavis and Giannoulis (2009). Interpreters strive to foster stewardship among visitors toward the resource and a sense of care. An important role of environmental interpretation in informal, freechoice learning environments is to try to teach visitors about the complex issues that arise from national and local protected areas and ecotourism settings. People can promote sustainability by becoming environmental stewards. The role of the environmental steward is to behave toward or within the ecosystem with responsibility. The environmental steward can take his role even further if he chooses to be

46

Environmental Communication and Health Promotion

939

involved with academic research, environmental education, communicating his environmental knowledge to others, and much more. Another step forward is Biosphere stewardship, a multi-actor approach toward sustainability but with collective action and governance. In this context young stakeholders have the capacity to be key actors in social-ecological issues. In other words, planetary health communicators can organize a multitude of ways, actions, and initiatives to bring as many people as possible from every background together with the aim of actualizing solutions. The challenge of our times is planetary health for human health, but how can we engage in health promotion with environmental awareness in an effective way? The only way forward is the ecosystem approach to health. Health is a state sourced in many different intertwined factors: social and economic systems, biophysical environment, and human personal characteristics and behaviors. The ecological public health model takes into account the impact of the environment on human health. It clarifies the ecological benefits and ecological threats. Moreover, the concept of health is being transformed into a social-ecological model of understanding health, and focuses on strength, resilience, and assets of health. Regarding health education and health promotion, although they sound approximately the same, they have different meaning. Health promotion is “any planned measure to promote health,” while health education tries to transmit a different message. The aim here for people and communities is to learn certain sets of knowledge and skills so as with their own volition decide to adopt healthy behaviors. Accelerating our efforts to gain a new future for our planet is not just a priority for human and planetary health but also a moral obligation for future generations. All different analysis and approaches converged in one finding at least; our lives literally depend on the Earth’s ecosystems. First life forms appeared on the Earth approximately 3.77 billion years ago. Our species, the Homo sapiens, emerged 300,000 years ago. During most of this time, we lived in harmony with the environment. During the last centuries we have achieved nothing less of miracles. It could be argued that we are the dominant species of the planet. Our philosophical and technological advancements are so great that they could offer a life of plenty for mankind. Yet we are in conflict with each other and our natural environment. Someone could say that this is the sacrifice that we have to make for all our advancements. But in reality, our great progress for the most part didn’t take into to account the limitations of mother Earth. Today, more people, more countries, more businesses are trying to adopt an eco-friendly perspective. While this is not enough, it is a starting point. But therein lies a difficult question: is it out of necessity that behaviors are starting to change or the lesson is learned? Acting through necessity can carry us so far. If the answer is the latter part of the question, this means that we are becoming aware that the Earth is not the “gift that keeps on giving,” or our personal playground. It is a finite source of life that can get ill or even die, as we people do. The real struggle is to understand and feel deep within us the joy of living in equal reciprocity with nature. Our species have been trying for thousands of years to escape harsher natural environments and tame the nature for their benefit. Now if we want to call our species a little wiser and a little older we

940

C. Skanavis et al.

must reinvigorate our relation with nature and reevaluate our species within the context of planetary health. Our greatest – maybe – discovery is the ability to communicate, to say some words in a specific order, which can make sense to another person; it is a great hummer with which we can either destroy our living era, or “build it” into a better place.

9

Conclusion

The relationship between humans and the natural world is going through a crisis for quite a long time and this is even more evident considering the emergence of the Covid-19 pandemic. In order to escape this “Pandemic Era” that we are going through, a transformational shift is required as a reassessment of our relationship with Earth (The Lancet Planetary Health 2021) as well as our own thinking (Harris 2019). Myers and Frumkin (2020) argue that some of the lessons we are learning about controlling the pandemic underscore the importance of systems thinking, the need for collective action, and the promise of rapid global behavior change. Planetary health science, places us in new ethical terrain. Each of us, both current and future generations, is inextricably related to everyone else. Each individual choice has a modest influence, but the cumulative impact is enormous (Myers 2018). In these circumstances, it is important to maintain sustainable biophysical conditions through urgent actions in order to address current environmental and health issues. The main question still remains: Which path should we follow? Toward changing our mindset and consequently our actions, environmental communication, and health promotion could be the cornerstone in this critical pathway. The role of environmental communication is equally important. It is a science that embraces environmental education and health communication (Harris 2019, p. 9 from Lie and Servaes 2015, p. 251). The combination of environmental communication with health promotion has the potential to bring positive changes in culture, as well as public involvement. Professionals should provide the appropriate information to the community and decision makers, so communication is not only a duty, but a rising need, a value. It can also be expressed as the foundation of our survival, which our success or failure may rely on through the preservation of natural ecosystems. But this shift alone will be of limited value if it cannot be conveyed from one person to the other, if it cannot be spread.

References Ajaps S, McLellan R, Gritter K (2015) “We don’t know enough”: environmental education and pro-environmental behaviour perceptions. Cogent Educ 2(1):1124490. https://doi.org/10.1080/ 2331186X.2015.1124490 Barraclough DA, Schultz L, Måren IE (2021) Voices of young biosphere stewards on the strengths, weaknesses, and ways forward for 74 UNESCO Biosphere Reserves across 83 countries. Glob Environ Change 68:102273. https://doi.org/10.1016/j.gloenvcha.2021.102273

46

Environmental Communication and Health Promotion

941

Barrett B, Charles JW, Temte JL (2015) Climate change, human health, and epidemiological transition. Prev Med 70:69–75. https://doi.org/10.1016/j.ypmed.2014.11.013 Bennett NJ, Whitty TS, Finkbeiner E, Pittman J, Bassett H, Gelcich S, Allison HA (2018) Environmental stewardship: a conceptual review and analytical framework. Environ Manag 61:597–614. https://doi.org/10.1007/s00267-017-0993-2 Briggs D (2003) Environmental pollution and the global burden of disease. Br Med Bull 68:1–24. https://doi.org/10.1093/bmb/ldg019 Clement S (2021) Governing the Anthropocene. Palgrave Macmillan, Cham Cockburn J, Cundill G, Shackleton S, Rouget M (2019) The meaning and practice of stewardship in South Africa. S Afr J Sci 115(5/6):5339. https://doi.org/10.17159/sajs.2019/5339 Cox R (2007) Nature’s “crisis disciplines”: does environmental communication have an ethical duty? Environ Commun 1(1):5–20. https://doi.org/10.1080/17524030701333948 Cox R, Hansen A (eds) (2015) The Routledge handbook of environment and communication, 1st edn. Routledge, London. https://doi.org/10.4324/9781315887586 Danley B, Widmark C (2016) Evaluating conceptual definitions of ecosystem services and their implications. Ecol Econ 126:132–138. https://doi.org/10.1016/j.ecolecon.2016.04.003 Flor AG (2004) Environmental communication: principles, approaches and strategies of communication applied to environmental management. UP Open University, Quezon City Floss M, Barros E (2019) Planetary health: a call for action of family doctors from around the world. Rev Bras Med Fam Comunidade 14(41):1992. https://doi.org/10.5712/rbmfc14(41)1992 Frehm V, Gravinese P, Toth L (2019) Cultivating future environmental stewards: a case study at John D. MacArthur Beach State Park. Fla Sci 82(4):112–121. Available at: https://www.jstor. org/stable/26871499 Gaffney JL, O’Neil JK (2019) Experiential learning and sustainable development. In: Filho WL (ed) Encyclopedia of sustainability in higher education. Springer, Cham, pp 658–665 Halfwerk W (2020) The quiet spring of 2020. Science 370(6516):523–524. https://doi.org/10.1126/ science.abe8026 Harris US (2019) Participatory media in environmental communication. Routledge, Oxon Horton R, Beaglehole R, Bonita R, Raeburn J, McKee M, Wall S (2014) From public to planetary health: a manifesto. Lancet 383(9920):847. https://doi.org/10.1016/S0140-6736(14)60409-8 Jurin RR, Roush D, Danter KJ (2010) Environmental communication: skills and principles for natural resource managers, scientists, and engineers. Springer, Cham. ISBN: 978-90-481-3986-6 Kumar S, Preetha G (2012) Health promotion: an effective tool for global health. Indian J Community Med 37(1):5–12. https://doi.org/10.4103/0970-0218.94009 Landrigan PJ, Sly JL, Ruchirawat M, Silva ER, Huo X, Diaz-Barriga F, Zar HJ, King M, Ha EH, Asante KA, Ahanchian H, Sly PD (2016) Health consequences of environmental exposures: changing global patterns of exposure and disease. Ann Glob Health 82(1):10–19. https://doi. org/10.1016/j.aogh.2016.01.005 Li AM (2017) Ecological determinants of health: food and environment on human health. Environ Sci Pollut Res Int 24(10):9002–9015. https://doi.org/10.1007/s11356-015-5707-9 Lie R, Servaes J (2015) Disciplines in the field of communication for development and social change. Commun Theory 25(2):244–258. https://doi.org/10.1111/comt.12065 Martin K, Landrigan PJ (2016) Global health’s grand challenge: a healthy planet and healthy people. Ann Glob Health 82(3):317–318. https://doi.org/10.1016/j.aogh.2016.05.003 Mittal R, Mittal GC (2013) Impact of population explosion on environment. WeSchool “Knowledge Builder” – Natl J 1(1):1–5. Available at: https://www.researchgate.net/publication/ 237771340_IMPACT_OF_POPULATION_EXPLOSION_ON_ENVIRONMENT Montrie C (2019) The myth of silent spring: rethinking the origins of American environmentalism. J Am Hist 105(4):984–985. https://doi.org/10.1093/jahist/jaz022 Motloch J (2019a) Complex systems and sustainable development. In: Filho WL (ed) Encyclopedia of sustainability in higher education. Springer, Cham, pp 254–262 Motloch J (2019b) Whole-systems approach to sustainability. In: Filho WL (ed) Encyclopedia of sustainability in higher education. Springer, Cham, pp 2081–2090

942

C. Skanavis et al.

Myers S (2018) Planetary health: protecting human health on a rapidly changing planet. Lancet 390(10114):2860–2868. https://doi.org/10.1016/S0140-6736(17)32846-5 Myers S, Frumkin H (2020) Planetary health: protecting nature to protect ourselves. Island Press, Washington, DC. ISBN: 9781610919678 Myers SS, Gaffikin L, Golden CD, Ostfeld RS, Redford KH, Ricketts TH, Turner WR,. Osofsky SA (2013) Human health impacts of ecosystem alteration. Proceedings of the National Academy of Sciences. 110(47). https://doi.org/10.1073/pnas.1218656110 Patrick R, Henderson-Wilson C, Ebden M (2021) Exploring the co-benefits of environmental volunteering for human and planetary health promotion. Health Promot J Austr 2021:1–11. https://doi.org/10.1002/hpja.460 Patz J, Corvalan C, Horwitz P, Campbell-Lendrum D, Watts N, Maiero M, Olson S, Hales J, Miller C, Campbell K, Romanelli C, Cooper D, Violetti D, Silveira FS, Ogolla DB, Kirkman G, Hodgson T, Zelaya-Bonilla S, Villalobos-Prats E (2012) Our planet, our health, our future: human health and the Rio Conventions: biological diversity, climate change and desertification. World Health Organization. https://doi.org/10.13140/2.1.1366.1767 Pezzullo PC (2017) Environment. In: Cloud D (ed) Oxford Research encyclopedia of communication and critical studies. Oxford, UK: Oxford University Press. Advance online publication. https://doi.org/10.1093/acrefore/9780190228613.013.575 Pezzullo PC, Cox R (2018) Environmental communication and the public sphere. Sage, London Pimentel D (2012) Silent spring, the 50th anniversary of Rachel Carson’s book. BMC Ecol 12:20. https://doi.org/10.1186/1472-6785-12-20 Plummer R, Baird J, Farhad S, Witkowski S (2020) How do biosphere stewards actively shape trajectories of social-ecological change? J Environ Manag 261:110139. https://doi.org/10.1016/ j.jenvman.2020.110139 Pontius J, McIntosh A (2020) Environmental communication. In: Critical skills for environmental professionals, Springer textbooks in Earth sciences, geography and environment. Springer, Cham. https://doi.org/10.1007/978-3-030-28542-5_10 Prescott SL, Logan AC (2019) Planetary health: from the wellspring of holistic medicine to personal and public health imperative. Explore 15(2):98–106. https://doi.org/10.1016/j.explore.2018. 09.002 Rapport DJ (2007) Sustainability science: an ecohealth perspective. Sustain Sci 2(1):77–84. https:// doi.org/10.1007/s11625-006-0016-3 Rapport DJ, Maffi L (2011) Eco-cultural health, global health, and sustainability. Ecol Res 26: 1039–1049. https://doi.org/10.1007/s11284-010-0703-5 Roka K (2020) Anthropocene and climate change. In: Leal Filho W, Azul AM, Brandli L, Özuyar PG, Wall T (eds) Climate action. Encyclopedia of the UN sustainable development goals [online]. Springer, Cham, pp 24–32. Available at: https://www.springer.com/gp/book/ 9783319958842. ISBN: 978-3-319-95884-2 Ros AV, LaRocque R, Fortinsky R, Nicholas P (2020) Addressing climate change communication: effective engagement of populations for climate action in the US and globally. Ann Glob Health 86(1):54. https://doi.org/10.5334/aogh.2900 Skanavis C, Giannoulis C (2009) A training model for environmental educators and interpreters employed in Greek protected areas and ecotourism settings. Int J Sustain Dev World 16(3): 164–176. https://doi.org/10.1080/13504500902919664 Skanavis C, Kounani A (2018) Children communicating on climate change: the case of a summer camp at a Greek Island. In: Leal Filho W, Manolas E, Azul A, Azeiteiro U, McGhie H (eds) Handbook of climate change communication: vol. 3. Climate change management. Springer, Cham. https://doi.org/10.1007/978-3-319-70479-1_7 The Lancet Planetary Health (2021) A pandemic era. Lancet Planet Health 5(1):E1. https://doi.org/ 10.1016/S2542-5196(20)30305-3 Tulchinsky TH, Varavikova EA (2014) Chapter 2. Expanding the concept of public health. In: The new public health, 3rd edn. Academic Press, London, pp 43–90. https://doi.org/10.1016/B9780-12-415766-8.00002-1. ISBN: 9780124157668

46

Environmental Communication and Health Promotion

943

UN Environment Programme (2018) The green state of mind. UN Environment Programme [online]. Available at: https://unep.medium.com/the-green-state-of-mind-bf11b7fb2377. Accessed 26 May 2021 Watts N, Adger WN, Agnolucci P, Blackstock J, Byass P, Cai W, Chaytor S, Colbourn T, Collins M, Cooper A, Cox PM, Depledge J, Drummond P, Ekins P, Galaz V, Grace D, Graham H, Grubb M, Haines A, Hamilton I, Hunter A, Jiang X, Li M, Kelman I, Liang L, Lott M, Lowe R, Luo Y, Mace G, Maslin M, Nilsson M, Oreszczyn T, Pye S, Quinn T, Svensdotter M, Venevsky S, Warner K, Xu B, Yang J, Yin Y, Yu C, Zhang Q, Gong P, Montgomery H, Costello A (2015) Health and climate change: policy responses to protect public health. Lancet 386(10006): 1861–1914. https://doi.org/10.1016/S0140-6736(15)60854-6 Weiskopf SR, Rubenstein MA, Crozier LG, Gaichas S, Griffis R, Halofsky JE, Hyde KJW, Morelli TL, Morisette JT, Muñoz RC, Pershing AJ, Peterson DL, Poudel R, Staudinger MD, SuttonGrier AE, Thompson L, Vose J, Weltzin JF, Whyte KP (2020) Climate change effects on biodiversity, ecosystems, ecosystem services, and natural resource management in the United States. Sci Total Environ 733:137782. https://doi.org/10.1016/j.scitotenv.2020.137782 World Health Organization (2021) Available at: https://www.who.int/about/who-we-are/constitu tion. Accessed 10 May 2021 Wright RT, Boose DF (2011) Environmental science: toward a sustainable future. Pearson Benjamin Cummings, San Francisco. ISBN: 978-0-321-70140-4 Zikargae HM (2018) Analysis of environmental communication and its implication for sustainable development in Ethiopia. Sci Total Environ 634:1593–1600. https://doi.org/10.1016/j.scitotenv. 2018.04.050

Future-Oriented Methodologies for Sustainability

47

Helen Avery

Contents 1 2 3 4 5

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Why Are Future-Oriented Methodologies Needed? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Working with Insufficient Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reductionist Representations of Real-World Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges in Dealing with Nonlinear, Delayed, and Distributed Consequences of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Outliers, Extremes, and Weak Signals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 The Communicative Function of Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Research as Communities of Practice and Implications for Cross-Disciplinary Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Methodological Lock-In and Anticipatory Methodology Development . . . . . . . . . . . . . . . . . 10 Purposes and Problems of Methodological Boundaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Power and Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Inertia of Knowledge Systems and Conditions for Methodological Innovation . . . . . . . . . 13 New Approaches for Challenging Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

946 947 948 949 950 951 952 953 954 955 956 958 958 960 960

Abstract

Both in the social and natural sciences, methodologies have been developed to deal with relatively stable conditions, where findings can be validated based on past experiences. At a time when both social and natural phenomena are rapidly changing, new approaches are urgently needed to produce knowledge for systemic change, inform high-stakes decisions, and enable sustainability transitions in the face of great uncertainty. To develop methodologies better suited to address the urgent and existential challenges of our times, fundamental assumptions need to be reexamined, while the adequacy of current approaches H. Avery (*) Researcher at the Centre for Environmental and Climate Research, Lund University, Lund, Sweden e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_34

945

946

H. Avery

and scientific practices must be reassessed. This chapter outlines some of the key features required from future-oriented methodologies, including creativity, agility, and collaborative boundary-crossing explorative approaches, as well as conditions that may support or impede methodological development and innovation. Keywords

Future-oriented methodologies · Sustainability transitions · Methodological development

1

Introduction

We are living today in an era that has been described as the Anthropocene (Steffen et al. 2011). This means that human activity is impacting Earth systems in a manner that is significant on geological scale, drastically affecting ecosystems as well as geophysical elements (IPBES 2019; Pörtner et al. 2021a, b; IPCC 2021). From this observation, it follows that we must change our course of action, to address the global emergencies we have created – business-as-usual is not an option. It also means that we can act – human decisions have the potential to influence the outcomes of developments that we are currently witnessing, to an extent that is also unprecedented. Equally important is that actions are well-informed, responsible, and wise. Although science has a limited role in shaping policy (Vink et al. 2016), for the scientific community, it is nevertheless our responsibility to ensure that the knowledge base we provide is as sound and comprehensive as possible, since misguided decisions will have disastrous consequences. Much of the work on the role of higher education institutions for sustainability transitions has focused on education, or on reducing the environmental impact of our daily work (Hallinger and Chatpinyakoop 2019). This chapter will instead discuss the question of research for sustainability, and more particularly research methodologies. While a considerable portion of research is conducted in the private sector, it tends to be tied to commercial interests and issues specific to a particular industry. By comparison, with greater latitude to share knowledge, and comprising expertise across sectors, universities have the potential to address more strategic questions in sustainability transitions, although the extent to which this potential is realized will depend on several factors (see Avery and Nordén 2021). In this chapter, I argue for the need for future-oriented methodologies (FOMs) and outline some of the characteristics of such methodologies (Saltelli et al. 2020), with illustrations from a wide range of fields. I use here the term methodologies to cover not only methodological approaches and processes based on ontological conceptions, but also to designate concrete methods, research infrastructure, and the technological equipment used for measuring, sensing, processing, storing, or retrieving information. In other words, the discussion will concern both the ontological and epistemological foundations of our systems of knowledge development.

47

Future-Oriented Methodologies for Sustainability

947

Methodological choices have significance both for the way we understand interrelationships and for which aspects of the world we can gain knowledge of. Although human decisions obviously do not change the laws of nature, they do significantly affect which causal mechanisms come into play and become significant for future developments. Traditionally, however, disciplines the natural sciences have conceptualized the world that they study as a “given” in which the task of scientists is to elucidate universal natural laws and regularities (see Hoefer 2003), as well as to document and analyze empirical findings that concern them. Focus has been on what is constant, rather than on change. Natural scientists have traditionally assumed that they could do so without considering human action, and if they have documented impacts of human activity, they have seldom done so from the perspective of decision-making and choices. This leads to a form of inherent fatalism in the natural sciences, where scientists may understand their role as providing technological “fixes” (Huesemann and Huesemann 2011), or elucidating consequences of human policy and passing evidence on to policymakers, but more rarely including policy as part of the systems they study (Verburg et al. 2016; Saltelli and Giampietro 2017; Saltelli et al. 2020). Conversely, in the social sciences – particularly in the fields of economics, policy, and governance – the world has been conceptualized as an open playing field for unrestricted human action and economic growth, so that the nonnegotiable constraints (Steffen et al. 2015; Hornborg 2021) of our natural systems tended to be neglected. More recently therefore, there has been a call for the multi-, inter-, and transdisciplinary work that is necessary for addressing major sustainability challenges (Schneidewind et al. 2016; Scholz 2017; Newig et al. 2019; Chen and Luetz 2020). Combining expertise across disciplines and specialized fields of study is certainly required but generally supposes that knowledge production within disciplines continues to function much as it has done traditionally. By contrast, it will here be argued that engaging actors outside academia, or supporting collaboration across disciplines from the natural and social sciences, is in itself insufficient to address major sustainability challenges. Rather, this collaboration needs to be coupled with changes within the disciplines themselves. Such changes are necessary not only in order to enable collaboration, but also because the systems we study are changing, and human action in the Anthropocene is such an important element of these changes. To do so, we need to go back to several of the fundamental assumptions that underpin our disciplines, reexamine them, and see for which applications they can be maintained or for which applications they may need to be modified. Reexamining methodologies is a crucial step in this process, since the methodologies have been designed in view of tasks and assumptions that seemed valid and relevant at the time these methodologies were developed, but which may no longer be so today.

2

Why Are Future-Oriented Methodologies Needed?

Future consequences of the decisions made during the next few years, and of the scientific evidence on which it may draw, are unprecedented. Never before have we as a scientific community worked under similar urgency. Only a few years ago,

948

H. Avery

researchers were speaking of a window of opportunity for action in the range of 20 or 40 years. Today, many are talking about 5 or 10 years. Some are contending that it is too late for mitigation (Jewell and Cherp 2020; Moser 2020) and that we must resign ourselves to attempting adaptation (Taylor and Vink 2020) to extreme conditions which will rapidly continue to deteriorate. Under such circumstances, it is not possible to argue that our knowledge production systems and the scientific community will over time eventually adjust to new types of research topics and consequently develop new methodological approaches. Instead, concerted action is needed to rapidly and proactively direct efforts in developing methodological approaches suitable for the conditions that we anticipate. To address major sustainability challenges, we need approaches that are explorative, speculative, and in many cases focused on delivering rough estimates rather than exact figures. Whereas in the past the legitimacy of science was largely based on certitudes and precision, today we need to be able to deal with inherently uncertain futures. Among other things, this means that we will need to refine our understanding of uncertainty, and the language in both the language and methodologies we use in respect to uncertainty (see Sahlin et al. 2021, concerning the distinction between aleatory and epistemic uncertainty). Historically, science could be refined by countless controlled experiments, whereas today there is no planet B and no scope for major error in our forecasting conclusions. We therefore need to pay greater attention to the possible boundaries, directions, and shapes of outcomes, even under extreme scenarios (see McCollum et al. 2020; Hamilton et al. 2020; Morán-Ordóñez et al. 2020; Koven et al. 2021) rather than exclusively investigating trajectories within probable outcome spaces.

3

Working with Insufficient Data

When dealing with new challenges, we cannot hope to access the entire range of data that we would ideally require to draw valid conclusions. The data we need might be situated in the past, at a point in time that relevant values were not measured, or in the future where we cannot yet access it. In many cases, it is likely that we do not even realize today precisely which values and phenomena we should be measuring, while historically generated data was frequently collected, processed, aggregated, and reported in ways that make it extremely difficult to interpret (see Guerra et al. 2020; Pauliuk 2020). Research is also restricted by intellectual property rights (Gerbin and Drnovsek 2020; Tellez 2020), and various political issues – particularly in the case of global collaboration. In such cases, the development of FOMs has to circumvent the need for sensitive or inaccessible data. More generally, future-oriented methodologies have to improve the ways we draw intelligent conclusions from incomplete data and observations. In fact, a variety of approaches already exist for drawing conclusions from incomplete data. This is notably the case not only for research on distant periods in the past, but also concerning subatomic or astronomical phenomena which are inaccessible directly for other reasons. In the medical sciences, data sharing is constrained by confidentiality concerns (see Guinney and Saez-Rodriguez 2018),

47

Future-Oriented Methodologies for Sustainability

949

while many types of experiments and direct observations are precluded for ethical reasons, so that methodologies have adapted to draw conclusions, indirectly, from what can be observed. We thus have methodological funds of knowledge and experience developed in various fields, from which we can draw in further developing methodologies that may, for instance, use analogy, extrapolation, theoretical speculation (Marletto 2021), machine learning, or various proxy values, to estimate that which we cannot directly observe or for which we have incomplete data. Such approaches are all the more necessary, since respect for integrity, as well as economic and environmental costs, sets limits to intrusive surveillance, with large-scale data collection, storage, and processing (Aho and Duffield 2020; Lucivero 2020; Rikap 2021; de Godoy et al. 2021). A solid understanding is required, however, not only of opportunities offered by such methodological approaches, but also of risks with drawing strong conclusions or basing models on extrapolations and on data that may be biased.

4

Reductionist Representations of Real-World Events

Among the most fundamental assumptions that underpin our methodologies are those that concern measurement. We attribute numerical values to different phenomena and events which have been observed. This is possible, as long as the causal mechanisms that we connect to these phenomena or events remain unchanged, together with the various interlinkages and interactions. Numerical values function as elements of mathematical systems which follow their own laws or rules, such as simple addition or subtraction. Translating real phenomena into this kind of formalized and abstract system already has serious consequences for conclusions that we draw concerning developments in the real world with respect to sustainability. Thus, we tend to neglect the precise “when” and “where” of events, and make calculations based on averages, sums, and aggregated data. A multitude of other characteristics matter, including speed, duration, shape, or texture. Many of these can be represented through numerical values, yet the interpretation still tends to be reduced to a question of “how much,” rather than considering the original qualitative meaning, asymmetries in biophysical processes, and fundamental incommensurability. Translated into policy, it, for instance, might appear to decision-makers that the exact location or time of an action is not so important. By contrast, in the real world, total greenhouse gas emissions at one point in time will have different impacts and consequences compared to the same amount at another point in time in the future, due to changes in the overall configuration of our biophysical systems that would take place in the interval (van Kooten et al. 2021). Human activity in one spot could wipe out the breeding habitat of a species (see Pelton et al. 2019), while similar human activity in another location or at a different time of year would have very different effects. Research groups concerned with climate adaptation in agriculture are for such reasons increasingly working on producing sufficiently fine-grained weather data and forecasting, to take into account locally critical thresholds (Eggen et al. 2019; Rault et al. 2019; Mittal et al. 2021).

950

H. Avery

While values and operations within mathematical systems are symmetrical, this is not the case in our biophysical systems. Species that become extinct can only in exceptional cases be brought back to life; ecosystems can only be restored at tremendous cost and over a long period of time (Davis et al. 2018; Anderson et al. 2020), while numerous aspects of climate change are similarly irreversible or only reversible over extremely long periods. Greenhouse gases remain in the atmosphere long after they were emitted; the warming of oceans creates reserves of heat that can only gradually cool again; and melting icecaps and glaciers will only very slowly reform (Li et al. 2020; de Vrese and Brovkin 2021; Oschlies 2021). Use of numerical values – by scientists, but even more crucially by policymakers and business – tends to maintain an illusion that elements of the social and natural worlds are interchangeable (Hornborg 2021). This leads, for instance, to reasoning concerning the weighting of indicators and trade-offs. Impacts on societies or natural systems are inserted into cost-benefit analyses, where life is balanced against profit margins. The rules of basic mathematical operations lead to assumptions that events can “even out,” which among other things drives the reasoning that destruction can be compensated through mitigating measures. In the real world, certain changes are irreversible – at least in the foreseeable future – and loss of species as well as shifts in the equilibrium of biophysical processes can trigger cascades (Kinzig et al. 2006; Klose et al. 2020; Lawrence et al. 2020; Wunderling et al. 2021), or even runaway effects (Kasting 1989; Lenton et al. 2019) that critically affect the planet’s capacity to sustain life. On the one hand, we are therefore dealing with sliding scales, where the quantitative impact of actions is continuously changing. On the other hand, numerical representation of events and states does not convey the qualitative impact, the unique functions that different elements of these systems can perform, or the nature of dynamic development in the systems that can be triggered by changes at various points. While in traditional disciplinary research such questions are in part compensated by the knowledge scientists in that discipline have of the way numerical representations should be interpreted, as soon as these numerical representations cross disciplinary boundaries, they become mere decontextualized “data.” At a time when great hopes are placed on artificial intelligence, and automated decisionmaking based on the processing of big data, the weaknesses of numerical representation of real-world events become concerning. Using negotiations among experts or policymakers to “weight” multiple indicators cannot compensate for such problems, to the extent that problematic assumptions underlie the bulk of data that we have. Also, as technologies evolve, the traces allowing to understand original assumptions are lost, and the resulting outcomes become progressively less transparent.

5

Challenges in Dealing with Nonlinear, Delayed, and Distributed Consequences of Actions

A large segment of current methodologies has been strongly influenced by classical Newtonian mechanics. Hailing back to antiquity, practical considerations of measuring time, seasons, and deciding suitable moments for planting, have given the

47

Future-Oriented Methodologies for Sustainability

951

disciplines of mathematics and astronomy a central place in the development of scientific methodologies. Historically, this focus was strengthened by religious fascination with eternal absolute laws of nature that would not be subject to the erratic, transient, and complex characteristics of mortal life. At a time when weapons started to include cannons, the necessity of calculating the exact trajectory of projectiles arose. Newton’s elegant description of the laws that govern movement and gravity met these needs. Newtonian approaches were relevant for large compact bodies moving through almost empty space, with very little disturbance. However, many of the assumptions underlying such approaches become debatable for other types of phenomena. With respect to sustainability challenges today, we are not necessarily dealing with “objects,” in the sense of something large, compact, and clearly delimited in space. Many of the phenomena we investigate are instead diffuse, distributed across time and space, and may not have any obvious delimitation. We are not also necessarily dealing with a limited number of “forces” that can be represented by vectors, or projectiles with constant pathways, but with complex mechanisms. The forces that could be involved in the phenomena we are considering may not be of an order of magnitude such that disturbances on trajectories can be neglected or assumed to “even out.” It therefore becomes problematic that Newtonian approaches have been generalized and transferred to fields of study with very different characteristics from those that these approaches were originally developed for. The assumptions of classical Newtonian mechanics underlie the way we use Gauss curves and statistics in a large number of fields, as well as motivating the interest in separating individual factors, rather than examining combined effects of multiple stressors on ecosystems (see Gao et al. 2020) or societies (Unks et al. 2019), for instance. For many sustainability issues that we are concerned with today, it is more important to consider whether or not a certain number of elements converge and combine under certain conditions in a particular case (as, for instance, in the case of fires and soil erosion, see Morán-Ordóñez et al. 2020), rather than assessing the relative contribution of each “factor,” since it is the combination and occurrence that will determine the outcome.

6

Outliers, Extremes, and Weak Signals

Another serious consequence of the generalization of Newtonian approaches is that by making extreme regularity the prime concern of science, we have by the same token neglected all observations that do not neatly fit into this ideal. Studies that do not produce tidy correlations are not published. Such experiments or observations are considered to be failed or without interest. We attribute outliers to “accident” and remove them when reporting results, focus on the central area of our Gauss curves, and neglect the extremes. The generalization of certain methodological approaches thus makes us systematically neglect “weak signals” (Ansoff 1975). This is concerning, at a time when the underlying conditions of biophysical systems are

952

H. Avery

rapidly changing, and where mechanisms that previously went unnoticed may play a key role in determining future trajectories. Extreme events can signify that critical thresholds may be reached, which could trigger subsequent cascades. For the daily business of planning capacity for infrastructure and institutions to enable adaptation and ensure resilience (see Lawrence et al. 2019), having an idea of the order of magnitude of peak values and extremes is crucial. Similarly, in our conceptualization of risk and uncertainty, we build in assumptions that events that are rare can be neglected, whereas at this point in history both events that are rare and those that are uncertain may be of utmost importance for prospects of human life on earth. Importantly also, outliers and unexpected events that do not conform to the regularities we anticipate are important clues to investigating and reassessing assumptions in our models.

7

The Communicative Function of Methodology

Methodologies can be understood as a form of language or even “meta-language.” This means that through methodologies scientists are able to communicate with fellow scientists, at distant locations and times, as well as with scientists belonging to other disciplines. Just as the technologies and technical equipment we use to produce research, methodologies thus play a mediating role in knowledge production communication and interpretation. Importantly, methodologies provide essential contextual information, indicating author, time, purpose of research, limitations, reservations and concerns, beneficiaries, funding or commissioning bodies of the research, and other crucial details. In other words, methodologies allow scientists to communicate information that is necessary to understand, interpret, replicate, or evaluate their research findings. Without such information, findings become decontextualized “data,” merely generating white noise in our systems of producing knowledge. Lack of information on context, procedures, and underlying assumptions degrades the quality of our entire body of knowledge, since such data then moves on to support or invalidate other research and is fed into various models that are used for forecasting and decision-making. Seeing methodologies as language further enables us to discern weaknesses and vulnerabilities in the ways we currently manage and use them. Just as natural languages, methodologies are used for communication. This means that shared methodologies enable collaboration, while use of different methodologies can create barriers for collaboration. The issue not only concerns communication among scientists. It may also generate barriers in communication and collaboration with nonacademic experts or members of the general public concerned with or impacted by research findings, preventing so-called mode 2 science (Gibbons et al. 1994; Newig et al. 2019) or participatory community-based research (Lepore et al. 2020; Liguori et al. 2021). Collaboration is a necessary element for addressing urgent sustainability challenges today, and to the extent that research needs to involve nonacademic stakeholders, FOMs must include approaches which are easily accessible and transparent to laymen and laywomen.

47

8

Future-Oriented Methodologies for Sustainability

953

Research as Communities of Practice and Implications for Cross-Disciplinary Collaboration

Methodologies and knowledge production systems cannot be fully understood without considering the people who use them, and the material or institutional circumstances of their use, including issues of cost and the economic drivers of research. Taking a point of departure in Wenger’s (1998) notion of communities of practice, research can be understood as a situated and embodied practice. Knowledge is carried both by the individuals who produce, interpret, or apply it (San Martín 2021), and by formalized mediating “boundary objects” that allow the storage and transmission of result. These objects are imprinted with symbolic content, or otherwise modified in ways that can be interpreted by other individuals. Boundary objects thus have the potential to transmit to individuals outside the team, the otherwise tacit knowledge carried within a team of individuals working together, and who through their shared practice also have a shared understanding of what the research signifies. Individuals who are active in more than one community of practice function as knowledge brokers. Such individuals allow knowledge to be shared and transferred across communities, but their ability to do so is determined by their central or peripheral position in each of these communities, and thereby the extent to which they can participate in and shape practices in those communities. If inter- or transdisciplinary knowledge brokers have a weak position, the process of mediation will primarily pass via boundary objects rather than practices, leading to a greater risk of miscommunication and incomplete understanding. When knowledge and scientific findings pass from one community of practice to another, they will to some extent become distorted and reinterpreted on the basis of whatever experiences the receiving community has. The purposes for which the information is used may also differ substantially from those of the community where scientific findings originated. In other words, our ability to understand and interpret symbolic representation of knowledge is ultimately based on shared practices and shared experiences (see also Hackett et al. 2017; Burns 2021; San Martín 2021). Without these, any symbolic representation of knowledge – signified through our practice, imprinted in a material object or configuration of objects, or through the processes that are formalized in methodologies and methods – will be subject to reinterpretation. Implications will be more or less serious, depending on the epistemological distance between the practices and experiences involved. Whereas it is relatively easier to be aware of the distances and consequent distortions if the knowledge is in transparent ways connected to general human experience of the world, it is much more difficult to assess the implications of epistemological distance when knowledge is represented in abstract forms or numbers. Approaching the question of methodologies in science from the angle of communities of practice (Wenger 1998) differs from the more common representation of these issues, where practices, methods, and language used to communicate tend to be taken for granted. The latter conceptualization allows us to disregard the wider conditions of knowledge formation and communication. However, at a time when

954

H. Avery

major sustainability challenges no longer allow scientists to work within the relatively homogenous communities of practice of their own teams and disciplines, communication becomes a key obstacle. Today researchers are increasingly called upon to collaborate across disciplines, across cultures and geographical contexts, as well as to use earlier findings and data that was produced under radically different circumstances. Also, technologies used today increasingly involve translating and formalizing findings from the real world, and the professional expertise of human researchers, into formalized abstract and simplified entities that are processed by machines. The automated processing of information, as well as the process of abstraction necessary to allow machine processing, makes it increasingly difficult to assess the implications of the various steps of translation and of epistemic distances between the research communities involved in creating or using such tools. These issues all create challenges for integrating knowledge across scientific communities. For instance, in a study on cross-domain integration in brain science, Petersen et al. (2021) found that cross-topic knowledge recombination was growing more rapidly than direct cross-disciplinary collaboration between experts from different disciplines. They conclude that this is likely to produce less optimal results, particularly in cases of large epistemic distances between the disciplines. When new problems need to be solved, close extended dialogue is required (Hage and Hollingsworth 2000; Mengis et al. 2018; Arroyave et al. 2021), while research on scientific collaboration suggests that face-to-face interaction plays an important role (Hennemann et al. 2012).

9

Methodological Lock-In and Anticipatory Methodology Development

Traditionally, methodologies – and more specifically systematic methods – served to minimize processes of distortion in transfer and communication of knowledge. The methodology was required to be stringent, so that findings obtained in particular context of practice could be interpreted by other researchers from the same discipline elsewhere, or at a different time. The stability of methodological conventions has thus served an important purpose. However, in view of the urgency of adapting research methodologies to new and emerging challenges, this rigidity also creates a “lock-in” effect (Unruh 2000; Dornelles et al. 2020) in our knowledge systems. Each element of the current status quo is sustained and supported by the system as a whole, while new or deviating elements that might appear will not be supported by the system, thereby preventing development. Science is produced in response to problems that were identified at some point in time, and methodologies tend to reflect our understanding of those problems at that time. The types of science that are possible – and thereby also the possible solutions that can be proposed – are determined by available methodologies. When new types of problems and new understanding emerge, it takes time to develop new methodologies, as well as the capacity to make use of them and allow them to be applied

47

Future-Oriented Methodologies for Sustainability

955

across the range of fields where they are relevant. As we have seen, methodological innovation is constrained by lock-in effects, as well as by problems in gaining legitimacy. In other words, there is already a substantial time lag between the types of problems that academic research has to address at any given moment, and the types of methodologies that researchers have at their disposal. Our understanding of current sustainability challenges allows us to anticipate that many basic conditions that underpin scientific approaches will change, yet we do not know the precise nature or time in which these changes will occur. This means that the challenge of developing adequate methodologies is compounded by the partial uncertainty regarding the type of problems which will need to be addressed. We do know, however, that these challenges pose existential threats to life on earth, and we can therefore not afford to wait for knowledge that would enable us to the limit and define the problems of the future in sufficient detail. This means, on the one hand, addressing sustainability challenges needs to overcome the time lag which normally exists in scientific research, and on the other, we need to devise methodologies without fully understanding the challenges that they will have to address. This requires a fundamentally anticipatory and proactive stance in methodology development. Established types of methodology are certainly still needed, to make use of existing knowledge, expertise and know-how, research infrastructure, and institutions. The stability of methodologies enables rapid communication across existing networks, and effective teamwork within research projects. However, at the same time, we also need to develop new families of methodologies that are flexible, encourage creative processes, collaboration, and exploration, or which can reflect the uncertainties in our current understanding of hitherto unnoticed issues. The type of flexibility that we need is found in natural languages, which are open to multiple interpretations, and which can therefore also rapidly evolve. Such flexibility, is, however, unusual in formalized methodologies and scientific language uses. Rather, the stringency and rigidity of our methodologies is understood as something that distinguishes scientific knowledge from anecdotical experiences or opinions of the layman. Not only the practical requirements of research practices therefore motivate researchers to lean on established methodologies, but also the dynamics of maintaining status as research professionals. Our use of specific methodologies is linked to our sense of identity, as well as to our authority and legitimacy in making expert judgments on various matters (cf. Becher and Trowler 2001; Manathunga and Brew 2012; Abbott 2014). Several characteristics of established methodologies are not only connected to communication, but also to functions of territoriality and boundary setting that can obstruct transdisciplinary collaboration.

10

Purposes and Problems of Methodological Boundaries

Methodologies mark the connection between a particular piece of scientific work and the specific scientific community or group within which it originated, which helps practitioners within that community to find and identify research that they believe is

956

H. Avery

relevant to their questions and research purposes. Similarly, for practitioners from other scientific communities, use of discipline-specific methodologies serves to identify that piece of research as belonging to another scientific community, which may be at a smaller or greater distance from their own. Methodology thus permits researchers to situate research and research findings, helping them to quickly orient themselves in what would otherwise be an amorphous mass of scientific production. However, by the same token, methodologies simultaneously serve to establish barriers and hierarchies. Acquiring the shared experience, know-how, and expertise to be able to successfully decode findings, produced using a particular methodology, requires long years of practice. Methodological fluency thus allows to distinguish “insiders” and central members of a community of practice from “outsiders,” or merely peripheral members who are gradually acquiring the practices specific to the community. Just as the use of technical terminology, methodologies tend to be designed in ways that obstruct their interpretation or use by laymen, novices, and outsiders to the community. A major challenge today is that both cross-disciplinarity and mode 2 science (Gibbons et al. 1994; Newig et al. 2019) are creating an associated need for methodologies that are more immediately transparent to outsiders and which can be rapidly learned and acquired by novices, for collaboration in ad hoc teams. FOMs therefore need to include approaches that can break the supposedly necessary link between, on the one hand, a long and arduous process of scientific apprenticeship and, on the other hand, the relevance and validity of a particular methodology. Such work is conducted, for instance, within the Systemic Design Association (systemicdesign.org). A concern with blurring the boundaries between traditional academic research and research based on methodologies that are open to nonacademic stakeholders is, however, that the credibility of scientific expertise and findings may be diluted or weakened. It becomes more difficult for the general public to distinguish between claims and stances taken by researchers who have spent long years to be able to substantiate these claims, and the opinion of any person on the street. This is particularly a risk in our so-called “post truth” era (Cash and Belloy 2020) where unsubstantiated claims are intentionally spread for political purposes, using advanced manipulation of social media and other channels. By contrast, within the scientific community, risks are not so great, since new methodologies suitable for cross-disciplinary and mode 2 research can still be identified through their names, so that other researchers are aware of their characteristics and purposes.

11

Power and Ethics

Among the many implications of the Anthropocene is that ethical questions become central to all disciplines, to the extent that consequences of human action and decision-making will determine the fate of the planet. Questions of power and ethics, which have traditionally been placed on the outskirts of hard sciences and relegated to the domain of moral philosophers, are no longer issues that can be ignored by any

47

Future-Oriented Methodologies for Sustainability

957

researcher, regardless of field. Researchers cannot ignore the purpose to which their research will be put, or implications of uncertainty and error. The criteria of the precautionary principle (UN 1992) in its strong and weak forms not only concern the application of solutions but constrain the development of methodologies which enable the research in question. At the same time, the urgency of sustainability challenges (see Warszawski et al. 2021; Lade et al. 2020) calls for a normative stance, with an obligation to act. Transparent and informed discussions on ethics thus lie at the core of our mission. While the self-perception of scientists has long been of acting in a detached and sublime space “outside” the world, the issue of funding and cost of methodologies is no longer a question which can be decoupled from the substance of the science we produce. Science as we know it today is not only produced in an English-only mode (Ramírez-Castañeda 2020; Márquez and Porras 2020). It is produced by researchers localized in the richest countries, dealing with the concerns of a minute fraction of the world’s population. Thus, a Scopus search for “environment” on August 27, 2021, yielded 223,299 publications for 2020. Of these, 60% came from the five top countries (China, the USA, UK, India, and Germany). By contrast, a country like Peru produced 0.2% of the total publications, while Gambia produced less than 0.005%. A search for the same year using the term “climate” yielded 62,110 publications, of which 66% came from the five top countries (the USA, China, UK, Germany, and Australia). Again, countries affected most by climate change were poorly represented, for instance, Ethiopia, producing less than 0.5% of publications, while Greenland, Syria, and the Maldives each had less than 0.04%. This is not only wholly unacceptable from an ethical or moral point of view: It also means that we are systematically neglecting what we can learn about the future from the experiences of those parts of the world where people are already struggling with the impacts of the climate and environmental crises that we have created (Lepore et al. 2020; San Martín 2021). Restricting scope and focus of research to first-world issues also gives the scientific community the illusion that supposed benefits of business-as-usual can be separated from adverse effects which are exported to other countries. Since the Brundtland report (UN 1987), international organizations have emphasized that we are a single human family living on a fragile planet, where all our actions and ensuing effects are interconnected. In scientific practice, however, we are still very far from drawing relevant conclusions in terms of how we delimit and choose our research areas. To enable global research and to draw on the experiences and intelligence of researchers outside the best funded research environments, the methodologies we develop and prioritize must therefore be accessible and affordable for researchers across the globe. Cost in this respect cannot be merely conceptualized in terms of nominal monetary value. Rather, it must consider the relative availability of a wide range of research resources in various local contexts (Hackett et al. 2017; López-Ballesteros et al. 2018; San Martín 2021), including the time which is needed to build research capacity and research infrastructure, to generate historical datasets, or the social and environmental impacts of research methodologies in themselves.

958

12

H. Avery

Inertia of Knowledge Systems and Conditions for Methodological Innovation

Just as outliers tend to be erased in individual studies, in the mass of scientific production, studies with divergent results are marginalized. They are outnumbered and therefore neglected in metastudies; findings are excluded when aggregating data from different sources to reach total estimates concerning a phenomenon, and even when they are included, divergent findings are swamped by the mass of data from other studies. Researchers who do not closely tie into dominant conclusions will be viewed as less credible, will be less often cited, and will ultimately benefit from less funding to conduct new studies and pursue the surprising findings that they originally published (see also Arroyave et al. 2021, for a discussion of knowledge trajectories and the factors that shape them). Csikszentmihalyi (2006) argues that, in general, creativity requires the field to take up any innovations generated by individuals. Gatekeepers will allow or refuse access to communities of practice, that in turn enable uptake in society. It is consequently not only enough for individual scientists to be allowed to show methodological creativity, but also crucial that conditions exist that will allow methodological innovations to spread, enabling further research building on such innovation. Strong forces drive our systems of knowledge production toward conformity, but we cannot afford to continue silencing the canaries in the mine. Rather, researchers and research strands that alert the scientific community to emerging dangers and flaws in our approaches must be protected and supported. This is particularly important at a time when scientific integrity is threatened by the precarious conditions under which researchers work, which systematically favors opportunism in pursuing established lines of research, while silencing concerns from scientists anxious to receive continued funding. Some centuries ago, divergent thinkers might be able to use their private means or benefit from the support of a wealthy patron to pursue lines of research independently. Today, both the cost involved in research and the complexities of our collective knowledge production systems mean that researchers can no longer operate individually, but need the support and collaboration of institutions and larger groups of researchers (Hackett et al. 2017). The size and complexities of our knowledge production systems has thus led to inertia, and a tendency to reduce scope for creative and diverging exploration. The gravity of such constraints on creativity is easy to miss, since it is obscured by a seemingly accelerating torrent of technological innovation, but which only to a limited extent is driven by sustainability concerns.

13

New Approaches for Challenging Times

To rise to the urgency of the current situation, creativity and development of new methodologies is required. We also need to reexamine our funds of knowledge in the light of the challenges we face. Developing FOMs includes combining existing methodologies or adapting them so that they can serve new purposes. Numerous relevant methodologies already exist. Finding them is no easy task, since they have

47

Future-Oriented Methodologies for Sustainability

959

been developed across the entire spectrum of scientific research and are therefore designated with terminology specific for each discipline or research strand. Thus, the commonalities such methodologies have and the ways that they can contribute to future-oriented research for sustainability are seldom explicitly described. Dominant methodologies are widely taught in both undergraduate and postgraduate education, and research fields are organized in ways which make it relatively easier for researchers to access expertise and publications concerning them. This is not the case for future-oriented methodologies. The task is even more complex since FOMs are not in themselves a clearly delimited area, addressing a single simple research issue, but rather a family of methodologies addressing different aspects of sustainability challenges, and which would ideally enable ecosystems of research oriented toward addressing these challenges. To develop FOMs that actually address new and emerging sustainability challenges, there is additionally the need not only to have methodological expertise, but also to understand more concretely the nature of the sustainability challenges and the type of research involved in searching for solutions. This means that there is a need for targeted inter-and transdisciplinary collaboration, specifically concerning the question of methodology development, as well as mapping such methodologies to allow their combination and use in meaningful ways. For rapid, intelligent, and concerted action to reverse or at least mitigate the changes we have caused in planetary systems, it has here been argued that new methodologies are required. The existence or absence of suitable methodologies – as well as compatibility issues between methodologies and the possibility to combine them in research projects – has become a serious bottleneck for addressing sustainability challenges. With respect to the qualities needed in FOMs for sustainability, important characteristics are methodologies that not only allow creativity, but that also are deliberately designed to foster and enhance creativity and boundary-crossing collaboration. We need methodologies that are agile, so that they can develop along with emerging needs and insights during the course of a project or strand of research. Methodologies also need to be malleable, in the sense of allowing changes in basic assumptions as the research front progresses, and permit adaptation and reassemblage, so that they can latch into research from other strands. Finally, FOMs need to be explorative, in the sense of allowing to gain a clearer idea of where possible vulnerabilities and blind spots are situated, while permitting the exploration both of likely future scenarios, and those which at present appear less likely, so that conclusions can be drawn about necessary knowledge or know-how that we are currently missing. When using uniform and standardized traditional methods, we assume that data produced will be “comparable,” which would allow us to measure and identify trends and developments over time, as well as across investigated contexts or objects. However, if we suppose that events have significance as part of dynamic systems, the meaning of “comparability” will also shift. No longer being able to assume that “all else remains equal” additionally has implications for how we distribute phenomena between a delimited focus of research and what we consider as externalities. Above all, FOMs thus have to be suited to navigating an overall situation of rapid change, with sliding scales and considerable uncertainty. We need to learn how to nimbly shift between fluid openness and focused delimitations.

960

H. Avery

Rather than entrenching ourselves in fortified bastions, we will have to pitch tents in unexpected places, assemble rafts from driftwood, and improvise rope bridges to cross disciplinary chasms.

14

Conclusion

The standardization and formalization of methodologies corresponds to an early industrial paradigm (Hornborg 2001), concerned with maintaining efficiency and uniform quality of production, while preserving the value and relevance of machinery that had been invested in. Clearly, the rigidity that is inherent in such an approach is problematic at a time when methodologies need to evolve to address new challenges. I therefore wish to argue that a more adequate paradigm is that of craftsmanship, where expertise is carried by the scientific community, not by the machinery, and where approaches can be designed and continuously adapted to meet emerging and anticipated future needs. Drawing on the analogy of methodologies as a “meta-language,” enabling communication across time and space within the scientific community, it is clear that the rigidity and stability of methodologies serves our important purpose. This chapter does therefore by no means propose to revolutionize methodologies, in the sense of discarding our existing body of knowledge and tools for scientific research. Rather, just as when in natural languages new societal conditions lead to the development of new vocabulary, forms of expression, and media, similarly in our scientific methodologies the range of available approaches needs to be rapidly extended. Importantly, greater awareness is needed in concerning the range of application and the limitations of several current methodological approaches, so that we can draw better conclusions based on findings where such methodologies have been applied. We thus need a collective effort of reinterpretation of previous research. At the same time, just as for natural languages, continuity is crucial to ensure the preservation of prior knowledge. If we in our future dictionary of methodologies may eventually mark in brackets some as “obsolete,” detailed knowledge of what these methodologies once entailed will still be necessary for future research.

References Abbott A (2014) The system of professions: an essay on the division of expert labor. University of Chicago press, Chicago and London Aho B, Duffield R (2020) Beyond surveillance capitalism: privacy, regulation and big data in Europe and China. Econ Soc 49(2):187–212 Anderson CM, Weber CL, Fabricius C, Glew L, Opperman JJ, Pacheco P, . . . Shaw MR (2020) Planning for change: conservation-related impacts of climate overshoot. Bioscience 70(2): 115–118 Ansoff HI (1975) Managing strategic surprise by response to weak signals. Calif Manag Rev 18(2): 21–33

47

Future-Oriented Methodologies for Sustainability

961

Arroyave F, Goyeneche OYR, Gore M, Heimeriks G, Jenkins J, Petersen A (2021) On the social and cognitive dimensions of wicked environmental problems characterized by conceptual and solution uncertainty. arXiv preprint arXiv:2104.10279 Avery H, Nordén B (2021) We can only do it together: addressing global sustainability challenges through a collaborative paradigm. In: Leal Filho W, Lange Salvia A, Brandli L, Azeiteiro UM, Pretorius R (eds) Universities, sustainability and society: supporting the implementation of the sustainable development goals. Springer Nature Switzerland AG, Cham Becher T and Trowler PR (2001) Academic tribes and territories. McGraw-Hill Education (UK), Philadelphia, Pa: Open University Press Burns CS (2021) What documents cannot do: revisiting Michael Polanyi and the tacit knowledge dilemma. Inf Cult 56(1):90–104 Cash DW, Belloy PG (2020) Salience, credibility and legitimacy in a rapidly shifting world of knowledge and action. Sustainability 12(18):7376 Chen JM, Luetz JM (2020) Mono-/inter-/multi-/trans-/anti-disciplinarity in research. In: Quality education, encyclopedia of the UN sustainable development goals. Springer Nature, Cham, pp 1–16 Csikszentmihalyi M (2006) A systems perspective of creativity. In: Henry J (ed) Creative management and development. Sage, London, pp 3–16 Davis M, Faurby S, Svenning JC (2018) Mammal diversity will take millions of years to recover from the current biodiversity crisis. Proc Natl Acad Sci 115(44):11262–11267 de Godoy J, Otrel-Cass K, Toft KH (2021) Transformations of trust in society: a systematic review of how access to big data in energy systems challenges Scandinavian culture. Energy AI 5:100079 de Vrese P, Brovkin V (2021) Timescales of the permafrost carbon cycle and legacy effects of temperature overshoot scenarios. Nat Commun 12(1):1–13 Dornelles AZ, Boyd E, Nunes RJ, Asquith M, Boonstra WJ, Delabre I, Denney JM, Grimm V, Jentsch A, Nicholas KA, Schröter M, Seppelt R, Settele J, Shackelford N, Standish RJ, Yengoh GT, Oliver TH (2020) Towards a bridging concept for undesirable resilience in social-ecological systems. Glob Sustain 3:E20. https://doi.org/10.1017/sus.2020.15 Eggen M, Ozdogan M, Zaitchik B, Ademe D, Foltz J, Simane B (2019) Vulnerability of sorghum production to extreme, sub-seasonal weather under climate change. Environ Res Lett 14(4):045005 Gao K, Gao G, Wang Y, Dupont S (2020) Impacts of ocean acidification under multiple stressors on typical organisms and ecological processes. Mar Life Sci Technol 2(3):279–291 Gerbin A, Drnovsek M (2020) Knowledge-sharing restrictions in the life sciences: personal and context-specific factors in academia–industry knowledge transfer. J Knowl Manag 24(7):1533–1557 Gibbons M, Limoges C, Nowotny H, Schwartzman S, Scott P, Trow M (1994) The new production of knowledge: the dynamics of science and research in contemporary societies. Sage, London; Thousand Oaks, California Guerra CA, Heintz-Buschart A, Sikorski J, Chatzinotas A, Guerrero-Ramírez N, Cesarz S, . . . Eisenhauer N (2020) Blind spots in global soil biodiversity and ecosystem function research. Nat Commun 11(1):1–13 Guinney J, Saez-Rodriguez J (2018) Alternative models for sharing confidential biomedical data. Nat Biotechnol 36(5):391–392 Hackett EJ, Parker JN, Vermeulen N, & Penders B (2017). The social and epistemic organization of scientific work. In: Felt U, Fouché R, Miller CA, Smith-Doerr L (eds). The handbook of science and technology studies (4 ed., pp. 733–764). Cambridge MA: MIT Press. https://mitpress.mit. edu/books/handbookscience-and-technology-studies-0 Hage J, Hollingsworth JR (2000) A strategy for the analysis of idea innovation networks and institutions. Organ Stud 21(5):971–1004 Hallinger P, Chatpinyakoop C (2019) A bibliometric review of research on higher education for sustainable development, 1998–2018. Sustainability 11(8):2401 Hamilton H, Henry R, Rounsevell M, Moran D, Cossar F, Allen K, . . . Alexander P (2020) Exploring global food system shocks, scenarios and outcomes. Futures 123:102601

962

H. Avery

Hennemann S, Rybski D, Liefner I (2012) The myth of global science collaboration – collaboration patterns in epistemic communities. J Informet 6(2):217–225 Hoefer C (2003) For fundamentalism. Philos Sci 70(5):1401–1412 Hornborg A (2001) The power of the machine: global inequalities of economy, technology, and environment. Rowman, AltaMira Hornborg A (2021) Money cannot compensate for entropy: ecologically unequal exchange and the decoupling of economics from reality. In: Murray J, Owen A, Simas M, Malik A (eds) A triple bottom line analysis of global consumption: economic, environmental, and social effects of pre-pandemic world trade. Jenny Stanford Publishing, Singapore, pp 1994–2015 Huesemann M, Huesemann J (2011) Techno-fix: why technology won’t save us or the environment. New Society Publishers, Gabriola, B.C. IPBES (2019) Global assessment report on biodiversity and ecosystem services of the intergovernmental science-policy platform on biodiversity and ecosystem services. In: Brondizio ES, Settele J, Díaz S, Ngo HT (eds). IPBES Secretariat, Bonn IPCC (2021) Climate change 2021: the physical science basis. contribution of working group I to the sixth assessment report of the Intergovernmental Panel on Climate Change. In: MassonDelmotte V, Zhai P, Pirani A, Connors SL, Péan C, Berger S, Caud N, Chen Y, Goldfarb L, Gomis MI, Huang M, Leitzell K, Lonnoy E, Matthews JBR, Maycock TK, Waterfield T, Yelekçi O, Yu R, Zhou B (eds) . Cambridge University Press. In Press. (pdf accessed online at Sixth Assessment Report (ipcc.ch)) Jewell J, Cherp A (2020) On the political feasibility of climate change mitigation pathways: is it too late to keep warming below 1.5 C? Wiley Interdiscip Rev Clim Chang 11(1):e621 Kasting JF (1989) Long-term stability of the Earth’s climate. Glob Planet Chang 1(1–2):83–95 Kinzig AP, Ryan P, Etienne M, Allison H, Elmqvist T, Walker BH (2006) Resilience and regime shifts: assessing cascading effects. Ecol Soc 11(1):20. http://www.ecologyandsociety.org/vol11/ iss1/art20/ Klose AK, Karle V, Winkelmann R, Donges JF (2020) Emergence of cascading dynamics in interacting tipping elements of ecology and climate. R Soc Open Sci 7(6):200599 Koven C, Arora VK, Cadule P, Fisher RA, Jones CD, Lawrence DM, Lewis J, Lindsey K, Mathesius S, Meinshausen M, Mills M, Nicholls Z, Sanderson BM, Swart NC, Wieder WR, Zickfeld K (2021) 23rd century surprises: long-term dynamics of the climate and carbon cycle under both high and net negative emissions scenarios. Earth Syst Dynam. https://doi.org/10. 5194/esd-2021-23. in review Lade SJ, Steffen W, de Vries W, Carpenter SR, Donges JF, Gerten D et al (2020) Human impacts on planetary boundaries amplified by earth system interactions. Nature Sustain 3(2):119–128. https://doi.org/10.1038/s41893-019-0454-4 Lawrence J, Haasnoot M, McKim L, Atapattu D, Campbell G, Stroombergen A (2019) Dynamic adaptive policy pathways (DAPP): from theory to practice. In: Marchau VA, Walker WE, Bloemen PJ, Popper SW (eds) Decision making under deep uncertainty. Springer, Cham, pp 187–199 Lawrence J, Blackett P, Cradock-Henry NA (2020) Cascading climate change impacts and implications. Clim Risk Manag 29:100234 Lenton TM, Rockström J, Gaffney O, Rahmstorf S, Richardson K, Steffen W, Schellnhuber HJ (2019) Climate tipping points – too risky to bet against. Nature 575, 592–595. https://doi.org/10. 1038/d41586-019-03595-0 Lepore W, Hall BL, Tandon R (2020) The knowledge for change consortium: a decolonising approach to international collaboration in capacity-building in community-based participatory research. Can J Dev Stud/Revue canadienne d’études du développement 42(3):347–370 Li X, Zickfeld K, Mathesius S, Kohfeld K, Matthews JR (2020) Irreversibility of marine climate change impacts under carbon dioxide removal. Geophys Res Lett 47(17):e2020GL088507 Liguori A, McEwen L, Blake J, Wilson M (2021) Towards ‘creative participatory science’: exploring future scenarios through specialist drought science and community storytelling. Front Environ Sci 8. https://doi.org/10.3389/fenvs.2020.589856 López-Ballesteros A, Beck J, Bombelli A, Grieco E, Lorencová EK, Merbold L, . . . Saunders M (2018) Towards a feasible and representative pan-African research infrastructure network for GHG observations. Environ Res Lett 13(8):085003

47

Future-Oriented Methodologies for Sustainability

963

Lucivero F (2020) Big data, big waste? A reflection on the environmental sustainability of big data initiatives. Sci Eng Ethics 26(2):1009–1030 Manathunga C, Brew A (2012) Beyond tribes and territories: new metaphors for new times. In: Trowler P, Saunders M, Bamber V (eds) Tribes and territories in the 21st century. Routledge, New York, pp 58–70 Marletto C (2021) The science of can and can't. New Sci 250(3330):34–37 Márquez MC, Porras AM (2020) Science communication in multiple languages is critical to its effectiveness. Front Commun 5:31 McCollum DL, Gambhir A, Rogelj J, Wilson C (2020) Energy modellers should explore extremes more systematically in scenarios. Nat Energy 5(2):104–107 Mengis J, Nicolini D, Swan J (2018) Integrating knowledge in the face of epistemic uncertainty: dialogically drawing distinctions. Manag Learn 49(5):595–612 Mittal N, Pope E, Whitfield S, Bacon J, Bruno Soares M, Dougill AJ, . . . Boyce C (2021) Co-designing indices for tailored seasonal climate forecasts in Malawi. Front Clim 2:30 Morán-Ordóñez A, Duane A, Gil-Tena A, De Cáceres M, Aquilué N, Guerra CA, . . . Brotons L (2020) Future impact of climate extremes in the Mediterranean: soil erosion projections when fire and extreme rainfall meet. Land Degrad Dev 31(18):3040–3054 Moser SC (2020) The work after “It’s too late” (to prevent dangerous climate change). Wiley Interdiscip Rev Clim Chang 11(1):e606 Newig J, Jahn S, Lang DJ, Kahle J, Bergmann M (2019) Linking modes of research to their scientific and societal outcomes. Evidence from 81 sustainability-oriented research projects. Environ Sci Pol 101:147–155 Oschlies A (2021) A committed fourfold increase in ocean oxygen loss. Nat Commun 12(1):1–8 Pauliuk S (2020) Making sustainability science a cumulative effort. Nat Sustain 3(1):2–4 Pelton EM, Schultz CB, Jepsen SJ, Black SH, Crone EE (2019) Western monarch population plummets: status, probable causes, and recommended conservation actions. Front Ecol Evol 7:258 Petersen AM, Ahmed ME, Pavlidis I (2021) Grand challenges and emergent modes of convergence science. Humanit Soc Sci Commun 8:194. https://doi-org.ludwig.lub.lu.se/10.1057/s41599021-00869-9 Pörtner HO, Scholes RJ, Agard J, Archer E, Arneth A, Bai X, Barnes D, Burrows M, Chan L, Cheung WL, Diamond S, Donatti C, Duarte C, Eisenhauer N, Foden W, Gasalla MA, Handa C, Hickler T, Hoegh-Guldberg O, Ichii K, Jacob U, Insarov G, Kiessling W, Leadley P, Leemans R, Levin L, Lim M, Maharaj S, Managi S, Marquet PA, McElwee P, Midgley G, Oberdorff T, Obura D, Osman E, Pandit R, Pascual U, Pires APF, Popp A, ReyesGarcía V, Sankaran M, Settele J, Shin YJ, Sintayehu DW, Smith P, Steiner N, Strassburg B, Sukumar R, Trisos C, Val AL, Wu J, Aldrian E, Parmesan C, Pichs-Madruga R, Roberts DC, Rogers AD, Díaz S, Fischer M, Hashimoto S, Lavorel S, Wu N, Ngo HT (2021a) IPBES-IPCC co-sponsored workshop report on biodiversity and climate change. IPBES and IPCC. https://doi.org/10. 5281/zenodo.4782538 Pörtner HO, Scholes RJ, Agard J, Archer E, Arneth A, Bai X, Barnes D, Burrows M, Chan L, Cheung WL, Diamond S, Donatti C, Duarte C, Eisenhauer N, Foden W, Gasalla MA, Handa C, Hickler T, Hoegh-Guldberg O, Ichii K, Jacob U, Insarov G, Kiessling W, Leadley P, Leemans R, Levin L, Lim M, Maharaj S, Managi S, Marquet PA, McElwee P, Midgley G, Oberdorff T, Obura D, Osman E, Pandit R, Pascual U, Pires APF, Popp A, Reyes-García V, Sankaran M, Settele J, Shin YJ, Sintayehu DW, Smith P, Steiner N, Strassburg B, Sukumar R, Trisos C, Val AL, Wu J, Aldrian E, Parmesan C, Pichs-Madruga R, Roberts DC, Rogers AD, Díaz S, Fischer M, Hashimoto S, Lavorel S, Wu N, Ngo HT (2021b) Scientific outcome of the IPBES-IPCC co-sponsored workshop on biodiversity and climate change. Version 5. IPBES secretariat, Bonn. https://doi.org/10.5281/zenodo.5101125 Ramírez-Castañeda V (2020) Disadvantages in preparing and publishing scientific papers caused by the dominance of the English language in science: the case of Colombian researchers in biological sciences. PLoS One 15(9):e0238372

964

H. Avery

Rault PAK, Koundouri P, Akinsete E, Ludwig R, Huber-Garcia V, Tsani S, . . . Froebrich J (2019) Down scaling of climate change scenarii to river basin level: a transdisciplinary methodology applied to Evrotas river basin, Greece. Sci Total Environ 660:1623–1632 Rikap C (2021) Capitalism, power and innovation: intellectual monopoly capitalism uncovered. Routledge, London Sahlin U, Helle I, Perepolkin D (2021) “This is what we don’t know”: treating epistemic uncertainty in Bayesian networks for risk assessment. Integr Environ Assess Manag 17(1):221–232 Saltelli A, Giampietro M (2017) What is wrong with evidence based policy, and how can it be improved? Futures 91:62–71 Saltelli A, Benini L, Funtowicz S, Giampietro M, Kaiser M, Reinert E, van der Sluijs JP (2020) The technique is never neutral. How methodological choices condition the generation of narratives for sustainability. Environ Sci Pol 106:87–98 San Martín W (2021) Unequal knowledge: justice, colonialism, and expertise in global environmental research. Glob Environ 14(2):423–430 Schneidewind U, Singer-Brodowski M, Augenstein K (2016) Transformative science for sustainability transitions. In: Brauch H, Oswald Spring U, Grin J, Scheffran J (eds) Handbook on sustainability transition and sustainable peace. Springer, Cham, pp 123–136 Scholz RW (2017) The normative dimension in transdisciplinarity, transition management, and transformation sciences: new roles of science and universities in sustainable transitioning. Sustainability 9(6):991 Steffen W, Grinevald J, Crutzen P, McNeill J (2011) The Anthropocene: conceptual and historical perspectives. Philos Trans R Soc A Math Phys Eng Sci 369(1938):842–867 Steffen W, Richardson K, Rockström J, Cornell SE et al (2015) Planetary boundaries: guiding human development on a changing planet. Science 347(736):1259855 Taylor GM, Vink S (2020) Given that the Paris agreement is unlikely to prevent dangerous climate overshoot, an alternative risk management strategy is urgently needed. EarthArXiv preprint. https://doi.org/10.31223/X51S45 Tellez VM (2020) The COVID-19 pandemic: R&D and intellectual property management for access to diagnostics, medicines and vaccines. Policy Brief 73:1–8 UN (1987) Our common future. Report of the World Commission on environment and development. un.org. Accessed 18 Jun 2021 UN (1992) Rio declaration on environment and development. A/CONF.151/26/Vol. I. un.org. Accessed 18 June 2021 Unks RR, King EG, Nelson DR, Wachira NP, German LA (2019) Constraints, multiple stressors, and stratified adaptation: pastoralist livelihood vulnerability in a semi-arid wildlife conservation context in Central Kenya. Glob Environ Chang 54:124–134 Unruh GC (2000) Understanding carbon lock-in. Energy Policy 28(12):817–830. https://doi.org/10. 1016/S0301-4215(00)00070-7 van Kooten GC, Withey P, Johnston CM (2021) Climate urgency and the timing of carbon fluxes. Biomass Bioenergy 151:106162 Verburg PH, Dearing JA, Dyke JG, Van Der Leeuw S, Seitzinger S, Steffen W, Syvitski J (2016) Methods and approaches to modelling the Anthropocene. Glob Environ Chang 39:328–340 Vink M, van der Steen M, Dewulf A (2016) Dealing with long-term policy problems: making sense of the interplay between meaning and power. Futures 76:1–6 Warszawski L, Kriegler E, Lenton TM, Gaffney O, Jacob D, Klingenfeld D, Koide R, Costa MM, Messner D, Nakicenovic N, Schellnhuber HJ, Schlosser P, Takeuchi K, van der Leeuw S, Whiteman G, Rockström J (2021) All options, not silver bullets, needed to limit global warming to 1.5 C: a scenario appraisal. Environ Res Lett 16(6). https://doi.org/10.1088/1748-9326/abfeec Wenger E (1998) Communities of practice: learning, meaning, and identity. Cambridge University Press, Cambridge Wunderling N, Donges J, Kurths J, Winkelmann R (2021) Interacting tipping elements increase risk of climate domino effects under global warming. Earth Syst Dynam 12(2):601–619. https://doi. org/10.5194/esd-12-601-2021

Future Interdisciplinary Waste Ecological Challenges

48

A Critical Analysis of the Portuguese Case Maria Alzira Pimenta Dinis, Diogo Guedes Vidal, and Halima Begum

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Interdisciplinary Ecological Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Domestic Waste Indicators and Future Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

966 968 972 976 977

Abstract

Existent waste indicators may measure the current environmental dynamics but cannot keep up with the rapid changes of our time. Waste management has deep specific implications in different sectors of our society, namely in terms of environmental quality and health outcomes. Alongside, it is undeniable that waste management practices are linked with the human development level of each country, which means that disadvantaged communities are more likely to be vulnerable to poor waste management practices. It is a critical need to investigate the current Portuguese indicators used to measure ecological sustainable M. A. P. Dinis (*) UFP Energy, Environment and Health Research Unit(FP-ENAS), University Fernando Pessoa (UFP), Porto, Portugal e-mail: [email protected] D. G. Vidal Center for Functional Ecology - Science for People & the Planet (CFE), TERRA Associate Laboratory, Department of Life Sciences (DCV), Faculty of Sciences and Technology, University of Coimbra (UC), Calçada Martim de Freitas, Coimbra, Portugal Faculty of Science and Technology, University Fernando Pessoa, Porto, Portugal e-mail: [email protected] H. Begum School of Economics, Finance & Banking (SEFB), Universiti Utara Malaysia (UUM), Sintok, Kedah, Malaysia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_39

965

966

M. A. P. Dinis et al.

development, pointing out what needs to be changed in order to make a reliable diagnosis of future ecological challenges in this context. This chapter provides a critical analysis of domestic waste indicators available in the official databases, by examining the role of these indicators in waste management in Portugal. It can be concluded that a new composite indicator able to combine social, health, and environmental variables is required to pursue the application of the United Nations (UN) 2030 Agenda goals at a local level. Keywords

Interdisciplinary ecological challenges · Portuguese case-study · Waste management practices · Composite indicators

1

Introduction

According to the last data available from the Portuguese Environmental Agency, the total production of municipal waste in continental Portugal was approximately 4.94 million tons in 2018 (+4.2%, when compared to 2017), thus equivalent to an annual capitation of 505 kg/inhabitant per year, a municipal waste production of 1.38 kg per inhabitant per day (Agência Portuguesa do Ambiente 2019). In 2013 only, the mainland experienced a significant decrease in waste production (1.2 kg per inhabitant daily) due to the economic crisis that resulted in high unemployment rates and, consequently, poor purchase power. In addition to being below the EU-27 mean (1.8 kg per inhabitant daily) (European Environment Agency 2019a), Portugal maintained this trend in 2018 in what relates to the incidence of bulk collection for the great percentage of waste collected (79.9%), with only 18.1% being collected for recycling (Agência Portuguesa do Ambiente 2019). In 2018 the EU-27 presented 38.1% of waste collected for recycling (Eurostat 2020) meaning that Portugal is significantly below this percentage, representing a future challenge that must be properly addressed since poor waste management contributes to climate change and air pollution issues and directly affects ecosystems and species. So, an ecological view regarding proper waste management is absolutely necessary. To provide an overview of the Portuguese law regarding waste management, the main decrees available at the time this chapter was written are presented: Decree-Law No. 178/2006, of September 5 (Republic Diary No. 171/2006, Series I of 2006-0905), as amended by Decree-Laws No. 73/2011, of June 17 (Republic Diary No. 116/2011, Series I of 2011-06-17), No. 67/2014, of May 7 (Republic Diary No. 87/2014, Series I of 2014-05-07), and No. 165/2014, of November 5 (Republic Diary No. 214/2014, Series I of 2014-11-05). This decree establishes the Portuguese general rules applied to waste prevention, production, and management. This diploma transposes Directive No. 2008/98/EC, of the European Parliament and the Council, of November 19 (Official Journal of the European Union L 312/3 of 2008-11-22), on waste (Directive on Waste Framework), which established the “obligation for the Member States to draw up waste management plans,” which alone or in conjunction with each other must range the whole geographical area of the related Member State.

48

Future Interdisciplinary Waste Ecological Challenges

967

The National Waste Management Plan for the horizon 2014–2020 (PNGR 2014–2020), translated by the Resolution of the Council of Ministers No. 11-C/ 2015, of March 16 (Republic Diary No. 52/2015, 2nd Supplement, Series I of 201503-16) is a macro-planning instrument for waste policy at the national level, thus establishing strategic guidelines for waste prevention and management, to implement the principles set out in community and national legislation, to protect the environment, and to develop Portugal. Consubstantiating waste prevention and management as a continuation of the material life cycle, an essential step to return useful materials and energy to the economy, the PNGR 2014–2020 advocates a change in the current waste paradigm, focusing on a circular economy and ensuring greater efficiency in the use of natural resources, based on two major strategic objectives: promoting the efficiency of the use of natural resources in the context of circular economy and preventing, or reducing, adverse impacts on the environment and health resulting from the production and management of waste. In this way, the PNGR 2014–2020 responds to the Sustainable Development Goals (SDGs) (United Nations Sustainable Development Goals Knowledge Platform 2015a) from Agenda 2030 (United Nations Sustainable Development Goals Knowledge Platform 2015b), namely SDG 12, contemplating sustainability in “waste prevention and management” from the perspective of “environmental protection and development” in Portugal, integrating the SDGs into policies, processes, and actions developed at all dimension levels and promoting sustainable development in waste management. Despite widely acknowledging that landfilling has negative impacts on the “environment and human health,” as well as in the economy, its elimination is not fully accomplished. According to the Landfill Directive, “the proportion of municipal waste disposed of by landfilling should be reduced to 10 % or less of the total amount of municipal waste generated by 2035.” Nevertheless, according to the European Environment Agency (2018, 2019b), some progress has been done, especially in Europe: • Relatively good progress has been performed by European countries in waste diverting from “landfill in recent years for almost all waste streams, predominantly for household and similar waste.” • Between 2010 and 2016, “the share of total waste (excluding major mineral waste) disposed of by landfilling decreased from 29 % to 25 % in the 28 EU Member States. The proportion of household and similar waste and other waste disposed of by landfilling decreased by 47.2 % and 19 %, respectively. However, the landfilling of combustion waste increased by 20.6 % and of sorting residues by 40.1 %.” • “By 2017, the proportion of municipal waste entering landfill had been reduced to 21.0 %, and, of 37 European countries, 11 had reduced municipal waste landfilling rates by more than 40.0 % and 10 landfilled less than 10 % of their municipal waste; however, 15 still had municipal waste landfilling rates of more than 50.0 %.” • “During the period 2008–2017, the rate of municipal waste landfilling decreased by 43.0 %, while energy recovery from municipal waste increased by 72.1 %, material recycling increased by 22.5 % and composting and digestion increased by 18.6 %.”

968

M. A. P. Dinis et al.

The subject addressed in this text is based on a recognition of the importance of interdisciplinarity, as well as on the adequacy of the interdisciplinary methodological approaches applied to waste management, particularly considering the need to have a clear perception of the associations between the environment and health (PORDATA 2019). The waste area is vast, covering several aspects, such as those referring to hospital waste, industrial waste, or urban waste, all with their Strategic Plans, with special emphasis on the current Strategic Plan for Urban Waste 2020 (PERSU 2020), approved by the Ordinance 187-A/2014, of September 17 (Republic Diary No. 179/2014, first Supplement, Series I of 2014-09-17), highlighted in the context of this text, due to the implications in society. The waste strategy, advocated in PERSU 2020, is assumed to guarantee a greater level of environmental protection and human health, through the use of appropriate processes, technologies, and infrastructures. Thus, the Portuguese waste strategy also intends to: (i) promote the minimization of waste production and hazardousness and integrate them into the production processes as secondary materials to reduce the impacts of the extraction of natural resources and ensure the essential resources for the economy while creating opportunities for developing economic and employment; (ii) progressively eliminate the disposal of waste in landfills to eradicate the direct disposal of urban waste in landfills by 2030; and (iii) include the citizen in this approach, investing in information systems and easing recycling. Portugal also aims to (i) increase the global and sectorial collection, recycling, and recovery rates for packaging waste; and (ii) keep the obligation to achieve a minimum recovery of 60% of weight packaging waste, of which at least 55% must match recycling. Accordingly, this chapter aims to provide an insight into the different domestic waste indicators available in the Portuguese official databases, through a critical assessment of the role they have in waste management and the need to develop interdisciplinary waste indicators.

2

Interdisciplinary Ecological Challenges

Several scientific evidence and reports highlight the need for effective and comprehensive responses and international coordination regarding global environmental health, which is associated with wastes (Hannon and Zaman 2018). Most recently, ineffective waste management has resulted in pollution by greenhouse gas emissions (GHGE) and poverty-stricken places on the earth accordingly, due to ecological issues and related social consequences (Mavropoulos et al. 2017). Nonetheless, the impacts of the terrestrially generated waste not only are registered around the megacities as local threats of the ecological disorder (Abarca et al. 2012; Mavropoulos 2010) but also spread across the whole world biosphere due to the interrelated atmospheric dimensions (Thompson 2014; Wiedinmyer et al. 2014; Hodzic et al. 2012). Gradually, interrelated dimensions such as the nano, bio, information, and communication technologies (NBRIC) and the related disaster waste management, food waste, chemical toxicity, ocean plastics, or nuclear waste are being reported by

48

Future Interdisciplinary Waste Ecological Challenges

969

media, creating additional public awareness on wastes (Debrah et al. 2021a). Hence, interdisciplinary ecological challenges have gained relevance due to recent waste issues, which include the entire global biosphere. Moreover, several authors, such as Iskandar and Tjell (2009), International Solid Waste Association (ISWA 2015), Marshall and Farahbakhsh (2013), and Gutberlet (2010), asserted that these extended interdisciplinary diversified waste challenges are systematically caused or interconnected by factors such as individual and collective ideologies, vested interests, geography, history, technological advances, socio-economy, and cultural imperatives. For reducing waste generation, there is a high priority of the 5R waste hierarchy such as “reduce, reuse, recycle, recover energy, and residual disposal,” which seems unlikely to be the critical business challenge as observed by Mavropoulos (2010). The recycling business is profitable, but the reports show that wastes peak level is not achievable worldwide until 2100 without the proper implementation of aggressive sustainability set-ups (Hoornweg et al. 2014). According to the World Bank, in 2012, municipal solid waste among cities was expected to almost double by 2025 (Hoornweg et al. 2012). The course of increasing population, urbanization, and consumer demand endorse these projections (Mavropoulos 2010; Troschinetz and Mihelcic 2009). Van Ewijk and Stegemann (2016) observed that there is annually one-fourth to one-third of almost 3.4–4 billion tons of produced industrial waste, which are reused and recycled. Nonetheless, the efficacy of waste management treatment such as residual disposal conventional methods and practices also raises questions on ecological issues by generating pollution and fewer profits (Hannon and Zaman 2018). The International Solid Waste Association’s (ISWA) –“Global Waste Management Outlook” (GWMO) aligns with similar reporting, estimating that approximately “2 and 3 billion people live below the most basic waste management system benchmarks of collection and controlled disposal” (D-Waste 2013; Wilson et al. 2015). Regarding the worsening apprehension about the pollution and climate change impacts of structural weaknesses in global waste management, the evidence points out that the defaulting disposal “treatment” for approximately 41% of global waste is “uncontrolled burning” (Wiedinmyer et al. 2014). The ISWA program looking to rectify this condition (Mavropoulos et al. 2017) has defined stimulating goals (i.e., “As an initial step, aim to achieve 100% collection coverage in all cities with a population having more than 1 million, eliminate open burning of municipal solid wastes and similar wastes, and close large open dumps, replacing them with controlled disposal facilities” (Wilson et al. 2015)). This is particularly serious in developing countries. However, to achieve these goals signifies a crucial standard in contemporary “integrated solid waste management.” Nevertheless, it is important to acknowledge that attaining that starting point is only the beginning for the projected change to a “holistic, sustainable resource conservation, and material circularity,” encouraged in, for example, “circular integrated waste management systems (CIWMS), zero waste and a circular economy discourse” (Cobo et al. 2018; Silva et al. 2017). All the previous concerns threatening sustainable development are more evident in urban spaces due to the “urban metabolism systems,” which is the outcome of the

970

M. A. P. Dinis et al.

collaboration between the city’s governance guidelines, organizations, and inhabitants. Also, contemporary urban lifestyles and consumption patterns are driven by ephemeral and volatile needs, which generate a significant amount of waste and, if left untreated, result in serious environmental problems. The inexpensive access to numerous goods obscures the exhaustion of natural resources and results in the idea that everything is sparable, disposable, and replaceable. Thus, sustainable solutions demand social and organizational governmental changes translated into a commitment to sensitize every citizen. This is particularly relevant in the interdisciplinarity between the scientific areas of environment and health within the scope of the United Nations (UN) 2030 Agenda (United Nations Sustainable Development Goals Knowledge Platform 2015b), elaborated and rectified by the signatory countries of the United Nations, comprising 17 SDGs and 169 goals (United Nations 2015a, b) in the environmental, economic, social, and institutional dimensions. While the SDGs have a worldwide dimension, their execution will depend on the significance given by countries (Salvia et al. 2019). SDGs related to the environmental dimension were identified as those that have the strongest synergistic potential to make progress on sustainable development implementation (Weitz et al. 2019). SDGs 3, 4, and 8–15 deal with different goals associated with the SDGs, among several others, which have implications for waste management. These SDGs relate to issues of awareness, production, consumption and sustainable development, cleaner technologies, social and economic empowerment, reduction of environmental impact, and sustainable management of resource efficiency (Moldan et al. 2012; Shen et al. 2011). All of them are associated, in some way, with management and waste, namely concerning the public and private policy of ecological purchases, within the European Union’s Green Public Procurement (GPP) criteria (European Commission 2020). To perform a reflection on this topic, it is necessary to look at how proper waste management impacts individually on each of the 17 SDGs. No poverty (SDG1) is one of the most ambitious SDGs and, due to its multidimensionality, it is considered by many scholars and practitioners as harsh to achieve. Many households and jobs are dependent on waste collection and recycling (Pini et al. 2019). Also, achieving zero hunger (SDG2) can be realized by proper waste management practices through the reduction of food waste and the reuse of organic waste (Pleissner 2018). The burden of disease (SDG3), namely in deprived communities, can be reduced if open dumping and burning are fully forbidden (Singh et al. 2021). In the field of education (SDG4), waste management can help raise ecological awareness through the environment and health training (Debrah et al. 2021b). Regarding gender equality (SDG5), proper waste management will significantly reduce the exposure of women to health problems, more vulnerable to the impacts of improper management practices (De Felice et al. 2012). Improving water quality for all (SDG 6) can be triggered by the implementation of the best waste management (Vasanthi et al. 2008). Changing the energetic paradigm (SDG7) provided bioenergy opportunities from organic waste (Cantrell et al. 2008). The waste management industry can promote decent and fair economic growth (SDG8) since it is the largest industry in the world. The growth of innovation (SDG 9) projects is strongly linked with

48

Future Interdisciplinary Waste Ecological Challenges

971

recycling, being in an ascending line due to the need to change the paradigm. Concerning the goal to reduce inequalities within and among countries (SDG10), if proper waste management is provided it will lead to reducing the exposure of the poorest to improper waste practices (Oliveira et al. 2019a). Since more than half of the world’s population lives in urban spaces, there is a growing need to keep them safe, in pleasant and healthy spaces (SDG11). Thus, the reduction of open waste disposal and undifferentiated collection will make urban spaces well-being promoters for all (Esmaeilian et al. 2018). This is a shared vision of SDG12, establishing the need to change consumption patterns which are the main contributors to waste generation worldwide (Oliveira et al. 2019a). Likewise, proper waste management has a significant impact on CO2 and methane emissions from dumping and burning, contributing to climate action (SDG13) (Udomsri et al. 2011). Plastic pollution is the main cause of the loss of the ocean and sea ecosystem and biodiversity (SDG14), being urged to reduce its consumption (Debrah et al. 2021a). Alongside, life on land (SDG15) is being threatened by the pollution caused by waste, so the reduction of waste generation is important to promote healthier environments. But all these goals and targets, with waste in the middle of this interconnection, can only be achieved in peaceful and fair societies (SDG16), where sustainable development cannot be undermined, and through a strong synergetic partnership among nations and SDGs (SDG17) (Leal et al. 2022), because environmental and health problems caused by waste need an international solution. In fact, what is necessary is a prevention policy which is somewhat linked to the consumption patterns that slightly change according to the cultural specificities of each nation. These patterns are influenced by the environmental awareness level of the population or by the lifestyles and values. Therefore, the UN 2030 Agenda aims to promote sustainable development through the implementation of a universal agenda with objectives and goals to be developed by signatory countries, including Portugal (Ministry of Foreign Affairs of Portugal 2017). In practice, it is a question of articulating acquired knowledge and progress achieved with eight Millennium Development Goals, in effect between 2000 and 2015, to find in the present agenda a middle ground in promoting, among other objectives, the well-being of populations, emphasizing international environmental and sustainable development policy (Loveridge et al. 2020), and safeguarding the environment, while encompassing the environment and health. The problem inherent in complex waste management assumes, in this context of global sustainability, enormous importance. Urban waste is a global problem (Li et al. 2020). A key penalty of urban expansion consequential from fast urbanization, the increase of population pressure, and its increasing “consumption patterns” is the production of large amounts of waste (Abegão 2019; Gutberlet 2018). The World Bank estimates that “by 2025, the amount of municipal solid waste generated in cities can reach 2.2 billion tonnes and that a significant contribution to this situation may occur in middle-income countries” (Evans and Davies 2015). It is known that waste is a serious problem, with great expression in the urban context, due to the high percentage of residents (Mori and Yamashita 2015). Cities “occupy only 2% of Earth’s space, but use 60 to 80% of energy consumption” and are responsible for “75% of carbon emissions” (United Nations 2015b). Waste

972

M. A. P. Dinis et al.

management and treatment has serious implications for human and environmental health. It is estimated that by 2050, around “10% of the global anthropogenic greenhouse gas emissions may origin from urban waste treatment facilities” (UN-Habitat 2018). Over the past decade, urban populations have produced solid urban waste “at a rate of 1.4 to 1.8 kg per capita and per day” (Vergara and Tchobanoglous 2012). If consumption patterns progress in this direction, urban solid waste is expected to double by 2050. In addition to being an important sustainability indicator, waste presents serious risks to public health, disrupting the environment and contributing to the promotion and proliferation of diseases (Evans and Davies 2015). Recent evidence demonstrates that the risk of zoonosis increased with urbanization, namely the risk of vector-borne disease transmission (Krystosik et al. 2020; Vidal et al. 2022). Man-made containers in many cities worldwide are preferred sites for the development of mosquito vectors, such as Aedes aegypti, which is responsible for the Zika, chikungunya, and yellow fever (MacCormack-Gelles et al. 2018). Additionally, the exposure to the health risks triggered by the unscientific disposal of solid waste is not equal for all people (Ziraba et al. 2016). Some groups are more likely to be vulnerable to these risks – in particular, population living close to waste dumps, preschool children, workers working with wastes, and workers in services producing toxic and infectious material (Al-Delaimy et al. 2014). It seems that the prioritization of waste management, and the recognition of hazards to environmental and public health, is a current challenge to all nations. This mainly happens because waste management is often understood as a less prominent challenge than those commonly accepted as the most urgent, such as poverty eradication or climate change. Moreover, the chemical compounds emitted by waste dumping and burning are responsible for the poverty cycle, especially in developing countries, contributing to worse these communities’ exposure and vulnerability. The emissions of CO2 are a matter of great concern due to their contribution to climate change (Leal Filho et al. 2021). When putting together these two issues, disadvantaged communities’ exposure to waste impacts and, consequently, more exposure to climate change impacts, results in a profound worldwide inequality issue, since these communities have less capacity to address these challenges and to cope with them (Dinis et al. 2022). This is the main barrier to the implementation of sustainable development that is still less recognized by national and international entities throughout the world. Table 1 aims to exemplify variables involved in the interdisciplinary and complexity discussed in the scope of this section.

3

Domestic Waste Indicators and Future Directions

Either national or international, indicators offer information on important environmental and economical elements and are extensively used and acknowledged (Abdel-Galil 2012). Combining interdependent indicators from different dimensions allows achieving overall sustainability (Ameen et al. 2015). The use of “composite

48

Future Interdisciplinary Waste Ecological Challenges

973

Table 1 Different categories and implications involved in interdisciplinary waste ecological challenges Categories Environmental

Economy

Social

Education

Waste regulation

Implications Biosphere Chemical toxicity Climate change Environmental health Global pollution Greenhouse gas emissions Ocean plastic Nuclear waste Circular economy Ecological purchases Economic empowerment Profit Cultural specificities Decent and fair economic growth Food waste Human health Innovation Peaceful and fair societies Poverty Sustainable consumption patterns Zero waste Well-being of populations Awareness Environment and health training Gender equality Lifestyles and values Partnerships Energetic paradigm Environmental safeguarding Healthier environments Resource efficiency Synergistic progress Structural weaknesses Sustainable development implementation Waste management Water quality

indicators” is factual and documented by the UN, the World Bank, the WHO, the Organisation for Economic Co-operation and Development (OECD), or the European Union, as important instruments to screen the development of countries when precise targets are present, assisting policy scrutiny and further improving public communication. Indicators related to the environment in terms of waste management reveal weaknesses in Portugal (Ministry of Foreign Affairs of Portugal 2019), also evident in the most recent report by the Organisation for Economic Co-operation and Development (OECD) (2011a, b). Concerning SDG12 (Responsible Consumption and Production), the not very encouraging numbers regarding the

974

M. A. P. Dinis et al.

generation of electronic waste and non-recycled municipal solid waste (Ministry of Foreign Affairs of Portugal 2019) must be addressed (Leal Filho et al. 2017). It is an essential point where the circular economy in the context of sustainability in waste management assumes great importance, as opposed to the current linear economy (Corona et al. 2019), namely concerning positive externalities resulting from the treatment of wastes. Consequently, the immediate objective is the rational management of resources, allowing a clear connection between environmental and socioeconomic performance (Ministry of Foreign Affairs of Portugal 2017). The sustainability indicators for waste are instruments to monitor and measure the efficiency and effectiveness of waste management in a given context, namely at the municipal level, often based around “triple bottom line,” an expression that reflects the three-dimensionality of the concept of sustainable economic, environmental, and social development (del Mar et al. 2014; Sala et al. 2015; da Silva et al. 2019). It is necessary to take into account the cost of data acquisition for measuring an indicator (Silva et al. 2020). Considering that a major challenge is a difficulty of establishing national policies and initiatives that do not consider local specificities, the process of preparing sustainability indicators for waste management is efficient support in their effective management, contributing to the adoption of sustainable practices at the local level (Sterling et al. 2020). Sustainability indicators provide indications about sustainability in this area, expressed in quantitative, qualitative, or mixed methodologies. Radovic (2009) claims that the key to true sustainability is implementation through action, and it is known that the cumulative “body of knowledge on the impact of urban form” motivated the incorporation of economic and social dimensions on sustainability indicators (Ameen et al. 2015). The construction of the indicators must be based on a series of scientifically based methodological principles, so that the results achieved are measurable and reproducible, delivering accurate information (Castanheira and Bragança 2014), and able to be implemented in the process of decision-making (Sharifi and Murayama 2015), particularly when weights are assigned to each indicator (Li et al. 2014). The philosophy under the discussed sustainability indicators framework may be translated by the associations expressed in the diagram of Fig. 1. It is a subject of enormous importance in the areas of the environment and health (Dinis 2016; Krug et al. 2017; Oliveira et al. 2019a, b, 2020b; Orloff and Falk 2003; Salvia et al. 2019), with practical implications for society in general, emphasizing the relevance of quantitative and qualitative methodological interdisciplinarity in the context of global sustainability to be achieved for a sustainable future (Debrah et al. 2021b; Wright and Boorse 2017). It should be noted that in Portugal, education for the environment only formally found its expression in 2017 with the National Environmental Education Strategy (ENEA 2020) (Portuguese Environment Agency 2020), approved by the Resolution of the Council of Ministers No. 100/2017, of June 11 (Republic Diary No. 132/2017, Series I of 2017-07-11). One of the most important factors to promote environmental awareness is to develop education programs for human and environmental health (Maia et al. 2018). It is known that the existing statistical indicators, available in the official national databases, offer a reductive reading of this complex phenomenon, not allowing to identify the

48

Future Interdisciplinary Waste Ecological Challenges

975

Waste composite indicators Essential aspects: Goals: Assisting policy •scrunity • Improving public communication • Screen development

Circular economy implementation Rational management of resources Sustainable practices at local level Sustainability development performance:

Economy

Environment

Social

Fig. 1 Composite waste indicators framework to allow achieving overall sustainability

associations and implications between the other variables (PORDATA 2019). There is an excess of indicators measuring resource efficiency and sustainability performance that hinder data perception (Pauliuk 2018). Iacovidou et al. (2017) reported “more than 60 environmental, economic, social and technical metrics” to assess waste management and resource recovery systems. Thus, an interdisciplinary approach is necessary, capable of deconstructing the problem of waste management as a whole, considering the influence of efficient waste management on public and environmental health and vice versa, in the context of the circular economy, expected to be the pathway to sustainable development and not reduced to the mere recirculation (Corona et al. 2019). In Portugal, official databases (PORDATA and National Statistics Institute – INE) offer a variety of waste indicators. The Urban Waste Management Hierarchy Index (UWMHI) (PORDATA 2020) aims to measure the application level of the hierarchy in the management of urban waste, providing insight on how the waste produced has been managed, concerning the circular economy. Despite the relevance of this indicator, this index does not allow us to have an overview of how the selective and non-selective waste collected can be associated with the populations’ sociodemographic profile or with the environmental performance of the municipality. Alongside, it would be interesting to understand if the way that waste is collected can lead to an increase in the development of certain diseases identified in the literature as associated with exposure to waste dumps or non-recycling waste treatments. The UWMHI is the only composite indicator available to analyze the Portuguese reality and focused on waste. Other composite indexes aggregate environmental dimensions, but the focus is vaster than waste: the WeGIx is devoted to analyzing the well-being at the local level (Oliveira et al. 2020a); SEHVI measures the socioeconomic health vulnerability (Oliveira et al. 2019b); and the Env_WeGIx aims to be an environmental composite indicator, but it is not designed to be specifically applied to waste management (Vidal et al. 2019).

976

M. A. P. Dinis et al.

Set against this background, it is clear that the development of a composite indicator that combines different variables to analyze the association of the impact of waste management practices in populations’ well-being and environmental quality is an urgent need. One of the biggest challenges that has been identified in some recent studies (Spaiser et al. 2017; Costa et al. 2019; Oliveira et al. 2019b, 2020a, b) refers to the scarcity of reliable data. This issue has been previously stated by the European Commission (2013) on waste prevention regarding their guidelines. Beyond data scarcity, the same institution pointed out that waste statistics mainly focus on the treatment and fate of waste, i.e., isolated indicators, which have limited value to prevent waste because they do not consider the origins and reasons for waste generation. It is necessary to strengthen resources aimed to gather and manage information on official databases. Without reliable and timely data, monitoring waste management cannot be done or could be biased, resulting in ineffective public policy designs and undermining sustainable development implementation.

4

Conclusions

The proper selection of relevant sustainability indicators within the scope of a careful methodological approach is essential for the success of a more sustainable waste management policy in Portugal. This will allow the collection of important information for decision-making that contributes to the well-being of populations and preservation of the environment, within interdisciplinarity that is recommended as desirable, and culminating in the construction and subsequent validation of instruments, with relevant practical implications in society. The current waste indicators available are an important step toward monitoring waste management practices, but the associations between them and health outcomes and environmental quality are unknown. To address this problem, a composite interdisciplinary waste management indicator is needed and should be based on timely and reliable data, publicly available and managed by local authorities. Rigorous accessible and transparent information are key elements to provide a realistic approach to the implementation of sustainable waste management practices at a local level. The composite indicator should comprise environmental, social, economic, and cultural variables since these interconnections are undeniable and are all part of the same ecosystem. The interdependence among these dimensions must be considered to understand how they affect, and are affected, given a specific context, municipality, country, or region. This is aligned with the UN 2030 Agenda well-known saying “There is no one size fits all solution.” Since the main foundation of sustainability science is to understand the fundamental interactions between nature and society and to guide these interactions to foreseeing the future, this work aims to contribute to the gap related to waste and socioecological challenges. Public institutions, namely those responsible for waste management practices, must ensure a truly collective project, along with academia and civil society, enhancing a socio-technical change that at the moment remains underappreciated and unexplored. Reimagining the future together is probably the

48

Future Interdisciplinary Waste Ecological Challenges

977

main challenge in sustainability science. Envisioning the future toward a transition network is central to creating better lives and a positive future. Although considered extensive, the in-depth analysis made may not be enough to promote the implementation of more sustainable waste management practices at a local level and may be faced as a limitation of this chapter. However, the authors consider that the information collected may constitute a relevant contribution to a brighter future in the scope of the Portuguese interdisciplinary waste ecological challenges. Acknowledgments The authors would like to thank UFP Energy, Environment and Health Research Unit (FP-ENAS), funded by Fundação para a Ciência e Tecnologia (FCT), in the scope of FCT Project UID/Multi/04546/2019. Diogo Guedes Vidal would like to thank FCT through the Doctoral Grant SFRH/BD/143238/2019.

References Abarca LG, Maas G, Hogland W (2012) Solid waste management challenges for cities in developing countries. Waste Manag 33:220–232. https://doi.org/10.1016/j.wasman.2012.09.008 Abdel-Galil RES (2012) Desert reclamation, a management system for sustainable urban expansion. Prog Plan 78(4):151–206. https://doi.org/10.1016/j.progress.2012.04.003 Abegão JLR (2019) Where the wild things were is where humans are now: an overview. Hum Ecol 47:669–679. https://doi.org/10.1007/s10745-019-00099-3 Agência Portuguesa do Ambiente (2019) Municipal waste production and management. https://rea. apambiente.pt/content/municipal-waste-production-and-management?language¼en. Accessed 8 Dec 2020 Al-Delaimy WK, Larsen CW, Pezzoli K (2014) Differences in health symptoms among residents living near illegal dump sites in Los Laureles Canyon, Tijuana, Mexico: a cross sectional survey. Int J Environ Res Public Health 11:9532–9552. https://doi.org/10.3390/ijerph110909532 Ameen RFM, Mourshed M, Li HJ (2015) A critical review of environmental assessment tools for sustainable urban design. Environ Impact Assess Rev 55:110–125. https://doi.org/10.1016/j. eiar.2015.07.006 Cantrell KB, Ducey T, Ro KS, Hunt PG (2008) Livestock waste-to-bioenergy generation opportunities. Bioresour Technol 99:7941–7953. https://doi.org/10.1016/j.biortech.2008.02.061 Castanheira G, Bragança L (2014) The evolution of the sustainability assessment tool SBToolPT: from buildings to the built environment. Sci World J 2014:491791. https://doi.org/10.1155/ 2014/491791 Cobo S, Dominguez-Ramos A, Irabien A (2018) From linear to circular integrated waste management systems: a review of methodological approaches. Resour Conserv Recycl 135:279–295 Corona B, Shen L, Reike D, Rosales Carreón J, Worrell E (2019) Towards sustainable development through the circular economy – a review and critical assessment on current circularity metrics. Resour Conserv Recycl 151:104498. https://doi.org/10.1016/j.resconrec.2019.104498 Costa C, Freitas Â, Stefanik I et al (2019) Evaluation of data availability on population health indicators at the regional level across the European Union. Popul Health Metrics 17:11. https:// doi.org/10.1186/s12963-019-0188-6 da Silva L, Marques Prietto PD, Pavan Korf E (2019) Sustainability indicators for urban solid waste management in large and medium-sized worldwide cities. J Clean Prod 237. https://doi.org/10. 1016/j.jclepro.2019.117802 De Felice B, Nappi C, Zizolfi B, Guida M, Sardo ADS, Bifulco G, Guida M (2012) Telomere shortening in women resident close to waste landfill sites. Gene 500:101–106. https://doi.org/ 10.1016/j.gene.2012.03.040

978

M. A. P. Dinis et al.

Debrah JK, Vidal DG, Dinis MAP (2021a) Innovative use of plastic for a clean and sustainable environmental management: learning cases from Ghana, Africa. Urban Sci 5:12. https://doi.org/ 10.3390/urbansci5010012 Debrah JK, Vidal DG, Dinis MAP (2021b) Raising awareness on solid waste management through formal education for sustainability: a developing countries evidence review. Recycling 6:6. https://doi.org/10.3390/recycling6010006 Decree-Law No. 165/2014, of 5 November, Republic Diary No. 214/2014, Series I of 2014-11-05, 5652-5661 (2014) In the use of the legislative authorization granted by Law No. 45/2014, of 16 July, it establishes, on an extraordinary basis, the regime for regularization and alteration and/or expansion of establishments and exploitations of industrial, livestock, management operations waste and exploitation of quarries incompatible with instruments of territorial management and or conditioning to land use. Retrieved from https://data.dre.pt/eli/dec-lei/ 165/2014/11/05/p/dre/pt/html Decree-Law No. 178/2006, of 5 September, Republic Diary No. 171/2006, Series I of 2006-09-05, 6526-6545 (2006) Approves the general waste management regime, transposing to the internal legal order Directive No. 2006/12/EC, of the European Parliament and of the Council, of 5 April, and Directive No. 91/689/EEC, of the Council, of 12 December. Retrieved from https://data.dre.pt/eli/dec-lei/178/2006/09/05/p/dre/pt/html Decree-Law No. 67/2014, of 7 May, Republic Diary No. 87/2014, Series I of 2014-05-07, 2670– 2692 (2014) Approves the legal regime for the management of waste of electrical and electronic equipment, transposing Directive No. 2012/19/EU, of the European Parliament and of the Council, of 4 July, 2012. Retrieved from https://data.dre.pt/eli/dec-lei/67/2014/05/07/p/dre/pt/ html Decree-Law No. 73/2011, of 17 June, Republic Diary No. 116/2011, Series I of 2011-06-17, 3251– 3300 (2011) Proceeds to the third amendment to Decree-Law No. 178/2006, of 5 September, transposes Directive No. 2008/98/EC, of the European Parliament and of the Council, of 19 November, on waste, and proceeds to the amendment of different legal regimes in the area of wastes. Retrieved from https://data.dre.pt/eli/dec-lei/73/2011/06/17/p/dre/pt/html del Mar Alonso-Almeida M, Llach J, Marimon F (2014) A closer look at the ‘global reporting initiative’ sustainability reporting as a tool to implement environmental and social policies: a worldwide sector analysis. Corp Soc Responsib Environ Manag 21(6):318–335. https://doi.org/ 10.1002/csr.1318 Dinis MAP (2016) Environment and human health. J Environ Pollut Hum Health 4(2):52–59. https://doi.org/10.12691/jephh-4-2-3 Dinis MAP, Neto B, Begum H, Vidal DG (2022) Editorial: Waste challenges in the context of broad sustainability challenges. Frontiers in Environmental Science 10. https://doi.org/10.3389/fenvs. 2022.964366 Directive No. 2008/98/EC, of the European Parliament and of the Council, of 19 November, Official Journal of the European Union L 312/3 of 2008-11-22 (2008) This Directive establishes measures to protect the environment and human health, preventing or reducing the adverse impacts arising from the generation and management of waste, reducing the general impacts of the use of resources and improving the efficiency of that use. Retrieved from https://eur-lex. europa.eu/legal-content/EN/TXT/PDF/?uri¼CELEX:32008L0098 D-Waste (2013) Waste management for everyone. 2013. Available online http://www.d-waste.com/. Accessed 10 Apr 2021 Esmaeilian B, Wang B, Lewis K, Duarte F, Ratti C, Behdad S (2018) The future of waste management in smart and sustainable cities: a review and concept paper. Waste Manag 81: 177–195. https://doi.org/10.1016/j.wasman.2018.09.047 European Commission (2013) Analysis of the evolution of waste reduction and the scope of waste prevention. Publications Office of the EU, Brussels European Commission (2020) Green public procurement. Retrieved from https://ec.europa.eu/ environment/gpp/index_en.htm

48

Future Interdisciplinary Waste Ecological Challenges

979

European Environment Agency (2018) Diversion of waste from landfill. https://www.eea.europa. eu/data-and-maps/indicators/diversion-from-landfill/assessment. Accessed 20 Dec 2020 European Environment Agency (2019a) Waste generation in Europe. https://www.eea.europa.eu/ data-and-maps/indicators/waste-generation-4/assessment. Accessed 8 Dec 2020 European Environment Agency (2019b) Waste recycling. https://www.eea.europa.eu/data-andmaps/indicators/waste-recycling-1/assessment-1. Accessed 12 Dec 2020 Eurostat (2020) Waste statistics. https://ec.europa.eu/eurostat/statistics-explained/index.php/Waste_ statistics. Accessed 8 Dec 2020 Evans JW, Davies R (2015) Too global to fail: the World Bank at the intersection of national and global public policy in 2025. World Bank Group, Washington, DC. https://doi.org/10.1596/9781-4648-0307-9 Gutberlet J (2010) Waste, poverty and recycling. Waste Manag 30:171–173 Gutberlet J (2018) Waste in the city: challenges and opportunities for urban agglomerations. In: Urban agglomeration. https://doi.org/10.5772/intechopen.72047 Hannon J, Zaman AU (2018) Exploring the phenomenon of zero waste and future cities. Urban Sci 2:90. https://doi.org/10.3390/urbansci2030090 Hodzic A, Wiedinmyer C, Salcedo D, Jimenez JL (2012) Impact of trash burning on air quality in Mexico City. Environ Sci Technol 46:4950–4957. https://doi.org/10.1021/es203954r Hoornweg D, Bhada-Tate P, Anderson C (2012) What a waste: a global review of solid waste management. World Bank, Washington, DC Hoornweg D, Bhada-Tata P, Kennedy C (2014) Peak waste: when is it likely to occur? J Ind Ecol 19:117–128. https://doi.org/10.1111/jiec.12165 Iacovidou E, Millward-Hopkins J, Busch J, Purnell P, Velis CA, Hahladakis JN, Zwirner O, Brown A (2017) A pathway to circular economy: Developing a conceptual framework for complex value assessment of resources recovered from waste. Journal of Cleaner Production 168:1279– 1288. https://doi.org/10.1016/j.jclepro.2017.09.002 Iskandar L, Tjell JC (2009) Editorial–Cairo: a colossal case of waste mismanagement to learn from. Waste Manag Res 27:939–940 ISWA (2015) ISWA annual report. International Solid Waste Association, Vienna Krug CB, Schaepman ME, Shannon LJ, Cavender-Bares J, Cheung W, McIntyre PB, Metzger JP, Niinemets U, Obura DO, Schmid B, Strassburg BBN, Van Teeffelen AJA, Weyl OLF, Yasuhara M, Leadley PW (2017) Observations, indicators and scenarios of biodiversity and ecosystem services change – a framework to support policy and decision-making. Curr Opin Environ Sustain 29:198–206. https://doi.org/10.1016/j.cosust.2018.04.001 Krystosik A, Njoroge G, Odhiambo L et al (2020) Solid wastes provide breeding sites, burrows, and food for biological disease vectors, and urban zoonotic reservoirs: a call to action for solutionsbased research. Front Public Health 7:405. https://doi.org/10.3389/fpubh.2019.00405 Lacovidou E, Velis CA, Purnell P, Zwirner O, Brown A, Hahladakis J, Millward-Hopkins J, Williams PT (2017) Metrics for optimising the multi-dimensional value of resources recovered from waste in a circular economy: a critical review. J Clean Prod 166:910–938. https://doi.org/ 10.1016/j.jclepro.2017.07.100 Leal Filho W, Azeiteiro U, Alves F, Pace P, Mifsud M, Brandli L, Caeiro SS, Disterheft A (2017) Reinvigorating the sustainable development research agenda: the role of the sustainable development goals (SDG). Int J Sust Dev World 25(2):131–142. https://doi.org/10.1080/13504509. 2017.1342103 Leal Filho W, Sima M, Sharifi A, Luetz JM, Salvia AL, Mifsud M, Olooto FM, Djekic I, Anholon R, Rampasso I, Donkor F, Dinis MAP, Klavins M, Finnveden G, Chari MM, Molthan-Hill P, Mifsud A, Sen SK, Lokupitiya E (2021) Handling climate change education at universities: an overview. Environmental Sciences Europe 33:1–19. https://doi.org/10.1186/s12302-021-00552-5 Leal Filho W, Wall T, Barbir J, Alverio GN, Dinis MAP, Ramirez J (2022) Relevance of international partnerships in the implementation of the UN sustainable development goals. Nat Commun 13(1). https://doi.org/10.1038/s41467-022-28230-x

980

M. A. P. Dinis et al.

Li W, Xie YB, Hao FH (2014) Applying an improved rapid impact assessment matrix method to strategic environmental assessment of urban planning in China. Environ Impact Assess Rev 46: 13–24. https://doi.org/10.1016/j.eiar.2014.01.001 Li T, Dong Y, Liu Z (2020) A review of social-ecological system resilience: mechanism, assessment and management. Sci Total Environ 723:138113. https://doi.org/10.1016/j.scitotenv.2020.138113 Loveridge R, Sallu SM, Pesha IJ, Marshall AR (2020) Measuring human wellbeing: a protocol for selecting local indicators. Environ Sci Pol 114:461–469. https://doi.org/10.1016/j.envsci.2020. 09.002 MacCormack-Gelles B, Lima Neto AS, Sousa GS et al (2018) Epidemiological characteristics and determinants of dengue transmission during epidemic and non-epidemic years in Fortaleza, Brazil: 2011–2015. PLoS Negl Trop Dis 12:e0006990–e0006990. https://doi.org/10.1371/ journal.pntd.0006990 Maia RL, Vidal DG, Oliveira GM (2018) Ambiente e Saúde: uma leitura comparada a partir das estatísticas dos meios rurais e urbanos Environment and Health: a comparative reading from rural and urban environment statistics. A Obra Nasce, rev Arquitetura Urbanismo Universidade Fernando Pessoa 13:57–69. http://hdl.handle.net/10284/8224 Marshall RE, Farahbakhsh K (2013) Systems approaches to integrated solid waste management in developing countries. Waste Manag 33:998–1003 Mavropoulos A (2010) Waste management 2030+. Waste management world, 2010. Available online http://www.waste-management-world.com/articles/print/volume-11/issue-2/features/ waste-management 2030.html. Accessed 19 Apr 2021 Mavropoulos A, Chohen P, Greedy P, Plimakis S, Marinheiro L, Law J, Loureiro A (2017) A roadmap for closing waste dumpsites: the world’s most polluted places. International Solid Waste Association (ISWA), Vienna Ministry of Foreign Affairs of Portugal (2017) Relatório nacional sobre a implementação da Agenda 2030 para o Desenvolvimento Sustentável, por ocasião da Apresentação Nacional Voluntária no Fórum Político de Alto Nível das Nações Unidas. PORTUGAL [National report on the implementation of the 2030 Agenda for Sustainable Development, on the occasion of the National Voluntary Presentation at the United Nations High Level Political Forum. PORTUGAL]. Retrieved from https://sustainabledevelopment.un.org/content/documents/15771Portu gal2017_PT_REV_FINAL_28_06_2017.pdf Ministry of Foreign Affairs of Portugal (2019) Sustainable development report 2019, Transformations to achieve the SDGs. Retrieved from https://www.nuoi.missaoportugal.mne.pt/images/ portugal_sdr_2019.pdf Moldan B, Janoušková S, Hák T (2012) How to understand and measure environmental sustainability: indicators and targets. Ecol Indic 17:4–13. https://doi.org/10.1016/j.ecolind.2011.04.033 Mori K, Yamashita T (2015) Methodological framework of sustainability assessment in City Sustainability Index (CSI): a concept of constraint and maximisation indicators. Habitat Int 45:10–14. https://doi.org/10.1016/j.habitatint.2014.06.013 OECD Organisation for Economic Co-operation and Development (2011a) OECD environmental performance reviews: Portugal 2011. https://doi.org/10.1787/9789264097896-en OECD Organisation for Economic Co-operation and Development (2011b) OECD environmental performance reviews: Portugal 2011. Retrieved from https://www.oecd.org/environment/ country-reviews/oecd-environmental-performance-reviews-portugal-2011-9789264097896en.htm Oliveira GM, Vidal DG, Ferraz MP (2019a) Urban lifestyles and consumption patterns. In: Leal Filho W, Azul AM, Brandli L, Özuyar PG, Wall T (eds) Sustainable cities and communities. Springer International Publishing, Cham, pp 1–10. https://doi.org/10.1007/978-3-319-71061-7_ 54-1 Oliveira GM, Vidal DG, Ferraz MP, Cabeda JM, Pontes M, Maia RL, Calheiros JM, Barreira E (2019b) Measuring health vulnerability: an interdisciplinary indicator applied to mainland Portugal. Int J Environ Res Public Health 16(21). https://doi.org/10.3390/ijerph16214121

48

Future Interdisciplinary Waste Ecological Challenges

981

Oliveira GM, Vidal DG, Viterbo LMF, Maia RL (2020a) Measuring the implementation of sustainable development goals at a local level: the WeGIx index. In: Universities and sustainable communities: meeting the goals of the agenda 2030. World sustainability series. Springer, Cham, pp 215–245. https://doi.org/10.1007/978-3-030-30306-8_13 Oliveira GM, Vidal DG, Maia RL (2020b) Monitoring Portuguese living conditions at local scale: a case study based on sustainable development indicators. Int J Sustain Dev World Ecol 27: 140–152. https://doi.org/10.1080/13504509.2019.1678204 Ordinance No. 187-A/2014, of 17 September, Republic Diary No. 179/2014, 1st Supplement, Series I of 2014-09-17, 5004-(2) to 5004-(4) (2014) Approves the Strategic Plan for Urban Waste (PERSU 2020), for Mainland Portugal. Retrieved from https://data.dre.pt/eli/port/187-a/ 2014/09/17/p/dre/pt/html Orloff K, Falk H (2003) An international perspective on hazardous waste practices. Int J Hyg Environ Health 206(4–5):291–302. https://doi.org/10.1078/1438-4639-00225 Pauliuk S (2018) Critical appraisal of the circular economy standard BS 8001:2017 and a dashboard of quantitative system indicators for its implementation in organizations. Resour Conserv Recycl 129:81–92. https://doi.org/10.1016/j.resconrec.2017.10.019 Pini M, Lolli F, Balugani E, Gamberini R, Neri P, Rimini B, Ferrari AM (2019) Preparation for reuse activity of waste electrical and electronic equipment: environmental performance, cost externality and job creation. J Clean Prod 222:77–89. https://doi.org/10.1016/j.jclepro.2019. 03.004 Pleissner D (2018) Recycling and reuse of food waste. Curr Opin Green Sustain Chem 13:39–43. https://doi.org/10.1016/j.cogsc.2018.03.014 PORDATA (2019) Índice de hierarquia de gestão dos resíduos urbanos [Urban waste management hierarchy index]. Retrieved from https://www.pordata.pt/Portugal/%C3%8Dndice+de +hierarquia+de+gest%C3%A3o+dos+res%C3%ADduos+urbanos-3099. Accessed 7 Dec 2020 PORDATA (2020) Urban waste management hierarchy index. https://www.pordata.pt/en/ Municipalities/Urban+waste+management+hierarchy+index-791. Accessed 7 Dec 2020 Portuguese Environment Agency (2020) Estratégia Nacional de Educação Ambiental – ENEA2020 [National Environmental Education Strategy – ENEA2020]. Retrieved from https://apambiente. pt/index.php?ref¼16&subref¼142&sub2ref¼1488 Radovic D (2009) Eco-urbanity: towards well-mannered built environments. Routledge, London. https://doi.org/10.4324/9781315811840 Resolution of the Council of Ministers no. 100/2017, of 11 June, Republic Diary No. 132/2017, Series I of 2017-07-11, 3533-3550 (2017). Approves the National Environmental Education Strategy. Retrieved from https://data.dre.pt/eli/resolconsmin/100/2017/07/11/p/dre/pt/html Resolution of the Council of Ministers No. 11-C/2015, of 16 March, Republic Diary No. 52/2015, 2nd Supplement, Series I of 2015-03-16 (2015) 1610-(8) to 1610-(48). Approves the National Waste Management Plan for the 2014–2020 horizon. Retrieved from https://data.dre.pt/eli/ resolconsmin/11-c/2015/03/16/p/dre/pt/html Sala S, Ciuffo B, Nijkamp P (2015) A systemic framework for sustainability assessment. Ecol Econ 119:314–325. https://doi.org/10.1016/j.ecolecon.2015.09.015 Salvia AL, Leal Filho W, Brandli LL, Griebeler JS (2019) Assessing research trends related to Sustainable Development Goals: local and global issues. J Clean Prod 208:841–849. https://doi. org/10.1016/j.jclepro.2018.09.242 Sharifi A, Murayama A (2015) Viability of using global standards for neighbourhood sustainability assessment: insights from a comparative case study. J Environ Plan Manag 58(1):1–23. https:// doi.org/10.1080/09640568.2013.866077 Shen L-Y, Jorge Ochoa J, Shah MN, Zhang X (2011) The application of urban sustainability indicators – a comparison between various practices. Habitat Int 35(1):17–29. https://doi.org/ 10.1016/j.habitatint.2010.03.006 Silva A, Rosano M, Stocker L, Gorissen L (2017) From waste to sustainable materials management: three case studies of the transition journey. Waste Manag 61:547–557

982

M. A. P. Dinis et al.

Silva JD, Fernandes V, Limont M, Rauen WB (2020) Sustainable development assessment from a capitals perspective: analytical structure and indicator selection criteria. J Environ Manag 260: 110147. https://doi.org/10.1016/j.jenvman.2020.110147 Singh SK, Chokhandre P, Salve PS, Rajak R (2021) Open dumping site and health risks to proximate communities in Mumbai, India: a cross-sectional case-comparison study. Clin Epidemiol Glob Health 9:34–40. https://doi.org/10.1016/j.cegh.2020.06.008 Spaiser V, Ranganathan S, Swain RB, Sumpter DJT (2017) The sustainable development oxymoron: quantifying and modelling the incompatibility of sustainable development goals. Int J Sustain Dev World Ecol 24:457–470. https://doi.org/10.1080/13504509.2016.1235624 Sterling EJ, Pascua P, Sigouin A, Gazit N, Mandle L, Betley E, Aini J, Albert S, Caillon S, Caselle JE, Cheng SH, Claudet J, Dacks R, Darling ES, Filardi C, Jupiter SD, Mawyer A, Mejia M, Morishige K, Nainoca W, Parks J, Tanguay J, Ticktin T, Vave R, Wase V, Wongbusarakum S, McCarter J (2020) Creating a space for place and multidimensional well-being: lessons learned from localizing the SDGs. Sustain Sci 15(4):1129–1147. https://doi.org/10.1007/s11625-02000822-w Thompson A (2014) Burning Trash Bad for Humans and Global Warming. Scientific American, September 2014. Available online http://www.scientificamerican.com/article/burning-trashbad-for-humans-and-globalwarming/. Accessed 20 Apr 2021 Troschinetz AM, Mihelcic JR (2009) Sustainable recycling of municipal solid waste in developing countries. Waste Manag 29:915–923. https://doi.org/10.1016/j.wasman.2008.04.016 Udomsri S, Petrov MP, Martin AR, Fransson TH (2011) Clean energy conversion from municipal solid waste and climate change mitigation in Thailand: waste management and thermodynamic evaluation. Energy Sustain Dev 15:355–364. https://doi.org/10.1016/j.esd.2011.07.007 UN-Habitat (2018) SDG Indicator 11.6.1 Training Module: Solid Waste Management in Cities. United Nations Human Settlement Programme. Retrieved from https://publications.netpulse.nl/ v1/file/146/Solid-Waste-Management-in-Cities.pdf United Nations (2015a) Conheça os novos 17 Objetivos de Desenvolvimento Sustentável da ONU [Meet the new 17 UN Sustainable Development Goals]. Retrieved from https://nacoesunidas. org/conheca-os-novos-17-objetivos-de-desenvolvimento-sustentavel-da-onu/amp/ United Nations (2015b) Objetivos de Desenvolvimento Sustentável [Sustainable Development Goals]. Retrieved from https://unric.org/pt/objetivos-de-desenvolvimento-sustentavel/ United Nations Sustainable Development Goals Knowledge Platform (2015a) Sustainable Development Goals. Retrieved from https://sustainabledevelopment.un.org/topics/ sustainabledevelopmentgoals United Nations Sustainable Development Goals Knowledge Platform (2015b) Transforming our world: the 2030 Agenda for Sustainable Development. Retrieved from https://sustainablede velopment.un.org/post2015/transformingourworld Van Ewijk S, Stegemann JA (2016) Limitations of the waste hierarchy for achieving absolute reductions in material throughput. J Clean Prod 132:122–128 Vasanthi P, Kaliappan S, Srinivasaraghavan R (2008) Impact of poor solid waste management on ground water. Environ Monit Assess 143:227–238. https://doi.org/10.1007/s10661-007-9971-0 Vergara SE, Tchobanoglous G (2012) Municipal solid waste and the environment: a global perspective. Annu Rev Environ Resour 37(1):277–309. https://doi.org/10.1146/annurevenviron-050511-122532 Vidal DG, Maia RL, Oliveira GM et al (2019) Cities challenges in the contemporary societies: urban sustainability and environmental issues. Sociol LINE Rev Assoc Port Sociol 20:119–138. https://doi.org/10.30553/sociologiaonline.2019.20.6 Vidal DG, Oliveira GM, Pontes M, Maia RL, Ferraz MP (2022) The influence of social and economic environment on health. In: Prata JC, Ribeiro AI, Rocha-Santos T (eds) One Health: Integrated Approach to 21st Century Challenges to Health (pp. 205–229). Elsevier. https://doi. org/10.1016/B978-0-12-822794-7.00005-8 Weitz N, Carlsen H, Skånberg K et al (2019) SDGs and the environment in the EU: a systems view to improve coherence, Stockholm Environment Institute

48

Future Interdisciplinary Waste Ecological Challenges

983

Wiedinmyer C, Yokelson RJ, Gullett BK (2014) Global emissions of trace gases, particulate matter, and hazardous air pollutants from open burning of domestic waste. Environ Sci Technol 48: 9223–9530. https://doi.org/10.1021/es502250z Wilson DC, Rodic L, Modak P, Soos R, Carpintero A, Velis C, Iyer M, Simonett O (2015) Global waste management outlook. ISWA & UNEP, Vienna Wright RT, Boorse DF (2017) Environmental science: toward a sustainable future, 13th edn. Pearson, London Ziraba AK, Haregu TN, Mberu B (2016) A review and framework for understanding the potential impact of poor solid waste management on health in developing countries. Arch Public Health 74:55. https://doi.org/10.1186/s13690-016-0166-4

Historical Memory and Eco-centric Education: Looking at the Past to Move Forward with the 2030 Agenda for Sustainable Development

49

Bruno Borsari and Jan Kunnas

Contents 1 Introduction: Historical Roots of Education in Western Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Education for Sustainability in the Digital Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Eco-centric Curricula in Sustainability Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Environments for Teaching and Learning in Sustainability Education . . . . . . . . . . . . . . . . . . . . 5 Reorganizing Education for a Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

986 988 990 992 994 995 996

Abstract

An education for sustainable development is a 30-year old effort that has been challenging schools and universities to prepare students in society to resolve the multiple crises created by human activities. Its intrinsic complexity demands collaborations across disciplines and urges contributions from Indigenous knowledge, while recognizing the limitations of the western learning paradigm as the dominant education model. There is a need to develop a culture of awareness about peoples’ role and place in nature before tackling the more pragmatic issues surrounding the quest for achieving sustainability. We present with this work a critical analysis of sustainability education since the 1990s, highlighting achievements and the barriers rooted in specific academic cultures that impede (and may continue to hamper) the establishment of sustainability at institutions of higher education. The competencies that qualify instructors in the teaching profession in sustainability, as well as those needed by students, are discussed with an emphasis on the formative role of education at a time of fast technological advances. The B. Borsari (*) Department of Biology, Winona State University, Winona, MN, USA e-mail: [email protected] J. Kunnas Department of History and Ethnology, School of Resource Wisdom, University of Jyväskylä, Jyväskylä, Finland © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_40

985

986

B. Borsari and J. Kunnas

connection to the 17 goals for sustainable development (SDGs) of Agenda 2030 served as the theoretical framework of our study. Finally, we present a holistic model for Sustainability Education in the twenty-first Century. Keywords

Curriculum · Ecology · Education history · Ethics · Learning · Reform · Resilience · Sustainability

1

Introduction: Historical Roots of Education in Western Culture

Education for sustainability is a notable, multifaceted paradigm of transformative learning that for the last 30 years has been emerging from a growing number of institutions of higher education and their visionary leaders (Orr 1991; Leal Filho 1997; Sterling 2001; Weiss and Barth 2019). A response to environmental crises and widening social inequalities, exacerbated by climate change, an expansion of neoliberal economies, and a growing population have all fueled its growth. Despite the development of ongoing research in sustainability education (Leal Filho et al. 2018), and efforts to tie these endeavors and learning to fulfillment of the SDGs (Leal Filho et al. 2021), humanity is still struggling with challenges that may soon shift irreversibly the course of life as we know it. According to Orr (1991), ignorance is not the main challenge to sustainability, rather it is an education that focuses on theories, raw concepts, simplistic answers, and ideologies, instead of emphasizing ethics, people, complex questions, and cultural awareness about the inequalities of human life and living styles, including their planetary impacts. We think that the role of education remains a priority commitment to prepare society to understand what is at stake for humanity. Inaction, driven by chronic skepticism about global climate change, persists as an irrefutable dogma and is supported by markets and investors that depend on extractive economies. Therefore, education needs to be fully restructured and shaken from Eurocentric principles and approaches that derived from a long history of cultural domination and colonization (Rivera-Clonch 2018; Jupp et al. 2018). For present society to counteract irrational denialism about the current crises and the nefarious effects climate change has on ecosystems and human life – a different education model is needed. Yet, education’s modus operandi seems to remain anchored to arcane philosophies that have become ineffective in preparing humanity to overcome the challenges and uncertainties the future brings, hence the need for systemic reforms (Borsari and Mora 2020) in support of sustainability. Historically, a demand for change in education has been linked to societal changes (Dewey 1916; Freire 1970) and amplified by drastic shifts that affect ecosystems’ processes and functioning (Orr 1992; Odum 1972). Nature’s fast declining resilience has spurred adjustments in education to better prepare future society leaders to manage successfully toward sustainability (Onwueme and Borsari 2007), but only to a limited extent.

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

987

In the history of western education, when the first universities in Bologna (1088 A.D.), and in Paris (1150 A.D.), were established in medieval Europe, Christianity shaped the culture of learning that to the present day has become ubiquitous. Dawson (1950) noted that while the university of Paris developed as a clerical school focusing on theological studies, Bologna as a lay university became famous for its focus on jurisprudence, preparing lawyers and administrators who served governments and the Church. Students at Bologna possessed a high social status in their city, which enabled them to hire or dismiss teachers, making the university operate like a student commune that was modeled after the Italian citystates of that time, rather than a hierarchically structured institution like the clergy. Formal education continued to remain an exclusive privilege of wealthy men through the sixteenth-century Reformation, which brought an establishment of modern science and beyond. Capitalism too has always played an important role in shaping the cultural traits of western education. According to Fromm (1941), capitalism rewarded men with self-reliance and social mobility, yet it caused them anxiety enhanced by feelings of alienation that eventually determined their willingness to relinquish freedom in lieu of centralized, authoritative governments. Thus, capitalist education has been training masses of workers, while investing in science to design new machines that enhanced productivity with more capital to invest in education, delivering promises of progress and prosperity for society. In addition to this, Christianity injected western culture with a generous dose of optimism about life, showing mankind the path toward salvation in recovery from the original sin inherited from Adam and Eve, and according to Galimberti (2019), these principles remain pervasive to this day in all fields of human endeavor including education (Table 1). Another effect of a Judeo-Christian worldview relevant to sustainability education consists in legitimizing a utilitarian conception of nature, which as one of God’s creations is manipulable because man was “put in charge” of it (White 1967). Although Pope Francis’ encyclical Laudato si in 2015 aimed at inspiring humanity to care for our common home (Francis 2015), the “dominion upon creation by man” concept, presented in the book of Genesis, remains indelible status quo philosophy for a majority of human economic activities. From this brief historical review emerges the need to revisit the current education paradigm, especially given the necessity of achieving sustainable development. Ojala (2012) showed that constructive hope has a positive influence on proenvironmental behavior. Therefore, there may be a need to retain Judeo-Christian Table 1 Generalized sense of optimism inspired by Judeo-Christian ontology among selected fields of human endeavor Discipline Christian religion Science Marxist economics Education

Past Sin Ignorance Injustice Illiteracy

Present Redemption Research Revolution Learning

Future Salvation Progress Equity Empowerment

988

B. Borsari and J. Kunnas

optimism, although this may have to be redirected into a trajectory of assisting humanity to return to live within planetary boundaries (Rockström et al. 2009), in other words, redefining humans’ rightful niche on Earth – as one of many species. Although H. sapiens has great powers for “doing good or bad,” this comes with responsibilities (Kunnas 2017). In the words of Pope Francis: “A great cultural, spiritual, and educational challenge stands before us, and it will demand that we set out on the long path of renewal” (2015: 202). The purpose of this chapter consisted of analyzing critically the efforts pursued in sustainable education since the 1990s, highlighting the achievements and discussing the barriers that are embedded in specific academic cultures and continue to put obstacles in the way of establishing sustainability at institutions of higher education. Also, our work emphasized the competencies (Lambrechts 2016) that qualify instructors in the teaching profession, as well as those needed by students to succeed in veering society toward a sustainable development (Leal Filho et al. 2020). The formative role of education and its connections to the 17 goals for sustainable development of Agenda 2030 constituted the theoretical underpinning of our study. This evolved into our holistic model for Sustainable Education in the twenty-first century, presented as a conclusion to this manuscript.

2

Education for Sustainability in the Digital Age

Technology embodies the highest form of human rationality that since the dawn of modern science has been a loyal ally of a neoliberal/capitalist education. Its main objective consists of achieving the maximum level of benefits with the minimum expenditure of means (Galimberti 2019). Technological innovation, however, has contributed to human alienation. As described by Fromm (1941), it is a crisis deeply rooted in twentieth-century technology as western societies underwent massive, industrial expansions. To this day, capital investments continue to sponsor technological development to increase efficiency, generate lucrative gains for entrepreneurs and profitable venues for market investors. More critics of technology (Marcuse 1964; Horkheimer and Adorno 1972) conceded that society’s uncontrolled reliance became a travesty of progress and created inhumane working conditions for laborers and homogenizing culture, while providing an illusion of a good life, amplified by the power of advertisements, through radio and television. Marcuse (1964) added to this narrative that society needs a “non-technological reason” so that humanity may look at nature from a more esthetic angle, rather than utilitarian and extractive perspectives. In the current information age, high-tech companies continue to grow through expansion of automation systems, high-speed communication networks, bioinformatics, nanotechnology, synthetic biology, and their applications to most human activities. Consequently, employment opportunities may abound for college graduates who have pursued studies to acquire these skills. Students’ demands for these and similar curricula drive an allocation of universities’ funds and resources to invest in these study programs and research agendas. The enthusiasm for technology and

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

989

innovation in education has therefore become widespread, recognizing that its leaps forward are rapidly changing the way we live and learn. However, as the German scholars of the Frankfurt school wrote 60 and more years ago, technology has softened moral principles in modern society (Fromm 1956; Horkheimer and Adorno 1972), replacing values like solidarity and cooperation with virtual, social networks and on-line employment fueled by new, computer applications. The 2020 pandemic caused by Covid-19 amplified the needs for education technologies as these became almost the only instructional option during the lockdown of schools, colleges, and universities. However, this forced reliance on technology is demonstrating that education cannot take place in total isolation from society, nor indeed nature (Elmer et al. 2020; Son et al. 2020). These new teaching and learning circumstances may affect students’ growth (intellectual, physical, and/or emotional) if this type of education becomes the new norm. The pandemic has also widened the gap between rich and poor and affects education given technology cannot be afforded or accessible by all (Azorín 2020). On the other hand, technological solutions can help close regional gaps, allowing people in distant locations to gain access to a good education in accord with their needs, regardless of their place of living or possibilities to relocate to where education services may be better. Online instruction showed that technology has a viable niche in the education context (Nambiar 2020). However, an excessive reliance on technological approaches in education showed their many limitations in students’ learning and mental health (Son et al. 2020). Fostering employees’ training to achieve high levels of specialization through technology may be necessary to maximize efficiency within the enterprise. However, this approach might be less suitable to foster students’ formative growth and sustainability education, as technology fosters convergent thinking. Namely, this is the frame of mind required to operate computers and information networks, yet it may lack adaptability for a sustainability education. Its limitation lies in the fact that learners are constrained by a rigid process to problem solving. Despite high connectivity, allowing for the most rapid information exchange, exploration occurs only within the boundaries of a specific program or software. On the other hand, sustainability education should foster divergent thinking, which without confines allows a complex problem to be looked at from perspectives that may have never been considered before. For example, this type of thinking was likely employed by Copernicus when he developed a new paradigm (heliocentric theory) that replaced the geocentric theory (Galimberti 2019). Although technology aims at enhancing students’ analytical skills, attention should be paid to an excessive use of it in education. Daniel (2020) conceded that when technology is not properly integrated in curricula, it reduces, or even hampers, the natural emotional growth of students. Therefore, an education for sustainable development should always find a balance between the two types of thinking herein described. Technology is making modern education more information rich, yet it remains knowledge poor. Decolonizing education and cherishing the merging of knowledges and wisdoms from Indigenous cultures is an aspect of an education for sustainability

990

B. Borsari and J. Kunnas

that requires our attention. Courses and curricula in sustainability abound (Weiss and Barth 2019; Borsari 2012); however, education reforms aiming at focusing on study programs to enable all students to become literate about traditional ecological knowledge remain limited (Kimmerer 2002). We recognize that technology may expand learning opportunities by affording easy access to unlimited information. However, a higher level of self-direction becomes necessary to optimize its use, and this can be acquired through an education that has been guided and inspired by teachers, in real face-to-face interactions (Borsari 1998). Education does not happen in a vacuum. Its intersectionality with the larger community, beyond the campus and bioregion (a geographically distinct assemblage of species and ecological communities), is necessary to the transformative learning of students (Vilhena and Antonelli 2015). Over a century ago, Dewey (1916) conceded that small changes may produce large social benefits for citizens’ quality of life (e.g., health, prosperity, and opportunities). For example, a reduction in education costs to increase affordability and access is a century-old challenge that remains unresolved in US education, despite the benefits it could bring to its population. Changes in education demand a continuous evaluation and adaptation of curricula if education is to prepare students to succeed, while contributing to achieving sustainable development. In an effort to improve education, adoption of systemic strategies leading to the design of curricula in sustainability is highly recommended and even necessary (Borsari and Mora 2020). Such an emphasis can become most empowering for learners. We think that a systems-focused, eco-centric curriculum has the potential to elevate learning a step further, making education a true vehicle for a sustainable development. For this to happen however, education needs to be revisited and liberated from neoliberal principles and ideologies that suppressed nonwestern cultures.

3

Eco-centric Curricula in Sustainability Education

An education for sustainability relies on multidisciplinary study programs that employ a balanced mixture of courses across the curriculum, aimed at maximizing students’ exposure to the broadest variety of disciplines, knowledges, ideas, paradigms, and approaches in the pursuit of sustainable development (Sterling 2001; Borsari 2012). Therefore, it is erroneous to think that only courses in science and technology may serve the purpose of educating students in sustainability. These need to be integrated in a broader liberal arts curriculum. For example, reading literature exposes learners to a plethora of experiences that are distinctively human (e.g., love, despair, beauty, joy, and tragedy), thus developing emotions that supersede behaviors dominated by raw impulses. Psychologists argued that literature can be a powerful form of artistic expression for the emotional and cognitive development of learners, helping them to shape their personal identity. Therefore, all arts such as music, photography, literature, and the visual arts can be meaningful for students’ education in sustainability (Borsari 2016b). An emphasis on science, technology, or economics courses only represents the misconceived interpretation of education for

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

991

sustainable development, which assumes that rational, scientific thinking is the sole process leading to solutions created by the problems of human civilization. Structuring eco-centric curricula and more programs in sustainability requires an understanding of the lexicon needed in this specific context (Borsari and Mora 2020). This language may constitute a preliminary hurdle to overcome at educational institutions that have not experienced similar conversations and an adaptation of their instruction toward multidisciplinary approaches. Some educators recommended ecology as keystone discipline for curricula in sustainability (Orr 1992; Borsari 2016a; Sterling 2001). Its holistic traits and scope make ecology valuable for introducing students to sustainability (Orr 1994) and learning topics like the biogeochemical cycles and related ecological processes (e.g., the flow of energy within organisms as well as ecosystems, human use of natural resources, renewable and nonrenewable). These and similar themes enable students to connect what they learn to their own life and living style, making sustainability personal. The pedagogical implications of this kind of learning are pivotal for elevating society to a level of consciousness, where we humans recognize we are parts of ecosystems and not in control of them (Borsari 2012). We think that such awareness becomes a legitimate and necessary prerequisite for pursuing sustainable development. In addition to this, Borsari and Mora (2020) argued that the language of ecology has homologous constructs that should be used in education to demonstrate the versatility of ecology in connecting study subjects across curricula. Employing this new lexicon and applying it to developing study programs have the potential to make learning more inclusive and adaptive to various learning styles and to the needs of diverse student populations. Within this eco-centric framework for education in sustainable development, schools and universities become homologous to ecosystems. These are linked to learning communities that are made of various student populations, classes, or groups of students, like ecological communities intertwine with a multitude of living species. As the ecosphere embraces all ecosystems and biomes, similarly the “edusphere” is the top category of an eco-centric education system, embracing every institution of education and all its students’ populations (Fig. 1). In an organizational structure within such an ecological framework, the curriculum becomes the matrix that connects it to every component of the education system – like a food web in nature. As ecological succession is initiated by disturbances in ecosystems, in a similar manner, instruction as a pedagogical disturbance triggers reactions (educational successions) from students, while augmenting their desire for more in-depth learning. This example of education is interdisciplinary and adaptable to every course and across curricula (Orr 1994; Borsari 2012). It is inclusive of all students and accessible to their knowledge level and cultural backgrounds, always welcoming their criticism as cherished contributions to everybody’s learning (Sterling 2001). Such an education process enhances students’ competencies as these have become necessary components that substantiate the efficacy of curricula in preparing graduates to contribute pursuing sustainability, within any career path (Barth et al. 2007: Lambrechts 2016). The structure of education systems for sustainable development is complex and interlinked to many other

992

B. Borsari and J. Kunnas

Edusphere Ecosphere University Ecosystem Learners’ Community Ecological Community Students’ class/group Population

Learner/Student Organism

Fig. 1 Organizational construct-levels within the ecosphere (green) and homologous concepts that structure the organization levels of an education system for sustainability within the edusphere (orange)

entities of campus management (e.g., administration, facility services, student life, inclusion & diversity, and more), whose forces counterbalance one another, maintaining universities in an adaptive equilibrium, just like ecosystems under the forces of nature. An increasing convergence of these in a synergistic mode will be enhanced by increasing competencies and thus amplify the momentum for achieving sustainability. Therefore, we encourage institutions of higher education to focus on a development of competencies that may derive from specific sustainability priorities emerging from specific socio-environmental contexts.

4

Environments for Teaching and Learning in Sustainability Education

Schools and universities are centers of social interaction, which is an important component of learning and education. Therefore, within a framework of sustainability education, schools and universities should support unlimited explorations and inquiry beyond classrooms, theaters, libraries, or laboratory spaces. In this

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

993

manner, colleges and universities could be managed by student teams under the supervision of graduate students and faculty mentors, thus operating almost as selfgoverned communities that, like the University of Bologna in medieval times, demonstrated the intertwined connections between education, government, and society. Orr (1994) argued that ecological concepts included within curricula can become transformative in students’ learning experiences, as well as in adults’ education, when these are rich in outdoor activities, excursions, or time for observations and reflection about what is being noted in nature as well as around the campus environment. Therefore, a diversified design of the open space surrounding the campus buildings becomes very important to facilitate an education for sustainability (Borsari et al. 2014a). Even a modest conversion of homogeneous lawns into wildlife habitat inspired by the natural history where the school/university is located could add significant values in sustainability education (Nabhan 1998). Winona State University in southeastern Minnesota, for example, has adopted for several years the idea of restoring various open spaces on its campus with native trees (Borsari et al. 2018) and native prairie plants to foster learning in environmental sustainability framed within the ecology of this distinctive, riverine, bioregion (Borsari et al. 2014b). In more urban locations, urban agriculture is emerging as a desire of many citizens to support sustainable living; thus, access to more spaces on vacant lots, or rooftops, should be encouraged for a conversion of these into gardens and wildlife habitats (Borsari and Kunnas 2019). Nonetheless, the world is shaped by an education system that reinforces unsustainable thinking and practice, and according to Mulà and team: “Efforts to transform our societies must thus prioritize the education of educators - building their understanding of sustainability as well as their ability to transform curriculum and wider learning opportunities” (Mulà et al. 2017: 798). To support this transformation, the testing of innovative pedagogies should be encouraged by securing space and resources. Teaching and collaborations among instructors at different academic levels should be encouraged, especially in sustainability courses, knowing that these endeavors are not risk-free of yielding mediocre outcomes. The Master’s program in sustainable systems (MS3) championed this interdisciplinary approach to education at Slippery Rock University of Pennsylvania and was enriched by students with diverse backgrounds (Anderson 2001). Also, extra funds and resources could be invested in programs for professional development in sustainability education for all instructors (Creighton 1998). In this manner, core faculty teams could become the mentors of their students and of newly hired professors who might have been purposefully selected because of their interest and commitment to an education for sustainable development. The apex of such administrative leadership will culminate in developing a robust culture for sustainability on campus, retaining students and faculty, while attracting many more students because of its curricula and the overall reputation in sustainability the university has gained. For example, according to a survey of almost 250 international students, it was found that 58% would boycott a university if it had bad sustainability credentials (Mayo 2019).

994

5

B. Borsari and J. Kunnas

Reorganizing Education for a Sustainable Development

The reforms needed in sustainability education are not easy tasks. Yet, they have become an imperative if civil society remains committed to deliver the SDGs as set by the United Nations Agenda for 2030. We are not only calling for systemic reforms in the content for teaching sustainability, but also for structural reorganization and renovation of the whole education system. For example, the quality of education as advocated by SDG#4 (Ensure inclusive and equitable quality education and promote lifelong learning opportunities for all) goes beyond an achievement of excellence in teaching and learning. This goal is central to the SDGs. It emphasizes a systemic transformation of education that aims at the preparedness of society in its pursuit of sustainable development and connects with every other goal. Our thinking was inspired in part by a suggestion for the reorganization of the renewable energy education in central Finland. Here, it was suggested that future education for sustainability was developed as a joint effort by training entities at different educational levels, instead of separate training offered by stand-alone institutions. The goal was to build a lifelong learning path in cooperation with different actors who are directly engaged in all aspects of renewable energy in Finland. The basic principle of this envisioned study program seeks to eliminate duplication of curricula from different educational institutions and enable a flexible transition from one level of education to a higher one, without the need for bridging courses. Thus, students who have completed sustainability studies in a vocational school, which provides basic training toward a specific trade, could transfer to a polytechnic to continue their studies and from there move on to university in pursuit of a doctorate. At the same time, sustainability will be raised as a learning priority for every level of instruction (Kunnas et al. 2012). Kunnas and his collaborators (2012) proposed an approach where basic education is standardized for all students from different schools. Their learning takes place within teams where experts from different levels of education meet and work with students to accomplish the tasks of specific, joint projects. After gaining basic education in sustainability, students may specialize further in their own field of study, and at this stage, their learning would continue according to the requirements demanded by every level of education they wish to pursue. As the cooperation among teachers increases, their collective expertise can be directed to the development of innovative research agendas and sustainable entrepreneurship venues. This standardized and joint, basic education will save resources, which can be allocated to the development of teaching and research, while optimizing the marketing of sustainability education across all educational institutions. The “move upward” approach described here, however, may not be free from structural and/or cultural barriers to close off educational gaps, despite recognizing that college or vocational learning are envisioned as foundational steps along an education continuum in sustainability. Vocational education develops a strong, practical culture for a person who wishes to move on to higher educational levels. At all levels, more emphasis will be given to experiential learning through practicum opportunities, complemented by theoretical learning of the latest scientific

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

995

approaches in sustainability. Within this pedagogical frame, students work to resolve real problems related to sustainability instead of just learning about them. The constructivist approach, employed by Magnell and Högfeldt (2014), is preferable in this context instead of the commonly used problem-based learning, to underline learning creativity and the role education can play in solving societal challenges. Thus, there will be a converging alignment between intended outcomes, teaching and learning activities, and assessment (Elmgren and Henriksson 2014; Biggs and Tang 2011). Furthermore, learning about sustainability fits well into the team-based education outlined, as solving these real-world problems might require different levels of competencies. The problem requiring solutions might, for example, be identified at the university level, whereas technical means can be examined by polytechnic students, while the actual implementation of these can be tasks for vocational students.

6

Conclusion

This chapter reviewed the intertwined components of education and the cultural and historical tenets of western pedagogy that have influenced teaching and learning to this day, worldwide. Within this western and anthropocentric ontological context, it is arduous to pursue an education for sustainability unless a restructuring of the entire education system is carried out to resolve the flaws of its present status. Acting expeditiously, to adjust education to the needs of specific social environments has become an action plan to avert the inevitable consequences to humans’ living if the standards are maintained beyond the limits of Earth’s carrying capacity. We have to reckon with the fact that developments in biotechnologies (from immunotherapies to gene splicing and Crispr-Cas9) have been raising new and profound questions about “values” and “natural” and the humans’ place in an altered world dominated by fast technologic leaps, supported by an extractive economy. Undoubtedly, these and similar questions present major implications for a conservation of values that remain of utmost importance for sustainability education, yet these will be retained by finding a balance between formative versus high-tech learning. Therefore, we propose that a model for sustainability education be framed within two domains. Specifically, ethics for sustainable development and society (Fig. 2). Our model is structured around four critical steps and four external components that at various force intensities regulate the functioning of the whole system, making it adaptive. Ethics is the domain category whose values will influence the magnitude of teaching and technology use in education. Society, on the other hand, is the domain that supersedes the force exerted by education history on the system. This component acts as memory (sets of historical records about teaching and learning sustainability) that are closely intertwined to education reform and are relevant components of societal changes. The four-numbered categories are components and steps of an ongoing assessment of curricula in sustainability that should be framed within ecological theories and principles. The evaluation of curricula is evidence-based through a continuous collection of quantitative and qualitative data

996

B. Borsari and J. Kunnas

Fig. 2 Holistic model of an education for sustainable development

(step 1). The analysis of these (step 2) will guide the planning phase of curricula in sustainability (step 3). This four-steps cycle leads to the adaptation step (step 4), where adjustments to curricula will be done as a result of the forces exerted by the four components that characterize the model, from one step to the next. Completion of the four-steps assessment cycle will generate a new set of data that will guide curriculum evaluation, planning, and adaptation further, mimicking the adaptability of ecosystems from the forces exerted upon them by biotic and abiotic factors. Everyone’s efforts are needed if we want to achieve all the SDGs without exhausting the regenerative capability of the Earth to recover from the problems created by human activities. As such, we need an inclusive education system, which is accessible to everyone regardless of cultural background, ethnicity, economic status, and/or place of residence. However, this envisioned access to education does not eliminate the fact that some people have greater responsibility for solving global problems like climate change and means to remediate these (Kunnas et al. 2014). We as people and members of society are in a quest for sustainable development altogether. Therefore, as Chief Seattle once said: “Humankind has not woven the web of life. We are but one thread within it. Whatever we do to the web, we do to ourselves. All things are bound together. All things connect. Whatever befalls the Earth befalls also the children of the Earth.” (circa 1885).

References Anderson CM (2001) Harmony Homestead and the Macoskey Center for sustainable systems education and research. In: Daniels MR (ed) Creating sustainable community programs, example of collaborative public administration. Prager, Westport Azorín C (2020) Beyond COVID-19 supernova. Is another education coming? J Prof Cap Community 5(3/4):381–390

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

997

Barth M, Godemann J, Rieckmann M, Stoltenberg U (2007) Developing key competencies for sustainable development in higher education. Int J Sust High Educ 8(4):416–430 Biggs J, Tang C (2011) Teaching for quality learning at university: what the student does. McGrawHill, Maidenhead Borsari B (1998) Teaching introductory agriculture courses through distance education technology at Louisiana State University. J Coll Sci Teach 23(1):62–64 Borsari B (2012) Curriculum framework for sustainability education. Acad Exch Q 16(1):74–78 Borsari B (2016a) Sustainability education as a curriculum emphasis. Acad Exch Q 20(4):31–37 Borsari B (2016b) Making and assessing art in the sustainability classroom. In: Byrne L (ed) Learner-Centered teaching activities for environmental and sustainability studies. Springer, New York Borsari B, Kunnas J (2019) Agriculture: production and consumption. In: Filho WL et al (eds) Encyclopedia of the UN sustainable development goals, responsible consumption and production. Springer Nature. https://doi.org/10.1007/978-3-319-71062-4_78-1 Borsari B, Mora C (2020) Education reform through a systems approach for sustainable development. In: Leal Filho W, Azul A, Brandli L, Özuyar P, Wall T (eds) Quality education. Encyclopedia of the UN sustainable development goals. Springer, Cham Borsari B, Mundahl N, Vidrine M F, Pastorek M (2014a) The significance of micro-prairie reconstruction in urban environments. In: Proceedings of the 23rd North American Prairie conference, August 2012, University of Manitoba in Winnipeg. The Prairie Naturalist, vol 23, pp 70–77 Borsari B, O’Connor K, Mundahl N (2014b) Design process and reconstruction of a prairie garden at Winona State University: a case study. In: Glaser A (ed) America’s grasslands conference: the future of grasslands in a changing landscape. Proceedings of the 2nd Biennial conference on the conservation of America’s grasslands. August 12–14. National Wildlife Federation and Kansas State University, Manhattan/Washington DC Borsari B, Mundahl N, Landby G, Mueller L (2018) An economic value assessment of ecological services in the tree community at Winona State University arboretum. Acta Hort (ISHS) 1191: 153–159. https://doi.org/10.17660/ActaHortic.2018.1191.21 Creighton SH (1998) Greening the Ivory tower. Improving the environmental track record of universities, colleges and other institutions. MIT, Boston Daniel SJ (2020) Education and the COVID-19 pandemic. Prospects 49:91–96. https://doi.org/10. 1007/s11125-020-09464-3 Dawson C (1950) Religion and the rise of Western culture. Doubleday & Company, Inc., Garden City/New York Dewey J (1916) Democracy and education: an introduction to the philosophy of education. Macmillan, New York Elmer T, Mepham K, Stadtfeld C (2020) Students under lockdown: comparisons of students’ social networks and mental health before and during the COVID-19 crisis in Switzerland. PLoS One 15(7):e0236337. https://doi.org/10.1371/journal.pone.0236337 Elmgren M, Henriksson A-S (2014) Academic teaching. Studentlitteratur, Lund Francis (2015) Encyclical Letter Laudato Si’ of the Holy Father Francis, On care for our common home. https://www.vatican.va/content/francesco/en/encyclicals/documents/papa-francesco_ 20150524_enciclica-laudato-si.html Freire P (1970) Pedagogy of the oppressed. The Continuum Publishing Company, New York Fromm E (1941) Escape from freedom. Avon Books, New York Fromm E (1956) The Sane society. Routledge & Kegan Paul, London/New York Galimberti U (2019) Psiche e techne: L’uomo nell’età della tecnica. Feltrinelli Editore, Italy Horkheimer M, Adorno TW (1972) Dialectic of enlightenment. Herder and Herder, New York Jupp JC, Berry TR, Morales A, Mogush Mason A (2018) What is to be done with curriculum and educational foundations’ critical knowledges? Toward critical and decolonizing education sciences. Teach Educ 29(4):305–317. https://doi.org/10.1080/10476210.2018.1510484 Kimmerer RB (2002) Weaving traditional ecological knowledge into biological education: a call to action. Bioscience 52(5):432–438

998

B. Borsari and J. Kunnas

Kunnas J (2017) Storytelling: from the early Anthropocene to the good or the bad Anthropocene. Anthropocene Rev 4(2):136–150. http://journals.sagepub.com/doi/full/10.1177/ 2053019617725538 Kunnas J, Jämsén M, Wihersaari M, Vertainen L, Vesisenaho T, Janhonen P, Lehtonen M, Lahti J (2012) Keski-Suomen bioenergiakoulutuksen historia ja tulevaisuus. Jyväskylän yliopiston bioja ympäristötieteiden laitoksen tiedonantoja 98. Jyväskylän yliopisto. https://bit.ly/ koulutuksentulevaisuus Kunnas J, McLaughlin E, Greasley D, Hanley N, Oxley L, Warde P (2014) Counting carbon: historic emissions from fossil fuels, long-run measures of sustainable development and carbon debt. Scand Econ Hist Rev 62(3):243–265. https://doi.org/10.1080/03585522.2014.896284 Lambrechts W (2016) Possibilities and practices of competences for sustainable development in higher education. In: Lambrechts W, Hindson J (eds) Research and innovation in education for sustainable development. Exploring collaborative networks, critical characteristics and evaluation practices. Environment and School Initiatives, Vienna Leal Filho W (1997) Integrating environmental education and environmental management. Environ Manage Health 8(2):80–82 Leal Filho W, Azeiteiro U, Alves F, Pace P, Mifsud M, Brandli L, Caeiro SS, Disterheft A (2018) Reinvigorating the sustainable development research agenda: the role of the sustainable development goals (SDG). Int J Sust Dev World Ecol 25(2):131–142 Leal Filho W, Levesque VR, Lange Salvia A, Paço A, Fritzen B, Frankenberger F, Damke LI, Brandli LL, Veiga Avila L, Misfud M, Will M, Pace P, Azeiteiro UM, Orlovic Lovren V (2020) University teaching staff and sustainable development: an assessment of competences. Sustain Sci. https://doi.org/10.1007/s11625-020-00868-w Leal Filho W, Frankenberger F, Lange Salvia A, Azeiteiro U, Alves F, Castro P, Will M, Platje J, Orlovic Lovren V, Brandli L, Price E, Doni F, Mifsud M, Veiga Avila L (2021) A framework for the implementation of the sustainable development goals in university programmes. J Clean Prod 299:1–12. https://doi.org/10.1016/j.jclepro.2021.126915 Magnell M, Högfeldt AK (2014) Guide to challenge driven education. KTH, Stockholm Marcuse H (1964) One-dimensional man. Beacon Press, Boston Mayo N (2019) How green is my university? Times Higher Education, September 12. https://www. timeshighereducation.com/features/how-green-my-university Mulà I, Tilbury D, Ryan A, Mader M, Dlouhá J, Mader C, Benayas J, Dlouhý J, Alba D (2017) Catalysing change in higher education for sustainable development: a review of professional development initiatives for university educators. Int J Sustain Higher Educ 18(5):798–820 Nabhan GP (1998) Cultures of habitat. On mature, culture and story. Counterpoint, Washington, DC Nambiar D (2020) The impact of online learning during COVID-19: students and teachers’ perspective. Int J Indian Psychol 8(2):783–793. https://doi.org/10.25215/0802. 094. DIP:18.01.094/20200802 Odum EP (1972) Ecologia. Nueva Editorial Interamericana, 3rd edn. México, D F Ojala M (2012) Hope and climate change: the importance of hope for environmental engagement among young people. Environ Educ Res 18(5):625–642. https://doi.org/10.1080/13504622. 2011.637157 Onwueme I, Borsari B (2007) The sustainability Asymptogram: a new philosophical framework for policy, outreach and education in sustainability. Int J Sustain Higher Educ 8(1):44–52 Orr D (1991) What is education for? Six myths about the foundations of modern education, and six new principles to replace them. Free publication from the Internet Archive at: https://archive. org/details/WhatIsEducationFor-DavidOrr_153/mode/2up Orr D (1992) Ecological literacy. Education and transition to a postmodern world. State University of New York Press, New York Orr D (1994) Earth in mind: on education, environment, and the human prospect. Island Press, Washington, DC Rivera-Clonch M (2018) Decolonizing practices for Western educators. Peace Rev 30(3):303–311. https://doi.org/10.1080/10402659.2018.1495811

49

Historical Memory and Eco-centric Education: Looking at the Past to. . .

999

Rockström J, Steffen W, Noone K, Persson Å, Chapin FS III, Lambin E, Lenton TM, Scheffer M, Folke C, Schellnhuber H, Nykvist B, De Wit CA, Hughes T, van der Leeuw S, Rodhe H, Sörlin S, Snyder PK, Costanza R, Svedin U, Falkenmark M, Karlberg L, Corell RW, Fabry VJ, Hansen J, Walker B, Liverman D, Richardson K, Crutzen P, Foley J (2009) Planetary boundaries: exploring the safe operating space for humanity. Ecol Soc 14(2):32. http://www. ecologyandsociety.org/vol14/iss2/art32/ Son C, Hedge S, Smith A, Wang X, Sasangohar F (2020) Effects of COVID-19 on college students’ mental health in the United States: interview survey study. J Med Internet Res 22(9):e21279. https://doi.org/10.2196/21279 Sterling S (2001) Sustainable education. Re-visioning learning and change. Green Books Ltd., Devon Vilhena D, Antonelli AA (2015) Network approach for identifying and delimiting biogeographical regions. Nat Commun 6:6848. https://doi.org/10.1038/ncomms7848 Weiss M, Barth M (2019) Global research landscape of sustainability curricula implementation in higher education. Int J Sustain Higher Educ 20(4):570–589 White L Jr (1967) The historical roots of our ecological crisis. Science 155:1203–1207

50

Sustainable Materials for Advanced Products Helena Cristina Vasconcelos and Telmo Eleute´rio

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 New Sustainable Materials: From Earth to Earth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 General Properties of Biocomposite Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Natural Fibers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Bio-based Matrixes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Invasive Plant Species: A New Source of Natural Fibers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1002 1004 1004 1005 1009 1012 1013 1013

Abstract

Due to environmental concerns, new sustainable bio-based products are replacing the conventional petro-based ones, being very important to the concept of the circular economy. The circular economy is a key element for the sustainable use of natural resources and economic growth. Invasive species, such as Hedychium gardnerianum, can be a new sustainable source of biomass and natural fibers, following these circular economy principles, and taking advantage of forest residues as a raw material for the development of biocomposites. In this work, we discuss the sustainability and potential of new sources of natural fibers and other biobased materials for new innovative advanced products with various applications.

H. C. Vasconcelos (*) Faculdade de Ciências e Tecnologia, Universidade dos Açores, Ponta Delgada, Açores, Portugal Laboratório de Instrumentação, Engenharia Biomédica e Física da Radiação (LIBPhys-UNL), Monte da Caparica, Caparica, Portugal e-mail: [email protected] T. Eleutério Faculdade de Ciências e Tecnologia, Universidade dos Açores, Ponta Delgada, Açores, Portugal © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_42

1001

H. C. Vasconcelos and T. Eleute´rio

1002

Keywords

Sustainability · Biomaterials · Natural fibers · Biopolymers · Circular economy · Sustainable products

1

Introduction

Concerns about the environment have led some sectors of the economy to a paradigm shift, especially in terms of the manufacture of materials produced from sources of fossil origin, as is the case of plastic materials. The production of plastic waste worldwide is increasing, which has contributed to a greater accumulation of this waste in the environment, especially in the seas and oceans. However, the search for solutions to reduce this pollution has also increased (Horejs 2020). Although recycling is effective on certain types of plastics (Shen and Worrell 2014), it is still far from being a comprehensive solution. In addition, plastics made from petroleum (conventional plastics), an increasingly scarce natural resource, do not undergo bacterial decomposition, and remain intact for years in landfills; or if incinerated, they release toxic gases into the environment. Therefore, by reducing the use of conventional plastics, we are contributing to the sustainability of the planet, reducing dependence on fossil resources, and emissions of greenhouse gases (Khoo 2019). Bioplastics or bio-based materials are being increasingly investigated (Weiss et al. 2012), as they have similar properties to conventional plastics, and offer additional benefits, such as reduced carbon footprint, better functionalities, and innovative waste management options, such as composting. Therefore, the innovation and development of new sustainable materials, with improved and/or innovative properties, has increased a lot in recent years, especially in the biocomposite sector with new matrixes and reinforcements of biological origin (Shen and Worrell 2014). Throughout history, great advances in science and technology have been due to the creation and use of new materials. The importance of cast and forged iron in the eighteenth and nineteenth centuries was a decisive factor in the development of the iron and steel industry. Later, in the second half of the twentieth century, the petrochemical industry also contributed decisively to the replacement of metallic parts, with others made of plastic. Currently, some of the most important challenges facing the plastic industry are associated with the challenges of replacing many parts and structures made from traditional polymers with others made from biopolymers. This need has arisen, mainly, in the disposable plastic packaging sector, which has contributed to the increase in environmental pollution and the accumulation of plastic waste (Cinar et al. 2020). In the last century, the development of more economical production processes for different types of plastics, resulted in their massive industrial production, in such a way, that these materials are the backbone of many of the latest technologies. A brief look at our surroundings, reveals the importance they have in our daily lives. The fact is that without them, many packages would not be as effective, just as there would be no computer keyboards, interior panels of planes, televisions, nor other essential appliances to welfare, such

50

Sustainable Materials for Advanced Products

1003

as syringes, tubes, prostheses, among many other examples necessary for the wellbeing, and the technological development of the modern world. The exceptional properties of plastics such as light, durable, inert, and resistance to corrosion, have widespread their exhaustive use, leading to positive economic impacts, but with very serious and very negative effects to the environment. Plastics belong to a group of materials called polymers. These are made up of macromolecules, which are formed by smaller structural units, called monomers. The monomers are linked together by polymerization reactions, from mixtures of chemical reagents, most of which originate in petroleum, giving rise to a synthetic product. Although all plastics are polymers, not all polymers are plastic, as there are polymers of natural origin. For example, polysaccharides, are a class of natural macromolecules, as well as cellulose, starch, chitin, etc., which are found in various animals and plants. In the category of synthetic polymers (Callister 1997), polyethylene terephthalate (PET) is one of the most used and manufactured plastics in the world, used in a huge variety of products, including food packaging. Other common plastics are polystyrene and polyvinyl chloride (PVC). These plastics are formed by carbon chains linked to other elements such as H, O, S, and others (Callister 1997). For the sustainable production of bioplastics, whose source of prime matter is biological, alternative, and renewable resources, such as certain plants, are needed. In this case, the carbon chains originate from biological matter from biomass. This type of resource is renewable, allowing wide use without the risk of depleting it, given that the regeneration is done persistently by nature and at a rate equivalent to its consumption. Like conventional plastics, bioplastics have several applications, and therefore, there is a need to develop new methods of synthesis to produce bio-based plastics. Today, many plastics can be manufactured from renewable raw materials, with properties identical to those of their fossil fuel-derived counterparts, but with the advantage that they can be completely biodegradable and recyclable. In this case, the polymeric chain, under appropriate conditions and due to the action of natural microorganisms, decomposes into substances that exist in soils. Plastic recycling is relatively low compared to the amount of waste that is generated with the use of these materials, most of which are sent to landfills (Chia et al. 2020). About eight million tons of plastics end up in the oceans each year (MacArthur 2017). Although most plastics are still made from crude oil, scientific advances in recent years have enabled the production of plastics from sustainable sources derived from plants such as sugar cane, potato starch, cellulose (wood), maize, and polylactic acid (PLA) (European Bioplastics 2020), thus competing with food supplies (Chia et al. 2020). Because they consume large areas of land, water, and nutrients (Chia et al. 2020), these sources of raw material are not sustainable in the long run. According to European Bioplastics (European Bioplastics 2020), the term “bioplastic” applies to materials that result partially or totally from sources of biomass. Currently, less than 1% of the annual production of plastic in the world is made of bioplastics (Chaves 2020), but the demand is increasing a lot due to the growing environmental awareness of consumers. It is estimated that the production of bioplastics will reach 2.4 million tons in 2024 (Chaves 2020).

1004

2

H. C. Vasconcelos and T. Eleute´rio

New Sustainable Materials: From Earth to Earth

Biocomposites reinforced with natural fibers are now of enormous importance. Traditionally, composite materials are made up of two phases, a reinforcement (usually fiberglass or carbon) incorporated in a polymeric matrix (most often made of polyester or epoxy). In biocomposites, the two phases are of natural origin, and therefore, their development is essential to reduce the waste of synthetic plastics. The reinforcement with natural fibers, particularly of vegetable origin, allows taking advantage of the enormous amount of vegetable residues from harvest byproducts or from cleaning the forests. A new source is being explored and comes from the use ;of invasive plants. The vegetable fibers of the “ginger lily” (Hedychium gardnerianum) plant have a great potential for application in the area of biopolymers, not only because their surface properties allow easy functionalization, either by sol-gel or by dc-reactive sputtering, but also due to the mechanical resistance equivalent to that of its competing fibers, such as sisal and jute [see]. Its composition depends on the planting site, the slope of the land, and the time elapsed after the extraction of the fibers (Eleutério et al. 2018). In recent years, the notion of a circular economy has been debated globally (Rizos et al. 2016). The Circular Economy is a strategic concept based on the reduction, reuse, recovery, remanufacturing, redesign, and recycling of materials and energy (Jawahir and Bradley 2016). This circular approach is inspired by mechanisms of natural ecosystems, which manage long-term resources in a continuous process of resorption and recycling. It replaces the linear economy concept of the end-of-life (Sanchez and Haas 2018), with a circular strategy where old and new reuse, renovation, restoration, and recycling processes are integrated into the design, production, distribution, and consumption systems in a closed circuit (Fig. 1). The circular economy is seen as a key element to enable the sustainable use of resources and economic growth (Kalmykova et al. 2018) and a catalyst for competitiveness and innovation (Potting et al. 2017). It is characterized as a dynamic process that requires technical and economical compatibility, but that also requires a social and institutional framework (Gaustad et al. 2018). It is expected that waste prevention measures, eco-design, reuse, remanufacturing, and other actions of the circular economy can generate savings of 8% of the annual turnover of EU businesses (Bounciu 2014), and enabling a reduction of the total annual emissions of greenhouse gases (Liu et al. 2018).

3

General Properties of Biocomposite Materials

To obtain a composite, it requires two or more materials. If used separately, these materials do not have the proper properties for the desired application, but when combined, they can constitute a new material that exhibits the best properties of the original materials. The strategic combination of composite materials has enabled the development of a wide range of products that have been used in advanced structural applications, with several advantages over traditional materials. As already

50

Sustainable Materials for Advanced Products

1005

Fig. 1 Scheme explaining the various steps of the circular economy and its interactions

mentioned, they consist of two phases: (i) the reinforcement fibers, responsible for the mechanical performance of the material; and (ii) the matrix, which acts as the support for the material, ensuring the transfer of load between the fibers, ensuring that the mixture works as a whole. Usually, the matrix is polymeric to facilitate mixing and manufacturing, by injection, of these materials. Sometimes incorporates several additives to facilitate the manufacturing process and improve the specific properties of the final product.

3.1

Natural Fibers

Natural fibers are very attractive to the composite sector because, they provide several advantages to the conventional synthetic fibers used in composites as a reinforcement (Saheb and Jog 1999), being the main support of the mechanical stresses, providing strength and rigidity to the composite. There are several types of natural fibers with different classifications, compositions, and properties; for various applications; displaying several advantages when compared with conventional synthetic fibers; and showing a high potential for creating innovative sustainable products (Faruk et al. 2012).

3.1.1 Classification Natural fibers are divided into three groups, defined by their origins, such as vegetable (e.g., linen, hemp), animal (e.g., wool, silk), and mineral (e.g., asbestos) (Khan et al. 2018). Natural fibers of plant origin are known as lignocellulosic fibers or vegetable fibers are the most abundant group of natural fibers and are defined by

1006

H. C. Vasconcelos and T. Eleute´rio

Fig. 2 Natural fiber classification and some examples

their composition comprised of mainly cellulose and lignin (Parida et al. 2016). These are divided into two groups: (i) wood fibers (fibers with high lignin content); (ii) non-wood fibers (low lignin content). Non-wood fibers are further grouped into five subgroups, which are: (i) stem fibers; (ii) leaf fibers; (iii) stalk fibers (type of stem found in grasses); (iv) fruit fibers; and (v) seed fibers (Fig. 2).

3.1.2 General Properties Fibers are elongated, cylindrical, and flexible structures, with a very small crosssection and with a high ratio between length and diameter (L/D > 100). Natural lignocellulosic fibers have different structures and shapes from species to species (Huang and Zhao 2019). Some species are grown primarily for the properties of their fibers, like sisal, hemp, flax, cotton, and jute, while other types of fibers are by-products from crops (Terrié et al. 2010). Each fiber is formed by a primary cell wall and three secondary cell walls that are composed of several crystalline cellulose microfibrils that are linked together in a matrix of hemicellulose and amorphous lignin (John and Anandjiwala 2008). Microfibrils are the structural units of fibers, with a mostly crystalline core, a filiform shape, 10–30 nm wide, and containing a chain of 2–30,000 cellulose molecules (John and Anandjiwala 2008). The center of fibers is hollow and is called the lumen (Fig. 3). Lignocellulosic fibers are mainly composed of cellulose, hemicellulose, and lignin. Cellulose represents between 40–80% of its composition, being present in

50

Sustainable Materials for Advanced Products

1007

Fig. 3 Diagram of the structure of a fiber seen from a cross-section

the cell wall and having crystalline and amorphous regions along the filaments (Oudani et al. 2008). The mechanical strength of the fibers depends on the concentration of crystalline cellulose and the spiral angle of the microfibrils (Khan et al. 2018). A higher concentration of crystalline cellulose and a smaller spiral angle to the fiber axis reflect better mechanical properties (Amel et al. 2013). Hemicellulose, on the other hand, is around 2–35% of the fiber composition and influences moisture absorption and thermal stability. It is advantageous to reduce the amount of hemicellulose with the appropriate treatments, as it will increase its thermal stability and decrease its hydrophilicity (Nayak et al. 2020). Lignin concentration in natural fiber can be from 0.5% to 50%, and it provides resistance against microorganisms and rigidity (Bismarck et al. 2005). Lignin is also responsible for the thermal stability of natural fibers because its degradation by heat is slower than cellulose and hemicellulose (Manral and Bajpai 2018). It is also worth noting that pectins are the fourth most abundant compound in natural fibers and influence their tensile strength and stiffness (Alix et al. 2009). Table 1 shows several fiber-producing species and the properties of their fibers. Vegetable fibers have different shapes, sizes, compositions, and properties, which in turn influence the type of applications they may have (Khan et al. 2018). In the composite sector, the different types of fibers can be used to reinforce materials, from short fibers, typically with lengths ranging between 3 and 50 mm, to parallel bundles of continuous long fibers (untwisted filaments (rovings) or twisted (wires)). These forms of fiber reinforcement can be further worked to produce textile products. Several products can be developed, either with randomly oriented fibers, which can be short or long, or with oriented reinforcement (e.g., fabrics and knits), which can be biaxial (0/90 or +45/45) or triaxial (0 / +45/45).

3.1.3 Economic Value Regarding the economic value of natural fibers, it depends on whether the fibers are the primary product or a by-product of crops, the cost of extraction and production, and the applications given to them in addition to the cost of production, and the markets themselves (Table 2). For example, sisal fibers extracted from Agave sisalana can have a variable value depending on the market, because distinct markets require different extraction methods and treatments to the fibers increasing

H. C. Vasconcelos and T. Eleute´rio

1008

Table 1 Chemical composition, physical and mechanical properties of different natural fibers (Khan et al. 2018; John and Anandjiwala 2008; Bismarck et al. 2005; Ramamoorthy et al. 2015; Sathishkumar et al. 2013)

Fiber Abaca Bamboo Coir Cotton Flax Hemp Jute Kenaf Raime Sisal

Fiber Abaca Bamboo Coir Cotton Flax Hemp Jute Kenaf Raime Sisal

Chemical composition Cellulose Hemicellulose (wt%) (wt%) Lignin (wt%) 56–63 20–25 7–9 26–43 30 21–31 232–43 0.15–0.25 40–45 85–90 5.7 – 71 18.6–20.6 2.2 68 15 10 51–81 12–20 5–13 45–72 8–20.3 9–21.5 68.6–76.2 13–16 0.6–0.7 65 12 9.9 Physical and mechanical properties Tensile Density strength (g cm 3) Diameter (μm) (Mpa) 1.5 114–130 400–760 1.1 240–330 140–500 1.2 100–460 131–220 1.6 12.0–38 287–800 1.5 40–600 345–1500 1.48 25–500 550–900 1.46 40–350 393–938 1.45 70–250 930 1.5 50 220–938 1.45 50–300 468–700

Table 2 Variation in costs per kilogram of some natural lignocellulosic fibers (Faruk et al. 2014)

Natural fibers Abaca Bamboo Coir Cotton Flax Hemp Jute Kenaf Ramie Sisal

Pectins (wt%) – – – – 1.8–2.3 0.9 0.2 0.6 1.9 –

Wax (wt%) 3 – – 0.6 1.5 0.8 0.5 – 0.3 2

Young’s modulus (GPa) 12 17 4–6 5.5–12.6 27.6 70 26.5 53 24.5 9.4–22

Elongation at break (%) 3–10.0 1.4 15–40 7–8 1.2–32 2–4 1.5–1.8 1.6 2–3.8 3–7

Price ($/kg) 1.55–2.55 0.25–0.50 0.20–0.45 1.55–2.20 0.30–1.55 0.30–1.60 0.25–0.30 0.30–0.65 1.55–2.40 0.35–0.65

their cost. The extraction method influences its price because it affects the quality, fineness, geometry, and length (Amel et al. 2013). For instance, fine and long fibers are the most valued, being processed into high-quality yarns for the textile industry

50

Sustainable Materials for Advanced Products

1009

(La Rosa and Grammatikos 2019); on the other hand, thicker and shorter fibers have a lower value and are used in the pulp and composite industry (Tao et al. 2009). Table 2 shows the various factors that influence the market value of the fibers.

3.1.4 Advantages and Disadvantages The development and creation of new bio-composites reinforced with natural fibers have been widely promoted at a global level due to the need to find sustainable alternatives to conventional synthetic fibers (Silva et al. 2008). These artificial fibers, in general, are produced from fossil resources, a non-renewable resource, need more energy for their production, and release highly polluting gases into the environment (Ramamoorthy et al. 2015). Natural fibers, on the other hand, are carbon-neutral due to their high CO2 assimilation rate and can absorb the same amount of CO2 that they produce (Holberry and Houston 2006), making them a key player in the “green” economy (Zhang et al. 2016). Some authors (Shalwan and Yousif 2013; Dhakal et al. 2007) mention that to produce natural fibers, it is required about 17% of the energy needed to produce an equal amount of glass fibers. However, the production, processing, and extraction of natural fibers also have some negative environmental impacts (Khan et al. 2018; Ramamoorthy et al. 2015). Nevertheless, the polluting gas released is significantly higher for artificial fibers than natural fibers. The production of natural fibers offers several advantages over synthetic fibers, as they are a renewable and environmentally sustainable resource (Hashim and Oleiwi 2016), non-toxic, with a low cost and density, fully biodegradable, abundant (Sathishkumar et al. 2013), and available across the globe (Hashim and Oleiwi 2016). But natural fibers have also some disadvantages, like their irregular diameter and shape profile (Khan et al. 2018), their low adhesion to polymer matrices, high moisture absorption promoting fiber degradation, and a reduction to their mechanical properties (Sanjay et al. 2016). Some of these disadvantages can be corrected with subsequent surface treatments and functionalization (Gupta et al. 2020). Concerning artificial fibers, they have higher mechanical properties, greater durability, a regular diameter, and shape; and moisture resistance (Sanjay et al. 2016). However, they are not sustainable, nor degradable, and even, in some situations, they can be toxic being related to several cases of lung diseases (Rapisarda et al. 2015). Table 3 presents a comparison between the properties of natural and synthetic fibers.

3.2

Bio-based Matrixes

Although the mechanical performance of composites depends mainly on fiber reinforcement, the matrix is also responsible for ensuring part of the loads, such as those associated with transversal stresses. In addition, the other functions of the matrix include: (i) maintaining the desired position of fibers; (ii) distributing/transferring the mechanical forces between the fibers; (iii) preventing the bending of the fibers when subjected to compression forces; iv) preserving/protecting the integrity of the fibers from environmental degradation, to ensure their properties. Cellulose derivates, starches, casein, and polylactic acid (PLA) are some examples of biopolymeric matrixes, with potential for the development of innovative and sustainable products.

H. C. Vasconcelos and T. Eleute´rio

1010 Table 3 Comparison between natural and synthetic fiber properties (Sanjay et al. 2016)

Properties Abundance Recyclability Carbon footprint Environmental impact Durability Biodegradability Weight Cost Toxicity Mechanical properties Humidity properties Thermal properties Acoustic properties Interfacial adhesion

Natural fibers Infinite Good Neutral Low Moderate High Low Low Non-toxic Moderate High Moderate Moderate Low

Synthetic fibers Finite Moderate High High High Low Moderate High Toxic High Low High Moderate Moderate

3.2.1 Cellulose Cellulose (C6H10O5) is a natural polysaccharide with a linear structure composed only of β-glucose connected through β-1,4 glycosidic bonds (John and Anandjiwala 2008), with crystalline and amorphous regions throughout it (Parida et al. 2016; Oudani et al. 2008). It’s the most abundant organic polymer that is naturally found in plants, and the main compound of vegetable fibers being in the structure of the primary and secondary walls of the fibers, usually in a percentage aroundnano fibrillated conventional polymers (Mohan and Kanny 2018), having various advantages like low cost, low toxicity; high biodegradability, high biocompatibility; and great thermal, antimicrobial, and mechanical properties. Cellulose can be used in several industries like biomedical (Iqbal et al. 2018), textile, paper, pharmaceutical, cosmetics, and polymeric (Ramamoorthy et al. 2015). There are various derivatives of cellulose such as ethylcellulose, cellulose acetate (Teramoto 2015), hydroxypropyl cellulose, hydroxypropyl methylcellulose (Frey 2008), carboxymethyl cellulose (Iqbal et al. 2018), cellulose nanocrystal (George and Sabapathi 2015), nano fibrillated (Du et al. 2019), nanofibers (Jonoobi et al. 2010), and bacterial cellulose (Esa et al. 2014). Cellulose acetate has been used as the polymer matrix for nanocomposite production, delivering, great mechanical properties and thermal stability (Mohan and Kanny 2018). Ethylcellulose and methylcellulose are used for their antibacterial activity and mechanical properties (Mohan and Kanny 2018; Arfin et al. 2018). Another case is carboxymethyl cellulose, which can be applied in the biomedical strategies for drug delivery in living systems (Iqbal et al. 2018). 3.2.2 Starch Starch is a polysaccharide polymer composed of D-glucose units linked with α-(1, 40)-glycosidic bonds and branched α-(1, 60)-glycosidic bonds (Aung et al. 2018). Depending on the source, starch can have a higher or lower content of amylose and amylopectin, between 10–30% and 70–90%, respectively (Hemamalini

50

Sustainable Materials for Advanced Products

1011

and Dev 2018). It is one of the most abundant polymers in nature being found in plant species parts like tubers (i.e., potatoes), seeds (i.e., corn, rice, wheat, and sorghum), and roots (tapioca) (Aung et al. 2018). The major sources of starches are corn, wheat, sorghum, and potato, containing around 70–80% (Arfin et al. 2018). This biopolymer can be purified from various sources, being commonly used for sustainable applications, due to its availability, low cost, biodegradability, biocompatibility, and water solubility (Iqbal et al. 2018; Arfin et al. 2018). Starch composites and films are generally produced by the casting or extrusion process. In the production of thermoplastic starch-based composites composed of corn starch with glycerol and reinforced with hydrated kaolin, it is used an extrusion process known as melt intercalation with twin screws extruders (Mohan and Kanny 2018), while starch films can be produced by both processes. Starch film properties depend on the amylose and amylopectin content. A higher concentration of amylopectin contributes to lower mechanical properties, contrary, a high amylose content translates to better mechanical properties. Although, if we mix starch with a plasticizer, it is preferable starch with a higher amylopectin content because it improves the reactivity and plasticity of the films (Aung et al. 2018). Some of the disadvantages of using starch as a matrix are its poor moisture barrier and mechanical properties, difficulty in crosslinking, and poor cell adhesion (Iqbal et al. 2018). It is possible to rectify some of these drawbacks with physical and chemical treatments and it is still a biopolymer with a high potential in various industrial sectors, although it needs more research.

3.2.3 Casein Casein is a globular phosphoprotein, commonly found in mammalian milk, composed of four distinct subunits like αs1-, αs2-, β-, and κ-casein (Raval et al. 2009), with the potential to be used in films and composites, and traditionally used to produce fibers, adhesives, paints, and coatings (Cho et al. 2014). Casein is found to be a potential flame-retardant additive, due to its high contents in phosphorus and nitrogen (Zhang et al. 2018). This globular protein can form films easily and form intermolecular hydrogen and electrostatic bonds (Cho et al. 2014). Casein and soybean protein-based thermoplastics have shown that they are suitable for biomedical applications due to their versatility, biodegradation, mechanical, and bioactive properties, although further investigation is needed to enhance their hydrolytic stability (Vaz et al. 2002). Cho et al. (2014) developed casein films reinforced with short cellulose fibers and refer that casein films without the addition of a plasticizer are fragile (Cho et al. 2014). Although with the plasticizer and short cellulose fibers, the casein films became more flexible and with increased mechanical and thermal stability, respectively, making these films suitable for packaging applications. Because of the flame retardant properties of casein, it could be used in biodegradable plastics and textiles (Zhang et al. 2018). 3.2.4 Polylactic Acid Polylactic acid (PLA), an aliphatic polyester synthesized from lactic acid (C3H6O3), is a natural resource obtained from the microbial fermentation of plants like corn,

H. C. Vasconcelos and T. Eleute´rio

1012

sugarcane, tapioca, and sugar beets (van der Harst et al. 2014). It can have different structures which influence its properties (Aung et al. 2018). This material shows interesting properties such as its biocompatibility, low toxicity, biodegradability, great mechanical properties, and thermoplasticity (Mohan and Kanny 2018; Iqbal et al. 2018). To produce PLA from lactic acid, three methods are used: (i) azeotropic dehydration polymerization; (ii) direct condensation of D-lactic acid and/or L-lactic acid; (iii) ring-opening polymerization of lactide (Aung et al. 2018). This polymer can be used in several applications from food packaging and disposable cups and plates (van der Harst et al. 2014) to advanced applications like biomedical, pharmaceutical, and nanocomposites (Mohan and Kanny 2018). According to Iqbal et al. (2018), polylactic acid is a promising material for biotechnological applications such as cell/tissue replacement, bioactive molecule delivery, and medical transplants (Iqbal et al. 2018).

4

Invasive Plant Species: A New Source of Natural Fibers

Invasive vegetable species and vegetable waste from forest management campaigns can be a potential source of fibers that right now do not have any economic value (Eleutério et al. 2017). An example of that is H. gardnerianum (Kahili ginger) (Fig. 4), a species native to central and eastern Nepal (Shrestha et al. 2018), Bhutan (Noltie 1994), Northeast India (Nirola and Das 2017), and northern Myanmar (Tanaka et al. 2016), that, nowadays, it is an invasive species recognized as one of the “One Hundred of the World’s Worst Invasive Alien Species” (Global Invasive Species Database 2021). Its ability to adapt to any environment allowed it to quickly colonize large forest areas and avoid the growth of other plants in its path. Its sticky seeds are easily spread by birds and wind, while the rhizomes form dense coverings in the soil expelling the native species (Cordeiro and Silva 2003; Csurhes and Hannan-Jones 2008). In Azores Archipelago (Atlantic North, Portugal), H. gardnerianum is probably one of the worst environmental threats to its great native biodiversity, dominating Fig. 4 (a) Hedychium gardnerianum species; (b) Landscape in the archipelago of the Azores dominated by H. gardnerianum

50

Sustainable Materials for Advanced Products

1013

large areas of forests and landscapes, due to the mild climate of the islands (Csurhes and Hannan-Jones 2008). The domination of an invasive species causes the degradation of the native biodiversity and promotes the destruction of the ecosystems. Since part of the Azores economy depends on nature tourism if its natural biodiversity disappears it could mean the collapse of this type of tourism in the region. Stopping or delaying the expansion of an invasive plant is an almost impossible and expensive task, so the alternative is to take advantage of its abundance and use it as a source of raw material, fully biodegradable and 100% natural. H. gardnerianum has the potential to be used as a source of natural fibers with interesting properties. Eleutério et al. (2017) did the first characterization of these fibers referring that they have high cellulose content (78–79%), with a high crystallinity index (69.77%), and low moisture absorption due to its low hemicellulose content (4.6–5.7%) (Eleutério et al. 2017). These characteristics lead to high mechanical properties, improved dimensional stability, and interfacial adhesion, making them potential reinforcement for composites and functionalization with TiO2 films (Eleutério et al. 2020). Currently, these fibers are being used as a reinforcement with polylactic acid and functionalized with antimicrobial properties to produce composites for food packaging; and with casein for composites for packaging and disposable objects (cups and plates). Other applications may be the use in intelligent textiles with functionalized fibers capable of responding to various stimuli.

5

Conclusions

There still is an enormous untapped potential for bio-based materials such as natural fibers, cellulose derivatives, starches, casein, polylactic acid, and many others. Each day, new sustainable products are being developed for replacing petro-based products in our daily life. The use of H. gardnerianum fibers can have a positive impact on economic growth and circular economy. It has great properties, like high mechanical properties, improved dimensional stability, low moisture, and interfacial adhesion, which can be advantageous for the production of films, bio-composites, fiberboards, and intelligent textiles. The use of vegetable fibers extracted from unconventional species is in itself a novelty. If we are moving toward a future of the circular economy, where objects can be 100% recyclable and their waste minimized, new sources of bio-based materials are essential for it.

References Alix S, Goimard J, Morvan C, Baley C (2009) Influence of pectin structure on the mechanical properties of flax fibres: a comparison between linseed-winter variety (Oliver) and a fibre-spring variety of flax (Hermes). In: Pectins and pectinases. Wageningen Academic Publishers, p 336 Amel B, Paridah M, Sudin R, Anwar U, Hussein A (2013) Effect of fiber extraction methods on some properties of kenaf bast fiber. Ind Crop Prod 46:117–123. https://doi.org/10.1016/j. indcrop.2012.12.015

1014

H. C. Vasconcelos and T. Eleute´rio

Arfin T, Tarannum A, Sonawane K (2018) Green and sustainable advanced materials: an overview. In: Chapter 1 in green and sustainable advanced materials: applications II. Scrivener Publishing LLC, pp 1–35. https://doi.org/10.1002/9781119528463 Aung S, Shein H, Aye K, Nwe N (2018) Environment-friendly biopolymers for food packaging: starch, protein, and poly-lactic acid (PLA). In: Chapter 8 in Bio-based materials for food packaging. Springer Nature, Singapore, pp 1–33. https://doi.org/10.1201/9780429322129-1 Bismarck A, Mishra S, Lampke T (2005) Chapter 2: plant fibers as reinforcement for green composites. In: Natural fibers, biopolymers and biocomposites, vol 6, pp 37–108. https://doi. org/10.1201/9780203508206.ch2 Bounciu F (2014) The European economy: from linear to a circular economy. Romanian J Eur Aff 14(4):78–91 Callister WD (1997) Materials science and engineering: an introduction. Wiley, New York Chaves LR (2020) A promessa dos bioplásticos. Pesquisa 290:1–2 Chia W, Tang D, Khoo K, Lup A, Chew K (2020) Nature’s fight against plastic pollution: algae for plastic biodegradation and bioplastics production. Environ Sci Ecotechnol 4. https://doi.org/10. 1016/j.ese.2020.100065 Cho S, Skrifvars M, Hemanathan K, Mahimaisenan P, Adekunle K (2014) Regenerated cellulose fibre reinforced casein films: effect of plasticizer and fibres on the film properties. Macromol Res 22(7):701–709. https://doi.org/10.1007/s13233-014-2091-0 Cinar SO, Chong ZK, Kucuker MA, Wieczorek N, Cengiz U, Kuchta K (2020) Bioplastic production from microalgae: a review. Int J Environ Res Public Health 17(11):1–21. https:// doi.org/10.3390/ijerph17113842 Cordeiro N, Silva L (2003) Seed production and vegetive growth of Hedychium gardnerianum Ker-Garler (Zingiberaceae) in São Miguel Island (Azores) Arquipelago. Life Mar Sci 20A:31–36 Csurhes S, Hannan-Jones M (2008) Pest plant risk assessment: Kahili ginger (Hedychium gardnerianum), white ginger (Hedychium coronarium), yellow ginger (Hedychium flavescens). Biosecurity Queensland, Brisbane. 18 p Dhakal HN, Zhang ZY, Richardson M (2007) Effect of water absorption on the mechanical properties of hemp fibre reinforced unsaturated polyester composites. Compos Sci Technol 67(7–8):1674–1683. https://doi.org/10.1016/j.compscitech.2006.06.019 Du H, Liu W, Zhang M, Si C, Zhang X, Li B (2019) Cellulose nanocrystals and cellulose nanofibrils based hydrogels for biomedical applications. Carbohydr Polym 209(4):130–144. https://doi.org/ 10.1016/j.carbpol.2019.01.020 Eleutério T, Pinto AS, Pereira MJ, Vasconcelos HC (2017) Preliminary structural and thermal characterization of Conteira’s (Hedychium gardnerianum) fibers for further functionalization with silica colloidal nanoparticles. Procedia Eng 200:162–169. https://doi.org/10.1016/j.proeng. 2017.07.024 Eleutério T, Pereira MJ, Vasconcelos HC (2018) Effect of extraction method on physicochemical characteristics of Kahili ginger (Hedychium gardnerianum). Fibres Nanotechnol 2(1):1–4 Eleutério T, Sério S, Teodoro O, Bundaleski N, Vasconcelos HC (2020) XPS and FTIR studies of DC reactive magnetron sputtered TiO2 thin films on natural based-cellulose fibers. Coatings 10 (3):61–71. https://doi.org/10.3390/coatings10030287 Esa F, Tasirin SM, Rahman NA (2014) Overview of bacterial cellulose production and application. Agric Agric Sci Procedia 2:113–119. https://doi.org/10.1016/j.aaspro.2014.11.017 European Bioplastics (2020) Bio-based plastics – fostering a resource efficient circular economy. https://docs.european-bioplastics.org/publications/fs/EuBP_FS_Renewable_resources.pdf. Last accessed 18 May 2021 Faruk O, Bledzki AK, Fink HP, Sain M (2012) Biocomposites reinforced with natural fibers: 2000–2010. Prog Polym Sci 37:1552–1596. https://doi.org/10.1016/j.progpolymsci.2012.04.003 Faruk O, Bledzki A, Fink H, Sain M (2014) Progress report on natural fiber reinforced composites. Macromol Mater Eng 299:9–26. https://doi.org/10.1002/mame.201300008

50

Sustainable Materials for Advanced Products

1015

Frey M (2008) Electrospinning cellulose and cellulose derivatives. Polym Rev 48(2):378–391. https://doi.org/10.1080/15583720802022281 Gaustad G, Krystofik M, Bustamante M, Badami K (2018) Circular economy strategies for mitigating critical material supply issues. Resour Conserv Recycl 135(8):24–33. https://doi. org/10.1016/j.resconrec.2017.08.002 George J, Sabapathi SN (2015) Cellulose nanocrystals: synthesis, functional properties, and applications. Nanotechnol Sci Appl 8:45–54. https://doi.org/10.2147/NSA.S64386 Global Invasive Species Database (2021) One hundred of the world’s worst invasive alien species. http://www.iucngisd.org/gisd/100_worst.php. Last accessed 14 May 2021 Gupta U, Dhamarikar M, Dharkar A, Chaturvedi S, Tiwari S, Namdeo R (2020) Surface modification of banana fiber: a review. Mater Today: Proc 43:1–12. https://doi.org/10.1016/j.matpr. 2020.07.217 Hashim AM, Oleiwi JK (2016) Tensile properties distribution of coir natural fiber using Weibull statistics. Eng Tech J 34(6):1080–1087 Hemamalini T, Dev V (2018) Comprehensive review on electrospinning of starch polymer for biomedical applications. Int J Biol Macromol 106:712–718. https://doi.org/10.1016/j.ijbiomac. 2017.08.079 Holberry J, Houston D (2006) Natural fiber reinforced polymer composites in automotive applications. JOM J Miner Soc 58:80–86 Horejs C (2020) Solutions to plastic pollution. Nat Rev Mater 5(641). https://doi.org/10.1038/ s41578-020-00237-0 Huang D, Zhao X (2019) Novel modified distribution functions of fiber length in fiber reinforced thermoplastics. Compos Sci Technol 182(3):107749. https://doi.org/10.1016/j.compscitech. 2019.107749 Iqbal HMN, Rasheed T, Bilal M (2018) Design and processing aspects of polymer and composite materials. In: Chapter 7 in Green and sustainable advanced materials: applications II. Scrivener Publishing LLC, pp 155–191. https://doi.org/10.1002/9781119528463 Jawahir IS, Bradley R (2016) Technological elements of circular economy and the principles of 6R-based closed-loop material flow in sustainable manufacturing. Procedia CIRP 40:103–108. https://doi.org/10.1016/j.procir.2016.01.067 John MJ, Anandjiwala RD (2008) Recent developments in chemical modification and characterization of natural fiber-reinforced composites. Polym Polym Compos 16(2):101–113 Jonoobi M, Harun J, Mathew AP, Hussein MZ, Oksman K (2010) Preparation of cellulose nanofibers with hydrophobic surface characteristics. Cellulose 17:299–307. https://doi.org/10. 1007/s10570-009-9387-9 Kalmykova Y, Sadagopan M, Rosado L (2018) Circular economy – from review of theories and practices to development of implementation tools. Resour Conserv Recycl 135:190–201. https:// doi.org/10.1016/j.resconrec.2017.10.034 Khan T, Sultan MT, Ariffin AH (2018) The challenges of natural fiber in manufacturing, material selection and technology application; a review. J Reinf Plast Compos 37(11):770–779. https:// doi.org/10.1177/0731684418756762 Khoo HH (2019) LCA of plastic waste recovery into recycled materials, energy and fuels in Singapore. Resour Conserv Recycling 145:67–77. https://doi.org/10.1016/j.resconrec.2019. 02.010 La Rosa A, Grammatikos S (2019) Comparative life cycle assessment of cotton and other natural fibers for textile applications. Fibers 7(12):1–12. https://doi.org/10.3390/fib7120101 Liu Z, Adams M, Cote R, Chen Q, Wu R, Wen Z, Liu W, Dong L (2018) How does circular economy respond to greenhouse gas emissions reduction: an analysis of Chinese plastic recycling industries. Renew Sust Energ Rev 91(8):1162–1169. https://doi.org/10.1016/j.rser. 2018.04.038 MacArthur DE (2017) Beyond plastic waste. Science 358(6365):843. https://doi.org/10.1126/ science.aao6749

1016

H. C. Vasconcelos and T. Eleute´rio

Manral A, Bajpai PK (2018) Analysis of natural fiber constituents: a review. In: IOP conference series: materials science and engineering, vol 455, pp 1–6. https://doi.org/10.1088/1757-899X/ 455/1/012115/pdf Mohan TP, Kanny K (2018) Green and sustainable advanced biopolymeric and biocomposite materials. In: Chapter 3 in green and sustainable advanced materials: applications II. Scrivener Publishing LLC, pp 67–93. https://doi.org/10.1002/9781119528463 Nayak S, Heckadka S, Seth A, Prabhu S, Sharma R, Shenoy K (2020) Effect of chemical treatment on the physical and mechanical properties of flax fibers: a comparative assessment. In: Material today: proceedings. pp 1–4. https://doi.org/10.1016/j.matpr.2020.07.380 Nirola S, Das AP (2017) Endemic monocot flora of Darjeeling Himalaya, West Bengal, India. Pleione. 11(1):116–124 Noltie HJ (1994) Flora of Bhutan including record of plants from Sikkim and Darjeeling. R Botanic Garden Edinburgh 3(1):200–205 Oudani A, Chaabouni Y, Msahli S, Sakli F (2008) Effect of the crystalline character on Fiber mechanical properties. In: The fiber society symposium, pp 1–3 Parida C, Dash SK, Das SC (2016) Effect of fiber treatment and fiber loading on mechanical properties of Luffa-resorcinol composites. Adv Sci Lett 22(2):454–457. https://doi.org/10.1166/ asl.2016.6872 Potting J, Hekkert M, Worrell E, Hanemaaijer A (2017) Circular economy: measuring innovation in the product chain. PBL Netherlands Environmental Assessment Agency, PBL Publishers, pp 1–46 Ramamoorthy S, Skrifvars M, Persson A (2015) A review of natural fibers used in biocomposites: plant, animal and regenerated cellulose fibers. Polym Rev 55:107–162. https://doi.org/10.1080/ 15583724.2014.971124 Rapisarda V, Loreto C, Ledda C, Musumeci G, Bracci M, Santarelli L, Rennis M, Ferrante M, Cardile V (2015) Cytotoxicity, oxidative stress and genotoxicity induced by glass fibers on human alveolar epithelial cell line A549. Toxicol In Vitro 29(3):551–557. https://doi.org/10. 1016/j.tiv.2014.12.010 Raval DK, Vyas SK, Parmar JK (2009) A study on composites from phenol-formaldehyde-casein resin. J Appl Polym Sci 115:2838–2846. https://doi.org/10.1002/app.31007 Rizos V, Behrens A, Van der Gaast W, Hofman E, Ioannou A, Kafyeke T, Flamos A, Rinaldi R, Papadelis S, Hirschnitz-Garbers M, Topi C (2016) Implementation of circular economy business models by small and medium-sized enterprises (SMEs): barriers and enablers. Sustainability 8 (1212):1–18. https://doi.org/10.3390/su8111212 Saheb D, Jog J (1999) Natural fiber polymer composites: a review. Adv Polym Technol 18(4):351– 363 Sanchez B, Haas C (2018) Capital project planning for a circular economy. Constr Manag Econ 36 (6):303–312. https://doi.org/10.1080/01446193.2018.1435895 Sanjay M, Arpitha G, Naik L, Gopalakrisha K, Yogesha B (2016) Applications of natural fibers and its composites: an overview. Nat Resour 6:108–114. https://doi.org/10.4236/nr.2016.73011 Sathishkumar TP, Navaneethakrishnan P, Shankar S, Rajasekar R, Rajini N (2013) Characterization of natural fiber and composites – a review. J Reinf Plast Compos 32(19):1457–1476. https://doi. org/10.1177/0731684413495322 Shalwan A, Yousif BF (2013) In state of art: mechanical and tribological behaviour of polymeric composites based on natural fibres. Mater Des 48:14–24. https://doi.org/10.1016/j.matdes.2012. 07.014 Shen L, Worrell E (2014) Chapter 13 – plastic recycling. In: Handbook of recycling, state-of-the-art for practitioners, analysts, and scientists, pp 179–190. https://doi.org/10.1016/B978-0-12396459-5.00013-1 Shrestha KK, Bhattarai S, Bhandari P (2018) Handbook of flowering plants of Nepal. Vol. 1 Gymnosperms and angiosperms: Cicadaceae-Betulaceae. Scientific Publishers, Jodhpur Silva FA, Chawla N, Filho RD (2008) Tensile behavior of high performance natural (sisal) fibers. Compos Sci Technol 68:3438–3443. https://doi.org/10.1016/j.compscitech.2008.10.001

50

Sustainable Materials for Advanced Products

1017

Tanaka N, Ohi-Toma T, Aung M, Murata J (2016) Systematic notes on the genus Hedychi-um (Zingibera-ceae) in Myanmar. Bull Natl Museum Nat Sci, Ser B 42(2):57–66 Tao Y, Li Y, Ren J (2009) Preparation and properties of short natural fiber reinforced poly (lactic acid) composites. Trans Nonferrous Metals Soc China 19(3):651–655. https://doi.org/10.1016/ S1003-6326(10)60126-4 Teramoto Y (2015) Functional thermoplastic materials from derivatives of cellulose and related structural polysaccharides. Molecules 20(4):5487–5527. https://doi.org/10.3390/ molecules20045487 Terrié C, Dobircau L, Gopalakrishnan P, Galandon A, Saiah R, Gattin R, Leblanc N, Saiter JM (2010) Biodegradable materials from agro-based by-products. Macromol Symp 290(1):132– 136. https://doi.org/10.1002/masy.201050415 van der Harst E, Potting J, Kroeze C (2014) Multiple data sets and modelling choices in a comparative LCA of disposable beverage cups. Sci Total Environ 494–495:129–143. https:// doi.org/10.1016/j.scitotenv.2014.06.084 Vaz VM, Fossen M, van Tuil RF, de Graad LA, Reis RL, Cunha AM (2002) Casein and soybean protein-based thermoplastics andcomposites as alternative biodegradable polymers forbiomedical applications. J Biomed Mater Res 65A:60–70. https://doi.org/10.1002/jbm.a. 10416 Weiss M, Haufe J, Carus M, Brandão M, Bringeze S, Hermann B, Patel M (2012) A review of the environmental impacts of biobased materials. J Ind Ecol 16(s1):169–181. https://doi.org/10. 1111/j.1530-9290.2012.00468.x Zhang X, Jain S, Li J, Verma D (2016) Natural fibers for the production of green composites. In: Chapter 1 in green approaches to biocomposite materials science and engineering. IGI Global, p 332. https://doi.org/10.4018/978-1-5225-0424-5.ch001 Zhang S, Jin X, Gu X, Chen C, Li H, Zhang Z, Sun J (2018) The preparation of fully bio-based flame retardant poly(lactic acid)composites containing casein. J Appl Polym Sci 46599:1–9. https://doi.org/10.1002/APP.46599

Applying Data Analytics in Food Security

51

Sin Yin Teh, Theam Foo Ng, and Shir Li Wang

Contents 1 2 3 4 5 6 7 8

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Food Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . What Is Data Analytics? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Data-Driven Decision-Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Data Analytics Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Types of Analytics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Predictive Analytics in Food Safety for Food Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Role of Crop Yield in Ensuring Sustainable Food Security from Machine Learning Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Steps for Data Analytics in Food Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1020 1021 1022 1023 1025 1026 1027 1029 1031 1032 1032

Abstract

Technology advancement enables food security system to interact with various sources of digital data in a faster, cheaper, and better way to support analyticsbased decision-making in the global community. This chapter starts with the definition of food security and data analytics. Next, the sciences of data-driven decision-making framework using food security data to develop models, enhance decisions, and convert into value are discussed. Four pillars which can support S. Y. Teh (*) School of Management, Universiti Sains Malaysia, Minden, Penang, Malaysia e-mail: [email protected] T. F. Ng Centre for Global Sustainability Studies, Universiti Sains Malaysia, Minden, Penang, Malaysia e-mail: [email protected] S. L. Wang Department of Computing, Faculty of Art, Computing and Creative Industry, Universiti Pendidikan Sultan Idris, Tanjong Malim, Perak, Malaysia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_52

1019

1020

S. Y. Teh et al.

end-to-end analytics processes, namely acquisition, organization, analysis, and delivery complement the framework. Both the principles of data analytics framework and four types of analytics (descriptive, diagnostic, predictive, and prescriptive) in precision agriculture would solve the challenges of food security. The discussion on predictive analytics in food safety reveals that researchers have successfully adopted new technologies to improve food security by raising crop yields. Machine learning is a promising solution to facilitate and sustain crop yields globally. The nine steps of data analytics addressing food insecurity for actionable insights are elaborated. Data analytics are integrated into food security to achieve Sustainable Development Goal (SDG) Target 2.1 to stop hunger and safeguard food accessibility by the global community and SDG Target 2.2 to stop entire forms of malnutrition. This chapter paves the way for future research in the development of data analytics in food security. Keywords

Data analytics · Data driven · Decision-making · Food security · Predictive analytics · Sustainable

1

Introduction

The United Nations (1974) defined food security as the “availability at all times of adequate world food supplies of basic foodstuffs to sustain a steady expansion of food consumption and to offset fluctuations in production and prices.” However, much has transformed since 1974 when Food and Agriculture Organization (FAO) officially started reporting world hunger statistics. The world population in urban areas is constantly increasing and is estimated to rise 68% by 2050. This is less than a decade away from the United Nation’s “2030 Agenda for Sustainable Development” which envisions humans achieve food security and stay in a world free of hunger and malnutrition (FAO et al. 2020). The latest official report about food security “The State of Food Security and Nutrition in the World 2020” was jointly compiled by FAO of the United Nations, the International Fund for Agricultural Development (IFAD), the United Nations Children’s Fund (UNICEF), the World Food Programme (WFP), and the World Health Organization (WHO). The Sustainable Development Goals (SDGs) 2.1 and 2.2 are implemented by the United Nation’s “2030 Agenda for Sustainable Development” as common global goals to end hunger and poverty (FAO et al. 2020). There is a total of 17 integrated SDGs. Goal 2 emphasizes Zero Hunger. Life-threatening hunger and malnutrition are massive impediments to development in several countries. Therefore, SDG 2 aims to end all kinds of hunger and malnutrition by 2030. In other words, it is to ensure all global citizens have enough nutritious food all year long. The solution includes implementing digital technology to advance agricultural productivity. Digital technology transforms exponentially making the global economy more interconnected. This brings changes to the global food supply chain and affects food

51

Applying Data Analytics in Food Security

1021

production, distribution, and consumption. A paradigm shift is beginning to emerge during this Coronavirus (COVID-19) pandemic. It is creating a dynamically connected global data ecosystem for food security. This would transform the digital data in the entire food security system. Analytics which would support this effort with agility and adaptability. The links between data analytics and food security are discussed in this chapter.

2

Food Security

Scholars and policy makers have variously defined food security. There are about 200 food security definitions in publications, articles, press statements, media, etc. (Maxwell and Frankenberger 1992). Some of the most accepted official definitions for food security are chronologically summarized in Table 1. The similarities and differences in the definitions signify a revolution of food security over time. Table 1 Definitions of food security Author (Year) United Nations (1974)

Food and Agriculture Organization (1983) World Bank (1986)

Food and Agriculture Organization (1996)

Food and Agriculture Organization of the United Nations (2003)

World Food Programme (2009) United States Department of Agriculture (2010) FAO et al. (2019)

Source: Author’s own table

Definition “Availability at all times of adequate world food supplies of basic foodstuffs to sustain a steady expansion of food consumption and to offset fluctuations in production and prices.” “Ensuring that all people at all times have both physical and economic access to the basic food that they need which balanced between the demand and supply side.” “Access of all people at all times to enough food for an active, healthy life which focused on the temporal dynamics of food insecurity.” “Food security, at the individual, household, national, regional, and global levels [is achieved] when all people, at all times, have physical and economic access to sufficient, safe and nutritious food to meet their dietary needs and food preferences for an active and healthy life.” “Food security is a situation that exists when all people, at all times, have physical, social and economic access to sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active and healthy life.” “A condition that exists when all people, at all times, are free from hunger.” “People consuming less than 2100 kcal per day.” “Adequate access to food in both quality and quantity based on the dimensions of availability, utilization, and stability.”

1022

S. Y. Teh et al.

The latest official definition of food security is recorded as “adequate access to food in both quality and quantity based on the dimensions of availability, utilization, and stability” (FAO et al. 2019). FAO et al. (2019) categorized food security definition into three levels: (i) severe food insecurity where people finished food and starving for at least a day; (ii) moderate food insecurity where people feel incapable of getting food and compromised on food quantity and food quality; and (iii) food security where people have access to enough quantities of quality food consistently. This 2019 report is different from earlier ones, because it estimates the measure of moderate or severe food insecurity according to the Food Insecurity Experience Scale (FIES) in SDG indicator 2.1.2. The FIES index offers a new viewpoint about global food insecurity where the biggest aim is to ensure adequate and nutritious food to meet the needs of global citizens.

3

What Is Data Analytics? The discovery of meaningful patterns in data is one of the steps in the data life cycle of collection of raw data, preparation of information, analysis of patterns to synthesize knowledge and action to produce value. (National Institute of Standards and Technology [NIST] 2015)

The end-to-end analytics process starts from data collection and follows with data mining and transformation. After data analysis, the results are interpreted and reported. In the context of data, information, knowledge, and wisdom (DIKW), data is formulated as a signal that is not useful until it is transformed into a desired usable form (Rowley and Hartley 2006). Figure 1 shows a DIKW pyramid with analytics making sense of raw data by fusing them into information, knowledge, and wisdom for controlled use.

Fig. 1 DIKW pyramid. (Source: Author’s own figure)

51

Applying Data Analytics in Food Security

1023

The following example describes how the DIKW pyramid turns raw data to information and then synthesizes information into knowledge followed by wisdom during the data analytics process. • Data (raw groups of symbols) – “20210520,” “Muhammad Hadi,” “Moderate.” • Information (data in context) – 2021-04-01 is a Date, Muhammad Hadi is a Person, Moderate food insecurity. • Knowledge (linking and transforming information) – 2021-05-20 is Muhammad Hadi’s date of birth, and Muhammad Hadi is experiencing moderate food insecurity. • Understanding – Muhammad Hadi's birthday is May 20. Muhammad Hadi is probably facing uncertainties about his ability to obtain food. • Wisdom – Buy Muhammad Hadi a meal for his birthday and he will be very happy.

4

Data-Driven Decision-Making

The recent modern technology advancement fosters data-driven decisions and makes it a vital part and parcel of organizations or individuals. Bertsimas et al. (2016) proposed the sciences of data-driven decision-making framework using data to develop models, enhance decisions, and add value to an institution or individual (see Fig. 2). The journey of “data-model-decision-value” begins with transforming data from the data source. Data play the main role in solving real world issues, and the model plays a supporting role to assist problem-solving. Data and model are leveraged to make insightful decisions which would ultimately be converted into results bringing value to performance or productivity. These start small, envision big, and allow fast learning. A vital initial step in data analytics is to determine types of interest variables, gather and extract data, and explore the relationships between variables. The development of a predictive model would follow. The selection of a model depends on the aforementioned variables of interests and types of research questions. The associated

Fig. 2 Data-driven decision-making framework. (Source: Author’s own figure)

1024

S. Y. Teh et al.

risk of the model is examined because of the uncertain accuracy of the model predictions Organizations or individuals derive genuine value from making datadriven decisions. Data-driven decision-making would yield solutions with greater competitive advantage. The aim is to enhance food security and produce food more efficiently. Data is the information obtained from users. Mohanty et al. (2013) classified data based on three characteristics: (i) composition, (ii) context, and (iii) conditions. Composition is “the data structure such as source of data, type of data, and nature of the data.” Context refers to the way “data is generated, the events related to the data, and level of data sensitivity.” Condition is the data status whether it is prepared for analysis or requires some data cleansing and preparation. Further, composition is about the food security data whether it is static or real-time data; context is about food security data having high definitional sensitivity and must be sensitively defined based on a country’s specific conditions to reflect local diversity; and condition is about following some standards when collecting food security data from various countries. In addition, one of the first tasks in a data analytics project is to go through the data structure and normalize the data to ensure variables are measured consistently. Today, data is more accessible than ever before. There are many approaches to access the internet. Hence data collection and storage have become progressively challenging. It is tough to make sense of pure data points from the wide array of data available. For example, FAO et al. (2020) reported that data are not available to update parameters to estimate the prevalence of undernourishment (PoU) for all countries annually. An example was when the United Nations had no access to the parameter of inequality in food consumption for China. It is imperative to include China because it holds 20% of the global population and her food security data are likely to impact global estimation. Solomatine and Ostfeld (2008) mentioned that a model is data driven when built according to the data analytics of a particular system. The purpose is to explore the relationships between input and output variables. The process to construct a model starts from problem investigation, data collection, model selection, model building, model testing, and validation. There are four common types of models, namely classification, association, regression, and clustering. Classification refers to a predictive modelling problem where a class label is assigned for a given input data point. Association rule uses if-then statements for discovering relationships between variables in large datasets which are applied in predictions. Regression is a supervised learning technique for finding the correlation between variables and estimating actual value related to the independent variables. Clustering is an unsupervised machine learning technique to determine and divide data points in large datasets into several groups such that data points are more similar to others in the same group but differ from the data points in other groups. For example, Gulliford et al. (2004) used regression and classification to study the household food security in the Caribbean community. The logistic regression shows a significant relationship between food insecurity and reduced consumption of green vegetables. The classification grouped the data points into “food insecurity without hunger” and “food insecurity with hunger.”

51

Applying Data Analytics in Food Security

1025

Data-driven insights motivate data-driven decision-making. Practitioners are confronted with humongous data, and they search for meaningful insights for actionable decisions which are usually elusive. Moreover, not all insights are actionable. Actionable insights should be straightforward, important, and executable actions. It is also essential to track expected or unexpected changes with the execution. This is to check whether the original initiatives are working or if adjustments are further needed. The goal of data analytics is to determine which dataset is useful and how they can be leveraged to solve problems. Data-driven modelling technique should reveal the optimal model for a problem and bring value to organizations or individuals by increasing efficiency, productivity, and revenue. From the food security perspective, the decision-making value could be nutritional value. For example, data analytics provide insights to a significant discrepancy in dietary energy intake among people with food security and those with moderate food insecurity in certain countries. The results show that people with high consumption of highly processed and energydense food had minimal nutritional value (Popkin et al. 2012). Gartner Research (2017) proposed four pillars which can be used to support endto-end analytics processes, namely acquisition, organization, analysis, and delivery. These four pillars can complement data-driven decision-making framework in Fig. 2. The data acquisition pillar discusses the status of the data such as data at rest, data in motion, or data in use. Food data can be acquired from external source such as raw food suppliers and internal source of the food producers. The organization pillar is about data warehouse, data lake, lakehouse, data governance, and metadata management. Data warehouse has evolved towards lakehouse which merged the data warehouse and data lake for better data management. It facilitates food specialists to perform machine learning on all data flexibly, cost effectively, and conveniently. It is also crucial to centralize metadata management. Metadata with regards to food products would include nutritional facts, country of origin, and content of ingredients. Analysis pillar focuses on advanced analytics such as descriptive, diagnostics, predictive, and prescriptive, as well as techniques such as machine learning, deep learning, and random forest. Augmented analytics is also incorporated into the analysis pillar. Delivery pillar concentrates on reporting, visualization, dashboard, and storytelling. The main purpose is monitoring and managing data over time to sustainably improve diet and nutrition in the food system. The food system dashboard combines data from public and private sources to give decision makers a full view of the food system. Decision makers could compare elements of the food system between provinces or counties (Fanzo et al. 2020).

5

Data Analytics Framework

As mentioned earlier, data analytics start with the collection, organization, and manipulation of data, and it is supported by four major components shown in Fig. 3. Descriptive analytics is the simplest and least value type of analytics.

1026

S. Y. Teh et al.

Fig. 3 Data analytics framework. (Source: Author’s own figure)

It explains what has happened to a situation. Diagnostic analytics is slightly difficult but of higher value to organizations or individuals. It is used to describe why certain events happened. Predictive analytics is widely used, and it brings higher value although it is more difficult. It forecasts what will happen in the future. Prescriptive analytics bring highest value, but it has the highest level of difficulty among the four types of data analytics. It foresees how we can make an event happen (Evans 2019). When analytics move from descriptive to predictive to prescriptive, it can be observed that the analytics process is moving from hindsight which recorded past data to insight which deepens understanding from the data, and then to foresight which vigorously plans using insights (Ghasemaghaei et al. 2016).

6

Types of Analytics

Smart agriculture provides creative and innovative solutions to food security problems. According to Shekhar et al. (2017), smart agriculture is a hybrid of “computing components such as global positioning systems, sensors to screen soil and crop health, computerized map visualization to learn inter- and intra-field variations, spatial and temporal databases to gather and load farm data, spatial statistical analysis to explain management zones, and spatial decision support systems to optimize crop yield while protecting natural and farm resources.” The above components and facilities support service operations management as well as decision-making at various analytical levels such as descriptive, diagnostic, prescriptive, and predictive (Shekhar et al. 2017): • Descriptive Analytics – Quantitative assessment of past business results. – Give descriptive statistics summary about what took place in the past.

51

Applying Data Analytics in Food Security

1027

– Communicate datasets through pattern recognition or images and text transformation into numbers. – Common statistics, exploratory data analysis, visualization, standard report, dashboard, or scorecard. – For example, applications of smart farming and robotic high-throughput phenotyping such as collect data to distinguish correlations under spatial variability and temporal variability for the types of soil, crop, and weather, and determine stressors and traits that must be controlled. • Diagnostic Analytics – Examines data to understand the reasons of something in the past. – A deep dive into data to explore for valuable insights. – Data discovery, correlations, drill-down techniques, and data mining. – For example, discover the interactions among soil, climate, and harvest frequency for yield performance. • Predictive Analytics – Quantitative methods to predict new outcomes. – Statistical methods including data mining, predictive modelling, and machine learning are applied to explore data to make predictions about future or unknown quantities of interest. – After a model that reasonably fits past data is developed, it is used to predict what could happen in the future or where data is not yet available. – Regression, forecasting, prediction, classification, association, random forest, and deep learning. – For example, past data of soil, climate, and yields are modelled to forecast crop yield for a particular year. • Prescriptive Analytics – Quantitative methods to make better decisions. – Comprises constrained optimization models which are based on a set of underlying assumptions to make a recommendation for action. – Monte Carlo simulation, optimization, machine learning, neural networks, decision trees, and deep learning. – For example, prescriptive analytics using past data and associated map of individual traits for making decisions about agricultural management intervention.

7

Predictive Analytics in Food Safety for Food Security

The fourth industrial revolution poses substantial social and economic opportunities and challenges regarding food production, food processing, food safety, and food security. These demand reasonable predictive analytics approaches that define guidelines and benchmarks to support the societal transformation in food security issues. The FAO et al. (2020) report supplements the traditional review of food security and nutrition, and it describes the food security of the world into 2030 assuming the constant development from past decades. In fact, the projections reveal

1028

S. Y. Teh et al.

that the world is off target to reach Zero Hunger by 2030. Notwithstanding there is progress, most of the indicators would fail to achieve global nutrition targets. Unfortunately, the food security and nutrition of the vulnerable population could deteriorate because of the impact of COVID-19 pandemic on health and the socioeconomy. Predictive analytics attempt to forecast the future based on various parameters of current data using data mining, statistical modelling, machine learning, and artificial intelligence (Kumar and Ram 2021). Academic research and policy proposals targeted to achieve food security can benefit greatly from new development in predictive analytics. Predictive analytics can be applied to predict supplies to minimize food waste problem (Arunraj and Ahrens 2015; Garre et al. 2020). It is suitable to model the worst-case scenario impact on natural food resources availability (How et al. 2020). Predictive analytics are also used in food safety for prediction of F&B product quality attributes (Qiu and Wang 2017; Xu et al. 2019). These make predictive analytics valuable to society. Globally the recent forecast for increasing food security shows a large unpredictable supply of new crops along with unanticipated changes in economics, politics, climate, and the environment. These indicate rising food demand worldwide is facing many challenges. For example, weather fluctuations influence global crop yield predictions. Nonetheless, the development of digital agriculture and its associated advanced technology have commenced with some new data analytics-related opportunities (Darijani et al. 2019; Kleineidam 2020; Onyeneke et al. 2019). The technological advances in predictive analytics using sensor facilities, computer vision, signal processing and robotics, artificial intelligence, and machine learning have supported the food safety of crop yield, food production, and food distribution. Predictive analytics using artificial intelligence allows farmers to cultivate with high quality crop yields per hectare. Predictive analytics of crop diseases using artificial intelligence allows early detection of the diseases and corrective actions can be taken by robots. Predictive analytics via optimization could maximize agricultural inputs and returns based on supply and demand forecast. For instance, smart agriculture estimates the precise amount of fertilizers required by the soil in a farm to prevent the discharge of excessive greenhouse gas while increasing crop yields. These new analytics technologies can play a crucial role in creating livelihood among the rural poor especially helping farmers who own small plots of land to cultivate a more sustainable food system (How et al. 2020). With a rising food demand, it mandates greater food security and safety. Several swift and efficient analytics approaches have been integrated with technologies to fulfill the needs of the food industry for food safety and quality. Among these, Membré and Lambert (2008) demonstrated the applications of predictive analytics in supporting food safety decisions. Microbiology prediction in Nestlé and Unilever manufacturing production cover a wide range of food safety applications ranging from formulation and process design to customer safety risk appraisal. With datadriven decisions, food manufacturing operations could, for example, create in-factory heating regimes, plan for hazard analysis and critical control points (HACCP), gauge effects of process variations on microbiological safety and food

51

Applying Data Analytics in Food Security

1029

product quality. Tamplin (2018) discussed application of predictive models and sensors in a complex supply chain management. Innovation is achieved in both supply chain logistics and food safety management by integrating sensors which transfer real-time data to predictive models for perishable foods. Manthou et al. (2020) studied about “Application of spectroscopic and multispectral imaging technologies on the assessment of ready-to-eat pineapple quality.” They appraised the predictive power of the pairing of sensors with machine learning algorithms to evaluate the quality of the pineapple. A deeper discussion on predictive analytics in food safety indicates that researchers have successfully adopted new technologies to improve food security and raise crop yields. There is no one predictive analytics method which is superior for all cases. The choice of a predictive analytics technique depends on various factors such as variety, velocity, volume, veracity, and value of the data. Some predictive analytics techniques popularly used in food industry include machine learning and regression analysis while data mining, predictive modelling, and simulation are used sparingly.

8

The Role of Crop Yield in Ensuring Sustainable Food Security from Machine Learning Perspective

Learning about the factors influencing global crop yield is important for the development of food security. In the era of digital technology, crop yield predictions are widely dependent on machine learning as a decision support tool. Machine learning is a division of artificial intelligence which focuses on the use of data and algorithms. It is a useful method to accurately predict crop yield based on numerous inputs. Based on the outcomes of several machine learning algorithms, machine learning predictions would help farmers and crop producers decide which plant would be most optimal to cultivate for a given season. Accessibility to a variety of big data sources enable data analysts to leverage unstructured or atypical data sources in decision-making (Du et al. 2019). Additionally, scholars can gain valuable insights by merging various types of data such as a hybrid of questionnaire data and geospatial data (Pokhriyal and Jacques 2017). The present literature on food security have leveraged newly established machine learning algorithms in a variety of real-life applications. These real-life machine learning applications are executed to enhance decision-making for individuals (Hossain et al. 2019) as well as for nations and the world (Christensen et al. 2018; Pokhriyal and Jacques 2017; Vega et al. 2017). Machine learning can detect trends, similarities, and find information from datasets. The models are trained using datasets, and the results could be interpreted based on experience. The crop yield prediction model is constructed using a variety of features such as a model parameter which calculates the historical data during the learning process. During the evaluation phase, food datasets which are not used during the learning process are tested in the performance assessment phase. Based on the problem and objectives, the machine learning model could be descriptive or

1030

S. Y. Teh et al.

predictive. Crop yield descriptive models are mainly applied to gain knowledge from the food data gathered and to describe the situation, while the predictive models are employed to make future projections (Alpaydin 2020). Accuracy of crop yield prediction is a complex issue in smart farming. For an accurate projection of crop yield predictive model, machine learning encounters various obstacles in the construction. It is essential to choose the right machine learning algorithms to answer the main research question. In addition, the big data system must have the ability to handle big data velocity and variety. There are still several issues despite several models have been trained and validated. One of the issues is the need to collect various datasets because crop yield is influenced by multiple elements such as atmospheric conditions, soil, fertilizers, and seeds variety (Xu et al. 2019). There are many crop yield prediction models that can accurately estimate actual yield (Filippi et al. 2019). Klompenburg et al. (2020) conducted a “systematic literature review on the crop yield prediction using machine learning.” A total of 567 journals about crop yield prediction were retrieved from Science Direct, Scopus, Web of Science, Springer Link, Wiley, and Google Scholar databases to obtain and integrate the algorithms and elements studied in crop yield prediction. Out of the 567 articles, 50 employed inclusion and exclusion conditions for advanced analysis. The results revealed that artificial neural networks are the highly preferred machine learning algorithms in crop yield prediction modelling. Whereas the most applied elements are temperature, rainfall, and types of soil. In addition, the authors also analyzed 30 deep learningbased articles related to crop yield. The finding indicates that convolutional neural networks are the most highly applied deep learning algorithm followed by long shortterm memory and deep neural networks. However, the study could not identify the best model. Generally, machine learning models significantly show high usage compared to others. The most regularly applied models are the random forest, neural networks, linear regression, and gradient boosting tree. Most of the research employed multiple machine learning models before choosing a model for a best prediction accuracy. A satellite is a good device to complement and further enhance data analytics capability of machine learning in crop yield prediction. Satellite imagery has become a beneficial tool that can be used to track the status of crop yield prediction in real time ranging from small to large domain (Schwalbert et al. 2020). For example, Gómez et al. (2019) built a model for potato yield prediction using satellite remote sensing. As a matter of fact, machine learning models could have applications in food security beyond crop yields such as aquaculture and livestock. In summary, machine learning is a promising solution to facilitate crop yields in ensuring sustainable food security at the global level. Ending hunger, achieving food security, and promoting sustainable agriculture fall under SDG Target 2. It is noteworthy that Fischer et al. (2014) projected crop yield would be 60% higher in 2050 compared to 2010. Machine learning helps to ensure advancement in crop yield is sustainable with no significant price increases. It also helps to predict which food products should be marketed and which should be neglected. For example, machine learning can save cost and time, accelerate the pace of research and development for new sustainable crop protection products. In the last five decades, crop yields have

51

Applying Data Analytics in Food Security

1031

significantly improved not only due to technology development such as mechanization, organic and chemical fertilizers, irrigation, weed and pest control, and crop breeding (Obsie et al. 2020) but also contributed by advanced data analytics such as machine learning and deep learning.

9

Steps for Data Analytics in Food Security

Current food insecurity problems provide many opportunities for governments, nongovernmental organizations (NGOs), and other stakeholders to become more analytical and data driven. In following the data analytics steps, bulk data could be turned into informative insights for making valuable decisions. The nine steps for data analytics could be executed in food insecurity data analytics process to turn data into actionable information. They are listed as follows (Evans 2019): 1. Identify the problem and the stakeholders. Example: How can we reduce global food insecurity while minimizing costs? Citizens experience severe food insecurity or moderate food insecurity; community, government, NGO, and specialists from FAO, IFAD, UNICEF, WFP, and WHO can be involved. 2. Determine type of data needed and database to store data. Example: quantitative, qualitative, structured, unstructured, food bank, data lake, lakehouse. There are 3 food bank datasets and 18 hunger datasets stored in http://data.world. 3. Create a proposal of data analysis. Example: What to measure, how to measure, regionally or globally? 4. Extract, transform, load (ETL) the data. Example: extracts heterogeneous sources of data; transform data into proper storage format; and load data into the target data lake or data mart. 5. Perform data preparation before data analysis. Example: removes major errors, duplicates, and outliers; structure the data; filling in major gaps from various data sources. 6. Analyze and interpret the data. Example: analyzes data qualitatively and quantitatively based on the dimensions of availability, utilization, and stability; conduct various analyses to obtain insights. Focus on the four types of data analytics: descriptive, diagnostic, predictive, and prescriptive. 7. Visualize the data. Example: United Nations food system dashboard (see http://www. foodsystemsdashboard.org/), infographic diagrams to present the key findings, visualization tools. 8. Disseminate the new knowledge. Example: communicates the insights, “The State of Food Security and Nutrition in the World” report (FAO et al. 2020). 9. Implement the knowledge in the community.

1032

S. Y. Teh et al.

Example: recommends precision farming to the community; design food systems dashboard to assist decision makers understand their food systems; and develop food system data for improving diets and nutrition. It is notable that the nine steps in the data analytics can be applied to new and old food security cases to uncover a variety of insights, discover new trends, and sometimes to confirm or disprove existing ideas. They are meant to be put in place, automated to the extent possible, and continually improved and refined over time.

10

Conclusion

Technologies advancement enables food security system to interact with various sources of digital data in a faster, cheaper, and better way to support analytics-based decision-making within the global community. Data analytics view data in a way that can help us to turn insights into positive actions. The links between data analytics and food security are discussed in this chapter. This chapter strongly supports food security must be fully leveraged on data analytics as the means to address the issues of food insecurity, hunger, and malnutrition. Globally data-driven decision analytics such as smart farming significantly contribute to food security from crop yield forecasting to natural resources (such as water and fertilizer) optimization in the farm. Crop science research must perform speedily to feed a rising world population. In addition, designing food systems dashboard to assist decision makers understand their food systems and developing food system data for improving diet and nutrition are equally important in the effort to achieve SDG Target 2.1 ending hunger and ensuring access to food by the global community, and SDG Target 2.2 stopping entire forms of malnutrition. In other words, with the present data analytics in terms of descriptive, diagnostic, predictive, and prescriptive, practitioners could make data-driven decisions which would contribute to the future of sustainability of food security such as food availability, utilization, stability, accessibility, and consumption from the local to the planetary level. The scope of this study focuses on food security for all people worldwide. COVID-19 pandemic is expected to worsen child malnutrition. Thus, future studies can focus on investigating the application of data analytics in children food security. Acknowledgment The work that led to the publication of this chapter was funded by the Universiti Sains Malaysia Research University (RUI) Grant, No. 1001/PMGT/8011118. This research is conducted while the corresponding author is on sabbatical leave.

References Alpaydin E (2020) Introduction to machine learning, 4th edn. The MIT Press Arunraj NS, Ahrens D (2015) A hybrid seasonal autoregressive integrated moving average and quantile regression for daily food sales forecasting. Int J Prod Econ 170:321–335 Bertsimas D, O’Hair A, Pulleyblank W (2016) The analytics edge. Dynamic Ideas LLC

51

Applying Data Analytics in Food Security

1033

Christensen AJ, Srinivasan V, Hart JC, Marshall-Colon A (2018) Use of computational modeling combined with advanced visualization to develop strategies for the design of crop ideotypes to address food security. Nutr Rev 76(5):332–347 Darijani F, Veisi H, Liaghati H, Nazari M, Khoshbakht K (2019) Assessment of resilience of pistachio agroecosystems in Rafsanjan plain in Iran. Sustainability 11:1656 Du Y, Gebremedhin AH, Taylor ME (2019) Analysis of university fitness center data uncovers interesting patterns, enables prediction. IEEE Trans Knowl Data Eng 31(8):1478–1490 Evans JR (2019) Business analytics, 3rd edn. Pearson, London Fanzo J, Haddad L, McLaren R, Marshall Q, Davis C, Herforth A, Jones A, Beal T, Tschirley D, Bellows A, Miachon L, Gu Y, Bloem M, Kapuria A (2020) The food systems dashboard is a new tool to inform better food policy. Nature Food 1:243–246 FAO, IFAD, UNICEF, WFP, WHO (2019) The state of food security and nutrition in the world 2019: safeguarding against economic slowdowns and downturns. Food and Agriculture Organization of the United Nations, Rome FAO, IFAD, UNICEF, WFP, WHO (2020) The state of food security and nutrition in the world 2020: transforming food systems for affordable healthy diets. Food and Agriculture Organization of the United Nations, Rome Filippi P, Jones EJ, Wimalathunge NS, Somarathna PDSN, Pozza LE, Ugbaje SU, Bishop TFA (2019) An approach to forecast grain crop yield using multilayered, multi-farm data sets and machine learning. Precis Agric:1–15 Fischer T, Byerlee D, Edmeades G (2014) Crop yields and global food security: will yield increase continue to feed the world? Grains Research & Development Corporation, Australia Food and Agriculture Organization (1983) World food security: a reappraisal of the concepts and approaches. Director Generals Report, Rome. Food and Agriculture Organization (1996) The state of food and agriculture – food security: some macroeconomic dimensions. Director Generals Report, Rome Food and Agriculture Organization of the United Nations (2003) Trade reforms and food security: conceptualizing the linkages. Rome, Food and Agriculture Organization of the United Nations, p 313 Garre A, Ruiz MC, Hontoria E (2020) Application of machine learning to support production planning of a food industry in the context of waste generation under uncertainty. Oper Res Perspect 7:100147 Gartner Research (2017) Solution path for planning and implementing a data and analytics architecture. https://www.gartner.com/en/documents/3738069/solution-path-for-planning-andimplementing-a-data-and-a. Accessed 19 May 2021 Ghasemaghaei M, Ebrahimi S, Hassanein K (2016) Generating valuable insights through data analytics: a moderating effects model. In: Proceedings of the 37th international conference on information system, Dublin, Ireland Gómez D, Salvador P, Sanz J, Casanova JL (2019) Potato yield prediction using machine learning techniques and sentinel 2 data. Remote Sens 11(15):1745 Gulliford MC, Mahabir D, Rocke B (2004) Reliability and validity of a short form household food security scale in a Caribbean community. BMC Public Health 4(1):1–9 Hossain M, Mullally C, Asadullah MN (2019) Alternatives to calorie-based indicators of food security: an application of machine learning methods. Food Policy 84:77–91 How ML, Chan YJ, Cheah SM (2020) Predictive insights for improving the resilience of global food security using artificial intelligence. Sustainability 12:6272 Kleineidam J (2020) Fields of action for designing measures to avoid food losses in logistics networks. Sustainability 12:6093 Klompenburg TV, Kassahun A, Catal C (2020) Crop yield prediction using machine learning: a systematic literature review. Comput Electron Agric 177:105709 Kumar V, Ram M (2021). Predictive analytics modeling and optimization. Boca Raton: CRC Press, Taylor & Francis Group Pub

1034

S. Y. Teh et al.

Manthou E, Lago S, Dagres E, Lianou A, Tsakanikas P, Panagou EZ, Aanstasiadi M, Mohareb F, Nychas GJE (2020) Application of spectroscopic and multispectral imaging technologies on the assessment of ready-to-eat pineapple quality: a performance evaluation study of machine learning models generated from two commercial data analytics tools. Comput Electron Agric 175:105529 Maxwell S, Frankenberger T R (1992) Household food security: concepts, indicators measurements: a technical review. United Nations Children’s Fund, New York, pp 274 Membré J, Lambert RJW (2008) Application of predictive modelling techniques in industry: from food design up to risk assessment. Int J Food Microbiol 128(1):10–15 Mohanty S, Jagadeesh M, Srivatsa H (2013) Big data imperatives: enterprise big data warehouse, BI implementations and analytics. Apress National Institute of Standards and Technology (NIST) (2015) NIST big data interoperability framework: Volume 1, Definitions. U. S. Department of Commerce Obsie Y, Qu H, Drummond F (2020) Wild blueberry yield prediction using a combination of computer simulation and machine learning algorithms. Comput Electron Agric 178:105778 Onyeneke R, Nwajiuba C, Igberi C, Umunna Amadi M, Anosike F, Oko-Isu A, Munonye J, Uwadoka C, Adeolu A (2019) Impacts of caregivers’ nutrition knowledge and food market accessibility on preschool children’s dietary diversity in remote communities in Southeast Nigeria. Sustainability 11:1688 Pokhriyal N, Jacques DC (2017) Combining disparate data sources for improved poverty prediction and mapping. Proc Natl Acad Sci 114(46):E9783 Popkin BM, Adair LS, Ng SW (2012) Global nutrition transition and the pandemic of obesity in developing countries. Nutr Rev 70(1):3–21 Qiu S, Wang J (2017) The prediction of food additives in the fruit juice based on electronic nose with chemometrics. Food Chem 230:208–214 Rowley J, Hartley R (2006) Organizing Knowledge: an introduction to managing access to information. Ashgate Publishing Ltd., pp 5–6 Schwalbert RA, Amado T, Corassa G, Pott LP, Prasad PV, Ciampitti IA (2020) Satellite-based soybean yield forecast: integrating machine learning and weather data for improving crop yield prediction in southern Brazil. Agric For Meteorol 284:107886 Shekhar et al (2017) Intelligent infrastructure for smart agriculture: an integrated food, energy and water system. A computing community consortium white paper, 1–7 Solomatine DP, Ostfeld A (2008) A data-driven modelling: some past experience and new approaches. J Hydroinf 10(1):3–22 Tamplin ML (2018) Integrating predictive models and sensors to manage food stability in supply chains. Food Microbiol 75:90–94 United Nations (1974) World Food Conference of 1974. United States Department of Agriculture (2010) Food security assessment, 2010-20. GFA, Food Security Assessment, United States Department of Agriculture. Washington, DC, pp 64 Vega SS, Hinojosa MS, Nguyen J (2017) Using Andersen’s behavioral model to predict participation in the supplemental nutrition assistance program (SNAP) among US adults. J Hunger Environ Nutr 12(2):193–208 World Bank (1986) Poverty and hunger: issues and options for food security in developing countries, Washington, DC World Food Programme (2009) Annual report of the World Food Programme for 2009. United Nation, New York Xu L, Wang X, Huang Y, Wang Y, Zhu L, Wu R (2019) A predictive model for the evaluation of flavor attributes of raw and cooked beef based on sensor array analyses. Food Res Int 122:16–24

Artificial Intelligence and Technology for Sustainable Food Production and Future Consumption

52

Shir Li Wang, Sin Yin Teh, and Theam Foo Ng

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Artificial Intelligence for a Sustainable Food System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Agricultural Cultivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Food Processing and Manufacturing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 Food Quality Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Distribution and Logistic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.5 Work Labor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.6 Food Consumption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Challenges of Embedding AI in Food Supply Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1036 1038 1038 1040 1041 1042 1044 1045 1047 1048 1049

Abstract

Food is vital for the sustenance of the global population that is growing rapidly from its current 7.7 billion to its peak by 2100 for an estimated of 11 billion (Adam, Nature 597(7877):462–465. https://doi.org/10.1038/d41586-021-02522-6, 2021), making it key to ensure that food can be provided continuously and sustainably especially during disasters without compromising the current condition of natural resources which show decreasing trend. Issues related to food insecurity have become a dilemma for many developing countries and have unfavorably affected S. L. Wang Department of Computing, Faculty of Art, Computing and Creative Industry, Universiti Pendidikan Sultan Idris, Tanjong Malim, Perak, Malaysia e-mail: [email protected] S. Y. Teh School of Management, Universiti Sains Malaysia, Minden, Penang, Malaysia e-mail: [email protected] T. F. Ng (*) Centre for Global Sustainability Studies, Universiti Sains Malaysia, Minden, Penang, Malaysia e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_55

1035

1036

S. L. Wang et al.

the livelihood of people notably the vulnerable groups such as low-income family. Thus, sustainable food production and consumption is required to ensure that global food security can be met, and the sustainability of the environment can be preserved for future generations. Studies have demonstrated that AI technology can be integrated into many aspects of the food industry such as agricultural cultivation, food processing and manufacturing, quality control, distribution and logistics, work labor, and consumer food consumption. Supportive policies from governments and strong collaboration among stakeholders are imperative to promote the embedded AI technology in the food supply chain system to achieve sustainable food production and consumption as promoted by the United Nations. Keywords

Artificial intelligence · Sustainable production and consumption · Food security · Smart food industries

1

Introduction

Food security is defined as the ability for people, regardless of their age, status, and location, to access healthy and safe food anywhere and anytime to maintain their health to perform their daily activities (UNDESA n.d.). It is one of the most important aspects that need to be looked upon to ensure that people, especially those living in developing countries, can consume food that is sufficient and safe. In 2019, it was estimated that 690 million people had to suffer from the lack of food, and the number will continue to grow by 2050 if no sustainable initiatives are carried out (WHO 2020). However, due to the current COVID-19 pandemic, the number shows alarming state in the world and increased in 2020, with an estimation between 720 and 811 million people face hunger (FAO 2021). There exist many circumstances that may negatively affect the sustainability of food security, notably the rapid increase of the global population that makes it difficult for food producers to meet the high demand from domestic and global markets using conventional systems. As a consequence, this will increase food insecurity in many countries which may lead to other adverse impacts such as malnutrition among children caused by the lack of high-quality and healthy food in their daily diet (FAO et al. 2020). The food industry has evolved from being operated manually to experiencing automated operation through the development of machinery which allows food producers to increase their productions. However, automation does not necessarily mean that the industry is transitioning to the smart food industry. To develop a smart industry, other components should be incorporated to ensure the system used in food production is able to perform complicated logical processes and algorithms (Yanes et al. 2020). If artificial intelligence (AI) would be integrated in the current food production system, it could better serve the future needs for more sustainable food production. AI technology simulates how the human brain works through a combination of methods such as neural networks and deep learning to analyze data and

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1037

convert it into useful information, which assists in the decision-making process and eventually leads to more accurate decisions (Kakani et al. 2020). The AI-based software have been widely integrated with other automated technology and adapted in many industries to increase productivity and improve the decision-making process. The adoption of AI technology in many sectors is contributed by the fact that many companies are pushing to improve their production without compromising the ecosystem (Vaio et al. 2020). AI plays an important role in creating smart and sustainable food production and consumption systems. The collected data from various resources is used by AI to make predictions that are crucial for guiding stakeholders in the decision-making process to accommodate the ever-increasing global population. In short, AI technology can help to improve global food security. By making accurate decisions, food producers can accurately determine how much food they should be producing based on the consumer demand which can consequently reduce food waste that has become palpable nowadays (Woolleya et al. 2021). Food shortage and waste have become some of the most apparent issues faced by many developing and developed countries which can turn into a domino effect that results in problems such as starvation, health problems, and environmental issues. Based on a survey conducted by a group of researchers from the National Institute of Technology Srinagar, it is predicted that the world will suffer from food shortage by 2050 due to the rapid and intense increase of the global population, and it is suggested that smart agriculture can potentially address this prevailing issue (Akhter and Sofi 2021). Thus, the UN has included zero hunger and responsible production and consumption in two of its Sustainable Development Goals (SDGs) represented by SDG2 and SDG12, respectively, to address the prevailing issues towards achieving a green and sustainable world by 2030. By having the responsibility to consume food that takes into account the inclusion of healthy food in their diet as well as the amount of food they consume, this may consequently improve the health and wellbeing of consumers as aspired in SDG3 (Good Health and Well-Being). During a disaster or pandemic such as COVID-19, many countries that are highly reliant on imported food have been negatively affected due to product shipment restrictions which have impacted food security worldwide (Eftimov et al. 2020). The integration of AI technology in food production can help to improve food security during disasters that have been severely affecting the food industry (Thudi et al. 2021). Moreover, AI technology is important to help researchers to conduct agriculture related studies more efficiently and effectively which will help food producers to produce food that is safe and can suffice the need of the fast-growing population in a sustainable manner (Jung et al. 2021). The application of AI technology helps human beings to discover patterns based on big data collected from different sources (e.g., food producers) which is impossible to be carried out by other conventional database technologies to design suitable food production systems to serve the demands from consumers and populations. The patterns discovered by the technology can be useful to help users in making projections and decisions more accurately.

1038

2

S. L. Wang et al.

Artificial Intelligence for a Sustainable Food System

Many studies have been conducted by researchers to embed AI technology into food production to improve and expedite the process to satisfy the rapid increase of the global population (Kakani et al. 2020; Ahmad et al. 2021; Kim et al. 2021; Thudi et al. 2021). The studies have shown that AI can be utilized to achieve a sustainable food system through its assistance and integration in agricultural cultivation, food processing and manufacturing, food quality control, human labor, and food consumption.

2.1

Agricultural Cultivation

The agriculture sector is the most important supplies for the food industry as it produces and provides the raw material for food manufacturers to produce different kinds of food products that support other industries. Without smart and sustainable agriculture, the world will be facing food shortage and wastage issues as well as environmental degradation. According to Klerkx et al. (2019), the advancement of digitalization in the agricultural industry will remarkably facilitate stakeholders in the optimization of production systems, value chains, and food systems as a whole. It has been acknowledged that the agriculture sector is highly affected by unpredictable weather, environmental changes, and diseases which cannot simply be addressed by human intervention alone. Thus, AI which was first introduced in the manufacturing industry has been adapted in food production to assist food producers such as farmers to perform tasks beyond human capabilities (Kakani et al. 2020). Many studies have illustrated that AI can be utilized to improve the breeding and production of animals and crops by manipulating data collected from various sources and using the data to train the related systems to learn how to think and make decisions similar to human beings or beyond. Several researchers have incorporated AI technology in their research to monitor and predict crop pollination and breeding performance by implementing simulation and deep learning machine training which would be of interest to farmers as one of the solutions to increase their crop production efficiently (Ahmad et al. 2021; Kim et al. 2021). Genomic-assisted breeding embedded with AI technology has been proven to help in controlling the chemical components and improve the nutritional content of crops such as legumes, one of the most consumed staple foods in the world (Thudi et al. 2021). Meanwhile, the use of a deep convolutional neural network was proven useful at differentiating healthy and damaged fruits as well as determining their maturity stage accurately (Shams et al. 2021). Other studies showed that stereo cameras embedded with designated algorithms can help farmers to monitor the height of crops which allows them to predict the overall growth of the crops more accurately (Kim et al. 2021). Hyperspectral images captured by hyperspectral devices can be used to identify bacteria growth in certain crops during the growing phase that can help farmers to treat the disease before it becomes time-consuming and costly to do so (Zhu et al. 2021). Approximately 20% to 40% of the total global agricultural yields are affected by diseases that are mostly caused by weather conditions, infections, pests, insects, poor

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1039

irrigation, etc. (Akhter and Sofi 2021; Jha et al. 2019). According to Issad et al. (2019), data mining is one of the techniques widely integrated with AI technology that collects and analyzes data captured by various IT sources such as sensors, Global Positioning System (GPS), and radio frequency identification (RFID) to provide accurate and robust information to help farmers in making better decisions to improve their crop yields. The integration can help farmers to collect weather data such as temperature and the level of precipitation and humidity for forecasting purposes which is important at preventing certain diseases from severely affecting the productivity of the crops (Braga et al. 2020). AI technology can also be integrated with remote sensing technology to develop unmanned aerial system (UAS) which has been widely used in the agricultural industry to assist in crop breeding development and can be further integrated with genomics to assist in gene and trait identification of agricultural products (Jung et al. 2021). Meanwhile, in animal farming activities such as fish farming, decision support systems equipped with AI technology have helped fish farmers to improve their economic sustainability by providing information related to fish growth and health as well as the most favorable rotation time for breeding, releasing, and harvesting of fish to be marketed to end consumers (Cobo et al. 2018). Another study focused on the usage of sensor systems coupled with data mining technology to collect data about animals’ eating patterns which were then analyzed and used to feed the animals accurately and on time (Verdouwm et al. 2019). The system is also capable of extracting data collected into an informative dashboard that would assist farmers to make better decisions in increasing production. AI also can assist farmers to decide which crops are suitable for intercropping farming to ensure that the production of yields can be maximized sustainably without conducting land clearing for new crop farming (Nassary et al. 2020) which has been an issue for many farmers as lands nowadays are mostly exploited to build buildings and houses as the human population increases rapidly over time (Wang et al. 2020). Intercropping farming can also help in improving soil stability and health, making it one of the methods chosen by many farmers to be implemented at their farms (Zou et al. 2021). This will subsequently reduce the amount of carbon footprint due to the excessive release of greenhouse gas caused by land clearing activities for farming purposes (Wang et al. 2020; Camaréna 2020). Efficient planning and management of water are crucial to building sustainable agriculture as well as accessibility to clean water (Bilali and Taleb 2020). Clean water is important in the agricultural industry to grow animals and plants and to produce healthy and high-quality agricultural products that are accessible widely to end consumers. Therefore, efficient water quality assessment is crucial to ensure that animals and plants are fed with water that is of high quality and not contaminated by other foreign chemical substances which can negatively affect their growth. Conventional water quality assessment can be very costly and time consuming for farmers as it involves many criteria. AI technology comes into play to assist farmers to accurately assess water quality efficiently and accurately which can consequently reduce the management cost and also reduce the use of excessive water by saving water resources. Neural network algorithm coupled with genetic algorithm was

1040

S. L. Wang et al.

found to be useful for assisting farmers in assessing water quality (Tiyasha et al. 2020). Bilali and Taleb (2020) discovered that machine learning algorithms, namely, artificial neural network, multiple linear regression, decision tree, random forest, stochastic gradient descent, and adaptive boosting, can be used to accurately predict water quality by using designated criteria on time. These algorithms can be embedded into water quality assessment systems equipped with sensor technology to be operated by farmers that use dam reservoirs for irrigation. The embedded system can manage and control water quality and pH parameters at their farms especially at the area with high evaporation which can negatively affect water quality.

2.2

Food Processing and Manufacturing

Food processing and manufacturing involve the process of converting raw food materials such as agricultural yields into many edible products that can be enjoyed by end consumers (Zhu et al. 2021). The process also involves the packaging of food products which is important to protect and maintain their freshness especially the most perishable ones until they are received by end consumers. According to Schaefer and Cheung (2018), the packaging of products also acts as one of the effective marketing methods used by food manufacturers to communicate with their end consumers. AI technology can be incorporated into food packaging systems to help food manufacturers to pack their products more systematically and effectively while maintaining the freshness of the products as well as protecting the environment. A study conducted by Silva et al. (2021) showed that the k-nearest neighbor (KNN) algorithm, one of the most used data mining algorithms, can help food manufacturers to identify the best packaging materials made from biodegradable materials for packing perishable food products. The study showed that KNN has the capability of classifying and selecting the most sustainable packaging material due to its ability to analyze data mathematically and automatically which reduces the number of laboratory testing required to analyze the properties of the selected material. This will consequently help the manufacturers to reduce the cost required for selecting the best and sustainable packaging materials using a manual selection process. AI technology can as well help food manufacturers to create an effective active packaging system, especially for perishable food products. An active packaging system is defined as a coordinated packaging system used for meeting the consumer demand as well as maintaining the shelf life of a product especially perishable food products (Kuai et al. 2021) while others simply defined it as a type of packaging that uses active ingredients to maintain the product shelf life (Schaefer and Cheung 2018). Active packaging is becoming more common in the food packaging industry and is replacing the traditional packaging system to improve the safety and security of food products. Machine learning algorithms, image processing, and electronic chip technology can be embedded into active packaging systems to help food producers in choosing the best active ingredient that can monitor and maintain the

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1041

condition of food products more accurately (Firouz et al. 2021) which can help them to avoid waste of resources (Zhu et al. 2021). AI has also been utilized for the drying food process through the embedment of artificial neural networks and fuzzy logic into sensor systems to control the drying process according to designated parameters and decide on the optimal drying mode without any human intervention. In addition, AI-assisted equipment such as microwaves, infrared, and ultrasonic drying systems can also improve the quality of the dried food which is unachievable if a conventional drying method is used (Chen et al. 2020). The food processing industry is highly driven by market trends, making it crucial to monitor consumer preferences accurately and systematically on time (Kakani et al. 2020). Food producers can gain benefit from AI technology to predict consumer preferences more accurately. This will consequently help the food producers to improve the quality of the food products based on consumer preferences and to avoid producing food that will likely not be bought by consumers and consequently cause stock wastage. Smart packaging allows end consumers to provide feedback through the QR codes printed on the packaging, and the data will then be collected for further analysis. This will help food producers to determine the kind of improvements needed to streamline the overall process and satisfy the consumers’ needs. It also allows food producers to respond to rapid changes in consumer preferences (Vanderroost et al. 2017). Popovic et al. (2021) developed a system that integrates AI and IoT technology in which the QR code is embedded into the labelling of wine bottles which allows winemakers to receive consumer feedback and monitor the sales of their wine products in real-time. Besides, the embedded QR code allows winemakers to monitor any malicious attempts to counterfeit their product as the information is stored in cloud storage which is accessible instantly. The delivery of feedback in a real-time mode will eventually improve consumer engagement with food producers (Camaréna 2020).

2.3

Food Quality Control

Poor-quality control and monitoring of food could possibly produce poor quality of food, thus affecting the health of consumers if the food is consumed. Food industry players can incorporate AI technology to assist them in performing quality monitoring and control more accurately and subsequently eliminate human errors. Toorajipour et al. (2021) found that AI approaches such as data mining, artificial neural network, and fuzzy logic have been widely used to create a quality monitoring system in the food industry that is far more precise than that of the conventional system due to their ability to capture historical data which are crucial for making predictions and decisions throughout the production process. Food supply chain system equipped with AI technology also allows food producers to store food stock, especially perishable food in a controlled and monitored condition at warehouses, before being transported to end consumers to ensure that only food that is fresh and safe are transported and made available to them (Zhong

1042

S. L. Wang et al.

et al. 2017). Another pertaining issue found in food chain management is the cold chain break. It is a condition whereby perishable products are unable to meet the expectation of consumers in terms of their freshness, hygiene, lifespan, and appearance (Vivaldi et al. 2020). Cold chain break detection is important to ensure that food products can be consumed safely by consumers as well as to prevent food waste and reduce economic loss (Loisel et al. 2021). Vivaldi et al. (2020) demonstrated in their study that RFID smart tags equipped with temperature-sensitive features have a promising value in cold chain systems as they can identify failures in the transportation of food in the system and thus ensure the products are stored in suitable temperature during transportation. Loisel et al. (2021) suggested that RFID technology is integrated with a machine learning algorithm to create a more robust cold chain system to improve its effectiveness in failure detection within the chain. AI technology can also be integrated into the packaging system to ensure that the packaging meets the required standards so that the food can be transported safely to end consumers. Visual devices embedded with AI technology can help to detect any defects such as tears in packaging which cannot be detected by human’s naked eyes (Kakani et al. 2020). This does not only help food producers to package their products in a fast manner but also helps to prevent damages during the packing process which can consequently reduce the cost to address the damage issue. Moreover, technological advancement can also help to detect any presence of modification or adulteration in food products such as dairy and organic products. A study showed that a neural network is capable of identifying any adulteration in food products by analyzing the sound vibration of food which is beyond human capabilities (Iymen et al. 2020). The method developed in the study can also be further replicated by related businesses to develop a mobile application that can be conveniently used by end consumers to check the authenticity of the products they want to purchase. Other studies have developed systems that can be used to detect counterfeited wine products through packaging by using smart tags and crowdsourced information (Popovic et al. 2021). Each wine bottle is digitalized and given a QR code and end consumers can conveniently check its authenticity and other information by scanning the code without having to spend their time checking the information on the website.

2.4

Distribution and Logistic

Vanderroost et al. (2017) stated that the logistic stage which includes the transportation and warehousing of products is one of the most crucial stages in the food supply chain system as the operations or activities in the stage may create risks to the quality and safety of the food products which have shorter lifecycle than inedible products as well as expose the products to be counterfeited by the unscrupulous entity which will tarnish the reputation of the food producers. Many issues have been detected in the transportation of food products notably unsystematic distribution especially in cold chain systems which will affect the overall food supply chain system (De and Singh 2020). Meanwhile, Camaréna (2020) argued that traceability

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1043

in the distribution of food products has become one of the main issues detected in the transportation of food from farmers to end consumers. AI can potentially address the issues related to traceability in the logistic chain to ensure the demand and supply of food can be met efficiently and systematically without any delay and shortage. Transparency and traceability issues are common in the stock handling and transportation of food products because the food chain system is made up of a complex network involving many key stakeholders. These issues will create a major hurdle to the demand and supply of food to end consumers especially during a disaster such as a flood, earthquake, and community lockdown. According to Geest et al. (2021), AI technology can help food product distributors to convert their conventional warehouse into a smart warehouse comprising robots, humans, AI devices, and inventories as a way to achieve higher efficiency and improve transparency and traceability. A system called massive machine-type communications (mMTC) has been developed by integrating AI technology with 5G facilities to assist the key players in the agri-food system to transport their products in a systematic manner (Tang et al. 2021). RFID which consists of smart tags and a reader or writer widely used in product shipment is also used in the food industry to monitor the movement of agricultural products with the food supply chain. This helps to ensure that products are safely delivered to the distributors and retailers, and any loss of products can be quickly traced. In wine production, QR codes are used as smart tags by winemakers to manufacture and transport their wine products safely to the retailers (Popovic et al. 2021). The QR codes will be scanned starting from the day they are manufactured and transported until the day they are bought by end consumers. This method allows winemakers to track the location of the products as well as the sales of the products in real time as the smart tags will be scanned each time they are transferred from one place to another. Blockchain, which is widely used due to its security, can also be embedded into AI algorithms to ensure that the transportation and distribution of food products are secure while remaining transparent for a smooth tracing process (Vaio et al. 2020). Monitoring the current condition and quality of packaged food is also important during storing before distribution. Thus, intelligent packaging or active packaging can potentially be embedded with AI technology to provide key information such as the current quality of food during storing without opening the package. For instance, one study has illustrated how intelligent packaging can be used to detect quality degradation of pork without having to check each package manually using human intervention (Choi et al. 2017). Embedded AI technology can also be useful to help transport and track fresh and cold products such as fresh fish and frozen poultry so that they are transported within the required time to avoid the food from becoming rotten and stale which will eventually create food wastage. De and Singh (2020) found that cold chain systems still lack the use of real-time fuzzy-based storage and distribution systems which can significantly help food distributors to distribute their frozen food products systematically. Machine learning algorithms coupled with geographic information system (GIS) technology and fuzzy logic can also be used by product warehouses to automatically determine which distributors should the products be distributed to

1044

S. L. Wang et al.

depend on the temperature data of the products (Loisel et al. 2021). Returnable trade items (RTIs) system is also equipped with AI technology and a QR-code system to ensure that the tracking and tracing of products during the transportation process from farmers to retailers in multi-stakeholder agricultural supply networks can be carried out seamlessly (Verdouwm et al. 2019).

2.5

Work Labor

One of the problems faced by researchers in conducting their agriculture-related study is to collect more real-time samples of animals or crops due to a lack of manpower to do so (Vasconez et al. 2019; Charania and Li 2019). UAS can help them to address the problem by collecting data in an unmanned manner to improve the sampling size for their research which will, in turn, become beneficial for farmers to adapt in their farming activities (Jung et al. 2021). Some farmers also have to face the challenge of having to hire more low-skilled workforces to manage and carry out low-skilled tasks in their farms and especially to hire the large-scale ones due to financial issues and, in some cases, some of them face problems related to labor shortage for the harvesting of crops that only require seasonal labor (Vasconez et al. 2019; Spykman et al. 2021). The labor shortage is also a result of many people becoming less interested to work in a farming-related business which naturally involves tedious tasks (Charania and Li 2019). Farmers can utilize AI and remote sensing technology to monitor the condition of their agricultural products without the need to physically go to the farms. Challenges such as carrying a heavy load of crops and handpicking the crops under unpredictable weather also make it hard for the farm workforce to harvest a large volume of crops in a fast manner. Moreover, the health of the farm workforce can become deteriorated as some crops require repetitive and extensive hand weeding processes which can be stressful and tiring (Spykman et al. 2021; Klerkx et al. 2019). Thus, AI technology can be embedded into robotic technology to help farmers to harvest their yields in larger volumes within a short time period despite the repetitive process and the changing of weather and temperature conditions, which will as a result also improve the health, wellbeing, and safety of the workforce. Conventional food processing that involves intensive human operations such as grinding, shelling, and milling of food can benefit from AI and robotic systems to process the food without human intervention (Zhu et al. 2021). This will consequently help food producers to meet the increasing demand from consumers effectively while reducing workers’ workloads. Robots or automated machines equipped with AI technology can also help farmers to harvest yields in a precise manner based on the harvesting requirement such as size and color as well as to monitor the crop growth during cultivation without human intervention. This can help farmers to redirect their human resources to execute other tasks that require more human interventions and attentions which will also consequently reduce unnecessary workloads to their workforce. For instance, in kiwi harvesting, a deep learning algorithm called DeepLabV3 was integrated with harvesting robots to harvest kiwi fruits which require a proper way

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1045

of harvesting to protect the trees from any damage that may affect the growth of the trees (Song et al. 2021). Other studies found that stereo cameras were equipped with dedicated algorithms to reduce the work and time taken for the workforce to monitor crop height especially in large-scale farms (Kim et al. 2021) as well as to cut down labor costs (Zhu et al. 2021). A robotic system used in the dairy industry for milking cows has helped to improve the life quality of workers who previously needed to use their physical strength to milk each cow manually, a practice that had impacted their health and well-being back then (Klerkx et al. 2019). Farming systems equipped with AI technology can also help to reduce human errors which can greatly affect the quality of agricultural products. Studies have shown that a system embedded with a wireless sensor network and selected algorithm fed with crop data can improve crop watering systems and help farmers to water certain crops optimally which will ensure that the crops receive sufficient water as well as preventing them from being overwatered which has become one of the common human errors in agriculture (Akhter and Sofi 2021; Raj et al. 2021). AI-assisted robots and satellites can be used for calculating the exact amount of soil, water, and pesticide to prevent resource wastage (Vaio et al. 2020). Other studies showed that embedding AI technology into an automated mushroom harvester can create a precise harvesting system that is helpful for farmers to harvest mushrooms while taking the quality, other than the weight and size, of the mushroom into account during the harvesting process (Huang et al. 2021). The invention of automated tractors embedded with cloud computing systems has helped farmers to manage their farms more efficiently as the tractors are trained by the AI technology to avoid working on the same area more than once which has been a common error among the farm workforce that will affect the time taken to finish the task (Raj et al. 2021).

2.6

Food Consumption

Sustainable or ethical food consumption can be defined as the act of consuming food responsibly by taking aspects such as health and environmental into account (Reisch et al. 2013). Sustainable food consumption will help a country to reduce food waste generation and manage natural resources more efficiently which will eventually improve the health of the society and environment. Embedded of AI technology in electrical appliances enable the appliances to operate in an energy sustainable way. For example, consumers tend to open their refrigerator for a long time to examine what is available inside the refrigerator and leave the door open to decide which food they wish to eat; naturally, this behavior increases energy consumption. Algorithms that have food recognition ability can be used to create a refrigerator that can scan or identify the food stored in the refrigerator without opening it physically which can help consumers to reduce their household energy consumption (Camaréna 2020). Other than that, AI technology can also be used to develop a food recommendation system that can assist health practitioners in monitoring and selecting the most suitable diet for patients based on their preferences, dietary requirement, and current

1046

S. L. Wang et al.

health status to ensure that the patients can improve their health. A model called Healthy Artificial Nutrition Analysis was developed to help dietitians to analyze and determine accurately the best diet for patients as well as track patients’ eating habits by utilizing machine learning algorithm and data analysis tool (Shams et al. 2021). Some consumers choose to buy food at restaurants because they lack cooking skills. Ordering ready-made food from restaurants has become prevalent as it is more convenient than cooking food from scratch. This continuous habit can consequently affect their economic wellbeing as well as jeopardize their health as the foods prepared by restaurants usually come in large portions (Xu et al. 2020). This can also lead to an upsurge in food waste if one is not able to finish the food. Thus, a home-cooked meal is a better choice to achieve a healthier and sustainable lifestyle as one can control the portion size and the number of ingredients added into the food (Eftimov et al. 2020) as well as reduce the amount of food packaging which can contribute to a cleaner environment. AI technology can be used to assist end consumers to plan, buy, and prepare their food more effectively which can consequently help to improve their healthy eating habits and reduce household food waste. Jabeen et al. (2019) took the advantage of AI technology to develop a mobile application embedded with a genetic algorithm to encourage people to cook their food. The application, called EvoChef, allows users to try different kinds of recipes using ingredients that are easy to find. Woolleya et al. (2021) developed an AI-assisted system consisting of three main features which are stock list, expiry tracker, and recipe recommendation. The system can help users to plan for their groceries and recommend ideal recipes based on what is available in their stock list. These applications will positively motivate users to cook at home more often. Some consumers, especially those living in developed countries with better economic well-being, tend to have more purchasing power, enabling them to buy things including food products more than what they need without planning. This will consequently contribute to impulse buying and increase waste generation as food products have a shorter shelf life. AI-embedded technology can counter the issue by assisting consumers in planning for their household grocery as well as suggesting to purchase healthier food products based on their personal information such as their current weight, height, ideal weight, and food preferences. Many fitness and food tracking applications have embedded AI technology for dietary recommendation features which allow consumers to plan and monitor their food calorie intake throughout the day. When a user starts using the application such as “Lose It” for a few days, the application which is incorporated with a machine learning algorithm will analyze the food intake pattern and suggest the type of food that can potentially keep the user to be on track in losing their weight (Comstock 2016). AI technology also makes it possible for food industry players to monitor the changes in consumers’ food consumption and buying patterns more systematically from time to time. This can help retailers to offer or sell food products based on consumers’ current preferences such as their habits or moods in real time as well as predict their future consumption and buying pattern (Camaréna 2020). It will profoundly help them to plan for product restocking more effectively to reduce the possibility of selling unpopular food products which may lead to food wastage.

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1047

Eftimov et al. (2020) proposed an AI-assisted methodology called Diet Hub to collect and analyze online recipes searched by consumers. AI algorithm was incorporated to analyze the recipes and extract the ingredients stated in the recipes. The result helped the researchers to have a better understanding of the ingredients that will likely be purchased by consumers. The information can then be used by retailers to predict consumers’ buying patterns adequately.

3

Challenges of Embedding AI in Food Supply Management

Although AI technology could improve food production to meet consumer demand sustainably, it faces many challenges similar to other technologies. Despite its ability to improve the efficiency and effectiveness of agricultural data collection, UAS is inadequate at supporting spatial coverage as it requires additional energy and financial resources that can be costly to farmers and food producers (Jung et al. 2021). Moreover, the integration of AI technology in the food industry means that less labor is needed to perform tasks that can be carried out by the technology (Tang et al. 2021; Vaio et al. 2020). Another concern is the discrimination to some workers who have a lack of knowledge in working with technology devices (Klerkx et al. 2019). Thus, to eliminate the fear of having AI technology to replace one’s job notably among the new generation as well as the discrimination that they might encounter, the workforce is suggested to equip themselves with important skills such as critical thinking, problem-solving, communication, and teamwork to develop their skilfulness and innovativeness and to remain relevant in their respective job in agricultural field (Rampersad 2020). According to Vaio et al. (2020), although AI will likely terminate some jobs carried out by humans, it also allows new opportunities for human-machine collaboration. Robotic technology which helps to reduce the cost of hiring a low-skilled workforce can be counterproductive to the environment as it requires a substantial amount of energy to operate (Raj et al. 2021). To counter this problem, farmers can opt to embed sustainable sources such as installing solar energy systems. However, the technology can be costly and largely depends on the amount of sunlight which can become a major hindrance for farmers to invest in. Therefore, more studies are required to address the issues (Spykman et al. 2021). Another issue in the advancement of AI in the agricultural industry is the trade-offs between smart agriculture and the financial situation of farmers as smart agriculture requires a great deal of economic investment. Hinson et al. (2019) pointed out that although countries especially the developing ones can benefit from the advancement of AI technology to improve their agricultural business, it is worth noting that the farmers’ physical capital may hinder them from integrating AI technology to improve their productions. Thus, the government should play its role in supporting these farmers to integrate AI technology which can potentially help the government to create a sustainable country through sustainable production and consumption. Another challenge found in accelerating the transformation of the conventional food production system to a smart system is the lack of knowledge in working with

1048

S. L. Wang et al.

technology-embedded systems among food producers especially village farmers who might only know how to operate a smartphone, one of the most common gadgets used by many people nowadays. More research is still needed such as making smartphones the main device for controlling the smart systems through integrated mobile applications that can be easily understood and used by the farmers (Raj et al. 2021). Other than that, some farmers are reluctant to convert from the conventional way of managing their farms to digitalization and automation due to their concerns over data clarity, transparency, and ownership. This is because they are required to share their data with other stakeholders within the food supply chain system which can negatively affect the operation of a smart and digital food industry (Klerkx et al. 2019). To address this challenge, it is suggested that a holistic regulatory framework coupled with education and awareness is necessary to ensure that all stakeholders in the food chain industry have a better understanding and clarity. Other than improving the stakeholders’ trust in the data sharing, this regulatory framework can also improve the administration to prevent unlawful data sharing and accomplish a successful smart food supply chain (Wiseman et al. 2019). Disparities and inequalities among developed and developing countries have also become a critical concern due to the adaptation of AI technology in the agricultural industry as some farmers in developing countries have a lack of capital to revamp from conventional production systems to AI-based ones. Thus, political institutions need to step up and play their roles in reducing the technological gap as emphasized by the UN in SDG10 (Reduced Inequalities) (Vaio et al. 2020).

4

Conclusion

The rapid growth of the global population demands the development of integrated and sustainable food production and consumption systems to ensure that food can be supplied continuously to the people especially those living in developing countries who have been facing prevailing food security issues. A sustainable system equipped with the right technology that can replace a conventional system is also crucial for ensuring that natural resources such as water can be used efficiently without harming the environment and for avoiding resource depletion. Many studies have shown that AI technology can be embedded into the food industry to achieve the aspiration due to its ability to provide timely analysis and decisions for food producers. The technology can be embedded into the many aspects related to food supply such as agricultural cultivation, food processing and manufacturing, quality control, distribution and logistics, work labor, as well as food consumption. It is also highly suggested that more studies should be carried out to investigate how the embedded AI technology can contribute more benefits that can outweigh the negative side effects to the food producers, end consumers, and environment to build a strong and sustainable food consumption and production system (Vaio et al. 2020). Firouz et al. (2021) emphasized that more studies are required to investigate the possibility of embedding electronic chip systems and AI technology in the food industry, especially in the packaging process which can help end consumers

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1049

conveniently monitor the freshness and quality of the food products during a consumption period. The government should also play its role in supporting research and development activities related to the embedment of AI technology into the food industry in terms of facilities and funding for researchers and developers in the AI field. Policies that emphasize the integration of food production and AI technology should also be developed and strengthened by local governments to cultivate a strong integration among stakeholders within the food supply chain system which will consequently help governments to reduce its dependency on imported food products (Kakani et al. 2020). It is worth noting that supportive policies are crucial to cut down the implementation cost of embedding AI technology in the food supply chain system which is one of the pervasive reasons that have been preventing stakeholders from investing in the smart technology for their business (Fork and Koningstein 2021). Furthermore, although AI technology is profoundly useful to assist in achieving a sustainable food production and consumption system, strong collaboration among stakeholders is critical to the processes that make up the entire system. Strong stakeholder collaboration is important because each process within the food industry from food cultivation to the distribution to end consumers are carried out by different groups of stakeholders with different interests and aims. Discussions among stakeholders can be carried out to ensure that they can work together for common goals and receive equal benefits. Additionally, the strong collaboration will assist the world to achieve sustainable food production and consumption which can consequently fulfil other interconnecting goals in SDGs by 2030 as aspired by the UN for the betterment of the society and environment.

References Ahmad A, Saraswat D, Aggarwal V, Etienne A, Hancock B (2021) Performance of deep learning models for classifying and detecting common weeds in corn and soybean production systems. Comput Electron Agric 184:106081. https://doi.org/10.1016/j.compag.2021.106081 Akhter R, Sofi SA (2021) Precision agriculture using IoT data analytics and machine learning. J King Saud University Comput Inf Sci 34:5602. https://doi.org/10.1016/j.jksuci.2021.05.013 Bilali AE, Taleb A (2020) Prediction of irrigation water quality parameters using machine learning models in a semi-arid environment. J Saudi Soc Agr Sci 19:439–451. https://doi.org/10.1016/j. jssas.2020.08.001 Braga AR, Gomes DG, Rogers R, Hassler EE, Freitas BM, Cazier JA (2020) A method for mining combined data from in-hive sensors, weather and apiary inspections to forecast the health status of honey bee colonies. Comput Electron Agric 169:105161. https://doi.org/10.1016/j.compag. 2019.105161 Camaréna S (2020) Artificial Intelligence in the design of transition to Sustainable Food Systems. J Cleaner Prod. https://doi.org/10.1016/j.jclepro.2020.122574 Charania I, Li X (2019) Smart farming: agriculture’s shift from a labor intensive to technology native industry. Internet Things. https://doi.org/10.1016/j.iot.2019.100142 Chen J, Zhang M, Xu B, Sun J, Mujumdar AS (2020) Artificial intelligence assisted technologies for controlling the drying of fruits and vegetables using physical fields: a review. Trends Food Sci Technol 105:251–260. https://doi.org/10.1016/j.tifs.2020.08.015

1050

S. L. Wang et al.

Choi I, Lee JY, Lacroix M, Han J (2017) Intelligent pH indicator film composed of agar/potato starch and anthocyanin extracts from purple sweet potato. Food Chem 218:122–128. https://doi. org/10.1016/j.foodchem.2016.09.050 Cobo Á, Llorente I, Luna L, Luna M (2018) A decision support system for fish farming using particle swarm optimization. Comput Electron Agric 161:121. https://doi.org/10.1016/j. compag.2018.03.036 Comstock J (2016) Lose It! now lets users log foods with their phone’s camera and a machine learning algorithm. https://www.mobihealthnews.com/content/lose-it-now-lets-users-log-foodstheir-phones-camera-and-machine-learning-algorithm De A, Singh SP (2020) Analysis of fuzzy applications in the agri-supply chain: a literature review. J Clean Prod. https://doi.org/10.1016/j.jclepro.2020.124577 Eftimov T, Popovski G, Petković M, Seljak BK, Kocev D (2020) COVID-19 pandemic changes the food consumption patterns. Trends Food Sci Technol 104:268–272. https://doi.org/10.1016/j. tifs.2020.08.017 FAO (2021) The State of Food Security and Nutrition in the World 2021. Retrieved on 21 Disember 2021 from https://www.fao.org/state-of-food-security-nutrition FAO, IFAD, UNICEF, WFP, WHO (2020) The State of Food Security and Nutrition in the World 2020. Transforming food systems for affordable healthy diets. FAO, Rome. https://doi.org/10. 4060/ca9692en Firouz MS, Mohi-Alden K, Omid M (2021) A critical review on intelligent and active packaging in the food industry: research and development. Food Res Int 141. https://doi.org/10.1016/j. foodres.2021.110113 Fork D, Koningstein R (2021) How Engineers can disrupt climate change. IEEE Spectr 58(7): 25–29. https://spectrum.ieee.org/magazine Geest M, Tekinerdogan B, Catal C (2021) Design of a reference architecture for developing smart warehouses inindustry 4.0. Comput Ind 124. https://doi.org/10.1016/j.compind.2020.103343 Hinson R, Lensink R, Mueller A (2019) Transforming agribusiness in developing countries: SDGs and the role of FinTech. Curr Opin Environ Sustain 4:1–9. https://doi.org/10.1016/j.cosust. 2019.07.002 Huang M, He L, Cho D, Pecchia J, Li Y (2021) Picking dynamic analysis for robotic harvesting of Agaricus bisporus mushrooms. Comput Electron Agric 185:106145. https://doi.org/10.1016/j. compag.2021.106145 Issad HA, Aoudjit R, Rodrigues JJPC (2019) A comprehensive review of data mining techniques in smart agriculture. Eng Agric Environ Food. https://doi.org/10.1016/j.eaef.2019.11.003 Iymen G, Tanriver G, Hayirlioglu YZ, Onur Ergen O (2020) Artificial intelligence-based identification of butter variations as a model study for detecting food adulteration. Innovative Food Sci Emerg Technol 66. https://doi.org/10.1016/j.ifset.2020.102527 Jabeen H, Tahara N, Jens Lehmann J (2019) EvoChef: show me what to cook! Artificial evolution of culinary arts. Comput Intell Music Sound Art Design. https://doi.org/10.1007/978-3-03016667-0_11 Jha K, Doshi A, Patel P, Shah M (2019) A comprehensive review on automation in agriculture using artificial intelligence. Artif Intell Agric 2:1–12. https://doi.org/10.1016/j.aiia.2019.05.004 Jung J, Maeda M, Chang A, Bhandari M, Ashapure A, Landivar-Bowles J (2021) The potential of remote sensing and artificial intelligence as tools to improve the resilience of agriculture production systems. Curr Opin Biotechnol 70:15–22. https://doi.org/10.1016/j.copbio.2020. 09.003 Kakani V, Nguyen VH, Kumar BP, Kim H, Pasupuleti VR (2020) A critical review on computer vision and artificial intelligence in food industry. J Agric Food Res 2:100033. https://doi.org/10. 1016/j.jafr.2020.100033 Kim WS, Lee DH, Kim YJ, Kim T, Lee WS, Choi CH (2021) Stereo-vision-based crop height estimation for agricultural robots. Comput Electron Agric 181. https://doi.org/10.1016/j. compag.2020.105937

52

Artificial Intelligence and Technology for Sustainable Food Production. . .

1051

Klerkx L, Jakku E, Labarthe P (2019) A review of social science on digital agriculture, smart farming and agriculture 4.0: new contributions and a future research agenda. NJAS Wagening J Life Sci. https://doi.org/10.1016/j.njas.2019.100315 Kuai L, Liu F, Chiou B-S, Avena-Bustillos RJ, McHugh TH, Zhong F (2021) Controlled release of antioxidants from active food packaging: a review. Food Hydrocoll 120:106992. https://doi.org/ 10.1016/j.foodhyd.2021.106992 Loisel J, Duret S, Cornuéjols A, Cagnon D, Tardet M, Derens-Bertheau E, Laguerre O (2021) Cold chain break detection and analysis: can machine learning help? Trends Food Sci Technol 112(2021):391–399. https://doi.org/10.1016/j.tifs.2021.03.052 Nassary EK, Baijukya F, Ndakidemi PA (2020) Intensification of common bean and maize production through rotations to improve food security for smallholder farmers. J Agric Food Res 100040. https://doi.org/10.1016/j.jafr.2020.100040 Popovic T, Krco S, Maraš V, Hakola L, Radonjic S, Kranenburg R, Šandi S (2021) A novel solution for counterfeit prevention in the wine industry based on IoT, smart tags, and crowd-sourced information. Internet Things 14. https://doi.org/10.1016/j.iot.2021.100375 Raj M, Gupta S, Chamola V, Elhence A, Garg T, Atiquzzaman M, Niyato D (2021) A survey on the role of internet of things for adopting and promoting agriculture 4.0. J Netw Comput Appl 187. https://doi.org/10.1016/j.jnca.2021.103107 Rampersad G (2020) Robot will take your job: innovation for an era of artificial intelligence. J Bus Res 116:68–74. https://doi.org/10.1016/j.jbusres.2020.05.019 Reisch L, Eberle U, Lorek S (2013) Sustainable food consumption: an overview of contemporary issues and policies, sustainability: science. Pract Policy 9(2):7–25. https://doi.org/10.1080/ 15487733.2013.11908111 Schaefer D, Cheung WM (2018) Smart packaging: opportunities and challenges. Proc CIRP 72: 022–1027. https://doi.org/10.1016/j.procir.2018.03.240 Shams MY, Elzeki OM, Abouelmag LM, Hassanien AE, Elfattah MA, Salem H (2021) HANA: a healthy artificial nutrition analysis model during COVID-19 pandemic. Comput Biol Med 135: 104606. https://doi.org/10.1016/j.compbiomed.2021.104606 Silva N d S, Farias F d S, Freitas MM d S, Hernández EJGP, Dantas VV, Oliveira MEC, Joele MRSP, Lourenço L d FH (2021) Artificial intelligence application for classification and selection of fish gelatin packaging film produced with incorporation of palm oil and plant essential oils. Food Packag Shelf Life 27. https://doi.org/10.1016/j.fpsl.2020.100611 Song Z, Zhou Z, Wang W, Gao F, Fu L, Li R, Cui Y (2021) Canopy segmentation and wire reconstruction for kiwifruit robotic harvesting. Comput Electron Agric 181:105933. https://doi. org/10.1016/j.compag.2020.105933 Spykman O, Gabriel A, Ptacek M, Gandorfer M (2021) Farmers’ perspectives on field crop robots – evidence from Bavaria, Germany. Comput Electron Agric 186:106176. https://doi.org/10.1016/ j.compag.2021.106176 Tang Y, Dananjayan S, Hou C, Guo Q, Luo S, He Y (2021) A survey on the 5G network and its impact on agriculture: challenges and opportunities. Comput Electron Agric 180:105895. https://doi.org/10.1016/j.compag.2020.105895 Thudi M, Palakurthi R, Schnable JC, Chitikineni A, Dreisigacke S, Mace E, Srivastava RK, Satyavathi CT, Odeny D, Tiwari VK, Lam H-M, Hong YB, Singh VK, Li G, Xu Y, Chen X, Kaila S, Nguyen H, Sivasankar S, Jackson SA, Close TJ, Shubo W, Varshne RK (2021) Genomic resources in plant breeding for sustainable agriculture. J Plant Physiol 257:153351. https://doi.org/10.1016/j.jplph.2020.153351 Tiyasha, Tung TM, Yaseen ZM (2020) A survey on river water quality modelling using artificial intelligence models: 2000–2020. J Hydrol 585:124670. https://doi.org/10.1016/j.jhydrol.2020. 124670 Toorajipour R, Sohrabpour V, Nazarpour A, Oghazi P, Fischl M (2021) Artificial intelligence in supply chain management: a systematic literature review. J Bus Res 122:502–517. https://doi. org/10.1016/j.jbusres.2020.09.009

1052

S. L. Wang et al.

UNDESA (n.d.) Water and food security. Retrieved on 21 July 2021 from https://www.un.org/ waterforlifedecade/food_security.shtml Vaio AD, Palladino R, Hassan R, Escobar O (2020) Artificial intelligence and business models in the sustainable development goals perspective: a systematic literature review. J Bus Res 121: 283–314. https://doi.org/10.1016/j.jbusres.2020.08.019 Vanderroost M, Ragaert P, Verwaeren J, Meulenaer BD, Baets BD, Devlieghere F (2017) The digitization of a food package’s life cycle: existing and emerging computer systems in the logistics and post-logistics phase. Comput Ind 87:15–30. https://doi.org/10.1016/j.compind. 2017.01.004 Vasconez JP, Kantor GA, Cheein FAA (2019) Human-robot interaction in agriculture: a survey and current challenges. Biosyst Eng 179:35–48. https://doi.org/10.1016/j.biosystemseng.2018. 12.005 Verdouwm C, Sundmaeker H, Tekinerdogan B, Conzon D, Montanaro T (2019) Architecture framework of IoT-based food and farm systems: a multiple case study. Comput Electron Agric 165. https://doi.org/10.1016/j.compag.2019.104939 Vivaldi F, Melai B, Bonini A, Pomaa N, Salvo P, Kirchhaina A, Tintori S, Bigongiari A, Bertuccelli F, Isolac G, Di Francesco F (2020) A temperature-sensitive RFID tag for the identification of cold chain failures. Sensors Actuators A Phys:313. https://doi.org/10.1016/j. sna.2020.112182 Wang X, Feng Y, Yu L, Shu Y, Tan F, Gou Y, . . . Wang J (2020) Sugarcane/soybean intercropping with reduced nitrogen input improves crop productivity and reduces carbon footprint in China. Sci Total Environ 137517. https://doi.org/10.1016/j.scitotenv.2020.137517 WHO (2020) As more go hungry and malnutrition persists, achieving Zero Hunger by 2030 in doubt, UN report warns. Retrieved on 22 July 2021 from https://www.who.int/news/item/13-072020-as-more-go-hungry-and-malnutrition-persists-achieving-zero-hunger-by-2030-in-doubtun-report-warns Wiseman L, Sanderson J, Zhang A, Jakku E (2019) Farmers and their data: an examination of farmers’ reluctance to share their data through the lens of the laws impacting smart farming. NJAS Wagening J Life Sci 90–91. https://doi.org/10.1016/j.njas.2019.04.007 Woolleya E, Jellila A, Simeone A (2021) Wasting less food: smart mass customisation of food provision. Proc CIRP 96:189–194 Xu Z, Zhang Z, Liu H, Zhong F, Bai J, Cheng S (2020) Food-away-from-home plate waste in China: preference for variety and quantity. Food Policy 96:101918 Yanes AR, Martinez P, Ahmad R (2020) Towards automated aquaponics: a review on monitoring, IoT, and smart systems. J Clean Prod 263. https://doi.org/10.1016/j.jclepro.2020.121571 Zhong R, Xu X, Wang L (2017) Food supply chain management: systems, implementations, and future research. Ind Manag Data Syst 117(9):2085–2114. https://doi.org/10.1108/imds-092016-0391 Zhu L, Spachos P, Pensini E, Plataniotis KN (2021) Deep learning and machine vision for food processing: a survey. Curr ResFood Sci 4:233–249. https://doi.org/10.1016/j.crfs.2021.03.009 Zou XX, Shi PX, Zhang CJ, Si T, Wang YF, Zhang XJ, Yu XN, Wang HX, Wang ML (2021) Rotational strip intercropping of maize and peanuts has multiple benefits for agricultural production in the northern agropastoral ecotone region of China. Eur J Agron 129:126304. https://doi.org/10.1016/j.eja.2021.126304

Sensoriality, Arts, Poetry, and Sustainability

53

Silvana Ku¨htz

Contents 1 Introduction – Precursors to Sustainable Development Definition . . . . . . . . . . . . . . . . . . . . . . . . 2 The Need for Multi (inter) Disciplinarity to Realize Agenda 2030 Goals . . . . . . . . . . . . . . . . 3 Sensoriality and Beauty as Educational Tools for Sustainable Development . . . . . . . . . . . . . 3.1 Design Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Beauty and Responsibility to Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Beauty, Cynicism, and Desire – A New Definition of Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 The Arts and Sustainable Science . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Poetry and a Sustainable Wor(l)d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Poetry as a Tool for Understanding Science of Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1 The Practical Experiences of Senses, Poetry, and Theater Labs for Sustainability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2 The University Course Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3 Urban Workshops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1054 1056 1058 1060 1060 1060 1061 1063 1064 1065 1066 1069 1072 1072

Abstract

Many people still believe that sustainability concerns only energy, fuel efficiency, carbon emissions, materials, chemistry, or advances in science and technology, which belong mainly to technical manuals and studies. The consequences of unsustainability affect the lives of every individual, regardless of race, culture, technical knowledge, or religion. Human beings cannot survive beyond determinate values of temperature, pressure, and humidity, and beyond undignified conditions. In this chapter, the intention is to underline that the implementation of Sustainable Development (SD) is everyone’s responsibility and that ecological question of resource management once treated in isolation now requires the S. Kühtz (*) DICEM, Università degli Studi della Basilicata, Matera, Italy e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_65

1053

1054

S. Ku¨htz

involvement of economic health, people’s well-being, social development, and behavioral shifts. New metaphorical and artistic languages and creative paths together with purpose appointed institutions will help to create the space for a culture of sustainability. Science and poetry can intersect, enrich, and reinforce one other, and relate directly to the agenda of the citizen, student, and politician. Beauty, theater, art, and poetry can inspire action as well as creative sustainable development policies and participation practices. Experiences with students in the innovative course at the University of Basilicata – Italy, Languages, Future and Possibility (taught since 2006), and with citizens demonstrate that activation of the senses, and structured learning toward the recognition of beauty, poetry, and art may trigger unsuspected resources and actions related to sustainable development. The world needs a paradigm shift toward a holistic view that involves more systems thinking. The chapter, drawing from sustainability literature, also highlights the reinforcing narrative of apparently disparate pieces of the sustainable development puzzle. I want to give thanks to the divine labyrinth of effects and causes for the diversity of beings that form this singular universe, for Reason, that will never give up its dream of a map of the labyrinth (. . .). Jorge Luis Borges

1

Introduction – Precursors to Sustainable Development Definition

The concepts related to the science of sustainability and sustainable development are not new in the scientific literature. The precursors of the idea of sustainability appeared between the seventeenth and eighteenth century. In the pre-industrial age the first ecological damages occurred: deforestation, soil erosion, urban pollution, drought, and crop destruction. The causes were primarily attributable to wars, indiscriminate use of resources and waste, and the first commercial strategies of the newborn capitalism. In the second half of the eighteenth century, the era of the first industrial revolution, inventions such as the steam engine (1769) and the motor loom (1785) revolutionized production and labor relations, triggering a slow process of estrangement from the natural environment. The concept of sustainability (Nachhaltigkeit in German) was first used by Hans Carl von Carlowitz in 1713 (reprint 2018) to introduce the “sustainable use” of forest resources (i.e., the maintenance of a balance between the harvesting of trees and the regrowth of new trees). From the inspiration of Carlowitz, forestry becomes a branch of science establishing the importance of woodland as an economic source and a key resource for societies. In 1798, when the plague of poverty was spreading in Great Britain, Thomas Robert Malthus published “An essay on the principle of population as it affects the future improvement of society,” and posed clear questions about the starvation of the population globally because he thought food production could not keep pace with population growth.

53

Sensoriality, Arts, Poetry, and Sustainability

1055

The Malthusian theory aimed to prove the incompatibility between the pace of demographic growth and a comparable increase in the quality of livelihoods as population also grew. Malthus assumed that while the population grew according to a geometric consequentiality, the resources increased only according to one arithmetic sequence. This imbalance would have led humanity to have less resource available in the near future. The analysis of his work is far beyond the scope of this chapter; nevertheless it is important to underline that he articulated an ethical discussion through the lens of quasi-principle of responsibility that is relevant to the current debate around the themes of the science of sustainability and its future. The studies on the insufficiency of the planet’s resources concerned mainly energy. In 1866 Stanley Jevons wrote The coal question. He predicted that English coal reserves would end in a 100 years. He studied the characteristics of coal-fired steam engines, the raw material of the Industrial Revolution. Important improvements were made to the efficiency of the machines, which required less and less coal; as a result, the price of fossil fuel has decreased, but not its consumption, which has continued to rise, as the use of trains (and other technologies) spread throughout Great Britain. These approaches culminated in The limits to growth¸ an important report published in 1972 (Meadows et al. 1972), and the similar ones that followed. Humanity can create a society that lives well on the Earth if it limits the production of material goods to achieve a state of global equilibrium with population and production in a carefully selected equilibrium. In 1898, Alfred Russell Wallace wrote The wonderful century, an extraordinary reflection on the promise and peril of what humans called progress. With unprecedented clarity he described the “reckless destruction of the stored-up products of nature” and considered consumerism an “injury done to posterity.” Wallace wondered why, in an era marked by “unique advances in the knowledge of the universe and its complex forces, by the application of this knowledge to an infinite variety of purposes,” our knowledge alone did not improve our individual harmony and diffused well-being. He anticipated somehow the concept of Sustainable Development launched in 1987 by the Brundtland Report entitled Our Common Future, which is the most known definition of Sustainable Development (SD): SD is a development capable of ensuring the satisfaction of the needs of the present generation without compromising the possibility of future generations to realize their own. For an exhaustive history of the concept, origins, and actions on SD, which is not the purpose of this chapter, see, for example, Du Pisani (2006) and Mensah (2019). Today we are perhaps at a turning point. Technologies are no longer able to meet the needs of an ever-exponentially growing population, the Earth’s equilibrium system has been dramatically altered, consumption habits and energy requirements grow constantly. Climate change, global warming, and land massive pollution are taking place and doom the future of human species and life on Earth as we know it. Yet, the achievement of full sustainability would drastically improve living standards, and provide comfort, energy security, and well-being to millions of people. Individuals may begin to understand how they can make a difference through their own actions. The experiences with arts, poetry, and sensory labs

1056

S. Ku¨htz

described in this chapter show that it is possible to foster a systemic sustainable approach to a sustainable life. The planet needs small, individual, and large societal/ global changes. A key element for the success of such changes is to give people the ability to take immediate action as individuals, or as part of a team already at work on a project, as described in later. The sustainable revolution gains greater strength as momentum gathers. An integrated approach with a combined top-down and bottomup approach is where everyone plays a role: leaders at the top need to put in place policies, drive investments, and model behaviors with private managers who will guide the sustainable projects. Informal leaders, politicians, students, and people from all walks of life can contribute by creating the social demand for sustainability, by generating awareness as well as changing personal habits of consumption. “If we could change ourselves, the tendencies in the world would also change. As someone changes her own nature, so does the attitude of the world change in return. We need not wait to see what others do,” once said Mahatma Gandhi. The current interdisciplinary academic dialogue at times still embraces the idea that scientists make science and artists make art. If one tries to combine, or entangle the two, accusations of superficiality surface, and sometimes reprimands follow. However, research and experience show that scientists and society in general, benefit from scientists who work beyond their disciplines (Swanson et al. 2008; Opermanis et al. 2015; Januchowski-Hartley et al. 2018). Although integration among disciplines is not a novelty, interdisciplinarity still remains rare in the panorama of lifelong education and everyday policies for sustainable development. The chapter details experiences that offer the opportunity for the worlds of sustainability development science and art to meet each other through the language of beauty, poetry, and the senses. We can consider poetry as the science of words, specifically in the direction of behavioral change for the implementation of a sustainable development, i.e., the thorough relationship the scientist brings to the exploration of the world mirrors what a poet does with words in the exploration of experience and language.

2

The Need for Multi (inter) Disciplinarity to Realize Agenda 2030 Goals To break new grounds you have to invent, experiment, grow, take risks, break the rules, make mistakes and have fun. Mary Lou Cook

In physics as in literature and medicine, specializations create divisions, compartments, lack of communication, and at the same time, hyper-technicalities, hyperspecialisms might lead to the inability to take a general, transversal, metacognitive, or interdisciplinary viewpoint. Specialist knowledge is of course a condition for technological development. While one can accept and cultivate specialism, one must also remain aware of what is obscured, or forgotten: generality, the foundations of various disciplines, the metacognitive and transversal. In recent decades, the rise of various fields of research brought the need for their integration, connection, mutual comparison, intersection. The simultaneous need for generality and transversality,

53

Sensoriality, Arts, Poetry, and Sustainability

1057

which captures the connections between formal or substantial knowledge, allows for the possibility of collaboration on common themes, but above all elucidates the convergence on the structural aspects that unite them. As Musacchio et al. (2005) contend, “The real problems of society do not come in discipline-shaped blocks.” In 2018 The National Academies of Sciences, Engineering, and Medicine (NASEM) in Washington, DC published a document that describes approaches to integration among the humanities, arts, and sciences. The report “highlights the extraordinary reservoir of potential that the disciplines represent and evaluates strategies for harnessing that potential through their integration.” Thus, the importance of the multidisciplinary approach becomes even more evident. In recent years, scientists and academics established an understanding of the concept of sustainability that is composed of three dimensions: preservation of natural environment, of economic vitality, and of social innovations and wellbeing (Caradonna 2014; Purvis et al. 2019). Consequently, sustainable development might now integrate the comprehensive question of societal development along with environmental protection, and the ecological question of resource management once treated in isolation now involves economic health. Moreover, many people now accept that the three dimensions of sustainability, i.e., ecological, economic, and social development, are of equal importance. There is no justification to select or prioritize one of these areas over the others (Steiner and Posch 2006). The UN Agenda 2030 for Sustainable Development, signed by the governments of the 193 Member Countries of the United Nations in 2015, is an action program for people, the planet, and prosperity, composed of 17 goals encompassing virtually all dimensions of human existence on the Earth. The traditional single disciplinary approach to academic teaching in isolated university courses fails to capture the complex nature and implications of the concept of sustainability. The world needs a paradigm shift toward a holistic view that involves more systems thinking. The prerogatives of single and sectoral disciplines will require integration and dialogue skills between different experts oriented toward the solution of common problems with common objectives in order to create a sustainable future. Individual disciplines can act as “reservoirs” where experts can elaborate on models, methods, and tools of investigation or intervention, and find common paths when the problems faced concern several areas of knowledge and action. Research demonstrates that the notion of sustainability is also social and cultural, with all these aspects being interconnected (Kagan and Kirchberg 2008). More generally, one might note the need for continuous border crossings between scientific and humanities subjects, between art and science. The shift in focus on the concept of participation from urban regeneration to anthropology triggers new methods of knowledge of the territory, and of the behaviors for sustainable development in action (Edwards 2005; Kühtz 2015). The present dilemmas of climate change, sustainable development, and the future of human life on the planet, along with the inexorable transformation of the landscape, involve all of us. The consequences of unsustainable behavior are terribly democratic; we all breathe the same air. The world population already experiences the effects of climate change, hunger, and mass migrations daily in many areas.

S. Ku¨htz

1058

Scientists, educators, and all people must broaden the spectrum of questions to address the causes of these problems (Kühtz and Gallinari 2017a). Training courses that intertwine knowledge, imagination, and life offer one possibility, without looking necessarily for definite answers, but inhabiting the questions, as put by Rilke in a 1903 letter to his student Franz Kappus, “Try to love the questions themselves like locked rooms and like books that are written in a very foreign tongue. (. . .) Live the questions now. Perhaps you will then gradually, without noticing it, live along some distant day into the answer.”

3

Sensoriality and Beauty as Educational Tools for Sustainable Development What remains of beauty is inside and outside of me, in the instant, in a rush of good humour, in the thread of your coherent journey. Kühtz 2018

Pericles stated that happiness depends on being free and freedom depends on being brave. However, society does not always make people courageous. Many forms of work and activity seem invented to dull the mind and deprive the body of energy (Zeldin 2015). The wonderful aspirations for freedom, equality, eco-sustainability, and brotherhood will remain an incomplete slogan without a profound reform of work, labor spaces, and mentalities. A launch point recognizes the diversity of people, other species, nature, and the world as an element of richness and beauty. Moreover, every individual differs, and science tells us that to look too much like anyone else borders on abnormality. Equality exists, but in the diversity of the creatures that make up the singular universe. I believe that: The most desirable thing in the world is freedom to be true to oneself, i.e. Honesty; That the only difference between human beings is intelligence; That the only criterion of an action is its ultimate effect on making the individual happy or unhappy. Sontag 2008

Words count in a long transformative process. Important words on which we might build a foundation for our analysis here, could be: Education, Beauty, Body, and Responsibility. Education comes from the Latin ex-ducere, which means, to bring forth. To educate someone therefore means to bring out what already lives inside, to help someone to express themselves, make choices, and assist in selfrecognition, among other things. Some people still paint science and sustainable development as intrinsically technical, and therefore neutral, aseptic, or aesthetically unpleasant, as if beauty, the arts, and sustainability exist as incompatible and irreconcilable concepts (Hosey 2012). Rachel Carson wrote in 1962, “The more clearly we can focus our attention on the wonders and realities of the universe about us, the less taste we shall have for destruction.” In other words, when we treasure something our destruction of that thing is less likely. Conservation springs from desire. Aesthetic attraction is environmentally imperative, and not merely a superficial concern. Beauty could save the planet (Hosey 2012).

53

Sensoriality, Arts, Poetry, and Sustainability

1059

“Beauty,” translating literally from the Treccani Italian Encyclopedia, “is the quality of what appears or is considered beautiful to the senses and soul.” In general, without the grip of sensory seduction, life would hold less interest, and would cease to exist. In this respect, sensory ecology studies show how living beings acquire and use information through sight, sound, scent, and the other senses in order to adapt and survive (Stevens 2013). Beauty lies in the rediscovery of sound, visual, auditory perceptions, of attention to little things. The magic also lies in the measured and amazing communication of all the senses, when one can “see” with one’s ears, hands, nose, or “hear” with one’s eyes, and remain together in the compassionate generosity of being present (Kühtz and Rizzi 2019). Tuan stated, “the senses, under the aegis and direction of the mind, give us a world” (1993). The website of Keep America Beautiful proclaims, “Beauty is a silent but powerful force that makes communities safer, healthier and more liveable. America’s cities and towns are being transformed by visionary community leaders who recognize the value of beautification to attract residents, draw tourism, sustain economies, and repel the elements of blight and decay.” Beauty, the senses, and therefore the body contribute to focus the concept of “sensoriality.” The body becomes the inevitable border and passage for our authentic meeting with the world. All human beings learn to use sensory perceptions, albeit often on a subconscious level. In fact, the senses form the basis of the learning process that shapes an individual’s perception of the world. Arousal of the senses explicitly and distinctly expands an already encoded experience. Sensory arousal or rediscovery is also the task of the university. First and foremost, professors and researchers who often feel resigned and cynical must reeducate themselves in beauty, trust, and realistic optimism. Access to responsibility toward our planet and species and resources may arise through the personal experience of beauty. Orr (1992) believed that universities must play a more substantial role in the engagement of all students in activity to foster societal change, which implies that universities recognize all education as environmental, and therefore should revise their curricula substantially. Orr admitted that, “Obstacles in any institution of higher learning are many. Higher education institutions have yet to become what Peter Senge calls, “learning organizations.” One issue to question is the vehicle of the university. It has been very slow to change. (. . .) Maybe it is time to design a truly new organizational structure that can educate students in a new way. (. . .) Green design has to be part of a larger transformation” (Gould and Hosey 2006). The time frame and the geographical scale of implementation, together with the nebulous nature of the predicates, seem to make a sustainable revolution an unprecedented challenge. For example, in architectural training courses based on listening to sounds and sensorial landscapes students may favor a clearer perception of the potential, beauty and fragility of space (Schröder et al. 2019). Teachers need to spread this type of practical teaching that educates people to the beauty of small things, details, feelings, and perceptions widely. Attention to sounds and perceptions reveals new ways of thinking about, and designing, architecture and the urban environment (Bernatek 2018).

S. Ku¨htz

1060

3.1

Design Considerations

We should listen to the urban rhythm to design more liveable and sustainable cities. Sara Adhitya 2017

Design, the study of ergonomics, or the work conducted by designers for the disabled have always focused on sensoriality. We can all experience the world in an amplified and much richer way when we carry out a continuous practice of the senses that also favors the learning process and memory (Kühtz 2019). R. Murray Schafer (1967) developed the term “soundscape,” defined as, “a sound environment perceived and understood by the individual, or by a society.” Schafer was so concerned about the diminished listening skills of children that he maintained that listening practices should become an integral part of educational programs from the beginning of elementary school.

3.2

Beauty and Responsibility to Act

A thing of beauty is a joy forever. John Keats

The body, the senses, and, therefore, beauty may help in the care of the planet, and somehow close a circle. When we enjoy the freedom to admire the wonders of our lives we can take the responsibility to take care. Freedom and responsibility closely connect, and exist dependently on each other. Responsibility links to the concepts of power and action. As philosophers know, Aristotle first conceived the distinction between power and action. Power is the predisposition of matter to assume a certain form, and a passive force that allows form to shape matter according to the dictates of power. The act becomes the form itself, and the material molded under the action of the form. Power and action are two very powerful categories for understanding things, and their ontology (Kühtz and Gallinari 2017b). Power to act for sustainability stems from education, freedom, and responsibility. Having power lies in the knowledge of what one really needs, what one wants and what instead can be an artificial desire rooted in a value system that is no longer satisfactory. One way to deal with dissatisfaction is to become fully present in your language. One can always have a choice, and can choose unforced by someone else. When we choose the power to care, we choose responsibility. If a person denies responsibility, they deny power and courage, and consequently freedom and happiness.

3.3

Beauty, Cynicism, and Desire – A New Definition of Sustainable Development

The creative man looks at old things with a new eye. G. Piero Bona

The transformation of behavior according to a culture that respects resources and reduces waste becomes possible by overcoming cynicism and resignation. We can

53

Sensoriality, Arts, Poetry, and Sustainability

1061

build a world that corresponds to the ideas of harmony and civil coexistence that respect both human desire, and basic survival needs. The cynicism of words exists in reality, and undermines the aspirations, projects, and desires of human beings. Words matter. “We are experiencing a cultural devolution in which society has become biochemically addicted to entrenched, all-or-nothing thinking and myopic perceptions of life. Simply put, emotions cloud our judgment,” says Professor Huberman, a Stanford neuroscientist engaged in the study of brain function and thought processes. Massimo Recalcati gave an illuminated definition of desire at the 2016 Education Conference. He said, “The word ‘desire’ is a key word (. . .): in German we say Wunsch (. . .) vote, vocation, for which desire is the opposite of whim, of doing what one wants (. . .), desire is what gives meaning to life, (. . .) what gives unity, meaning, depth to life. What is psychic suffering?” Recalcati further states, “It is when a life realizes that it has strayed from the law of its desire. Of having gone in another direction.” The gift of life therefore gives us back a responsibility. Responsibility means, “the ability to respond.” Being responsible for one’s desire and talent means to respond to one’s calling, to live following one’s direction, and to find the personal path toward full expression. The classic definition of sustainable development could therefore expand as follows: a development capable of ensuring the satisfaction of the needs and desires of the present generation without compromising the possibility of future generations to realize their own. We must think of ensuring the obvious basic needs, but also create a new educational process of emotions and thought in which we must undertake to recognize what makes us human, attentive, and active in the beauty we can bring to the world.

4

The Arts and Sustainable Science People will forget what you said, but will never forget how you made them feel. Maya Angelou

Education in the arts generally focuses on professional and vocational guidance for a given art. Education through the arts considers art as a learning vehicle for other subjects, and as a means to achieve other educational outcomes (Bamford 2006). “Aesthetics” from the Greek means, “sense perception.” A person’s encounter with beauty, art, or aesthetics may be an everyday experience. To foster and promote such an encounter entails a broader comprehension of the problems we face (such as the Covid19 pandemic, pollution control, everyday actions), and sometimes encourages sustainable actions. The artists Lucy and Jorge Orta explore the boundary of the body and senses through the conception of a series of works that explore the intersection between fashion, architecture, sustainability, and emergence. Clothes become homes, or temporary shelters, a mobile architecture that manipulates and transforms the experience of living. The Ortas received the Green Leaf Award for artistic excellence with

1062

S. Ku¨htz

an environmental message in recognition of their contribution to sustainability from the United Nations Environment Programme in partnership with the Natural World Museum at the Nobel Peace Center in Oslo, Norway in 2007. Some of the research questions they asked themselves were (Orta 2011): “How can works of art empower and nurture constructive dialogue? What contribution can we as artists make to human and environmental sustainability?” Studio Orta engages with contemporary themes to develop practical educational aims that widen our understanding of water availability, the consequences of pollution, and demonstrate possible solutions. Arts-based research applied to science is a relatively new creative methodology that came from developments in art therapy in the 1970s that showed how visual arts, theater, dance, and writing have significant potential to open up new perspectives in different disciplines (MacNiff 1998). “Arts-based methods allow for a more holistic understanding as they open up alternative ways of understanding and interpreting reality, reveal multiple meanings of phenomena and strengthen empathetic awareness-raising” (Heinrichs and Kagan 2019). Music, poetry, film, and visual arts generate insights into sustainability that go beyond the scientific understanding based only on scientific study. Artistic and multisensory approaches can concretize, contextualize, and condense abstract themes and complex phenomena, providing a more complete understanding and potentially result in a call to action. In 2009, the Royal Academy of Arts presented E(art)h: Art of a changing world, one of the first International exhibitions on the matter. The exhibitions explicitly dedicated to this approach in the world are now countless. One may also cite, Beyond Green: Towards a Sustainable Art at the Smart Museum in Chicago in November 2005. T. J. Demos in, “Politics of Sustainability: Art and Ecology” (2009) listed some of these projects, and described artists’ ecoactivism since the 1970s. Demos provides an overview of how relationships evolved between contemporary art, ecology, and sustainability in this essay published in the catalogue accompanying the Barbican art gallery’s Radical Nature exhibition. Another account of the multifaceted role of contemporary art in highlighting environmental issues is the essay by Maja and Reuben Fowkes on Art and sustainability, which voiced criticisms of unsustainable factors in society and offered imaginative solutions to achieve sustainability (2012). In 2015, ArtCop21 presented over 550 major events: installations, plays, exhibitions, concerts, performances, talks, conferences, workshops, family events, and screenings in Paris. Fifty-four countries worldwide highlighted the need for governments meeting in Paris to support strong climate action and signal the end of the fossil fuel era. Several private institutions and museum foundations (sometimes more so than universities) tend to involve artists and scientists who collaborate with the aim of achieving awareness around planetary eco-sustainability, which makes integration and interaction possible between various practices such as research, regeneration of urban spaces, science, and artistic research. For example, in May of 2021 PAV Parco Arte Vivente in Turin, Italy, presented the new exhibition, Sustaining Assembly: Artistic practices for ecological transition, curated by Piero Gilardi and Marco Scotini. The green and liberal economies showcased in the exhibition focused on

53

Sensoriality, Arts, Poetry, and Sustainability

1063

ecological transition based on political assumptions different from the usual dogmas of the Western world. The ethical positions of the artists on display signify much more than a cosmetic gesture. In exhibitions such as these, ecological art aims to contribute to integration and interoperability, and to the possibilities of transition toward a fully sustainable future. The fundamental intersection, collaboration, and union of different perspectives on sustainability help to rethink the current understanding of ecology and SD practices. In March 2021 both national and international artists created 17 individual works of urban art in the outskirts of Rome that described the Sustainable Development Goals 2030 (SDGs) of the United Nations Agenda through the communicative language of street art. The Street Art for Rights project is a 3-year program of activities aimed at the future creation of a free public open-air museum off the beaten track of the Italian capital, an artistic and social action in the urban peripheries of Rome that urges change toward a more sustainable future in a perspective of collective commitment and awareness.

5

Poetry and a Sustainable Wor(l)d Words are actions. L. Wittgenstein

In ancient Greece the first thinkers observed life with the eye of rationality, but they tried to make sense of their lives in verse. Currently, organizations need to create inspirational work environments to match the apparently distant worlds of creativity and science. Furlan and colleagues (2007) combined poetry writing and illustration in a college-level chemistry course. Students declared that the inclusion of poetry in homework made chemistry more enjoyable, and offered a creative way to learn and communicate with others about chemistry. With the integration of poetry in the course content the students engaged more deeply with the subject more than they might as passive recipients of knowledge or information (Furlan et al. 2007; Paiva et al. 2013). Greater involvement can make a topic both more enjoyable and more easily accessible. Individuals can participate more effectively both cognitively and emotionally (Bertirotti and Fagnoni 2016). In another example, Gregory Johnson, an oceanographer at the National Institute for Oceanic and Atmospheric Association and contributor to the Intergovernmental Panel on Climate Change (IPCC), used haiku (small poetic compositions) to distil climate change science (Johnson and Birnbaum 2017) in the IPCC Report. Evolution in the values of civil coexistence and the internal ecology of the mind can take a place among the great purposes of any educational/transformational/ lifelong learning system. The scholastic environment needs an ethic that calls for a profound coherence and promotes the development of an authentic culture of collaboration and exchange. Values represent only one object of education in the era of globalization (Green et al. 2007). Through a shared conversation, and a methodology that goes continuously to the heart of human existence, the principles

S. Ku¨htz

1064

of the internal ecology of the mind in teachers, students, managers, technicians, and citizens will find new life. Poetry both heals and may exhibit therapeutic benefits (Mazza 2016) proven from years of experimentation. Poetry helps people who suffer and fosters trust and empathy. Anabaraonye et al. (2018) suggest that poetry should be part of the curricula of all schools and universities, and describe an experience where pupils read poetry on climate change, and therefore understand adaptation and mitigation strategies more clearly, which in turn fosters behaviors that safeguard the environment in schools and in lifelong educational programs. People can use words as alternative models to link knowledge about SD and societal transformations. Moreover, in some societies – such as rural communities – progress toward a range of priorities through the exclusive use of quantitative sustainability indicators remains difficult to prove. The narrative approach to policy and planning underlined by Lowery et al. (2020), “offers an alternative view of human agency informed not by linear assumptions about knowledge and action, but by the observed power of stories to shape perceptions and motivations.” The suggestion of the combined use of storytelling where rural stakeholder heroes blend with SD indicators may help people to recognize threats to local specific SD viability, and highlight the context’s assets, successes, and failures. In 2015, two scientists, Samantha Oester and Stefanie Januchowski-Hartley, created an original blog project called Conservation Haiku where science and poetry merge. Readers can find the haiku associated with a photograph, and then can read a longer story about the science behind each poem. Through the blog the creators developed collaborations with other scientists and communities, and started a workshop presented at an international scientific congress that merged poetry, history, and science into a tool used to more efficiently communicate science concepts (Januchowski-Hartley et al. 2018).

6

Poetry as a Tool for Understanding Science of Sustainability I credit poetry because credit is due to it, in our time and in all time, for its truth to life, in every sense of that phrase. Seamus Heaney 1995

Science and poetry share the attempt to find a language for the invisible, and to develop an ordered syntax that accurately reflects the observed world. Both use language more precisely than in normal conversation. Both use metaphor and narrative to create unexpected connections. Science uses assumption-testing language with meanings uncolored by feelings. Science uses language exact, definitive, and logical as another form of measurement. For science, the unknown lives in nature. Poetry uses language as an object, and relies on the imprecision of words to create accidental meanings and resonances. For poetry, the unknown resides in language. Each poem experimentally conveys a subjective experience. The elegance and integrity of a scientific theory has to do with the exclusion of subjective and

53

Sensoriality, Arts, Poetry, and Sustainability

1065

emotional factors. Tone, the literary term used to describe the emotional tonality of reality, creates in large part the elegance and integrity of a poem. Scientific communication presents the reader with results, preferably results another researcher could obtain in the same way. The purpose of a poem is to produce a subjective experience achieved only through the unique arrangement of the elements that make up the poem (Deming 1998). The division has probably kept science, the arts, SD issues, and poetic words distant from one another and unintegrated for a long time. Science can involve the emotional, and both male and female scientists may embrace a creative process in their research. In 2014, Lidström and Garrard observed that surmounting the obstacles to the development of more sustainable societies in innovative ways can be as effective as scientific and political routes. They asked questions about the possibility of the development of images and ideas that will help to make emotional sense of issues such as climate change, and began to engage with the implications of a profoundly changed relationship between human and nonhuman nature. Poets fall into a strange category. Jonathan Bate (2001) asks, “What are poets for? They are not exactly philosophers, though they often try to explain the world and humankind’s place within it. (. . .) But they are often exceptionally lucid or provocative in their articulation of the relationship between internal and external worlds, between being and dwelling.” As Seamus Heaney stated in 1980, “Environmental issues have to a large extent changed the mind of poetry.” Perhaps the environmental science field needs to change, i.e., by authentically opening up to poetry, the arts, and theater practices as much as possible in order to convey the message more effectively. Unlike most prose discourse, poetry expresses close personal involvements, and hence pertains to the way we humans respond, on our own, to environmental matters. [. . .] An art like poetry that enhances the presence of the individual is bound to be central in showing how we should understand our environmental rights and obligations. The issue then is this, what is my own response to my surrounding? Angus Fletcher 2004

6.1

The Practical Experiences of Senses, Poetry, and Theater Labs for Sustainability

In 2011, Uri Alon at the Weizmann Institute of Science in Israel started a theater lab where researchers utilized concepts borrowed from improvisational theater, and tools from physics and computer science to study basic principles of human interactions. In 2015, Keleş described how creative drama techniques may prove effective in teaching sustainable development, and suggested a systematic method to implement the work. People tend to associate artistic creation with the powerful eruption of a sudden inspiration that originates from a place that transcends our rationality. We look at artists as strangely talented individuals: geniuses endowed with a gift that can be both a blessing and a curse. Then consider the scientist, a genius as well, a very methodical

S. Ku¨htz

1066

and disciplined observer, and a scrupulous and unique human being that dissects nature with cold-blooded eyes, and objective measures. Someone that may prefer precision to improvisation, objectivity over feelings, or accuracy over emotion. During the course of the last 15 years at University of Basilicata, and in workshops with Italian citizens and visitors to Italy, researchers developed playful experiences through poetry, theater, and the senses. When one pays attention to the small details that poetry portrays, and becomes aware of sensorial capacities, the subject awakens to the beauty of each day, and may consider a transformation in behavior and mental state. The storytelling and communication around SD issues through poetry is the basis of the experimentation launched in 2006 at the University of Basilicata (in the Engineering degree and then Architecture), which combines the poetic word with teaching, and with projects that deal with sustainability.

6.2

The University Course Experience

Students in the Architecture degree program at the University of Basilicata participate in sensory workshops composed of different sensory experiments, and attend a course entitled Languages, future and possibility (LFP). See Box 1 for a synthesis of curriculum and related actions and outcomes. Box 1 LFP, the course experience carried out at University of Basilicata, Matera, Italy (students engaged in the Architecture degree, II and V year course) Course curriculum topics Listening filters 8h

Values, poetry, and commitments 8h

Walking and senses 8h

Actions • Students engaged in listening games/experiences • Read different definitions of SD found in scientific literature • Analyze the different components of SD • Analyze the obstacles posed by listening filters • Writing/reading/poetry exercises on values, beauty, nature, SD, personal engagement • Theater experiences • Outdoors experiences to pose the attention on small things

• Exploring the city through the senses • Sensory games in known and unknown places of the city

Outcomes • Different views shared • Group creation • Participation in seminars on SD • Professors/experts interviewed • Find new questions

• Teams created • Written essays/poems • Definitions of beauty • List of the teams values • List of the planet values • Commitments of the teams for a SD in practice taken on the basis of what experienced • Students paired • Blindfolded exploration of the space

(continued)

53

Sensoriality, Arts, Poetry, and Sustainability

1067

Box 1 (continued) Course curriculum topics

Observation with new eyes 8h

Actions

Outcomes

• Theater games (walk alone, walk in pairs, games in group) • Expand touch, sound, and body experiences • Explore known places • Writing poetry on the issues emerged • Poetry for science • Art for science • Examples of SD

• Development of mutual trust • Deepen perception of space • Final year project of sustainability in action • Composition of poems • Definition of a performance based on an emotional Decalogue of SD • New possibilities for the future emerged • Project related to an area of the city where SD actions are needed

6.2.1 Course Curriculum The course curriculum encourages students to take action on what they have learned rather than just the simple absorption of information. The course explores the human side of environmental sustainability, examines challenges, and expands the views that students hold on the topic. One of the first issues dealt with, is the concept of listening filters. In the listening segment of the course, professors and students discuss the notion of how people think of themselves. Normally, people view themselves as open-minded and objective. In fact, preexisting notions and ideas created during upbringing, past experiences, and circumstances often filter or even obscure their approaches. Filters become recognized as a pervasive influence that profoundly influences people’s relationships with others, circumstances, and even themselves. The recognition and awareness of the striking limits imposed by the filters allows for freedom. People and their approach to life alter dramatically. The course then proceeds to the concepts of values and commitments. Some of the questions students address include: What are the values that inform people’s lives? What can I commit to? What are the values of the planet? Is there anything I can do to commit myself to my values and bring them to life? What kind of contribution do I want to bring into the world’s future? What type of person do I need to be to face the challenges of my generation? (Kühtz and Gallinari 2017a). Specific experiences follow through the use of experiments to increase the group’s awareness of how senses can function as a tool for the value, interpretation, and design of reality and space. The human experience of the world through all the senses, instead of only with the eyes, holds value as an instrument to widen one’s point of view of beauty, landscape, and life. The practical workshop specifically involves what emotions can tell us about a location’s beauty through the senses,

1068

S. Ku¨htz

theater experiences, and poetry. The attention to small things, and even to the invisible, makes the beauty of a place more visible. From 2021 the course has doubled the hours taught and changed name in Listening, Communication, Creativity (in Italian, Ascolto, Comunicazione, Creatività).

6.2.2 Sensory Experiences One of the first experiments with the students consists of entering into known and unknown places, both outdoor and indoor. Students working in pairs lead their blindfolded colleagues into a place unknown to the blindfolded participants where the latter experiences a world of wonder, responsibility, and mutual trust without sight. For many students the experiment represents a foundational perceptual experience. In a second experiment, participants expand upon the first trust exercise when paired participants walk together through a location with one member blindfolded and the other acting as a guide. Participants change movement speeds, and if the location size allows it, they may run. The collaborative exploration of the place, and of their own feelings, expands the threshold of their visual imagination through touch and sound. Students experience perceptive postures different from the ordinary in this workshop, i.e., they felt the ordinary world in a broader, perhaps more extraordinary way. The experience of the invisible day after day helps the students clarify their ideas about their own theoretical studies on sustainability and architecture. Theater-Like Experiments A third experiment involves body perception and physical presence through several different experiences. For example, the participants stand in a circle and lean on their neighbors’ shoulders while looking each other in the eye. When students meet the eyes of new companions and lean on each other for support, the acts provoke new ideas and emotions. Different bodily feelings and approaches can change our understanding of the space, our point of view, and how our vision changes when we share the space with others. The same place can suggest very different feelings and perceptions that depend on how one feels within their body, and how one feels when supported by the presence of others.

6.2.3 Poetry as a Tool Poetry may impart a new view of language that alters the very nature of exploration possibilities. Language becomes a creative act. Listening and speaking (actions normally seen as commonplace) take on new dimensions and unexpected power, and become instruments of creation. These activities unveil how people’s health connects to the health of the planet in physical, mental, and psychological terms. Ecological minds reflect ecological behaviors (Kühtz and Gallinari 2017a). Participants share the new possibilities they’ve created for themselves with each other in the final class session devoted to the future. The students begin by reading poetry, more specifically environmental poetry and literature, and then revisit key discussions and critical insights for the purpose of self-transformation through interaction with the environmental poetry writings. The course instructors then

53

Sensoriality, Arts, Poetry, and Sustainability

1069

train students to carry out a final year project composed of a practical part that relates to real sustainability in action. They encourage a breakthrough project that needs to involve others with a specific result that carries a meaningful impact on the area where they live (i.e., small changes in their local municipality). Students share poems on the topic and write an emotional Decalogue on sustainable development. The poet’s way of articulating the relationship between humankind and environment, person and place, is peculiar because it is experiential, not descriptive. Whereas the biologist, the geographer and the Green activist have narratives of dwelling, a poem may be a revelation of dwelling. Such a claim is phenomenological before it is political, and for this reason ecopoetics may properly be regarded as pre-political. Jonathan Bate

6.3

Urban Workshops

In recent years, itinerant workshops for citizens have become increasingly common. By walking, these labs aim to broaden the real experiences of the city, the vision of what is possible; it is a participatory way to imagine and realize democratic outcomes, to foster bottom up ideas. The ability to see places in a void is a skill learned for millennia, when humans roamed on foot and were mainly nomads. Pedestrian paths are precursors of any architectural space; they refer to a time when people had to walk through a place to inhabit the place itself. To wander was the only way to inhabit the planet, before any type of architecture and city appeared. Workshops with citizens need significant preparatory work to identify and tailormake choices about the area, the guides, the itineraries, the actions that will take place in the lab. The workshop begins with a walk in the chosen area of the city; participants are then given some words such as “beauty,” to act as filters. The itinerary is defined, but open to improvisation. Encounters with locals, previously arranged by the organizers, also take place during the walk. These “locals” are people who have stories to share about themselves, their lives, and the life of the area. Box 2 summarizes the actions and the outcomes of the workshops entitled Inhabit poetically the city, carried out by Poesia in Azione in the South of Italy. Box 2 Example of program Inhabiting poetically the city, urban workshop with citizens (Poesia In Azione, Italy – poesiainazione.it) Workshop topics Preparatory work (only with the organizing group)

Actions • Contact local groups engaged with SD and the territory to identify an area where a work is needed • Find local guides – people who have stories linked to that area • Choose the itineraries

Outcomes

(continued)

S. Ku¨htz

1070

Box 2 (continued) Workshop topics Listening filters and walking 2h

Poetry, values, and commitments – Walking 2h

Senses – walking – photos 3h

Observation with new eyes Final performance 3h

Actions • Pose questions such as: What are listening filters? • What are the obstacles to imagining a new city? • Walk with new filters in mind: beauty • Write in prose and poetry, descriptions of what is visible • Capture new words to describe the area • Writing/poetry exercises on values, beauty, engagement, personal commitment • Theater experiences • Observe and describe small things • Exploring the area through the senses • Sensory games in known and unknown places • Theater games (walk alone, walk in pairs, games in group) • Expand touch, sound, and body experiences • Encounters with local guides with stories and musicians • Writing poetry on the issues emerged • Take new actions for SD • Record the participants voices – audio tracks • Performance/theater rehearsals

Outcomes • Different views shared • Group creation • Find new questions • Writing about the area

• Written essays/poems • Definitions of beauty • List of the planet values • Commitments of the participants for a SD in practice • Blindfolded exploration of the space • Development of mutual trust • Deepen perception of space • Find beauty where it is not obvious • Public performance based on the writings and photos taken • Exhibition • New possibilities for the future emerged for that area

To walk in the presence of architecture transforms the urban space into a landscape, and makes the qualities of the place visible and perceptible. Attention to ambulation as a privileged mode of perception of the urban environment has roots in the late nineteenth century. Walking allows one to perceive reality with all the senses, and if there is enough concentration and attention, walking truly allows for a full experience. Walking makes a city known through immersion and contact. Therefore, from the perspective of reading, the situated, subjective, and embodied character that a walk adds to the knowledge of the urban fabric acquires value in and of itself. The participants must capture words as if the words were butterflies.

53

Sensoriality, Arts, Poetry, and Sustainability

1071

The paths taken act as the stories, encounters, narrations, and poetry of everyday life, and invite the possibility of rewriting their vision of the city. Walking is a democratic and non-discriminatory practice for living in a city. Some of the questions elicited may include: How does beauty affect your life? What is beauty for you? Where do you find beauty in life? And in your city? Which connections with sustainable development? How would you explain your very idea of Beauty to a child? What do you do in life to let beauty grow? What is poetry? Beauty is truth, truth beauty, - that is all Ye know on earth, and all ye need to know. John Keats

Of course, we cannot limit beauty to an outcome because beauty resides in the process as well. Participants experience perceptual positions different from the ordinary when they listen to the world, or “see” it with all their senses. One of the first effects of sensory games similar to those already described occurs when they meet with other participants in the complicity of the sensory game (Kühtz and Gallinari 2017b), which in Bateson’s words is the ideal environment to learn. In the example of the blindfolded participant, the scarf on the eyes acts as a device, which the Poesia in Azione (Poetry In Action) group of Bari, Italy often uses in the fruition of performances and installations in order to cause the listener to focus their perceptual spectrum on the audible and thus create the conditions for concentrated listening. The exercise also invites participants to listen through all the senses and use their voices (Labs conducted in Italy: Bari, Bitonto, Conversano, Matera, Trento). The following is the link to the final audio tracks of a 2-day workshop conducted in Conversano, Puglia, South of Italy (May–June 2021): https://soundcloud.com/ poesiainazione99/sets/lab-abitare-poeticamente-la-citta-conversano-poesia-inazione A daily action such as a walk, a pause, and the return indoors is therefore proposed as an aesthetic practice of perception, participation, exploration, wonder, poetry, and a redefinition of the new possibilities of sustainable urban life. Sometimes participants encounter musicians and live musical performances previously organized in very wellknown corners of a squalid periphery, which then become gems of wonder and splendor. A student during a doctoral class commented, “If we do not have these experiences that forcibly make us investigate the potential of our senses and behaviours, we become hyper-sighted. We too are handicapped when we limit everything to sight.” As we all know, sustainable development relates to many issues involved with infra and intergenerational equality, well-being, and health (see Goal 17 in the United Nations Sustainability Agenda 2030). Since 2014, the approach also extended to the instruction of doctors and health workers through training modules conducted at the Local Health Authorities (Azienda Sanitaria Locale), in Bari and southeast Tuscany, which produced a program called la bellezza della cura, or “the beauty of care.” The project creators developed also a tool – labellezzadellacura.it – used in some health facilities, which expanded then to a version entirely translated in French, labeautedusoin.net. They are continuing to explore collaboration

S. Ku¨htz

1072

opportunities, ideas, and the possibility of experimentation wherever this may seem possible. Such projects help to emphasize the importance and usefulness of poetry as a tool for health, healing, and change.

7

Conclusions

We must consider consumption, waste, and our learning and teaching style as educators, citizens, artists, and people in an ongoing dialogue about sustainable development. The problems of the present age call for coherence as a civil value to encourage everyone to make their own sustainability revolution, the one that starts from below and aspires to profound and intense transformations of which words become the first act. For nearly 2300 years the Greek idiom, “Beauty is in the eye of the beholder,” has existed; or to restate the same sentiment in Latin, de gustibus non disputandum est, or “there is no accounting for taste.” Recent work in the fields of neuroscience and behavioral psychology have begun to confirm that means exist for the measurement of beauty through the study of human responses and preferences. People make individual judgments about beauty, and also hold predetermined criteria that lead to decisions not as subjective as we might suppose. We would like to add the idea that beauty is the inherent right of every person, and may be added to the United Nations Sustainability Agenda for 2030 as the 18th future goal. Through the analysis and the examples presented in this chapter we made a strong case underscoring how beauty and the experience of it is intrinsic to human existence and has fundamental ramifications to our perception of, and responsibility toward, our environment. We would like to suggest, therefore, that this concept of beauty be adopted as an overarching analytical key to discuss and decide policies in the implementation of Agenda 2030. The fundamental imperative that all human beings need to involve themselves in order to safeguard our planet for future generations holds great value. Science and poetry, SD and art, can intersect, enrich, and reinforce one other, nurture the dialogue about what is possible to do every day, and relate directly to the agenda of the citizen, student, and policy maker, so that joy and responsibility may go hand in hand. I want to give thanks to the divine Labyrinth of effects and causes, (. . .) for bread and salt, for the mystery of the rose that spends all its colour and cannot see it, for my country, sensed in jasmine flowers (. . .). Jorge Luis Borges

References Adhitya S (2017) Musical cities – listening to urban design and planning. UCL Press, London Anabaraonye B, Nji IA, Hope J (2018) Poetry as a valuable tool for climate change education for global sustainability. Int J Sci Eng Res 9(9):81–85 Bamford A (2006) The Wow Factor: global research compendium on the impact of the arts in education. Waxmann, Munster

53

Sensoriality, Arts, Poetry, and Sustainability

1073

Bate J (2001) The song of the Earth. Picador, London Bernatek R (2018) Sound making space. Blueprint Magazine, no 358 Bertirotti A, Fagnoni R (2016) The collaborative dimension of social innovation. Imago, a Journal of the Social Imaginary, n. 7 – Year V / June, pp. 127–139. https://doi.org/10.7413/22818138063 ISSN: 2281-8138 Caradonna JL (2014) Sustainability: a history. Oxford University Press, Oxford, UK Carson R (1962) Silent spring. Houghton Mifflin Company, Boston Deming AH (1998) Science and poetry: a view from the divide. Creative nonfiction, no 11 Demos TJ (2009) The politics of sustainability: contemporary art and ecology. In: Manacorda F (ed) Radical nature: art and architecture for a changing planet 1969–2009. Barbican Art Gallery, London Du Pisani JA (2006) Sustainable development – historical roots of the concept. Environ Sci 3(2): 83–96 Edwards AR (2005) Sustainability revolution. New Society Publishers, Gabriola Island Fletcher A (2004) A new theory for American poetry: democracy, the environment, and the future of imagination. Harvard University Press, Cambridge, MA Fowkes M, Fowkes R (2012) Art and sustainability. In: Morray J, Cawthorne G, Dey C, Andrew C (eds) Enough for all forever: a handbook for learning about sustainability. Common Ground, Champaign, pp 215–228 Furlan P, Kitson H, Andes C (2007) Chemistry, poetry, and artistic illustration: an interdisciplinary approach to teaching and promoting chemistry. J Chem Educ 84:1625–1630 Gould K, Hosey L (2006) Ecology and design: ecological literacy in architecture education report. Tides Foundation Kendeda Sustainability Fund, AIA report Green A, Little AW, Kamat SG, Oketch M, Vickers E (2007) Education and development in a global era: strategies for “successful globalisation”. Central Research Department of the Department for International Development, London Heaney S (1980) Preoccupations: selected prose 1968–1978. Faber, London Heaney S (1995) Nobel lecture. NobelPrize.org. https://www.nobelprize.org/prizes/literature/1995/ heaney/lecture/ Heinrichs H, Kagan S (2019) Artful and sensory sustainability science: exploring novel methodological perspectives. Rev Gest Ambient Susten 8:3 Hosey L (2012) The shape of green: aesthetics, ecology, and design. Island Press, Washington, DC Januchowski-Hartley SR, Sopinka N, Merkle BG, Lux C, Zivian A, Goff P, Oester S (2018) Poetry as a creative practice to enhance engagement and learning in conservation science. Bioscience 68:11 Jevons WS (1866) The coal question: an inquiry concerning the progress of the nation, and the probable exhaustion of our coal-mines, 2nd revised edn. Macmillan, London Johnson GC, Birnbaum AN (2017) As El Niño builds, Pacific Warm Pool expands, ocean gains more heat. Geophys Res Lett 44:438–445 Kagan S, Kirchberg V (2008) In: Kagan S, Kirchberg V (eds) Sustainability: a new frontier for the arts and cultures. Verlag für Akademische Schriften, Frankfurt am Main Keleş Ö (2015) Creative drama in the teaching of education for sustainable development: sample activity about sustainability and sustainable production. J Environ Sustain 4(4):25 Kühtz S (2015) Il paesaggio e la multidisciplinarietà – spunto di riflessione per una rivoluzione sostenibile. In: Kühtz S, Marano F (eds) Questo (non) è un paesaggio, vol 2. Altrimedia, Matera Kühtz S (2018) Quel che resta del bello – piccole prose. Spagine Kühtz S (2019) Senses and beauty in the built space – the legacy of perception. Dwelling on Earth, Abitare la Terra REDS special edition. Gangemi ed, pp 52–53 Kühtz S, Gallinari L (2017a) La rivoluzione sostenibile – utopia o reale possibilità?. AIEMS Riflessioni sistemiche, no 17. http://www.aiems.eu/files/kuhtzgallinari_-_n_17.pdf Kühtz S, Gallinari L (2017b) Linguaggi, futuro e possibilità. Dell’avventura del pensare, delle mirabili cose che le parole fanno accadere e altre stravaganze. SECOP ed. ISBN: 8894862186 Kühtz S, Rizzi C (2019) Quel che resta del bello. Il manifesto del demolitore e altre tattiche. Spagine

1074

S. Ku¨htz

Lidström S, Garrard G (2014) Images adequate to our predicament: ecology, environment and ecopoetics. Environ Humanit 5:35–53 Lowery B, Dagevos J, Chuenpagdee R, Vodden K (2020) Storytelling for sustainable development in rural communities: an alternative approach. Sustain Dev 28(6):1813–1826 MacNiff S (1998) Art-based research. Jessica Kingsley Publishers, London Malthus TR (1926) First essay on population (an essay on the principle of population as it affects the future improvement of society, with remarks on the speculations of Mr Godwin, M. Condorcet, and other writers, 1798). Macmillan, London. (1926 edition with notes by James Bonar) Mazza N (2016) Poetry therapy – theory and practice. Routledge, London Meadows DH, Meadows DL, Randers J, Behrens WW (1972) The limits to growth: a report for the Club of Rome’s project on the predicament of mankind. Potomac Ass. Book, London Mensah J (2019) Sustainable development: meaning, history, principles, pillars, and implications for human action: literature review. Cogent Soc Sci 5:1 Musacchio L, Ozdenerol E, Bryant M, Evans T (2005) Changing landscapes, changing disciplines: seeking to understand interdisciplinarity in landscape ecological change research. Landsc Urban Plan 73:326–338 NASEM (National Academies of Sciences, Engineering, and Medicine) (2018) The integration of the humanities and arts with sciences, engineering, and medicine in higher education: branches from the same tree. National Academies Press, Washington, DC Opermanis O, Kalnins SN, Aunins A (2015) Merging science and arts to communicate nature conservation. J Nat Conserv 28:52 Orr D (1992) Ecological literacy: education and the transition to a postmodern world. State University of New York Press, New York Orta L (2011) Operational aesthetics – studio Orta, UAL Professorial Platform series of lectures. UAL, London Paiva JC, Morais C, Moreira L (2013) Specialization, chemistry, and poetry: challenging chemistry boundaries. J Chem Educ 90:1577–1579 Purvis B, Mao Y, Robinson D (2019) Three pillars of sustainability: in search of conceptual origins. Sustain Sci 14:32 Recalcati M (2016) Website viewed in 2021. https://www4.ti.ch/decs/ds/festivaleducazione/ edizioniprecedenti/edizione-2016/programma-2016/ Schafer RM (1967) Ear Cleaning, notes for an experimental music course, BMI ltd Canada. Schröder J, Cappeller R, Rizzi C, Kühtz S (2019) Matera soundscapes. Design research workshop. Leibniz Universität Hannover Regionales Bauen + Siedlungsplanung. ISBN: 978-3-946296-26-3 Sontag S (2008) In: Rieff D (ed) Reborn: journals and notebooks, 1947–1963. Farrar, Straus and Giroux Publisher, New York Steiner G, Posch A (2006) Higher education for sustainability by means of transdisciplinary case studies: an innovative approach for solving complex, real-world problems. J Clean Prod 14: 101–107 Stevens M (2013) Sensory ecology, behaviour, and evolution. Oxford University Press, Oxford, UK Swanson FJ, Goodrich C, Moore KD (2008) Bridging boundaries: scientists, creative writers, and the long view of the forest. Front Ecol Environ 6:499–504 Tuan Y-F (1993) Passing strange and wonderful – aesthetics, nature and culture. Island Press, Washington, DC von Carlowitz HC (1713) Sylvicultura oeconomica, vol 2018. Franklin Classics Trade Press, London Wallace AR (1898) The wonderful century (reprint 2012). Cambridge University Press, Cambridge, UK Zeldin T (2015) Ventotto domande per affrontare il futuro. Sellerio, Palermo

Robotized Pre-recycling for Improved Material Recovery

54

Mike Duddek and Saulo H. Freitas Seabra da Rocha

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Traditional E-Waste Recycling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Robotized Pre-recycling Technique . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Barriers for the Implementation of Robotized Pre-recycling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1076 1076 1077 1083 1084 1085

Abstract

Electronic waste is the fastest-growing domestic waste stream, which contains highly valuable materials in an economic and strategic way. Current approaches are not able to process these excessive quantities of electronic waste consisting of complex material combinations with a high recycling quote. New technologies are required to increase the amount of recovered materials from this waste stream. A robotized pre-recycling process can be one of these technologies. With the use of an intensive automated pre-recycling approach, it is possible to achieve a higher level of material recovery by reducing material complexity, enabling more specialized downstream processes, and preventing inseparable material compositions. Keywords

Recycling · Robotic · Electronic waste · Automation · Material recovery · Robotized process

M. Duddek (*) · S. H. F. Seabra da Rocha Institute of Energy Systems and Energy Management, University of Applied Sciences Ruhr West, Bottrop, Germany e-mail: [email protected]; [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_71

1075

1076

1

M. Duddek and S. H. F. Seabra da Rocha

Introduction

The amount of global electronic waste is rising continuously over the past years. In the year 2019 a quantity of 53.6 million tons of e-waste is generated worldwide. This rising trend will continue in the future, making e-waste the fastest growing domestic waste stream. Until the year 2030, the global amount of e-waste will reach a projected amount of more than 74 million tons (Forti et al. 2020). This has two main reasons: First, the generated e-waste per capita is rising worldwide, due to shorter lifespans of electronic devices, as well as an increasing number of smart devices. And second, the generated amount of e-waste per capita in developing areas such as Asia is rising even more. If the amount of e-waste per capita of Asia (5.6 kg in 2019) reaches the same level as in Europe (16.2 kg in 2019) the global e-waste will nearly double. The same applies to other developing regions of the world, illustrating future development (Prakash et al. 2016; Forti et al. 2020). This demonstrates the importance of reliable recycling processes, to treat these rising quantities of e-waste. But even more important is to increase the rate of recovered materials from the input material. As shown in Table 1, the end-of-life recycling rates of materials found in e-waste are alarmingly low. For modern batterydriven devices (e.g., screwdrivers and phones) the recycling rates of important materials such as lithium and neodymium are at 1% or lower. The fact that even recycling rates for aluminium and copper are below 20% shows the potential of improved e-waste recycling. It is inevitable to increase the amount of recovered material for complex multi-material devices and therefore decrease the need of primary materials for the production of new electronic devices. These rates only apply to Europe, a world leader in environmental issues (Blengini et al. 2020).

2

Traditional E-Waste Recycling

Currently, all electronic waste recycling is done by using more or less the same processing steps. At first, the waste is sorted manually by hand in order to remove components due to governmental rules, like items containing mercury or batteries. Next, all components are crushed to crack the primary housing in preparation for the removal of internal batteries and capacitors in a second manual sorting process. Then all components are shredded evenly into a mixed fine fraction (e.g., 0–5 mm). Which then is sorted in a magnetic and non-magnetic fraction to separate ferromagnetic Table 1 Recycling input rates for different materials (Blengini et al. 2020)

Material Iron Copper Magnesium Aluminium Neodymium Lithium

End-of-life recycling input rate (%) 31 17 13 12 1 0

54

Robotized Pre-recycling for Improved Material Recovery

1077

materials. After this, different approaches can be applied to split the magnetic and non-magnetic fractions, even more, depending on the facility (Martens and Goldmann 2016; Worrell and Reuter 2014). This results in the recycling quotes shown in Table 1. The biggest problem of this traditional method is the minor pre-sorting process which results in a huge material mix, from where a full separation is nearly impossible. For example, if the components of the metal gear of a cordless screwdriver are mixed with neodymium magnets of the motor, it is not possible to split these materials mechanically out of a homogeneous fine fraction. This results in a contamination of the steel fraction with neodymium and a full loss of the neodymium, which needs to be diluted in the steel fraction to generate a commercial steel recyclate (Blengini et al. 2020). A study showed that disassembling complex products by hand and separating them into different main materials could increase the value of the e-waste material stream and the material recovery ratio. However, manual pre-sorting takes time and requires expensive labour, making the overall process cost-inefficient. To be costefficient, the manual processing needs to be more than seven times faster (Robert 2020). As this increase in productivity seems to be impossible for a manual process, automated robotized pre-processing techniques might be able to solve the problem in the future. Such processes need to work autonomously, continuously, and reliably to counteract the growing level of e-waste and increase the recovery rates of all kinds of materials.

3

Robotized Pre-recycling Technique

Electronic waste consists of a high spectrum of different objects and material compositions, even in the category of smaller equipment (3 kg), the variety of products is enormous ranging from smartphones to vacuum cleaners and cordless hand machines, just by naming some examples (Martens and Goldmann 2016). Developing a perfect automated disassembling process for this high number of different devices seems to be nearly impossible. However, what seems to be possible, is to divide these devices with different processing techniques into reasonable and related fractions, minimizing material mixtures, its segregation is nearly impossible. The process for an automated pre-recycling approach could follow the scheme shown in Fig. 1. In the beginning, the recycling object needs to be clearly identified, for two reasons. First, it needs to be categorized for further processing and an absolute identification with brand and model has the advantage, that information gathered about a specific Object identification

Information gathering

Procedure planning

Mechanical tear-off

Fig. 1 Process scheme of an autotomized pre-recycling process

Recycling process

1078

M. Duddek and S. H. F. Seabra da Rocha

model can be saved and reused, whenever the same model is processed again. With this, it is possible to make the approach faster over time, when more objects have been processed by reducing the time needed for the information gathering process. In the information gathering process, all necessary information is collected to process the recycling object, starting with retrieving the outer geometry for further handling by a robotic arm. The object is then moved to different stations in order to obtain further information about it. Most important is the inner composition of the recycling object which can be determined with an X-ray image sensor and additional sensors to collect all necessary information. All this happens fully automatic, based on the type of recycling object and the needed information. With this data present, the actual pre-recycling process is automatically planned by a system based on the previously gathered information, selecting the matching decomposing technique and determining the fractions into which the recycling object is broken down, using pre-programmed resolution paths. With a second robotic arm, the recycling object is separated into different fractions, based on the material composition, using various mechanical cutting techniques, as well as chemical or thermal treatments for further separation. After this pre-recycling, the different material fractions are handled in a traditional recycling facility with the difference that the recycling objects are already pre-sorted into material fractions, less complex, and easier to separate. As an example, Fig. 2 shows an X-ray image of a common cordless screwdriver with marked separation lines. The strategy is to separate this screwdriver into

Fig. 2 X-ray image of a cordless screwdriver with separation lines and marked fractions. (Picture: M. Duddek/S. Seabra, 2021)

54

Robotized Pre-recycling for Improved Material Recovery

1079

fractions in order to simplify the future recycling process through less complex material mixtures, with a minimal number of different materials in each fraction and the evade of material contamination like magnets or copper in high alloyed steel. The cutting strategy in this example would be a separation of the transmission combined with the chuck (A), the electric motor (B), the grip (C), and the battery (D). This screwdriver consists of eight main material groups, as shown in Fig. 3. Mainly thermoplastics, higher and lower alloyed steel, as well as lithium batteries. According to the EU WEEE-directive these lithium batteries, as well as printed circuit boards with a size above 10 cm2 need to be removed prior to the recycling process, an action which is mainly carried out by hand. Both elements are contained in the battery compartment of the screwdriver which would make manual pre-treatment necessary. In this automated approach, the indicated manual process can be avoided as the battery compartment (D) is separated with a cutting technology from the rest of the device, enabling a special treatment for these lithium cells and printed circuit boards and avoiding manual handling. This process can also be used for devices from which the battery cannot be removed manually, since the battery can be removed from the device at all points with a cutting technology, in order to prevent the battery cells from being destroyed in the recycling process (European Parliament 2018; Martens and Goldmann 2016).

Fig. 3 Total composition of a cordless screwdriver weight-percent

1080

M. Duddek and S. H. F. Seabra da Rocha

To verify the advantages of the further separation Figs. 3, 4, 5, 6, and 7 display the material composition of each resulting fraction after the separation process. Beginning with the transmission and drill-chuck compartment, the upper left part of the screwdriver (A), Fig. 4 shows, compared to the total composition in Fig. 3, a considerable simplification in composition. The separation creates a fraction with less diversity and a majority of high-alloyed steel (>70%) containing few contaminants which decrease the quality of the high-valued steel fraction. The further separation of these elements in a traditional recycling process is easy to handle, due to the low mix of materials and clearly differentiated individual materials (metals and plastics). In addition, the plastics can also be reused, as they are easy to process because of the simple composition of the fraction (Martens and Goldmann 2016). According to Fig. 5, the motor fraction (B) forms a more complex material mixture, due to the strongly interwoven materials of the motor. In particular, the copper content and the presence of magnets are problematic. The magnets bond the magnetic components together preventing an easy separation of the low alloyed steel components. By separating this fraction from the front part of the cordless screwdriver (A), a mixture of the complex fraction (B) with the easy to recycle fraction (A) can be avoided. The problematic magnets and copper are separated early from the high alloyed steel, preventing a deterioration of the steel recyclate. For further processing, this material composition requires a special post-treatment in the Fig. 4 Composition of the transmission and chuck fraction weight-percent

54

Robotized Pre-recycling for Improved Material Recovery

1081

Fig. 5 Composition of the motor fraction weight-percent

recycling facility for deeper decomposition. To obtain an intensified separation of the materials before the recycling process, a complete disassembly of the engine would be necessary, which would not be economically reasonable due to its complexity. However, if the recycling plant is set up in such a way, that it is optimized for specific material compositions, this mixture can be processed in an industrial recycling facility. Different compositions require different types of treatment, so it is conceivable that a recycling line could be set up, that is specialized for the treatment of electric motors, but incompatible with e.g., the treatment of battery components. Furthermore, pre-splitting makes it possible to specialize the downstream treatment processes. It can also contribute to increasing efficiency and cost-effectiveness, as long as similar components go through the corresponding optimized process steps and not complete devices. This allows treatment steps that are considered uneconomical for entire devices to become economical when supplied exclusively with special subcomponents (Martens and Goldmann 2016). Fraction (C), the handle of the cordless screwdriver consists of more than 80% plastics and approximately 17% metal components as shown in Fig. 6. This composition can be processed very well in a classic e-waste recycling process so that a reliable separation of the metallic and plastic components is possible. According to legal regulations (EU-WEEE-directive), the circuit board contained in the fraction does not have to be separated and treated individually due to its size. However, if the

1082

M. Duddek and S. H. F. Seabra da Rocha

Fig. 6 Composition of the handle fraction weight-percent

circuit board would fulfil the criteria for a separation or if the law would become stricter in this area, it would be possible to treat the circuit board separately by a further segregation (European Parliament 2018). The battery compartment, fraction (D) contains mainly lithium batteries (Fig. 7). The most important task is to remove these batteries prior to the mechanical recycling process as described in the chapter Traditional E-Waste Recycling. In addition to the legal requirements, an intact separation is meaningful to prevent fires in recycling facilities through exploding batteries. Preventing the leakage of the cells ensures that the problematic and aggressive battery ingredients like phosphorus, chlorine, and fluorine cannot contaminate or impair other materials and the facility. The same applies to devices in which the battery is more integrated and cannot be removed manually without disassembling the device. Such fractions require special post-treatment in order to isolate the battery cells from their composite and separate them from other materials present such as circuit boards and plastics. The same applies here as with fraction (B), specialized post-treatment can make the further process more efficient and economically viable by supplying only selected material flows that are adapted to the following treatment process (Bruns and Dinse 2018; Korthauer 2013). This example shows that the pre-dividing of disposed electronic devices can simplify the following recycling process, by decreasing the complexity of the resulting fractions. This enables specialized handling of the fractions in the

54

Robotized Pre-recycling for Improved Material Recovery

1083

Fig. 7 Composition of the battery fraction weight-percent

downstream process. By dividing the complex problem into simpler partial problems, the processing efficiency can be increased. This concept can be applied to all types of electronic devices, especially on complex battery-powered devices containing motors and mechanical components, reducing the manual upstream pre-processing and increase material recovery rates.

4

Barriers for the Implementation of Robotized Pre-recycling

There are three main implementation barriers in the realization of this concept. First, stable object identification must ensure that repetitive products are recycled in the same manner and with process steps already learned. This way, complex data acquisition is required less often and in theory only once per object. However, the difficulty is mapping the large variety of electronic devices and ensuring object identification even for worn, damaged, partially disassembled, and modified objects. The second barrier is handling unknown electrical devices. To enable automated pre-division of the electrical devices with a robotic arm, the robot must be able to manipulate an almost infinite number of object geometries safely. This requires gripping systems that can adapt flexibly to a wide variety of geometries or an assortment of different grippers that can be exchanged according to the device to

1084

M. Duddek and S. H. F. Seabra da Rocha

be handled. In addition, the motion planning of the robotic arms is a challenge. Since the data acquisition, as well as the disassembly of the devices takes place differently for almost every device due to its geometry and inner structure, different objectdependent disassembly strategies are required. Therefore, flexible and safe path planning is required. This must ensure that the movement paths are efficient and free of collisions even though individual path planning for each device and even various workstations is necessary. The third barrier is the automated planning of the pre-division process. First, the internal composition of the electronic devices must be specified for further processing. A precise and reliable determination of the internal components and their positions in the device is essential. Second, the correct disassembly techniques suitable for the electronic device, their sequence, and the separation paths for the object must be determined based on the acquired data. This requires well-planned decision paths that enable this automation, because the accuracy of this process step directly determines the effectiveness of the pre-cutting process. All these barriers require further research and development but the implementation of this concept seems feasible in the future based on current methods and technologies.

5

Conclusion

To ensure a reasonable handling of the rising amounts of e-waste, more efficient recycling approaches are required. The pre-processing of disposed electronic devices is an important technique to reach this goal. An intensive preparation of the e-waste prior to the shredding procedure makes a significantly more efficient recycling possible. However, a manual preparation by hand is not a possibility, as the quantities cannot be handled economically. The use of robotized pre-recycling processes is a possible way to deal with this problem. A robotized disassembly of all electronic devices available on the market is technologically impossible, therefore a separation of fractions with mechanical, thermal, or chemical treatments represents a feasible way. Using imaging processes (e.g., X-ray), robotic arms are able to handle different electronic devices and pre-divide these, based on the inner composition, generating less complex fractions and avoiding material contaminations. By dividing electronic devices into smaller partial problems, recycling plants can be constructed in a more specialized way instead of treating all material compositions at once in the same general processing line. This process can contribute to the future recovery of more secondary materials from electrical waste and reduce the need for primary materials in order to enhance the transformation to a circular economy. Acknowledgements This work was performed within the research project “Prosperkolleg – Transformation zur zirkulären Wertschöpfung” in the Circular Digital Economy Lab (CDEL). The authors would like to thank the ministry of economy, innovation, digitalisation, and energy of the state of North Rhine-Westphalia for its sponsorship of this project.

54

Robotized Pre-recycling for Improved Material Recovery

1085

References Blengini GA, El Latunussa C, Eynard U, Torres de Matos C, Wittmer DMAG, Georgitzikis K et al (2020) Study on the EU’s list of critical raw materials (2020). Final report. Publications Office of the European Union, Luxembourg Bruns S, Dinse M (2018) Brandschutz im Umgang mit gebrauchten Lithium-Ionen-Batterien im Recyclingbetrieb, Recycling und Rohstoffe, Volume 11. Thomé-Kozmiensky Verlag, Neuruppin European Parliament (2018, May) Directive 2012/19/EU. WEEE, revised Directive (EU) 2018/849 Forti V, Baldé CP, Kuehr R, Bel G (2020) The Global E-waste Monitor 2020. Quantities, flows and the circular economy potential. United Nations University, Bonn/Geneva/Rotterdam Korthauer R (ed) (2013) Handbuch Lithium-Ionen-Batterien. Springer, Berlin Martens H, Goldmann D (2016) Recyclingtechnik. Fachbuch für Lehre und Praxis, 2nd edn. Springer, Wiesbaden Prakash S, Dehoust G, Gsell M, Schleicher T (2016) Einfluss der Nutzungsdauer von Produkten auf ihre Umweltwirkung. Schaffung einer Informationsgrundlage und Entwicklung von Strategien gegen “Obsoleszenz”, Bericht im Auftrag des Bundesumweltamt, Dessau-Roßlau Robert L (2020) Verbesserung des Recyclings von Haushaltskleingeräten im Hinblick auf strategische Metalle durch ein bestmögliches Behandlungs- und Zerlegesystem, Recycling und Sekundärrohstoffe, Volume 13. Thomé-Kozmiensky Verlag, Neuruppin Worrell E, Reuter MA (eds) (2014) Handbook of recycling. State-of-the-art for practitioners, analysts, and scientists. Elsevier, Amsterdam/Boston/Heidelberg

Diagnosis and Prognosis in the Management of the Environmental Impacts of a Sanitary Landfills from the Perspective of the SDGs

55

Rafael Burlani Neves, Carla Arcoverde de Aguiar Neves, and Luma Schervenski Tejada

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Knowing the Landfilling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Delimitation of the Place of Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Groundwater and Surface Quality of the Spring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3 Statistical Evaluation of the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.4 Determination of the Potential for Contamination of the Local Aquifer . . . . . . . . . . . . 4 Diagnosis of Environmental Impacts of Sanitary Landfills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 Vulnerability of the Local Aquifer to Potential Landfill Pollution . . . . . . . . . . . . . . . . . . 4.2 Monitoring of Ground and Surface Water . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 The Implementation of the SDGs as a Contribution to Accelerating the Management and Improvement of Landfills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 Final Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1088 1090 1096 1096 1096 1098 1098 1099 1099 1099 1104 1107 1108

Abstract

Environmental impacts are a reality resulting from anthropic activity at its various levels, representing a major challenge for public and private management. The adoption of the Sustainable Development Goals – SDGs allows for an advance in the management of sustainability issues, such as environmental impacts. The management of solid waste represents a considerable part, mainly due to the risks R. B. Neves (*) Universidade do Vale do Itajaí, Florianópolis, Brazil e-mail: [email protected] C. Arcoverde de Aguiar Neves Instituto Federal de Educação, Ciência e Tecnologia de Santa Catarina | IFSC, Florianópolis, Brazil e-mail: [email protected] L. S. Tejada Instituto Federal do Ceará, Bom Progresso, Brazil e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_80

1087

1088

R. B. Neves et al.

to surface and underground water resources, forests and animals. In this study, the objective was to evaluate the impact of a landfill, managed by a public consortium, bringing together several municipalities and located in the Northwest Region of Rio Grande do Sul/BR, on groundwater in the project area and on a spring located at 280 m of it and how the application of the ODS can enable the management of uncertainties arising from the activities of the aforementioned landfill. The possibility of the environmental impact of the landfill is an object of insecurity since Lajeado Erval Novo is the source that supplies the population of two neighboring municipalities. Analytical campaigns were carried out to assess the quality of the spring water and the groundwater monitoring network installed in the consortium between the years 2017 and 2020. The adequacy of the facilities, operation and geomorphological characteristics of the place for protection was verified of the aquifer. The investigation resulted in the finding that, according to the indicators evaluated, the flow of groundwater does not show indications of a defluvant of contaminants from the waste landfill; however, the presence of environmental risk and the need for a convergence between economic development and environmental protection determines a necessary monitoring of the activity so that a negative environmental occurrence does not consolidate. It was found that the SDGs offer a great stimulus for the adoption of innovative solutions in order to resolve uncertainties in the management of a landfill. Keywords

Water contamination · Sanitary landfill · Contamination assessment · Sustainable Development Goals – SDG

1

Introduction

According to Araújo et al. (2016), in a scenario in which water, a natural resource essential to life, may be indirectly or directly affected by human activities, the management of hydrographic basins is of great importance. This stems from a public interest, manifesting itself as a focus for public policy management. Public policies for solid waste are faced with different shades of knowledge, whether to evaluate the model, such as the operation and management of its execution. The understanding of the elaboration of a public policy cycle and its set of steps can be perceived as it is developed (CLP - Centro de Liderança Pública 2019). From this context, the implementation and technical evaluation are part of these steps that must be managed, including in the treatment of waste as a cycle of a public policy for the management of urban waste. The micro pollutants resulting from the defluvium of the areas adjacent to the water sources may contain, in addition to sediments, nutrients, agrochemicals and microorganisms pathogenic to human health. Through the hydrological cycle, precipitations in these regions carry sediment and pollutants to the drainage network. In this way, the water course is an integralizer of the phenomena occurring in the basin (Mingoti et al. 2016). From the accumulation of

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1089

residues in landfills, controlled landfills or sanitary landfills, a black fluid leaches, this material has a high polluting load and infiltration capacity in the soil, reaching the surface and underground water sources (Celere et al. 2007). Baettker et al. (2020), describe the landfill leachate as being a product of the anaerobic decomposition of the waste, added to the moisture of the waste itself and the rainwater that infiltrates the landfill. The leachate fluid from landfills can contain high concentrations of heavy metals, suspended solids and organic compounds caused by the degradation of substances such as carbohydrates, proteins and fats (Hussein et al. 2021). Teixeira et al. (2016) add that in general, the leachate material contains, in varying concentrations, organic and inorganic compounds, in addition to heavy metals, inorganic salts and microorganisms that can contaminate the environment and be toxic to living beings. The problem addressed is the management of a landfill by a public consortium created in the mid-1990s, headquartered in the Northwest region of the State of Rio Grande do Sul. Its activity consists in the processing of solid urban waste, contemplating the stages receiving, sorting, selling recyclable materials and refuse disposal. Currently, the consortium receives forty tons of solid urban waste daily. Despite all the benefits and the importance of the project for the region where it is installed, there is a problem in relation to the location of the project. The landfill is installed 280 m from a spring that gives rise to a flagstone, a water source that supplies two of its consortium municipalities. Although the distance between the activity and the source meets the technical criteria established by the legislation, this issue causes insecurity for several segments of the population served, since the environmental monitoring of the landfill activity, when presenting results in relation to the risk caused in groundwater, it shows fluctuation, for some periods – up to 12 months – since there is an increase in toxicity regarding the volume of contaminants present, such as aluminum, lead, in addition to the acidity of the water and the presence of fecal coliforms. In view of this uncertainty, this research also proposes to present prognoses so that the problem can be managed. According to Touzani et al. (2021) landfills create a leachate with complex mixtures of organic and inorganic contaminants, so that in terms of supply, it depends on the flow of polluting compounds to the groundwater, which in turn depends on the production source pollutants, their path through the soil and, therefore, functional porosity. In relation to propagation, the main factor is the flow rate of the groundwater and its possible uptake by a drainage network. Finally, the dilution and dispersion processes usually affect the limits of pollution, as well as the biodegradation of polluting compounds, the dynamics of which depend in part on the oxygenation rate of the groundwater. This study presents an assessment of the quality of underground and surface water collections close to the project based on their environmental monitoring, considering the uncertainties for the causes and bringing some prognoses that may influence the public management of the landfill. To this end, a survey was made of the physical characteristics of the local soil, the adequacy of the project’s operation, as well as water quality indicator parameters measured from sampling in the project’s groundwater monitoring network. The surface water quality of the spring,

1090

R. B. Neves et al.

located 280 m from the activity, was also evaluated. The analytical campaigns were carried out on a quarterly basis, between the beginning of 2017 and the end of 2020. It was intended, above all, to provide the population with an environmental analysis capable of providing guidance regarding the real risks associated with the location of the project, as well as the environmental safety of its operation. It was noticed that the landfill can be managed properly, however, the risks of its activity are permanent and established, with public policy playing an essential role in defining guidelines and management actions for the landfill, always considering the sustainable development as a fundamental premise of the entire process, with the 2030 Agenda being a purposeful orientation to make a difference, helping to adopt a direction that consolidates sustainability.

2

Literature Review

The analysis of public policies contributes to the improvement of the formulation, decision, evaluation and subsequent implementation of a public action. The public problem is for the disease, just as public policy is for the treatment. Metaphorically, the disease (public problem) needs to be diagnosed, so that a medical treatment prescription (public policy) can be given, which can be a medicine, a diet, physical exercises, surgeries, psychological treatment, among others (public policy instruments)) (Secchi 2016). Souza (2006), on the other hand, places the public policy cycle as a deliberative cycle, formed by several stages and constituting a dynamic and learning process. The public policy cycle consists of the following stages: agenda setting, identification of alternatives, evaluation of options, selection of options, implementation, and evaluation. In implementing a public policy for the control and management of environmental impacts, whether by private or public agents, the SDGs – Sustainable Development Goals (Agenda 2030) are an excellent guide for the purpose of defining a strategic and action agenda. The SDGs establish strategic factors for the management of sustainability, including, proposing indicators in the management of its forming components. The discussion on sustainability has taken on an important role in the contemporary world and it is notable that all sectors act in the transition to a sustainable society. In this context, each country faces specific challenges to achieve sustainable development, therefore the importance of thinking about the whole, that planet Earth and its ecosystems are our common home, and with global strategies the world will be able to reach the established goals (United Nations, 2017). The action for sustainability, then, imposed the need for measures. Among these, one of significant importance was the definition of Goals for Sustainable Development. This proposal was conceived as an agenda, in this case, the United Nations (UN) 2030 agenda (Transforming Our World: the 2030 Agenda for Sustainable Development), the so-called Sustainable Development Goals – SDGs. They are configured as a global agenda adopted during the United Nations Summit on Sustainable Development with the aim of actions in the eradication of poverty,

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1091

food security, health, education, gender equality, among others. This was legitimized by the 193 UN Member States and consists of a Declaration, in the establishment of 17 Sustainable Development Goals, which encompass more than 169 specific goals, a section on means of implementation and a renewed global partnership, in addition to a mechanism for evaluation and follow-up (ONUBR, [s.d] a). It is the result of the evolution of the Millennium Development Goals (MDGs), established by the UN in the 2000s. The convergence of the MDGs with Sustainability was already pointed out by Ferrer (2008, p. 5), including, regarding the difficulties of implementing the MDGs, see if: La sostenibilidad se encuentra más bien relacionada com los Objetivos del Milenio, que son la guía de acción de la humanidad. El objetivo de lo ambiental es asegurarlas condiciones que hacen posible la vida humana em el planeta. En cambio, los otros dos aspectos de la sostenibilidad, los sociales que tienen que ver com la inclusión, con evitar la marginalidad, com incorporar nuevos modelos del gobernanza, etcétera, y los aspectos económicos, que tienen que ver com el crecimiento y la distribución de la riqueza. Tienen que ver con dignificar la vida. La sostenibilidad nos dice que no basta asegurar la subsistencia, sino que la condición humana exige asegurar unas las condiciones dignas de vida.

The implementation of the Sustainable Development Goals (SDGs) started on January 1, 2016 and constitutes a challenge of global scope, which seeks to follow the guidelines defined by the 17 objectives and their respective goals, whose main activity focuses on poverty and the protection of the planet, adopting for this sustainable measures supported by the economic, social and environmental dimensions, aiming above all for the common good. It is a global commitment that includes not only the governments of the Member States, but requires universal action that involves the participation of civil society, the private sector, academia in the most varied areas of knowledge, the media, and other interested groups and of all the people on the planet. This plan is committed to not leaving anyone behind. As a strategy to systematize the SDGs, the 5P’s were defined: people, planet, prosperity, partnerships and peace. Through the 5Ps, the SDGs are committed to people – to eradicate poverty and guarantee dignity and equality; the planet – protecting Earth’s natural resources and climate; prosperity – to guarantee prosperous and full lives in harmony with nature; to partnerships – implementing the agenda through global and solid partnerships and peace – promoting a peaceful, just, and inclusive society (Brasil. Ministério das Relações Exteriores do Brasil 2016). According to the Ministry of Foreign Affairs, Brazil actively participated in the implementation of the MDGs and strives to make the application of the SDGs a reality in the country. The participation of the country around the MDGs and SDGs consists of their representation on several committees, created to support the process after 2015 and to host important moments, such as the first Conference on Environment and Development (Rio 92) and Rio + 20 Conference, in 2012. In addition, Brazilian innovations in terms of public policies are also seen as contributions to the integration of the economic, social and environmental dimensions of sustainable development (Brasil. Ministério das Relações Exteriores 2017). Recently Brazil published Decree n
9.149/2017 which aims to establish the National Volunteer Program, whose purpose is to promote volunteering through

1092

R. B. Neves et al.

the articulation between the Government, civil society and the private sector, and to encourage engagement and social participation for the scope of the SDGs. This demonstrates the significance that the neoliberal state attaches to the 2030 Agenda. Submitting the scope of the SDGs to programs that have the principle of volunteering undermines the agenda’s success considerably. It is known that the achievement of the SDGs requires citizen involvement, commitment and awareness on a voluntary and unpaid basis, as it encompasses the perspective of the common good. However, the achievement of the SDGs also requires actions of a scientific, educational, cultural, environmental, assistance nature, among others, which should not be treated from the perspective of volunteering, as they require continued, qualified, and technical actions, which sometimes do not are attainable by voluntary practices. Analyzing the literature, it is observed that there is no consensus as to the theme imputed by the SDGs. On the one hand, Garcia and Garcia (2016) argue that: [. . .] Na perspectiva da Organização das Nações Unidas, verificou-se que chegado o final do termo aprazado para o alcance dos objetivos do milênio, bastante satisfatórios foram os resultados, porém lacunas ainda existem e o objetivo primordial de acabar com a pobreza mundial não foi alcançado. Nesse sentido é que a ONU apresenta uma nova agenda para os próximos 15 anos, que traça novos 17 objetivos, cada um com metas específicas, são os chamados Objetivos do Desenvolvimento Sustentável. O que se observa é que o resultado dos próximos 15 anos ainda é incerto, porém os objetivos já estão lançados. Devem agora apresentar real engajamento os países, englobando aqui, Poder Público, entidades privadas e sociedade civil. [. . .] Da leitura da agenda 2030, assim como da análise de cada um dos novos objetivos e metas que guiarão as ações dos próximos 15 anos que envolvam o Desenvolvimento Sustentável, observa-se que foi realmente possível aprender com os erros e acertos, avanços e lacunas obtidos nos últimos 15 anos com os ODM, todas as metas foram muito bem trabalhadas e traçadas com a contribuição de diversos setores sociais. O alcance de uma sociedade global justa, solidária e sustentável, provavelmente nunca terá termo final, mas a luta é constante e são comprometimentos globais que garantirão passos mais realistas e mais próximos desta realidade. (Garcia and Garcia 2016, pp. 202–203)

From another perspective, José Eustáquio Diniz Alves states that: Desta forma, podemos perceber que os 17 Objetivos de Desenvolvimento Sustentável (ODS) são uma agregação de boas intenções, mas não tocam no essencial do processo de acumulação de capital, não têm mecanismos para interferir e reduzir o complexo militar global e as ações dos grupos armados que promovem genocídios, assim como não reconhece que o crescimento econômico tem sido o principal vetor da degradação ambiental. Não será com o aprofundamento do capitalismo e do fundamentalismo de mercado que o meio ambiente será protegido e o fluxo metabólico entrópico será revertido. [. . .] Na verdade, os ODS estão mais focados no “direito ao desenvolvimento” do que nos direitos humanos e nos direitos da natureza e das demais espécies. [. . .] Em síntese, o desenvolvimento sustentável, tal como proposto pela ONU, tem se tornado um oximoro e tem sido utilizado muito mais como uma maquiagem verde (greenwashing) que tenta se legitimar utilizando de forma indiscriminada a palavra sustentável. Para a escola da Economia Ecológica, o caminho do crescimento sem limite leva ao abismo e ao colapso. Portanto, precisamos superar o fetiche do crescimento e do desenvolvimento sustentável. Não se trata de produzir mais com menos, porém, produzir menos com menos. Ou seja, como mostrou GeorgescuRoegen, diante da possibilidade do declínio da civilização e de uma possível catástrofe

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1093

econômica e ambiental, a alternativa passa pelo decrescimento das atividades antrópicas, quanto mais cedo melhor. Evidentemente, o decrescimento deve começar pelos países mais ricos e pelas atividades mais poluidoras, reduzindo as áreas ecúmenas e aumentando as áreas anecúmenas. [. . .] Desta forma, podemos perceber que os Objetivos de Desenvolvimento Sustentável (ODS) só serão viáveis se houver decrescimento demoeconômico. Acreditar no contrário é fomentar uma ilusão que pode custar muito caro em um futuro não muito distante (Alves 2015, pp. 8–9)

For this project, the perspective that is intended to be used in relation to the SDGs, is one that seeks to reconcile the two extremes. It is understood that the construction of the SDGs under the UN organization represents a unique moment in the history of humanity, as it calls upon nations to build a space for discussion and reflection on the problems that plague humanity and consolidate a unique agenda, where everyone is invited to participate and everyone is responsible for the changes in the construction of a better world to live, seeking above all to consolidate an egalitarian and just society. Perhaps this action is something unprecedented in history. However, it is necessary to pay attention so that the possible different interests that may be embedded in this agenda do not compromise it. The individuals involved in this process can guide you in order to direct the SDGs in order to meet your individual and/or corporate interests, seeking above all an economic, political, intellectual, cultural benefit, among others. Faced with this possibility, the 2030 agenda can further reinforce the precepts of inequality, exclusion, exacerbated competitiveness that do nothing to eradicate poverty and hunger on the planet and that even less contribute to the liberation of man. In this sense, the development of institutional guidelines – of law and organic, with regard to the SDGs – would reflect on governance for the exercise of a management, which tends to guarantee the management of the subjects to an authority that acts on these actions, being this power relationship a dynamic process over time. The prominence of the SDGs, as an agenda to be implemented by 2030, has presented challenges for contemporary public management. Virtually all sectors of public administration are penetrated by environmental or socio-environmental variables, the implications of which cannot be evaded without implying costs for future generations. Among these challenges, the harmonization of the institutional and personal relationship is necessary, because, without this link, the management for the effectiveness and the implementation of the SDGs reflects in a mere formalism. Legal and governance elements need to be investigated and proposed. As for the new governance models, the challenge is to establish institutions to advance the new Sustainability paradigm through forms of association between different stakeholders and systems at the local, national, and global levels. As long as the specific structures are subject to adaptation and debate, it is worth waiting for the proliferation of new forms of participation that complement and challenge the traditional governmental system. In the new paradigm, the State is immersed in civil society and the nation inserts itself in planetary society (Global Scenario Group et al. 2006). Still on governance, there will be an adaptation of paradigms to the purposes of institutions at the local and global levels. Sovereignty will provide space for

1094

R. B. Neves et al.

cooperative, coordinated and agreed political management, given the sustainability challenges that escape the action of National States, whether they are rich or poor. Sustainability works its thematic object in a transversal way to the other social policies, assuming new dimensions for the formulation of programs, plans and projects of local and regional development. Within this perspective – and considering the socio-environmental specificities of Brazil – the effectiveness of social policies presupposes the generation of jobs and income (combating social exclusion), a fair distribution of the conditions for the appropriation of urban and rural spaces (territorial inclusion) together with efficiency production infrastructure (combating the waste of natural and human resources), and protecting the integrity of ecosystems, in addition to the quality of life of the populations, especially the most vulnerable. Sustainability comprises not only the relationship between economic and environmental, but also human balance in the face of other problems (Ferrer 2012). In this conception the multidisciplinary stance is implicit, in which cultural, legal, political, economic and physical-spatial variables complement each other and are complemented by the environmental variable, in a systemic and transversal design. Transnational collaboration and solidarity are also the watchwords for global sustainability. The intensification of the globalization phenomenon presents important challenges to the States and requires a qualitative and strategic readjustment of the Law, since it presents itself as an instrument of state social control. Emanating from a sovereignly isolated entity on the planet, it no longer produces effective responses to ensure a future with progressive sustainability for the entire community of life and on a global scale. It is necessary to build and consolidate a new conception of transnational sustainability, as a paradigm of approximation between peoples and cultures, and in the participation of citizens in a conscious and reflective way in political, economic and social management (Cruz and Ferrer 2015). In this scenario, the new characteristics of the contemporary rule of law, conditioned by the pressures of national society for more participation or by the pressures of global capitalism for the reduction of its power, constitute the substrate for the formulation of policies in any scope, whether macro-structural, environmental or social. Thus, the realization of this project presupposes broad integration and development of new knowledge for the realization of the SDGs (in an institutional model in the wake of the SDG-16), being relevant for the scientific and technological development of the area in Brazil in the medium and long term and for economic and social welfare development, also in the medium and long term. It is worth mentioning that the transformations imposed on the world in the face of the unsustainability scenario are great, both in terms of the quality of biodiversity, the scarcity of resources and the increase in the world population. The new global era implies changes in which the Earth as a system will impose its geological dominance, considering a scale from the present to future generations. Still, the times ahead are consolidating a world population of 9 billion inhabitants (until 2050), comprising a “world society” with equal vulnerabilities in a society that will need to create wealth in a context of technological and innovation life (Messner 2011).

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1095

The 2030 agenda promotes an excellent start for scientific and technological innovations to be incorporated in the management of environmental impacts, since they offer performance targets to which the technical standards of technical norms can be reached or exceeded. In addition, according to Galli et al. (2018), the transposition of the SDGs into a national public policy is essential for monitoring countries progress toward sustainable development. When it comes to the evaluation of a public policy for the management and control of solid waste, it must be permanently and constantly optimized, considering scientific and technological innovation as key factors in the management processes of environmental impacts. Tilt (2019) describes trends for the management of the environmental impact crisis pointing to scientific and technological innovation as strategic factors for the management of pollution in China, for example. It is important to consider, according to Amos and Lygate (2020) that the environmental impact assessment is an institutional process that has the potential to deliver a gradual change toward a more environmentally conscious business practice, so that the assessment of environmental impacts can bring a better balance between the pillars of environmental development, social welfare, and economic. When it comes to solid waste management, with regard to the nature of the management approach, it is worth mentioning the importance of an integrated action, through intermunicipal management, since most Brazilian municipalities, as they are small, face insurmountable difficulties to do the isolated management of solid waste, since overcoming structural deficiencies can be facilitated through consortia, including with regard to the investments necessary for the management of a given landfill (Maiello et al. 2018). With regard to the area to install a landfill in Brazil, when verifying the adequacy of the physical conditions of a place for the installation of a landfill, it is based on the ABNT NBR13896-1997 standard, which establishes the minimum criteria required for the design, installation and operation of urban solid waste landfills. The standard seeks to establish adequate protection standards for nearby surface and underground water collections, as well as ensuring protection for the operators of these facilities and neighboring facilities. The criteria established by the referred technical standard cover topics such as slope of the area, geology and types of existing soils, distance from water resources, vegetation, accesses, landfill useful life, ease of access and distance from housing units, operation monitoring, among others (ABNT 1997). According to Streck (2008), the geomorphological region that corresponds to the area in question is the Planalto das Missões and more specifically the unit called Planalto de Santo Ângelo. In this area, more precisely in the Alto Uruguai Region, where the enterprise is located, there are Red Latosols Dystrophic and Eutrophic. Latosols are deep, well-drained, very porous, friable, well-structured, homogeneous, and highly weathered soils. Because they are very homogeneous soils, it is difficult to differentiate into horizons and because they are very weathered soils have a predominance of kaolinite and iron oxides (Streck et al. 2008). Basaltic rocks do not show variation in the composition of the horizons, as they change, basically, producing clay-minerals.

1096

R. B. Neves et al.

The area where the sanitary landfill is located and the source contribution area under study occur mainly on the volcanic domain characterized by the volcanic rocks that make up the Serra Geral Aquifer System (SASG), this system being characterized as a fissural reservoir, in which water is associated with the presence of discontinuities in the rock, responsible for a secondary porosity associated with faults, fractures, and diaclases (Radam/Brasil 1986). According to data provided by the consortium, the slope of the land is gently undulating, between 3 and 8%. The hydraulic conductivity of the local soil is in the order of 10-9 cm/s and is classified by Terzaghi and Peck (1967) as a very low degree of permeability. In addition to these factors, the distance from the headquarters of the population core consortium is greater than 3.5 km and the groundwater is greater than 15 m at points where the saturated zone is closest to the surface. The project started operating landfills in the area in 2000, and the cells have waterproofed compacted clay and geomembrane in HDPE (high density polyethylene). There is no disposal of waste directly on the ground. Considering the criteria established by NBR13896-1997, the physical conditions of the place are appropriate for the installation of a sanitary landfill.

3

Knowing the Landfilling

3.1

Delimitation of the Place of Study

In order to demonstrate the surface area of the contribution basin of the source of Lajeado Erval Novo, Fig. 1 was elaborated. The image was obtained with the aid of the Bing Maps software and later imported into the Auto Cad Civil 3D 2016 software that provides the tool for creation of contour lines in the imported satellite image. The area had been delimited from the interpretation of the contour lines drawn on the surface.

3.2

Groundwater and Surface Quality of the Spring

The quality of groundwater in the area of the consortium was verified through analyzes of water sampled in the piezometric well network, installed in the enterprise. At the time of the installation, in addition to the construction of the wells, the hydrogeological investigation aimed to detect the limit of the depth or reach of the drilling. At the site, the depth of the initial saturated zone varied between 15 and 22 m in the surveys carried out. Based on the water level of the wells, the technicians responsible for drilling and installing the wells prepared an equipotentiometric map with an indication of the preferred direction of groundwater runoff (Fig. 2). It was found that the preferential direction of groundwater pointed to the northwest (NW) direction, that is, to the monitoring well 02. In this study, wells 2, 3, 5 and D were chosen for sampling, so that the network consisted of three wells downstream and one well upstream of the landfill cells in

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1097

Fig. 1 Location of the development and the spring contribution area. The dark blue circle marks the location of the spring immediately surrounded by the strip of riparian forest. The yellow polygonal delimits the area occupied by the public consortium located at a distance close to 280 m upstream of the source. The other surrounding areas are agricultural areas. In dark green there are fragments of native vegetation in the middle of agricultural areas. (Source: Prepared by the authors 2021)

relation to the preferential flow of groundwater, as provided by the standard ABNT NBR13896-1997. The project’s monitoring wells are shallow, with wells 2, 3, and 5.25 m deep, and well D 15 m. The quality of the spring water and the piezometric wells was evaluated by means of physical-chemical and microbiological tests. The choice of parameters was based on contamination indicators characteristic of waste landfills such as: chloride (Han et al. 2020), pH (Han et al. 2014), coliforms (Grisey et al. 2010), and metals (Mepaiyeda et al. 2020; Hussein et al. 2021). We chose indicators that have reference standards expressed in Brazilian legislation, with emphasis on PRC (Consolidation Ordinance) No. 5/2017. PRC No. 5/2017 establishes potability standards for human consumption. The indicators evaluated in the piezometric wells and in the spring were: cadmium, lead, mercury, nickel, chromium, aluminum, chloride, thermotolerant coliforms, total coliforms, and pH. Quarterly sampling campaigns were carried out in the months of January, April, July, and October, and between the years 2017 and 2020. On the same occasions, water samples were collected from the Lajeado Erval Novo spring. Sampling was carried out on sunny days. The plan used for sampling was based on NBR 9898/87 and the sampling methods met the Standart Methods for the Examination Of Wather, 22nd Ed.

1098

R. B. Neves et al.

Fig. 2 Equipotentiometric map with indication of the preferred direction of groundwater. (Source: Prepared by the authors, 2021)

3.3

Statistical Evaluation of the Data

The data obtained were submitted to statistical analysis with the Minitab statistical software, version 18, using the available procedures, the analysis of variance was performed and a posteriori the Tukey test (5%) in order to verify the differences between treatments.

3.4

Determination of the Potential for Contamination of the Local Aquifer

The methodology used for this stage is based on the risk assessment proposed by Eiras and Santos (2019). The method consists of an adaptation of the determination of vulnerability to contamination of aquifers, GOD index, developed by the World Health Organization (WHO). This index makes use of physical data from the systems and is relatively simple to find, namely: occurrence of free or confined groundwater, its static level and the predominant soil type. Varying on a scale from zero to one, with zero attributed to the least vulnerable aquifer and one to the most vulnerable (Guinguer and Kohnke 2002). The method was improved by including notes obtained through the Waste Landfill Quality Index (IQR). The IQR is an index that assesses the general conditions of landfills, using grades ranging from zero to ten (CETESB 2019). To this end, it evaluates whether the systems provide adequate, controlled, or inadequate conditions and was proposed by the Environmental Company of the State of São Paulo (CETESB).

55

Diagnosis and Prognosis in the Management of the Environmental Impacts. . .

1099

4

Diagnosis of Environmental Impacts of Sanitary Landfills

4.1

Vulnerability of the Local Aquifer to Potential Landfill Pollution

The headquarters of the public consortium is located in the Geomorphological Region of the Planalto das Missões, and this area refers to one of the most important agricultural areas in the economy of RS, the forms of the relief are homogeneous and smooth. The local soil is deep, has a clay texture, and is well developed. The study area is about the Serra Geral Aquifer System (SASG) (Radam/Brasil 1986). The average static level of the water table in the project area is 18 m deep and the soil has low permeability, less than 10 to 9 cm/s (Tejada and Aguiar 2016). The Waste Landfill Quality Index (IQR) of the project totaled 7.5 points out of a maximum of 10 points, and, according to the classification proposed by CETESB (2019), it is in proper working condition. Table 1 shows the value attributed to the landfill by the GOD-IQR methodology. The GOD.IQR index for the consortium shows a negligible contamination potential for groundwater (between 0.0 and 0.1).

4.2

Monitoring of Ground and Surface Water

The NBR 13896/97 advises that a landfill must be built and operated in order to maintain the quality of groundwater, with a view to public supply, thus adopting the parameters of potability to analyze the results, these being the most judicious between Brazilian legislation. Table 2 shows the data obtained for each indicator in the investigation period. The statistical analysis of the results obtained during the analytical campaigns, as well as the comparison with the drinking standards expressed in PRC n
5/2017 of the Ministry of Health, are expressed in the average table. In order to determine whether or not the sample contains a certain contaminant, it is important to consider the sensitivity of the analytical method, that is, the limit of quantification of the method used to analyze each parameter. The quantification limit of the method (QL), considers, besides the limit of detection of the equipment, errors, methodology and uncertainties of each analytical method. Therefore, results above the limit of quantification can be considered with the presence of the analyzed substance, although, if detected, these values could still be within the range allowed Table 1 Landfill score – GOD.IQR method Characteristic Type of aquifer Soil type Static aquifer level IQR Value

Local condition Free Latosols 18 m 7.5

Source: Adapted from Eiras and Santos (2019)

Assigned weight 1 0.2 0.8 0.6

GOD.IQR index 0.096

1100

R. B. Neves et al.

Table 2 Comparison of the quality indicators of the wells and springs with the drinking standards of PRC n
5/2017 of the Ministry of Health STANDART

Source

Well 2

Well 3

Well D

Well 5

Potability standard (MAV)a

Unity

10 μm from burning biomass at harvest, agrochemical runoff.

Extraction of oil, coal and natural gas, petrochemistry Mining of various minerals and metallurgical industry Civil infrastructure and building (steel, concrete, gravel and plastics) Deforestation, burning of native vegetation or land use change Agricultural machinery and agrochemical industries Seed and varieties preparation and transport Water well drilling and surface water management Electricity generation from fossil and renewable sources Inputs from organic sources, CO2, wind, sunlight, rainfall

Food waste biorefinery (food, feed, biofuels, bioproducts, biomaterials, biofertilizer)

Carbon source Exopolysaccharides (EPS) polyhydroxyalkanoates (PHAs). single-cell proteins amylases, Biopesticides Surfactants Xylitol Mannitol Glucitol Gylcols Glycerols aliphatic acids aldaric and aldonic acids Essential oils Flavorings Fragrances Pharmaceutical products Nutraceuticals Anthocyanidins Carotenoids Lipids Phytochemicals Caffeine Flavonoids Fermentable sugars Phenolic compounds Herbal medicines Dietary fiber Organic acids Chlorogenic acid Biopesticides Biofertilizers Biochar Biopolymers Polysaccharides Enzymes Sweeteners Pectins Activated carbon Bioethanol 1and 2 G Biobutanol Biodiesel Biohydrogen Syngas Maximum GHG mitigation, zero residues, zero liquid effluents, zero odors, zero intake water; surplus biowater and minimal emissions and ecological footprint (carbon, water and energy)

Conventional technologies: Biogas, syngas, incineration, pyrolisys, disposal in landfills

Classification and conditioning of food waste

Rural technologies: Composting, livestock feed, solid biofuel (biodrying)

Biomass biorefinery (food, feed, biofuels, bioproducts)

Fermentable sugars Dietary fiber Biochar Biopolymers Activated carbon Bioethanol 2G Ethanolchemistry Lignochemistry 5-hydroxymethylfurfural

96 Management of Food Waste for Sustainable Economic Development. . . 1909

1910

N. Aguilar-Rivera and L. A. Olvera-Vargas

conservation, sustainable use, and reduction of waste of fruits, vegetables, stems, leaves, seeds, and any form of waste, byproduct or residue of these plants requires the knowledge of their diversity and management strategies in the value chain. In this context, a multidisciplinary approach to the current state of technological strategies and research trends must be developed in Mexico for the most important crops to reduce waste, as in edible mushroom, chayote (Sechium edule), avocado (Persea americana var. drymifolia), citrus, habanero pepper Capsicum sp., coffee, cassava (Manihot esculenta), corn (Zea mays), and sugar cane (Saccharum officinarum), among others, considering the development of conservation strategies, sustainable use and breeding programs, as well as the potential market for their economic development and the special issues of each one (Isiordia-Lachica et al. 2020). Nowadays, coffee is one of the most important crops. Nevertheless, its economic development has been threatened over the last few decades. Besides coffee, horticultural fruits are important staples in the tropics, among them, avocado (Persea americana var. drymifolia), which has agroecological potential, to develop sustainable exploitation. In addition, a fruit with increasing potential over the past few years is chayote (Sechium edule) a member of the family Cucurbitaceae, a species with prominent nutraceutical and pharmacological characteristics. The biotechnological techniques used to propagate and conserve it, the main diseases affecting it, and the advances made in the pharmacological properties of the species have been addressed. Cassava (Manihot esculenta) is also an important source of food in the tropics. However, the limitations of strategies for conservation of its genetic resources are widely recognized. For this reason, the morphological and genetic diversity data of cassava, and the conservation and management strategies of genetic resources are necessary. Another important horticultural product is mushrooms; Mexico is the highest producer of edible mushrooms in Latin America. The main cultivated genus is Agaricus, but in the last year the many species of Pleurotus and other tropical genera have become attractive for the cultivation of tropical conditions using lignocellulosic waste from other crops (cereal straws, trunks, bagasse, husk, etc.) as a substrate (Denham and Gladstone 2020). On the other hand, ornamental species such as those of the Heliconia genus stand out due to their beauty, exoticism, durability, and diversity of forms. Mexico has the climatic requirements for its extensive cultivation; however, aspects of pre- and postharvest management are unknown for a great variety of heliconias and like most ornamental species they generate a high amount of waste that has no specific use. Another important tropical ornamental species is Anthurium andreanum; nevertheless, the producers use significant amounts of plastic mesh for shade as well as agrochemicals. In this regard, sustainable practices such as natural shade and management of plantations using organic substrates that allow the production of flowers of good quality without environmental damage are required to reduce waste and increase sustainability (Avendaño-Arrazate et al. 2017).

96

6

Management of Food Waste for Sustainable Economic Development. . .

1911

Methodology

Based on the analysis of trends in applied research for conventional crops in the context of developing countries, in the Mexican tropics, there are no reliable and updated official data that address the goals to increase food production and reduce waste from a multidisciplinary viewpoint (Rincón-Moreno et al. 2019; Thi et al. 2015). Despite the uncertainty, data were obtained from the National Biomass Atlas made by the Secretary of Energy of Mexico (https://dgel.energia.gob.mx/anbio/ index.html), for 41 perennial and temporary crops that indicate the amount of residual Biomass in Green and Dry residual (wet and dry base). The data are presented at the municipal level, correspond to the agricultural year 2012, and are expressed in quantities of tons per year. With these same data, the potential energy map for the generation of biofuel from agricultural waste was generated. Data were obtained from the HDI published by the United Nations Development Program (UNDP) at the municipal level for Mexico and corresponding to data from 2010 to 2015. All the information was processed in a management program based on data, it was converted into a comma-delimited file for processing in a geographic information system, and the maps were generated with information.

7

Results

In Mexico, there are more than 18 million hectares dedicated to agriculture and in almost the entire national territory there are agricultural areas. On average, more than 700 million tons of food are produced, of which almost 800 thousand tons of agricultural residues are obtained on average, this only counting 41 crops of the 550 that are produced in Mexico. As can be seen in Fig. 7, in almost all of Mexico, there are areas where the production of waste can have an environmental impact, especially in the states of central Mexico and the northern states. In arid areas the production of agricultural residues is low, as well in the Yucatan Peninsula and the state of Oaxaca. The processes for the use of agricultural residues are related to the needs of producers to improve their standard of living, as well as to obtain greater profits from the activities carried out in agriculture. This is demonstrated by the HDI of Mexico, that the areas with the lowest HDI are those where there is raw material for use (Fig. 8). However, among the priorities of these places with a low HDI are health and education, the profits in excess of those obtained from the production of crops could generate a greater economic benefit for the producers. This does not apply to all municipalities with a low HDI, as in states such as Oaxaca, Chiapas, Guerrero, the agricultural areas are not so wide; therefore, obtaining residual waste to take advantage of and convert it into renewable energy is not feasible, particularly because of the lack of technology and budget. Figure 9 shows the capacity of some places to generate renewable energy from the use of agricultural waste, especially fruits and vegetables. In almost all of Mexico

1912

N. Aguilar-Rivera and L. A. Olvera-Vargas

Fig. 7 Pollution from agricultural waste (SENER 2014)

Fig. 8 Human Development Index for México, 2010–2015 (UNDP 2020)

96

Management of Food Waste for Sustainable Economic Development. . .

1913

Fig. 9 Energy potential for biofuel from agricultural waste (SENER 2014)

there is the capacity to generate biofuels, although some municipalities could generate more for the area dedicated to agriculture. The northern and Pacific states, as well as those in the center of the country and part of the Gulf of Mexico, would have the capacity to produce more than 5000 terajoules per year, equivalent to 31% of the energy used in each home (Reyna-Bensusan et al. 2018; Cherubini and Ulgiati 2010). In general, the Mexican food and agroindustrial waste recycling, reuse, and bioprocesses using FW as a raw material are very poorly compared at national level and among its regions such as the north, west, center, or southeast (IsiordiaLachica et al. 2020; Olay-Romero et al. 2020). This is due to incomplete and inefficient legal frameworks, poorly educated decision makers, limited support, allocated budgets, and limited infrastructure to improve the waste systems and high value-added bioproducts. Another relevant factor is the participation of small stakeholders in the collection phase as there are inappropriate education programs and incentives for industrialization aimed at them (Thi et al. 2015). In addition, data for comparative proposes between countries and factors involved in the generation, management, and conversion of FW in bioproducts vary broadly with huge differences (Dou and Toth 2021). Nevertheless, the handling of FW at different stages (from harvest to consumption) represents an opportunity for the development of research in many scientific applied disciplines because it integrates agronomic crop management, climate change, and other ecological and socio-economic constraints such as vulnerability to pests,

1914

N. Aguilar-Rivera and L. A. Olvera-Vargas

diseases, drought, and environmental impacts, transformation processes with different knowledge areas, and research, development, and innovation such as biorefineries for plantation crops, harvest waste, transport, industrial processing, supermarkets, cities, and households, in Mexico, and is applicable to countries with similar environmental conditions (Rincón-Moreno et al. 2019; Tsydenova et al. 2018).

8

Conclusions

In the new paradigms of green businesses, biorefineries, and circular economy, stakeholders can evaluate a set of environmental, social, productive, institutional, political, economic, and technological factors related to the availability of reliable raw materials such as FW for the production of sustainable bioproducts. FW has great potential for the development of bioproducts, restructuring conventional technologies or applying emerging and novel technologies with a sustainable approach and assessment frameworks such as the LCA. On the other hand, the use of FW in the production of bioproducts is also a function of the type of existing crops and waste because it indirectly include wasting of critical resources such as land, water, fertilizers, chemicals, energy, and labor. These immense quantities of lost and wasted food commodities also contribute to environmental damage as they decompose in landfills and emit harmful GHGs. Therefore, the development of the abovementioned holistic concept of FW management is very complex, as it requires a strong degree of involvement by consumers and policymakers.

References Abiad MG, Meho LI (2018) Food loss and food waste research in the Arab world: a systematic review. Food Secur 10(2):311–322 Al-Dalaeen QR, Sivarajah U, Irani Z (2021) Determining sustainability key performance indicators for food loss reduction. J Enterp Inf Manag 34(3):733–745 Avendaño-Arrazate CH, Arrazate-Argueta JA, Ortíz-Curiel S, Moreno-Pérez E, Iracheta-Donjuan L, Reyes-López D, Cortés-Cruz M (2017) Morphological characterization in wild species of Heliconias (Heliconia spp) in Mexico. Am J Plant Sci 8(06):1210 Barrera EL, Hertel T (2021) Global food waste across the income spectrum: implications for food prices, production and resource use. Food Policy 98:101874 Beausang C, Hall C, Toma L (2017) Food waste and losses in primary production: qualitative insights from horticulture. Resour Conserv Recycl 126:177–185 Burchi F, De Muro P (2012) A human development and capability approach to food security: conceptual framework and informational basis. Background paper, 8. https://econpapers.repec. org/RePEc:rac:wpaper:2012-009 Caldeira C, Vlysidis A, Fiore G, De Laurentiis V, Vignali G, Sala S (2020) Sustainability of food waste biorefinery: a review on valorisation pathways, techno-economic constraints, and environmental assessment. Bioresour Technol 312:123575 Çalışkan Eleren S, Öziş Altınçekiç Ş, Altınçekiç E (2018) Biofuel potential of fruit juice industry waste. J Hazardous Toxic Radioactive Waste 22(4):05018002 Chauhan C, Dhir A, Akram MU, Salo J (2021) Food loss and waste in food supply chains. A systematic literature review and framework development approach. J Clean Prod 295:126438

96

Management of Food Waste for Sustainable Economic Development. . .

1915

Chen H, Jiang W, Yang Y, Yang Y, Man X (2017) State of the art on food waste research: a bibliometrics study from 1997 to 2014. J Clean Prod 140:840–846 Cherubini F, Ulgiati S (2010) Crop residues as raw materials for biorefinery systems–a LCA case study. Appl Energy 87(1):47–57. https://doi.org/10.1016/j.apenergy.2009.08.024 Chhandama MVL, Chetia AC, Satyan KB, Ruatpuia JV, Rokhum SL (2022) Valorisation of food waste to sustainable energy and other value-added products: a review. Bioresour Technol Reports 17:100945 Clairand JM, Briceño-León M, Escrivá-Escrivá G, Pantaleo AM (2020) Review of energy efficiency technologies in the food industry: trends, barriers, and opportunities. IEEE Access 8: 48015–48029 Clapp J (2017) Food self-sufficiency: making sense of it, and when it makes sense. Food Policy 66: 88–96 Coma M, Martinez-Hernandez E, Abeln F, Raikova S, Donnelly J, Arnot TC, Chuck CJ (2017) Organic waste as a sustainable feedstock for platform chemicals. Faraday Discuss 202:175–195 Delgado L, Schuster M, Torero M (2021) Quantity and quality food losses across the value chain: a comparative analysis. Food Policy 98:101958 Denham D, Gladstone F (2020) Making sense of food system transformation in Mexico. Geoforum 115:67–80 Dou Z, Toth JD (2021) Global primary data on consumer food waste: rate and characteristics–a review. Resour Conserv Recycl 168:105332 Ebner J, Babbitt C, Winer M, Hilton B, Williamson A (2014) Life cycle greenhouse gas (GHG) impacts of a novel process for converting food waste to ethanol and co-products. Appl Energy 130:86–93 Engelberth AS (2020) Evaluating economic potential of food waste valorization: onward to a diverse feedstock biorefinery. Curr Opin Green Sustain Chem 26:100385 Esparza I, Jiménez-Moreno N, Bimbela F, Ancín-Azpilicueta C, Gandía LM (2020) Fruit and vegetable waste management: conventional and emerging approaches. J Environ Manag 265:110510 FAOSTAT (2020) Food and agriculture data. Food and Agriculture Organization of the United Nations. http://www.fao.org/faostat/en/#data Fraser ED, Campbell M (2019) Agriculture 5.0: reconciling production with planetary health. One Earth 1(3):278–280 Galanakis CM (ed) (2019) Valorization of fruit processing by-products. Academic, New York Galanakis CM, Cvejic J, Verardo V, Segura-Carretero A (2022) Food use for social innovation by optimizing food waste recovery strategies. In: Innovation strategies in the food industry. Academic, New York, pp 209–227 Ghosh PR, Fawcett D, Sharma SB, Poinern GEJ (2016) Progress towards sustainable utilisation and management of food wastes in the global economy. Int J Food Sci 2016:3563478 Girotto F, Alibardi L, Cossu R (2015) Food waste generation and industrial uses: a review. Waste Manag 45:32–41 Gustafsson J, Cederberg C, Sonesson U, Emanuelsson A (2013) The methodology of the FAO study: global food losses and food waste-extent, causes and prevention”-FAO, 2011. https:// www.diva-portal.org/smash/get/diva2:944159/FULLTEXT01.pdf Hall CA, Lambert JG, Balogh SB (2014) EROI of different fuels and the implications for society. Energy Policy 64:141–152 IPCC (2019) Summary for policy makers. Climate Change and Land. Retrieved from https://www. ipcc.ch/site/assets/uploads/2019/08/4.-SPM_Approved_Microsite_FINAL.pdf Isiordia-Lachica PC, Valenzuela A, Rodríguez-Carvajal RA, Hernández-Ruiz J, Romero-Hidalgo JA (2020) Identification and analysis of technology and knowledge transfer experiences for the agro-food sector in Mexico. J Open Innov Technol Market Complexity 6(3):59 Jeswani HK, Chilvers A, Azapagic A (2020) Environmental sustainability of biofuels: a review. Proc R Soc A 476(2243):20200351

1916

N. Aguilar-Rivera and L. A. Olvera-Vargas

Joglekar SN, Pathak PD, Mandavgane SA, Kulkarni BD (2019) Process of fruit peel waste biorefinery: a case study of citrus waste biorefinery, its environmental impacts and recommendations. Environ Sci Pollut Res 26(34):34713–34722 Karthikeyan OP, Mehariya S, Wong JWC (2017) Bio-refining of food waste for fuel and value products. Energy Procedia 136:14–21 Kavitha S, Kannah RY, Kumar G, Gunasekaran M, Banu JR (2020) Introduction: sources and characterization of food waste and food industry wastes. In: Food waste to valuable resources. Academic, New York, pp 1–13 Konti A, Kekos D, Mamma D (2020) Life cycle analysis of the bioethanol production from food waste – a review. Energies 13(19):5206 Kosseva MR (2009) Processing of food wastes. Adv Food Nutr Res 58:57–136 Kumar H, Bhardwaj K, Sharma R, Nepovimova E, Kuča K, Dhanjal DS, Kumar D (2020) Fruit and vegetable peels: utilization of high value horticultural waste in novel industrial applications. Molecules 25(12):2812 Lam CM, Iris KM, Hsu SC, Tsang DC (2018) Life-cycle assessment on food waste valorisation to value-added products. J Clean Prod 199:840–848 Leisner CP (2020) Climate change impacts on food security-focus on perennial cropping systems and nutritional value. Plant Sci 293:110412 Liska AJ (2015) Eight principles of uncertainty for life cycle assessment of biofuel systems. In: Bhardwaj AK, Zenone T, Chen JK (eds) Sustainable biofuels: an ecological assessment of future energy. De Gruyter, Berlin, pp 243–268 Liu C, Nguyen TT (2020) Evaluation of household food waste generation in Hanoi and policy implications towards SDGs target 12.3. Sustainability 12(16):6565 Lomborg B (2020) Welfare in the 21st century: increasing development, reducing inequality, the impact of climate change, and the cost of climate policies. Technol Forecast Soc Chang 156:119981 Mak TM, Xiong X, Tsang DC, Iris KM, Poon CS (2020) Sustainable food waste management towards circular bioeconomy: policy review, limitations and opportunities. Bioresour Technol 297:122497 Makanjuola O, Arowosola T, Chenyu D (2020) The utilization of food waste: challenges and opportunities. J Food Chem Nanotechnol 6(4):182–188 Matsakas L, Gao Q, Jansson S, Rova U, Christakopoulos P (2017) Green conversion of municipal solid wastes into fuels and chemicals. Electron J Biotechnol 26:69–83 Mirabella N, Castellani V, Sala S (2014) Current options for the valorization of food manufacturing waste: a review. J Clean Prod 65:28–41 Muhammad NIS, Rosentrater KA (2020) Techno-economic evaluation of food waste fermentation for value-added products. Energies 13(2):436 Nab C, Maslin M (2020) Life cycle assessment synthesis of the carbon footprint of Arabica coffee: case study of Brazil and Vietnam conventional and sustainable coffee production and export to the United Kingdom. Geo: Geogr Environ 7(2):e00096 Nayak A, Bhushan B (2019) An overview of the recent trends on the waste valorization techniques for food wastes. J Environ Manag 233:352–370 Neves MF, Gray A, Valerio FR (2020) Food and agribusiness in 2030. Wageningen Academic Publishers, Wageningen Ögmundarson Ó, Herrgård MJ, Forster J, Hauschild MZ, Fantke P (2020) Addressing environmental sustainability of biochemicals. Nat Sustain 3:167–174 Olay-Romero E, Turcott-Cervantes DE, del Consuelo H-BM, de Cortázar ALG, CuartasHernández M, de la Rosa-Gómez I (2020) Technical indicators to improve municipal solid waste management in developing countries: a case in Mexico. Waste Manag 107:201–210 Pap N, Pongrácz E, Myllykoski L, Keiski RL (2014) Waste minimization and utilization in the food industry: valorization of food industry wastes and byproducts. In: Sahu JK (ed) Advances in food process engineering. Taylor and Francis, Boca Raton, pp 595–629

96

Management of Food Waste for Sustainable Economic Development. . .

1917

Poole N, Donovan J, Erenstein O (2020) Agri-nutrition research: revisiting the contribution of maize and wheat to human nutrition and health. Food Policy 100:101976 Ramasamy R, Subramanian P (2022) Bioconversion of food waste to wealth–circular bioeconomy approach. In: Biotechnology for zero waste: emerging waste management techniques. WileyVCH, Weinheim, pp 421–438 Reyna-Bensusan N, Wilson DC, Smith SR (2018) Uncontrolled burning of solid waste by households in Mexico is a significant contributor to climate change in the country. Environ Res 163: 280–288 Rincón-Moreno J, Franco-García ML, Carpio-Aguilar JC, Hernández-Sarabia M (2019) Share, optimise, closed-loop for food waste (SOL4FoodWaste): the case of Walmart-Mexico. In: Towards zero waste. Springer, Cham, pp 165–190 SENER (2014) Atlas Nacional de Biomasa. Secretaria de Energía. https://dgel.energia.gob.mx/ anbio/mapa.html?lang¼en Shin HS, Youn JH (2005) Conversion of food waste into hydrogen by thermophilic acidogenesis. Biodegradation 16(1):33–44. https://doi.org/10.1007/s10531-004-0377-9 Smetana S (2020) Life cycle assessment of specific organic waste-based bioeconomy approaches. Curr Opin Green Sustain Chem 23:50–54 Stone J, Garcia-Garcia G, Rahimifard S (2019) Development of a pragmatic framework to help food and drink manufacturers select the most sustainable food waste valorisation strategy. J Environ Manag 247:425–438 Thi NBD, Kumar G, Lin CY (2015) An overview of food waste management in developing countries: current status and future perspective. J Environ Manag 157:220–229 Torres-León C, Ramírez-Guzman N, Londoño-Hernandez L, Martinez-Medina GA, DíazHerrera R, Navarro-Macias V, Aguilar CN (2018) Food waste and byproducts: an opportunity to minimize malnutrition and hunger in developing countries. Front Sustain Food Syst 2:52 Tsydenova N, Vázquez Morillas A, Cruz Salas AA (2018) Sustainability assessment of waste management system for Mexico City (Mexico) – based on analytic hierarchy process. Recycling 3(3):45 UNDP (2020) Human development report 2020. The Next Frontier: Human Development and the Anthropocene. New York. http://hdr.undp.org/en/content/human-development-report-2020 Xiong X, Iris KM, Tsang DC, Bolan NS, Ok YS, Igalavithana AD, Vikrant K (2019) Value-added chemicals from food supply chain wastes: state-of-the-art review and future prospects. Chem Eng J 375:121983 Xue L, Liu G, Parfitt J, Liu X, Van Herpen E, Stenmarck Å, Cheng S (2017) Missing food, missing data? A critical review of global food losses and food waste data. Environ Sci Technol 51(12): 6618–6633 Zhang M, Gao M, Yue S, Zheng T, Gao Z, Ma X, Wang Q (2018) Global trends and future prospects of food waste research: a bibliometric analysis. Environ Sci Pollut Res 25(25):24600–24610

The Role of Life Cycle Assessment in Supporting the Transition Towards Sustainable Production and Consumptions Systems: The Case of Biofuels and Climate Change

97

Miguel Branda˜o Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Counterintuitive Lessons from Hard Systems Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Applying LCA for Quantifying the Climate Change Impacts of Bioenergy Systems . . . . 3.1 LCA as the Appropriate Tool for Supporting Decisions Regarding Bioenergy Expansion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Uncertainties in Estimating GHG Savings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Distinguishing Between Precision and Accuracy in the Assessment of Bioenergy Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Conclusions and Outlook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1920 1920 1922 1922 1923 1929 1930 1932

Abstract

Biofuel systems have been considered to yield more sustainable outcomes than their fossil counterparts. This chapter demonstrates that biofuels do not necessarily lead to a more sustainable outcome, such that each system warrants critical appraisal independently. Largely, preferability for biofuel systems rests on the impact under assessment, as bio-based systems are more taxing for impacts like acidification and eutrophication, but lower in climate change and toxicity. In this way, generalizations regarding the superiority or otherwise of biofuels may not support robust transitions towards sustainable production and consumptions systems. With reference to contrasting energy systems: biofuels and fossil fuels, it is shown with life cycle assessment that bioenergy systems are not always preferable for climate change. It is important to apply hard systems approaches to elucidate the merits or otherwise of production systems alternative to current fossil ones.

M. Brandão (*) KTH Royal Institute of Technology, Stockholm, Sweden e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_180

1919

M. Branda˜o

1920

Keywords

Bioenergy · Life cycle assessment · Climate change

1

Introduction

Notable attempts at correcting unsustainable production and consumptions systems have led producers and consumers, as well as other decision-makers like those in policy, to consider and implement alternative systems of production and consumption that are not based on (1) fossil-fuel resources and (2) linear flows of resource extraction and waste deposition. In this background, the focus on bio-based and circular systems has increased over the last two decades, but with little critical appraisal of the context in which these systems may be preferable or not. Despite the interchangeable use of the terms “circular economy,” “bioeconomy,” “circular bioeconomy” (which is an amalgamation of terms that is not left unchallenged; see, e.g., D’Amato et al. 2017; Carus and Dammer 2018; Schoenmakere et al. 2018; Giampietro 2019; Stegmann et al. 2020), “sustainable economy,” and “low-carbon economy,” circular/bio-based systems are not necessarily more sustainable or better at mitigating climate change than their linear/fossil counterparts. This chapter identifies common misconceptions about the sustainability of bio-based products relative to more standard ones. With reference to a range of products and sustainability impacts, particularly bioenergy and climate change, this chapter demonstrates the intricacy and complexity of the systems, highlighting the need for care when evaluating circular and bio-based systems.

2

Counterintuitive Lessons from Hard Systems Analysis

It is intuitive that the layman will think that products resulting from a circular or bio-based system will be more sustainable than their conventional counterparts. This is the case for: • • • • • • • •

Organic food vs. conventional food Local food vs. imported food Biofuels vs. fossil fuels Electrical vehicles vs. internal-combustion engine vehicles Recycled paper vs. virgin paper Paper bags vs. plastic bags Composting organic waste vs. incineration of organic waste Reusable diapers vs. disposable diapers

Indeed, in a survey conducted every year for 5 years (2015–2019) to the students of Environmental Systems Analysis and Decision Making – a MSc course at KTH Royal Institute of Technology – students invariably perceived that the bio-based and

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1921

circular systems were more sustainable than their fossil/linear counterparts. However, the application of environmental systems analysis tools, such as life cycle assessment (LCA), has elucidated that this intuitive assertion does not always hold. Particularly, it is important to note that the environmental impacts of bio-based systems are not always lower than alternative, more conventional systems of production and consumption. Indeed, systems need to be analyzed quantitatively and comprehensively before claims can be made about their environmental superiority. Concerning the examples above, several analyses have made clear that in terms of climate change, for example: • Organic food systems are less productive in the use of land than conventional production systems and, as a result, may lead to increasing emissions per unit of food produced (see, e.g., Tuomisto et al. 2012; Williams et al. 2006). • Local food may incur greater impacts than imported food, even if products are transported from the other side of the world (e.g., New Zealand lamb transported into the UK), implying that the increase in transport emissions is compensated by lower emissions in the other stages of the life cycle (e.g., see Webb et al. 2013; Edwards-Jones et al. 2008). • Biofuels’ requirements for land compete with food systems and require fossil fuels throughout their life cycle, particularly at the cultivation stage with the need for emission-intensive agrochemicals (see, e.g., Cherubini and Strømman 2011). • Electrical vehicles are only as good as the electricity that powers them, so that electrical vehicles used in carbon-intensive electricity-production mixes in some countries like China or Poland may not result in lower climate change than vehicles run with gasoline or diesel (Hawkins et al. 2013). • Increasing demand for recycled paper may not result in more paper being recycled (instead, a shift to virgin paper may occur by other consumers); furthermore, recycling paper is energy intensive, and, once recycling emissions are taken into account, virgin paper made from cellulose fibers from tree pulp may not be significantly worse than recycled paper (Merrild et al. 2008). • Paper bags have a considerably shorter life – as they are less resistant – than plastic bags, which are a valorized by-product from oil refining (Edwards and Fry 2011). • Composting produces large quantities of methane – a potent greenhouse gas – when processed anaerobically, while incineration with energy recovery can have large benefits when displacing power produced from fossil fuels (see, e.g., Koneczny et al. 2007). However, these need to be assessed on a case-by-case basis. The benefits or otherwise will not be consistent across all impacts (e.g., global warming, eutrophication, ecotoxicity), and the need for trade-offs becomes clearer. The point, here, is that bio-based and circular systems are not necessarily better than their counterparts just because they are circular or bio-based. LCA is useful by comprehensively comparting alternative systems with the same functionality and is notorious for busting myths and challenging common

1922

M. Branda˜o

perceptions about the benefits of bio-based and circular systems relative to alternative ones (see, e.g., Weiss et al. 2012). It is important to use the best available science to guide decisions relative to a robust transition towards more sustainable production and consumptions systems. LCA aids this transition and helps identifying the tradeoffs between alternatives while not shifting burdens between impacts, life cycle stages, generations, and countries. The urgent need for replacing fossil fuels in order to mitigate climate change made bio-based, bioenergy, and other circular systems regarded as a promising strategy. Given the wide range of bioenergy systems available, there is an associated large variability in the climate change mitigation potential of those systems.

3

Applying LCA for Quantifying the Climate Change Impacts of Bioenergy Systems

3.1

LCA as the Appropriate Tool for Supporting Decisions Regarding Bioenergy Expansion

The need to assess systems comprehensively along their supply chain led to the recognition that LCA is the appropriate decision-support tool for assessing the impacts of bioenergy systems. However, despite its standardization, the application of LCA resulted in quantified benefits of bioenergy systems that are very variable and depend on methodological choices, making it clear that, still, there are unresolved methodological issues in the LCA of bioenergy systems in need of being settled, a condition necessary for generating robust results for supporting policy decisions. Bioenergy has gained increasing attention as the need to replace fossil fuels, which result in climate change, became clear. The rationale was that the carbon emitted upon combustion had been sequestered from the atmosphere in the first place, as energy crops grow and photosynthesize, making bioenergy carbon neutral. However, once the whole life cycle is taken into account, including agrochemical use at cultivation (e.g., N fertilizer production incurs emissions of a potent greenhouse gas (GHG) N2O), changes in the carbon stock in the land where the feedstocks are grown, indirect land-use change (iLUC), as well as albedo effects, it becomes evident that bioenergy’s effect on climate change is not neutral (see, e.g., Johnson 2009; Zanchi et al. 2012), highlighting the need to support only the systems that can result in real climate change mitigation. LCA can elucidate the absolute and relative climate change effects of bioenergy systems and thereby aid in the identification of systems that reach the targets that policy makers, and other decision-makers, may have, such as decreasing emissions by 35% relative to fossil fuels. LCA does this by accounting for emissions over the life cycles of all energy-producing systems (normalized to a functional unit, e.g., 1 MJ), in a comprehensive and systematic manner, so as to elucidate the consequences of supporting either system. The European Union has recognized the strength of LCA in estimating the climate change impacts of bioenergy systems,

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1923

demonstrated in Annex V of the Renewable Energy Directive (RED) (2009/28/EC), now superseded by Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources (EU 2018). In that annex, the methodology recommended for estimating the climate change impacts of bioenergy systems clearly follows a life cycle approach, where the climate change impact of the system is calculated as follows (EU 2009): E ¼ eec þ el þ ep þ etd þ eu  eccs  eccr þ eee

ð1Þ

where E ¼ total emissions from the use of fuel eec ¼ emission from the extraction or cultivation of raw materials el ¼ annualized emissions from carbon stock changes caused by land-use change ep ¼ emission from processing etd ¼ emissions from transport and distribution eu ¼ emissions from the fuel in use eccs ¼ emission savings from carbon capture and sequestration eccr ¼ emission savings from carbon capture and replacement eee ¼ emission savings from excess electricity from cogeneration This method was applied to the different biofuels in order to determine how much GHG savings the bioenergy systems incurred in relative to the fossil-fuel reference of 83.8 gCO2-eq. (also known as default values), showing that some pathways did not meet the threshold of a minimum of 35% GHG savings, such as wheat ethanol, soybean biodiesel, and palm oil biodiesel (saving 16%, 31%, and 19%, respectively; EU 2009).

3.2

Uncertainties in Estimating GHG Savings

This particular method for calculating GHG savings relies on a particular delimitation of the system boundary, whereby co-products are in some cases excluded with reference to the energy ratio between the biofuel and the by-product, as well as avoided burdens from cogeneration. Indeed, the freedom with which LCA practitioners have applied LCA to energy systems, not always compliant with the ISO 14040/44 standards (ISO 2006a; b), has resulted in a large variability in the reported values for the published GHG emissions (see Sathaye et al. 2011; Chum et al. 2011). The estimates of the life cycle climate change impact of biofuels can be extremely variable (see Fig. 1). There are a number of factors explaining the variability of results in the LCA of bioenergy systems. Notoriously, agricultural and other bio-based systems are naturally variable, given their dependency on local climate vagaries and other agroecological factors. Furthermore, the uncertainty may be due to differences in input data regarding the specific crop, cultivation and processing technologies, source of feedstock, impact assessment method (see Brandão et al. 2019), but also methodological choices made by the practitioner. The remainder of this chapter will focus on

1924

M. Branda˜o

Fig. 1 Variability in GHG intensity of biofuels. Climate change impacts of ethanol, biodiesel (FAME and HVO), and biogas produced from 20 different feedstocks estimated with the 3 modeling approaches (RED, ALCA, CLCA), inclusion/exclusion of dLUC and iLUC considerations, and 4 LCA characterization models (GWP over 20 and 100 years and GTP after 20 and 100 years). The legend read from top to down corresponds to the bars read from left to right

the latter source of uncertainty in order to determine whether methodological choices really matter in the LCA of bioenergy systems. The reason why these methodological choices vary depending on who makes them is that unresolved issues remain in the LCA of bio-based systems in general and of bioenergy systems in particular. These are related to the goal and scope definition of the study, where the decision on how the system under assessment ought to be delimited is made, but also to the life cycle impact assessment (LCIA) phase of the assessment, where a decision is made on the impact assessment method to be adopted for characterizing emissions of, for example, GHGs.

3.2.1 Goal and Scope Definition Under the goal and scope definition of the study, a decision is made on how the system is represented. When representing the product system under assessment, mainly two modeling approaches are followed: attributional life cycle assessment (ALCA) and consequential life cycle assessment (CLCA). According to the Shonan LCA database guidance principles, the two LCA modeling approaches are defined as (Sonnemann and Vigon 2011):

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1925

• Attributional approach: System modeling approach in which inputs and outputs are attributed to the functional unit of a product system by linking and/or partitioning the unit processes of the system according to a normative rule. • Consequential approach: System modeling approach in which activities in a product system are linked so that activities are included in the product system to the extent that they are expected to change as a consequence of a change in demand for the functional unit. The two approaches answer different questions: while ALCA attributes a share of the global environmental burden to a product or activity, a CLCA quantifies the consequences that an increase in supply or demand for a particular product is likely to have on the environment. ALCA of all products is, in theory, additive, while CLCA is not. In theory, however, an ALCA of all products would have to be retrospective up until the beginning of human activity, while CLCA would have to be prospective until the end of human activity (Weidema et al. 2015). It has been argued that ALCA cannot support decision-making, while CLCA can, as ALCA does not attempt to estimate consequences of decisions (Brandão et al. 2014); some authors even argue that ALCA is unequivocally misleading in guiding policy, e.g., climate policy (Plevin et al. 2014). In practice, the main difference between the choice of applying one of the two approaches is that it determines i) the data adopted (average for ALCA and marginal for CLCA, e.g., for modeling the input of electricity supply mix or land-use reference system) and ii) the manner in which co-production is handled. ALCA resorts to allocation of environmental burdens among co-products, while CLCA follows a substitution approach whereby the determining product (e.g., wheat ethanol) is credited with the avoided burdens that the use of the by-product (e.g., energy recovery from wheat straw) incurs in displacing a marginal product yielding the same function as the by-product (e.g., xMJ of heat from straw displacing the same amount of heat from natural gas). More information on these two modeling approaches can be found in Weidema (2003), Brandão et al. (2014), Brandão et al. (2017), and Ekvall (2019). Regardless of the support that either modeling approach may have in the LCA community, which remains a divisive issue, it is undeniable that applying the two approaches results in very disparate outcomes. For example, when modeling five vegetable oils, Schmidt (2015) reported considerably variable results.

3.2.2

Reference Systems for Meeting Global Energy Demand from Fossil and Bioenergy Feedstocks: Land-Use Implications on Climate Change and Food Security The particular land use adopted as a reference may also have a decisive contribution to the outcome of the analysis. When thinking of bioenergy systems, it is useful to have in mind that bioenergy can only mitigate climate under the bottom three scenarios of Table 1. The status quo is that meeting global energy demand with fossil feedstocks leads to climate change. However, meeting global energy demand with biomass from existing forests (i.e., through deforestation) would be worse for

M. Branda˜o

1926 Table 1 Reference systems for sources of energy meeting global energy demand Scenario for meeting energy demand Status quo

Fossil Natural feedstocks ecosystems Managed land +1

Deforestation Diversion (no compensation) Diversion (with compensation; iLUC) Diversion (with +0.5 compensation; intensification) Additional biomass growth (C sequestration) Carbon capture +1–1 ¼ 0 and storage BECCS (bioenergy with CCS)

Under-utilized resources (e.g., land)

+1.5 1 þ 1 ¼ 0 +1

1 þ 1 ¼ 0 1 þ 1 ¼ 0

Likely impacts Climate change Climate change Food security Climate change Climate change

1 þ 1 ¼ 0

1 þ 1 – 1 ¼ 1

Efficient resource use No net emissions Negative emissions

NB: values are illustrative only

climate change, as the density of carbon relative to that of energy is higher in biomass feedstocks than in fossil feedstocks. Due to this difference in chemical composition of biomass and coal, around 3% more CO2 is released per unit energy from biomass than from black coal at the point of combustion (Coal: 26.5 MJ/kg (LHV) and 69.4%C; wood: 18.5 MJ/kg (LHV) and 50%C; giving a CO2 emission factor (assuming total combustion) of 96.0 and 99.1 gCO2/MJ for hard coal and wood, respectively (Edwards et al. 2014)). The diversion scenario refers to diverting food crops to fuel purposes, implying no change in the fossil or land C fluxes, but it assumes that there is no compensation for this diversion, implying food security impacts. The next scenario is similar to the previous one but assumes that compensation takes place for the food crops that are diverted to produce biofuels. In that case, the compensation is made via land-use change elsewhere, a phenomenon known as indirect land-use change (iLUC), while the scenario after assumes this compensation is met via increased use of fertilizers. Both scenarios also result in climate change. The only scenarios where bioenergy from land can mitigate (or not impact on) climate change without affecting food supply are the bottom three, where energy crops are grown on land that previously supported no biomass (i.e., bare land, not cropland, pastureland, or forestland). Another option is to sequester fossil CO2 emissions before they reach the atmosphere, in carbon capture and storage (CCS) technologies that are yet to be developed and deployed. Finally, bioenergy with

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1927

carbon capture and storage (BECCS) would be a carbon-negative scenario, where the carbon sequestered from the biomass would be stored out of the atmosphere, which would lead to a continuous removal of atmospheric CO2 while producing energy. Like CCS, technologies for BECCS are still under development. Concerns over the indirect implications for climate change of using land for bioenergy were voiced in a policy context when the new European Commission (2015) iLUC “Directive” proposal (2015/1513) was launched on October 17, 2012, as EU Climate Commissioner Connie Hedegaard said that “climate-wise, some of the biofuels [currently receiving EU subsidies] are as bad as, or even worse than, the fossil fuels that they replace.” The need to include indirect climate effects from biofuel support became obvious in order for the policies aiming at mitigating climate change to not have the opposite effect. A subsequent review of iLUC factors by Valin et al. (2015) and Woltjer et al. (2017) illustrated the high variability of iLUC factors as determined by a range of models, including partial and general economicequilibrium models, and questioned whether models were suitable for determining factors for something that is essentially elusive that cannot be directly observed or measured (Muñoz et al. 2015). The need for standardization of iLUC factors for policy implementation led the EC (2015) to base their adopted default values on a general-equilibrium model Modelling International Relationships in Applied General Equilibrium (MIRAGE) developed by the International Food Policy Research Institute (IFPRI): • 12 (8–16) g CO2-eq./MJ for cereals and other starch-rich crops • 13 (4–17) g CO2-eq./MJ for sugar crops • 55 (33–66) g CO2-eq./MJ for vegetable oil crops In calculating the level of GHG savings relative to gasoline and diesel, a value for a fossil-fuel comparator was adopted: • 2008: 83.8 g CO2-eq./MJ • 2012: 90.3 g CO2-eq./MJ for weighted average (3: 1) – 90.7 for diesel – 89.2 for gasoline • 2017: 94.1 g CO2-eq./MJ (2017) – 95.1 for diesel – 93.3 for gasoline – 94.2 for HFO When excluding iLUC, the life cycle climate change impact of biodiesel and ethanol does not always meet the original criterion of 35% GHG savings (from 2010), which progressively became stricter to 50% (from 2017), 60% (from 2018), and 65% (from 2021). Figure 2 shows that most feedstocks do not meet the strictest criterion of 65% GHG savings, leaving only biodiesel from plant and animal waste (and thereby not having iLUC impacts) as those meeting the 65% GHG saving criterion that enables producers to receive policy support, which is entirely aligned

1928

M. Branda˜o

Fig. 2 Default GHG emissions for biodiesel pathways, excluding LUC and iLUC (gCO2-eq./MJ final fuel). (Data from Edwards et al. 2016)

Fig. 3 Default GHG emissions for biodiesel (a) and ethanol (b) pathways, excluding iLUC (gCO2-eq./MJ final fuel). (Data from Edwards et al. 2016)

with the circular-economy strategy of utilizing waste via its energy recovery. No ethanol feedstock meets the 2021 target of a minimum GHG saving of 65% (see Fig. 3). When adding the adopted iLUC factors by the EC to the original default values in the RED, the number of feedstocks that are considered sustainable decreases to second-generation ones (see Fig. 4).

3.2.3 Life Cycle Impact Assessment It was made clear above that bioenergy systems were not carbon neutral. However, the biogenic part of the carbon emission has traditionally been considered neutral in many

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1929

Fig. 4 EU (2009) GHG default values, plus iLUC factors. (Data from European Commission 2015)

LCA studies for the reasons mentioned above. Provided carbon is emitted as CO2, and not as CH4, biogenic carbon emissions could indeed be considered neutral, and disregarded, as long as any multifunctional activity is treated consistently, i.e., allocated on the basis of the carbon content of the co-products, in order to ensure consistency in dealing with allocation throughout the product system (see Luo et al. 2009). This is correct for as long no differentiation is made of emissions with respect to the timing when they occur. However, there is a rationale for differentiating emissions relative to their timing, even though overall biogenic emissions are balanced by an equivalent amount of carbon sequestered as bioenergy feedstocks grow. The reason is that one may legitimately want to credit systems that entail carbon kept out of the atmosphere for longer periods of time (e.g., while an annual crop removes atmospheric carbon for 1 year, a forest plantation can remove carbon for as much as 100 years). This has justified the emergence of several methods that account for this issue. However, a recent comparison of 15 methods by Brandão et al. (2019) has found that, depending on the method applied, bioenergy may be better or worse than the fossil fuel it replaces. This is no longer an issue of uncertainty in the crop and technology involved in the bioenergy system studied, but an issue related to the method adopted for characterizing (biogenic) emissions.

4

Distinguishing Between Precision and Accuracy in the Assessment of Bioenergy Systems

Brandão et al. (2014) have made a useful distinction between precision and accuracy, arguing for the latter. Attempts at making the modeling of a system precise may lead to low accuracy and biased results, while aiming for accuracy may result in low

M. Branda˜o

1930

precision but in representative results. In the case of bioenergy, it is clearly superior (as has been recognized in policy) that indirect effects, such as iLUC, should be included in the assessment, even if doing so may lead to low precision (i.e., high variability of estimates) because, as Tribus and El-Sayed (1982) better stated, “It is much more important to be able to survey the set of possible systems approximately than to examine the wrong system exactly. It is better to be approximately right than precisely wrong.” It would be unwise to support systems for their alleged climate change mitigation potential if, when taking indirect effects into account, these systems are likely to have the opposite effect.

5

Conclusions and Outlook

Circular and bio-based systems, like bioenergy, have come under increasing scrutiny due to the urgent need to replace fossil fuels in order to mitigate climate change. This chapter has clarified the importance of choices related to key methodological issues in the estimation of the life cycle climate change impact of bioenergy systems, and demonstrates the dependency of climate change results on the inventory-modeling approach adopted, land-use reference system, indirect land-use change, inclusion of biogenic carbon flows, and method applied for time-accounting. LCA is the established framework with which to assess the climate effects of bioenergy systems. However, the above methodological choices required when performing an LCA study have significant impact on the results and their interpretation. Furthermore, these methodological choices are the topic of ongoing debate, so there is no unambiguous and agreed guidance to practitioners. Consequently, the climate effects of a bioenergy system have been reported as both positive and negative relative to its fossil counterpart; the inconsistent handling of the methodological choices above has made the climate benefits of biomass and bioenergy systems inconclusive. It is clear from the analysis that methodological choices regarding, for example, the modeling approach and the treatment of LUC do affect the results. This does not mean that these sources of uncertainty should be ignored, as ignoring uncertainty would not avoid uncertainty and could give misleading results (Weidema 2009). Brandão et al. (2014) highlighted the distinction between precision and accuracy, arguing for the relative importance of the latter. Attempts at making the modeling of a system precise may lead to low accuracy and biased results, while aiming for accuracy may result in low precision but representative results. As has been recognized in policy, it is crucial that indirect effects, such as iLUC, be included in the assessment of biofuel systems, even if doing so may lead to low precision (i.e., high variability of estimates). The insignificant effect of GHG metrics reported by Brandão et al. (2022) is because the modeled systems had a similarly insignificant fraction of emissions as CH4. In addition, GWP and GTP do not differentiate emissions with respect to their timing. It is emphasized that the result is particular to the biofuel systems assessed here, where most of the biofuels modeled are made from annual crops and assessed with LCIA methods that do not distinguish the timing of emissions. A more

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1931

significant effect may be likely when studying systems where asynchrony between the timing of emissions and removals occurs, such as bioenergy systems from forestry if methods distinguishing the timing of emissions are adopted (see Brandão et al. 2019). Biofuel systems have come under increasing scrutiny due to the urgent need to replace fossil fuels in order to mitigate climate change. This chapter has clarified the importance of choices related to key methodological issues in the carbon footprinting of biofuel systems and demonstrated the dependency of climate change results on the crop modeled, inventory-modeling approach adopted, land-use reference system, indirect land-use change, the inclusion of biogenic carbon flows, and LCIA method applied for characterizing GHGs. LCA is the established framework to assess the climate effects of biofuel systems. However, the above methodological choices required when performing an LCA study significantly impact the results and their interpretation. Furthermore, these methodological choices are the topic of ongoing debate; there is no consensus among experts and, therefore, no clear, agreed guidance to practitioners. The inconsistent handling of these methodological choices has led to an inconclusive evidence base for the climate effects of biomass and biofuel systems, with the biofuel systems reported as both positive and negative relative to their fossil counterpart. The carbon footprint of biofuel systems can help identify the systems that meet policy targets, such as those that show a relatively lower carbon footprint. However, this study makes clear that methodological choices do determine the results and that the delimitation of the system boundary derived from the modeling approach, which determines the extent to which indirect effects are included, is a significant source of uncertainty. It is crucial that the models produced do not misrepresent the system under analysis by placing relevant activities outside the system boundary, which would go against the whole rationale for adopting a life cycle approach: not shifting burdens nor incurring “leakage.” In particular, it is important to interpret the results of the carbon footprint of biofuel systems in light of the choices made in each of these sources of uncertainty, and a sensitivity analysis is recommended to overcome their influence on the result. Despite the uncertainty (known unknowns), the relevance of LCA for policy support is growing: this is demonstrated by the increasing number of policies adopting a life cycle approach and is supported by the number of international developments and ongoing initiatives that have resulted in better methods, databases, and software. However, the lack of scientific consensus makes clear the need for increasing harmonization in LCA practice in order to increase robustness and reproducibility of the results generated. In terms of the LCA of bioenergy systems specifically, it is clear that biofuels are not necessarily better than the fossil fuels they replace, and that LCA can help in identifying the systems that warrant support because they meet policy goals and targets, like climate change mitigation. However, it is also clear that methodological choices do determine the results, and that the delimitation of the system boundary is a large source of uncertainty, which determines the extent to which indirect effects are included. “All models are wrong but some are useful” (Box and Draper 1987).

1932

M. Branda˜o

What is important is that the models that are produced do not shift burdens outside of the system under analysis, which is the whole rationale for adopting a life cycle approach.

References Box GEP, Draper NR (1987) Empirical model-building and response surfaces. Wiley, New York Brandão M, Clift R, Cowie A, Greenhalgh S (2014) The use of life cycle assessment in the support of robust (climate) policy making: comment on “using attributional life cycle assessment to estimate climate-change mitigation. . .”. J Ind Ecol 18(3):461–463 Brandão M, Martin M, Cowie A, Hamelin L, Zamagni A (2017) Consequential life cycle assessment: what, how, and why? In: Encyclopedia of sustainable technologies. Elsevier, Amsterdam Brandão M, Kirschbaum MU, Cowie AL, Hjuler SV (2019) Quantifying the climate change effects of bioenergy systems: comparison of 15 impact assessment methods. GCB Bioenergy 11(5): 727–743 Brandão M, Heijungs R, Cowie AR (2022) On quantifying sources of uncertainty in the carbon footprint of biofuels: crop/feedstock, LCA modelling approach, land-use change, and GHG metrics. Biofuel Res J 9(2 (In progress)):1608–1616 Carus M, Dammer L (2018) The circular bioeconomy—concepts, opportunities, and limitations. Ind Biotechnol 14(2):83–91 Cherubini F, Strømman AH (2011) Life cycle assessment of bioenergy systems: state of the art and future challenges. Bioresour Technol 102(2):437–451 Chum H, Faaij APC, Moreira JR, Junginger HM (2011) Bioenergy. IPCC, 2011: Summary for Policymakers. In: IPCC Special Report on Renewable Energy Sources and Climate Change Mitigation. In: Edenhofer O, Pichs‐Madruga R, Sokona Y, Seyboth K, Matschoss P, Kadner S, Zwickel T, Eickemeier P, Hansen G, Schlömer S, von Stechow C (eds), Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA D’Amato D, Droste N, Allen B, Kettunen M, Lähtinen K, Korhonen J, Leskinen P, Matthies BD, Toppinen A (2017) Green, circular, bio economy: a comparative analysis of sustainability avenues. J Clean Prod 168:716–734 Edwards C, Fry JM (2011) Life cycle assessment of supermarket carrier bags. Environment Agency, Bristol Edwards R, Larivé JF, Rickeard D, Weindorf W (2014) Well-to-wheels analysis of future automotive fuels and powertrains in the European context. Well-to-tank report. version 4a, April 2014. well-to-tank appendix 1 - version 4a. Conversion factors and fuel properties JRC technical reports. https://ec.europa.eu/jrc/sites/jrcsh/files/wtt_appendix_1_v4a.pdf Edwards R, Padella M, Giuntoli J, Koeble R, O’Connell A, Bulgheroni C, Marelli L (2016) Biofuels pathways. Input values and GHG emissions. Database (COM(2016)767). European Commission, Joint Research Centre (JRC) [Dataset] PID: http://data.europa.eu/89h/jrc-alf-biobiofuels_jrc_annexv_com2016-767_v1_july17 Edwards-Jones G, i Canals LM, Hounsome N, Truninger M, Koerber G, Hounsome B, Cross P, York EH, Hospido A, Plassmann K, Harris IM (2008) Testing the assertion that ‘local food is best’: the challenges of an evidence-based approach. Trends Food Sci Technol 19(5):265–274 Ekvall T (2019) Attributional and consequential life cycle assessment. In: Sustainability assessment. IntechOpen, London EU (2009) Directive 2009/28/EC of the European Parliament and of the council of 23 April 2009 on the promotion of the use of energy from renewable sources and amending and subsequently repealing directives 2001/77/EC and 2003/30/EC. Off J Eur Union 5:2009 EU (2018) Directive 2018/2011 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources. Official Journal of the European Union 61:82–209

97

The Role of Life Cycle Assessment in Supporting the Transition. . .

1933

European Commission (2015) Directive (EU) 2015/1513 of the European Parliament and of the council of 9 September 2015 amending directive 98/70/EC relating to the quality of petrol and diesel fuels and amending directive 2009/28/EC on the promotion of the use of energy from renewable sources. Off J Eur Union 239:1–29 Giampietro M (2019) On the circular bioeconomy and decoupling: implications for sustainable growth. Ecol Econ 162:143–156 Hawkins TR, Singh B, Majeau-Bettez G, Strømman AH (2013) Comparative environmental life cycle assessment of conventional and electric vehicles. J Ind Ecol 17(1):53–64 ISO (2006a) ISO 14040. Environmental management – life cycle assessment – principles and framework. International Organisation for Standardisation, Geneva ISO (2006b) ISO 14044. Environmental management – life cycle assessment – requirements and guidelines. International Organisation for Standardisation, Geneva Johnson E (2009) Goodbye to carbon neutral: getting biomass footprints right. Environ Impact Assess Rev 29(3):165–168 Koneczny K, Dragusanu V, Bersani R, Pennington D (2007) Environmental assessment of municipal waste management scenarios, part I. European Commission, Joint Research Centre, Institute for Environment and Sustainability, Italy Luo L, van der Voet E, Huppes G, De Haes HAU (2009) Allocation issues in LCA methodology: a case study of corn Stover-based fuel ethanol. Int J Life Cycle Assess 14(6):529–539 Merrild H, Damgaard A, Christensen TH (2008) Life cycle assessment of waste paper management: the importance of technology data and system boundaries in assessing recycling and incineration. Resour Conserv Recycl 52(12):1391–1398 Muñoz I, Schmidt JH, Brandão M, Weidema BP (2015) Rebuttal to ‘indirect land use change (iLUC) within life cycle assessment (LCA)–scientific robustness and consistency with international standards’. GCB Bioenergy 7(4):565–566 Plevin RJ, Delucchi MA, Creutzig F (2014) Using attributional life cycle assessment to estimate climate-change mitigation benefits misleads policy makers. J Ind Ecol 18(1):73–83 Sathaye J, Lucon O, Rahman A, Christensen J, Denton F, Fujino J, Heath G, Mirza M, Rudnick H, Schlaepfer A, Shmakin A (2011) Renewable energy in the context of sustainable development. Cambridge University Press, Cambridge, MA Schmidt JH (2015) Life cycle assessment of five vegetable oils. J Clean Prod 87:130–138 Schoenmakere MD, Hoogeveen Y, Gillabel J, Manshoven S (2018) The circular economy and the bioeconomy-Partners in sustainability. European Environmental Agency, Copenhagen Sonnemann G, Vigon B (2011) Global guidance principles for life cycle assessment database— “Shonan Guidance Principles”. SCP documents. UNEP–SETAC, Geneva, 158 Stegmann P, Londo M, Junginger M (2020) The circular bioeconomy: its elements and role in European bioeconomy clusters. Resour Conserv Recycl X:100029 Tribus M, El-Sayed Y (1982) Introduction to thermoeconomics. Compendium, MIT, Cambridge, MA Tuomisto HL, Hodge ID, Riordan P, Macdonald DW (2012) Does organic farming reduce environmental impacts?–a meta-analysis of European research. J Environ Manag 112:309–320 Valin H, Peters D, Van den Berg M, Frank S, Havlik P, Forsell N, Hamelinck C, Pirker J, Mosnier A, Balkovic J, Schmidt E (2015) The land use change impact of biofuels consumed in the EU: quantification of area and greenhouse gas impacts. ECOFYS Netherlands B.V., Utrecht, Netherlands. BIENL13120 Webb J, Williams AG, Hope E, Evans D, Moorhouse E (2013) Do foods imported into the UK have a greater environmental impact than the same foods produced within the UK? Int J Life Cycle Assess 2013(18):1325–1343. https://doi.org/10.1007/s11367-013-0576-2 Weidema BP (2003) Market information in life cycle assessment. Miljøstyrelsen 863:365 Weidema BP (2009) Avoiding or ignoring uncertainty. J Ind Ecol 13(3):354–356 Weidema B, Grbeš A, Brandão M (2015) July. The implicit boundary conditions of attributional and consequential LCA. In: ISIE conference 2015: taking stock of industrial ecology-University of Surrey, Guildford, UK-7-10 July 2015

1934

M. Branda˜o

Weiss M, Haufe J, Carus M, Brandão M, Bringezu S, Hermann B, Patel MK (2012) A review of the environmental impacts of biobased materials. J Ind Ecol 16:S169–S181 Williams AG, Audsley E, Sandars DL (2006) Final report to Defra on project IS0205: determining the environmental burdens and resource use in the production of agricultural and horticultural commodities. Defra, London Woltjer G, Daioglou V, Elbersen B, Ibañez GB, Smeets EMW, González DS, Barnó JG (2017) Study report on reporting requirements on biofuels and bioliquids stemming from the directive (EU) 2015/1513. EU Commission, Brussels Zanchi G, Pena N, Bird N (2012) Is woody bioenergy carbon neutral? A comparative assessment of emissions from consumption of woody bioenergy and fossil fuel. GCB Bioenergy 4(6):761–772

AI Optimized Solar Tracking System for Green and Intelligent Building Development in an Urban Environment

98

Artie W. Ng, Andrew. Wu, and Edmund T. M. Wut

Contents 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 Advancement of Green Building Development in an Urban Environment: Integrating Solar Power Generation into Green Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2 Use of AI to Optimize Solar Tracking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3 Battery System for Storing Solar Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Self-Sufficient Green Building for Power Consumption in Smart Grid [Andrew] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Toward an Integrated Solution and Business Model for Energy-Smart Green Building for Self-Sufficiency and EV Charging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Green and Intelligent Building for EV Charging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2 Integrating the Use of PV and Energy Storage for EV Charging . . . . . . . . . . . . . . . . . . . 4 The Experience in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1936 1937 1937 1939 1940 1941 1943 1943 1944 1944 1948 1948

Abstract

Over the last decade, the cost of solar panels has gradually been reduced with the advancement of pertinent technologies and production in a large scale for extended applications as a viable means to drastically reduce carbon emissions from fossil fuel power generating facilities. While the concept of green buildings has been focusing on the energy savings in the past, installation of solar panels onto the rooftops of buildings presents an opportunity to generate incomes as a viable economic upside incentive to scale up the utilization of solar panels among A. W. Ng (*) Centre for Sustainable Business, International Business University, Toronto, ON, Canada e-mail: [email protected] A. Wu · E. T. M. Wut Research Centre for Green Energy, Transport and Building, College of Professional & Continuing Education, The Hong Kong Polytechnic University, Hong Kong, China © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_182

1935

1936

A. W. Ng et al.

buildings in an urban environment. Against this background, this chapter points out the latest solar tracking technologies that can be further optimized by AI machine learning for improved efficiency as well as economic returns from these capital investments into such technological infrastructure integrated with smart grid and energy storage facilities. The current limitation in the penetration of solar power among urban cities can be tackled by entrepreneurial firms to capitalize on the potentials of delivering an integrated solution by conducting both technical and economic feasibilities in a systemic manner. Keywords

Electric vehicle · Green building · Artificial intelligence (AI) · Smart grid · Solar power · Tracking system · Urban environment

1

Introduction

There has been a growing trend of integrating solar power into the concept and practice of green buildings in an urban environment making use of information technologies and artificial intelligence more recently. This trend has been reinforced by the need to develop practical solutions under a global consensus for reducing carbon emissions drastically in order to meet the target of carbon neutrality by 2050 as targeted within the Paris Agreement in response to the threat of climate change (Ng et al. 2021). In particular, consumption of energy by buildings around the world attributes directly or indirectly to greenhouse gas emissions. The lowering cost of solar panels combined with the availability of artificial intelligence represents an opportunity to scale up the development of green buildings equipped with power generating facilities from solar sources, which would be stored in battery or used to supply electricity for consumption by users within a building (IEA 2020). These end users would include electric vehicle (EV) users in a growing scale. Such integrated approach could be optimized by the useful applications of artificial intelligence in various sectors to make positive impacts on the economic advancement and environmental sustainability in the coming decades (Stone et al. 2016; Rahwan et al. 2019; Walter et al. 2022). The book chapter aims to provide a literature review and a framework to illustrate such potentials. In Sect. 2, an extended literature review on green building, solar tracking, potential application of artificial intelligence, and energy storage technologies is provided to articulate these complementary developments. Section 3 examines the prospects of integrating pertinent green technologies for EV charging facilities within green and intelligent buildings as integrated solution in an urban environment. The experience of China’s noticeable initiatives in developing renewable energy and its prospects in such technological developments are explored in the following section. The concluding remarks with suggestion of potential future studies are then provided.

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1937

2

Literature Review

2.1

Advancement of Green Building Development in an Urban Environment: Integrating Solar Power Generation into Green Buildings

2.1.1 Green Building Development Green building is a concept and practice that suggests buildings can be designed and developed to protect and mitigate adverse impacts on our environment (Li et al. 2021). It is increasingly becoming a crucial factor in the global sustainability movement as it would help ensure meeting today’s requirements without hurting the future generation’s needs. Almost 40% of US carbon emission has been related to consumption from various buildings (Walker 2011; Newsham et al. 2009). For instance, commercial buildings mainly use energy for daylighting and computers, whereas residential buildings mainly use energy for water heating during evenings. The US Green Building Council’s LEED (Leadership in Energy and Environmental Design) rating system for buildings provides a guideline on green buildings (Karolides 2011), which promotes energy use reduction and quality of the indoor environment. Buildings which are certified with LEED design consume 18–39% less energy than their conventional buildings per floor area (Newsham et al. 2009). While it is anticipated that fossil fuels are the major source of carbon emissions and need to be replaced in order to mitigate climate risk, the sun has plenty of energy that reaches the Earth every day. It could meet our daily energy needs. Prior studies have suggested that solar energy is one of the renewable energy sources that could be ultimately driving down electricity costs while reducing carbon emission (Chan et al. 2011, 45). The challenge is that how we can put sun energy in our buildings. There are many ways to use solar energy in the buildings: passive solar heating, daylighting, solar heating, water heating, photovoltaics, and ventilation air preheating. Windows in the buildings are an example of passive solar heating. Windows in the winter can store heat. In contrast, windows in the summer reject heat. All passive solar heating features have a facing south direction in North Hemisphere (Walker 2011). A photovoltaic (PV) system is the most common sun collecting system. It is typically made of semiconducting material crystal silicon. Photovoltaic (PV) system provides electricity without gas emissions. Operation is silent and simple in design and maintenance (Kermadi and Berkouk 2017). A photovoltaic-thermal (PVT) system is produced to combine a PV system and an operation is extracted by water, air, or coolant. A concentrating photovoltaic thermal collector (CPVT) system can generate electricity either consumed by the owner or fed to the electricity grid (Modi et al. 2017). A fixed system has been built for its simplicity and lower outlay cost, which is normally installed on the roof of the building, facing to the south to maximize the sunlight collection. However, innovative solutions are actively explored to enhance availability and efficiency.

1938

A. W. Ng et al.

2.1.2 Development of Solar Tracking Technologies Solar tracking technologies have been explored for their potentials to improve availability and efficiency from PV power generation. In fact, the path of the sun near the equator does not vary too much but higher latitudes over time. In higher latitudes, the path of sun varies seasonally. In summer, building surfaces in North Hemisphere absorb the sunlight well from the roof; in winter, the south-facing wall receives most sunlight. Thus, energy collection would be greater up to 40% more in summer when tracking the sun from eastern side to western side. There is not much improvement in winter due to the path (Walker 2011). According to Hafez et al. (2018), there are five types of solar tracker systems: (i) active tracking, (ii) passive tracking, (iii) semi-passive tracking, (iv) manual tracking, and (v) chronological tracking” (Hafez et al., 755). There is a sensor in the active tracking system to determine the path of the sun. The system would not work in cloudy days. Passive tracking system depends on the imbalance between two points or thermal expansion in materials. A semi-passive tracking system can follow the sun so that sunlight is perpendicular to the collector’s area. Manual tracker can follow the sun with tilt angle from spring to summer changing manually. The system is cheaper and easy to maintain. Finally, a chronological solar tracking system is a time-based tracking system where the sunlight collector moving a fixed rate and angle in the day (Hafez et al. 2018). The solar tracking system has both single-axis and dual-axis types: Single-axis trackers would follow the sun by a vertical or horizontal axis, whereas dual-axis trackers would follow the sun both by vertical and horizontal axis (Engin and Engin 2013, 1). In short, single-axis solar tracking systems have 30% – 40% better efficiency than the fixed system and dual-axis solar tracking systems have 80% better efficiency than the fixed system (Racharla and Rajan 2017). Single-axis trackers have one way of rotation direction. The angle of rotation is adjusted so that sunlight is perpendicular to the panel. But the inclination angle should be accurate enough to avoid shading. Dual-axis trackers have two ways of rotation. It is able to track the sun radiation from eastern to western direction and from northern to southern direction (Racharla and Rajan 2017). Larger space would be needed for such installation. Other studies reported less efficiency gain (19.51%) when compared to no tilt angle (Datta et al. 2016). According to Engin and Engin (2013), there are three algorithms used in the sun tracking system: a hybrid method of closed-loop control and open-loop control, closed-loop control method, and the open-loop control method. Feedback sensors are used in closed-loop method and image sensors are used for advanced correction in cloudy days. Longitude and latitude data are used in open-loop control method. It needs to adjust the starting position every day. It should be noted that the cost of using one-axis or single-axis system will be increased by 10% compared to fixed system. The cost of using two-axis system will be increased by 30% compared to fixed system (Engin and Engin 2013). The offset could act as a barrier to adapt the solar tracker for the PV panel.

98

2.2

AI Optimized Solar Tracking System for Green and Intelligent. . .

1939

Use of AI to Optimize Solar Tracking

Artificial intelligence (AI) is defined as “a system’s ability to interpret external data, to learn from this data, and to use those learnings to achieve certain objectives” (Haenleun and Kaplan 2019, 5). The system develops reasoning and solving problem ability (Garud et al. 2021). There are some examples of AI: artificial neural network, fuzzy logic, and data mining (Kalogirou and Sencan 2011). Kermadi and Berkouk (2017) reviewed the major uses of artificial intelligence method to improve the traditional collection methods for solar tracking. Artificial neural network (ANN) has better performance than traditional method to get the maximum power point tracking (MPPT). Fuzzy logic, genetic algorithm, and particle swarm optimization (PSO) are the other common artificial intelligence approaches to solar tracking (Kermadi and Berkouk 2017). ANN is one of the growingly common artificial intelligence methods to find the maximum power. It consists of neurons like our human brain. Neurons are connected by weight. Weights are adjusted in the training sessions (Garud et al. 2021). According to El Shenawy et al. (2012), the solar tracker is placed with the neural network in a parallel manner. That is to say, same inputs have been applied on the neural network and the solar tracker. The difference between the neural network’s output and sun tracker servers provide a training signal to learn the neural network (El Shenawy et al. 2012). By adjusting the values between the components, the neural network was trained to perform a function. Most of the applications on solar energy collection belong to artificial neural networks. They are used to predict solar radiation (Kalogirou and Sencan 2011). In order to capture more amount of sunlight, it is important to track the sun position from time to time. It would be possible to consider not only the sun angle but also elevation of the location, time, date, longitude, and latitude using GPS system. A robotic arm sun track system was proposed according to light sensors and temperature using neural network control (Engr et al. 2014). And a 20% increase in solar energy collection was reported when compared to fixed position. The neural network is an algorithm that processes some inputs and produces outputs. It has been used widely in robots, signal processing, and optimization. It will be useful using artificial intelligence control to sunlight collection (El Shenawy et al. 2012). Fuzzy logic does not require precision inputs and can handle nonlinearity (Kermadi and Berkouk 2017). Technically, it is noted: “range of each input and output parameter is classified in a number of small ranges; variation of each range is represented by a shape; data collected are divided into training and validation datasets with a number of rules” (Garud et al. 2021, 6). Genetic algorithm is an optimization technique following the survival of fitness rationale. It is based on evolution biological behavior. The population of chromosomes evolves over generations by competition. The evolution process let the best fitness chromosome to survive and mate from one generation to the next generation (Seyedmahmoudian et al. 2016). On the other hand, genetic algorithm consists of three main genetic operations: selection, mutation, and crossover. The first step is to determine the population size. Value of objective function is determined for each point of

1940

A. W. Ng et al.

population size. Accurate fitness values called parents are generated. The parents generate the new population called children. “Crossover is the combination of more than one parents and mutation makes some adjustments in the parents from the fitness value” (Garud et al. 2021, 10). In addition, particle swarm optimization (PSO) solves multi-objective function. The method was inspired by the natural behavior of birds’ flocking. The procedure begins with an initialization and then searching an optimal solution. In initialization, the population size was defined by selecting the participant particles during optimization. It evaluates the particle quality based on the fitness function. The location of each particle with the speed explores the search space and calculates a better solution (Seyedmahmoudian et al. 2016). Another method is called ant colony optimization (ACO), which is based on the natural behavior of ants. (To illustrate, all ants search the food initially. Once any ant finds the food, it estimates the size of the food. If the food is too large and heavy, the ant would take a small amount and get back to the nest. The ant leaves pheromones in its path as it gets back to the nest. The pheromones give the hint to the other ants to find the food sources. The density of pheromones is associated with the number of ants that traveled the path. Usually, the shortest path is preferred by most ants and the density of pheromones will be the highest (Seyedmahmoudian et al. 2016).) After all, it was found that ANN has the highest performance potential. However, it is subject to the additional costs of temperature sensors. Also, its reliability is subjected to the training process. Fuzzy logic gives very accurate results but needs high level of programming language. It has the advantage of system independence. Genetic algorithm and PSO have very good results but require more iterations. Moreover, they have long tracking processes because of undefined initial points. Such responses are slower (Kermadi and Berkouk 2017). It is possible to combine these methods to solve real complex problem. A mixed model of ANN and fuzzy logic is an example. Accuracy might be higher but with higher computational time and prediction cost (Garud et al. 2021).

2.3

Battery System for Storing Solar Power

In the past decades, the development of clean energy has been rapidly and widely spread in various countries and regions around the world for environmental concerns and sustainable development reasons. Distributed power source, like solar power collected by PV panels, has been recognized as a typical application of clean energy (Lehtola and Zahedi 2019). More distributed solar power has been installed and connected to the electricity grid. Solar power generation by PV panels, as an efficient and small-capacity power generation technology, has been rapidly developed and promoted. However, with the gradual increase of PV penetration rate, problems such as reverse power flow and node voltage over-limit have become more noticeable (Ranamuka et al. 2020), which put forward greater requirements for the safe and economic operation of the distribution network (Buonomano et al. 2018).

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1941

Battery system, as an energy storage approach, was considered a feasible solution. As the load of the distribution network continues to increase and the PV penetration rate increases, new voltage control methods that adapt to the characteristics of the distribution network need to be further studied. In recent years, with its fast and flexible response characteristics and gradual reduction in costs, battery energy storage (BES) has received widespread attention as an important means of voltage control for solar power in the distribution network. The development of BES would accommodate and stimulate the installation of solar power generation units. Distributed PV panels are applied with low-voltage DC power supply and are equipped with a certain capacity of energy storage. Through the regulation of BES and the associated energy management system, the output of solar power can be maximized, and the fluctuation of electricity generation can be smoothed, which provided a solid foundation for integrating solar power into smart grid (Boretti 2021). The low-voltage DC microgrid associated with solar power and BES was considered a main form of the future distribution network. With the advancement of energy storage technology and the reduction of costs, green buildings equipped with low-voltage DC power supply technology and equipped with energy storage systems has become energy producers and played an important role in electric power supply. BES for storage of solar power will continue to be indispensable in the low-voltage DC power supply system in the near future, thanks to its unique functions and advantages. Furthermore, the operational principles of BES for solar power varied from conventional energy storage power stations in terms of safety, operation, and maintenance. The promotion of BES for solar power could supplement and maximize the utilization and local consumption of renewable energy (Fares and Webber 2017). It could also increase the efficiency of energy consumption, by stabilizing fluctuations of power generation and load shits in microgrids. Therefore, the BES improves the friendliness of integrating solar power into the grid. It is essential to realize the balance control of instantaneous power and time-shift scheduling of energy. With the help of BES for energy storage, solar power enjoyed the potential for a relatively large-scale application into local microgrids, thanks to the improved energy efficiency and economic benefits, which also contributed to energy conservation and emission reduction. It is necessary to select advanced and low-cost energy storage methods with appropriate batteries’ capacity for energy storage even within a green building design.

2.4

Self-Sufficient Green Building for Power Consumption in Smart Grid [Andrew]

With the improvement of global industrialization, the environmental governance and rational use of energy has drawn attention in various countries and regions. Promotion of low-carbon economic development has become an increasingly important policy goal. In order to reduce carbon emissions for sustainable development,

1942

A. W. Ng et al.

various countries have successively introduced relevant regulations and policies. Self-sufficient green buildings, especially integrating with smart grid and renewable energies, have been largely encouraged by such policies. Nowadays, self-sufficient green buildings were attached with advance telecommunication and sensing technologies (Farrokhifar et al. 2018), to achieve intelligent management of the entire power system. Smart grid was integrated with advanced network technology to realize information sharing and multilayer interaction. The way of power consumption has been adjusted accordingly (Darko et al. 2019). As a result, demand side energy management has been widely deployed, especially for self-sufficient green buildings. With the acceleration of urbanization, power consumption by building users was also increasing. The short-term peak load greatly fluctuated the stability of power, especially during the peak hours of winter and summertime (Chen 2019). The collaborative optimization of the load in the building can be achieved through intelligent control technology and automation equipment (Tushar et al. 2018), which could reduce power consumption. Therefore, the automatic demand response technology of electric power is particularly important, which requires strong infrastructure and advanced power grid and communication technology as support. On the technical side, in order to promote energy conservation in self-sufficient green buildings, demand response system from the perspective of information transmission with consideration of user’s power consumption behavior has been rapidly incorporated with the development of smart grid. Demand response technology with intelligent decision-making and automatic control has been applied in the self-sufficient green buildings. Users could reduce power consumption through smart control devices, therefore achieving emission reduction and sustainable development. The automatic demand response system for power consumption of smart buildings could not only ease the unbalance between power supply and demand but also provide users with refined energy consumption data and skills reduction plans. Overall architecture design of the demand response system in the green building is shown in Fig. 1. On the economic side, feasible electricity price adjustment mechanisms have been applied to minimize the power load’s peak-valley difference and to balance the economic interests between the power supply and demand sides. The time-of-use electricity price has been applied to the environment of smart buildings to realize the collaborative control of smart devices. Electricity tariff and intelligent load dispatch algorithms were feasible tools to reduce power generation costs and increase economic benefits. Demand response and energy management system was used to dispatch the electricity load and to increase the user’s satisfaction. It was believed that the necessary infrastructure support should be provided to realize the demand response. The construction of a real-time interactive information system was the prerequisite for the remote automatic control of electrical equipment. Through the classification of the electricity load of the intelligent building and the analysis of the mathematical model for the application of artificial intelligence, the corresponding scheme will then be redesigned and further deployed in the near future.

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1943

Fig. 1 Intelligent structure of self-sufficient green buildings. (Source: author)

3

Toward an Integrated Solution and Business Model for Energy-Smart Green Building for Self-Sufficiency and EV Charging

3.1

Green and Intelligent Building for EV Charging

Within an urban and populated environment, the development of a smart and green city would require an integrated solution composed of green energy, green buildings, and green transport. As such, green building can be designed as a location-based hub with some green energy generating capacity that is connected with a smart grid while offering electric charging services for EVs. However, loading from EV charging could be a significant challenge. For instance, if there are a growing number of EVs parking in an office building for an extended period, EVs being charged without control are likely to have an adverse impact on building energy management as well as on the distribution grid (Hurtado et al. 2015). To deal with this issue, a charging solution to enable flexibility of EV charging in a built environment with energy storage capability in connection with distribution grid is desirable. In order to resolve the potential problems of charging EVs becoming a burden to loading of the grid, a recent study proposes to explore the potentials of making EVs as energy storage devices with a “multiport DC-DC solid state transformer topology for bidirectional photovoltaic/battery-assisted EV parking lot” as well as a vehicleto-grid service (V2G-PVBP) (Qin et al. 2020). The study furthers that the energy storage function of EVs, V2G-PVBP, can be deployed to meet the charging requirements of EVs as well as to support the function of load shifting and load regulation to a local microgrid. The proposed arrangement allows autonomous charge or discharge depending on an EV’s state of charge, battery capacity, departing time, and other factors so as to enhance stability of the future microgrid.

1944

A. W. Ng et al.

3.2

Integrating the Use of PV and Energy Storage for EV Charging

There are other viable opportunities for further integrating the use of PV for EV charging among residential buildings has increased in recent years despite the negative correlation between the peak period of household load and PV power production under the scenario that there are increases in peak load due to EV charging. Specifically, large-scale integration of PV generation and EV charging loads would bring more technical challenges for the distribution grid with hosting capacity that constrains the allowable PV (Fachrizal et al. 2021). It is therefore suggested that a smart charging scheme for EVs can be developed to deal with such challenges by determining the optimal EV charging hours with an aim to reduce the net load variability or to flatten the net load profile (Fachrizal and Munkhammar 2020). This approach is expected to drastically lower the net load variability and enable more PV self-consumption while decreasing the peak loads. Another study similarly points out the relevance of a distributed energy management for the development of a PV charging station considering the different behavioral responses of EV drivers (Zhang et al. 2019). The study has performed simulation analysis to demonstrate both static and dynamic responses while monitoring the effectiveness of a proposed charging power management with discounts on the charging price offered. As provided in Sect. 2.3, BES can be an enabling solution for solar power generation, which is even more so for buildings that are increasingly expected to provide charging services for EVs. A case study in Sweden has further demonstrated a transformation of a residential cluster into a place with an integrated solution built with (i) click-and-go photovoltaic (PV) panels for building integration, (ii) centralized exhaust air heat pump, (iii) thermal energy storage for storing excess PV electricity by using heat pump, and (iv) PV electricity sharing within the building cluster for thermal/electrical demand (including electric vehicle load) on a direct current microgrid, which is exemplary on how a PV-heat pump-thermal storageelectric vehicle system based on genetic algorithm is created to optimize the capacity of PV modules to maximize self-consumption (Huang et al. 2019).

4

The Experience in China

The installed solar power capacities in China have increased at a year-on-year rate of nearly 50% in the past 7 years, from 14,790 MW in 2013 to 253,430 MW by the end of 2020, as shown in Fig. 3 (Chinese National Bureau of Statistics 2021). China being one of the leading countries in swiftly installing renewable energy facilities is expected to continue to expand its renewable energy sources in order to develop a low-carbon economy and eventually to achieve carbon neutrality (Fu and Ng 2020). In the meantime, EVs have been increasingly developed in the past decades in various countries and regions, especially in the United States, China, and Europe. Though EV has been promoted greatly, encouraging policies and financial subsidies are expected to stimulate more adoption over the coming decades (Fang et al. 2020).

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1945

For example, the development of China’s EV industry could be categorized into three phases, from pilot cities gradually promoting to larger regions (Wu et al. 2020), based on specific conditions of different provinces and cities. Empirical research (Grote et al. 2019) also pointed out that integration of EVs with sufficient charging facilities into green buildings has contributed into the stable power flow of smart grids. In addition to the determination of locations and capacities of charging infrastructure, the large-scale integration of EVs has caused great impact on the power grid. Reasonable scheduling of orderly charging of EVs was considered a feasible solution to alleviate such problem, by reducing the power load’s peak-to-valley difference, which further enhances the safety and stability of both EVs and the power grid. Appropriately scheduling of EV charging infrastructure enabled economic benefits in the distribution power network, through intelligent prediction of traffic flow and charging capacities in need, for example, to shorten the idle time between two charging electric vehicles and reduce the idle time of charging piles. In the past decade, the EV charging industry in China has been through an earlystage development. Various problems have taken place, such as policy conflicts in different regions, especially about financial subsidies and tax benefits. In addition, the payback period was too long, and the business model has not been clearly verified, despite aggressive financial subsidies from the government. However, there were several leading companies that survived from the vigorous competition in the early-stage development, such as State Grid, given their strong financial background and governmental support. Furthermore, in view of attractive financial subsidies and enormous market share to be developed in the next few years, several giant enterprises have decided to “cross the border” and invest aggressively in the charging service in China. Those enterprises included real estate giant Evergrande Group and Internet tech company Baidu. It is believed that new competition will soon take place between the newcomers and those existing leading companies. Therefore, the business model might be redefined in the next-stage development of the EV charging industry in China. However, there were still some bottlenecks constraining the future development. The charging facilities have been widely recognized as one of the major bottlenecks (Chen et al. 2020). As the basic supporting facilities of electric vehicles, reasonable planning of charging facilities such as charging piles, charging stations, and even battery swap stations, will directly improve the users’ convenience (Lee et al. 2020), which will further accelerate the penetration and promotion of EVs. Well-planned charging facilities will also stimulate the innovation and manufactory capacities of EV industries (Chaudhari et al. 2019). China was one of the leading countries for EV and charging facilities’ development in the past decade. And Guangdong Province, which contains the Greater Bay Area, was the leading province in China. Figures 2 and 3 illustrated the development trend of EV production and the associated charging facilities of Guangdong Province in the past 5 years (Chinese Guangdong Provincial Department of Statistics 2021; China EV Charging Infrastructure Promotion Alliance 2021). It is observed that EV production has been rapidly increased in the past 5 years. However, the associated charging facilities have lagged behind. The

1946

A. W. Ng et al.

AI Solar-Tracking Power Generaon Module

Baery Storage

Facilies Smart Grid

Green and Intelligent Building Operator

EV Charging System

Fig. 2 Integrated solution and business model for green and intelligent building. (Source: author)

Fig. 3 Installed solar power capacities in China (2013–2020) (Unit: MW)

Chinese government has noticed such problem. Therefore, according to Chinese Guangdong Provincial Development and Reform Commission (2020), Guangdong Province will increase their EV charging piles from about 65,429 units in 2020 to over 150,000 by the end of 2025, which indicates a year-on-year increase rate of 20% approximately (see Fig. 4). As reported by Shaw (2021), the National Energy Administration (NEA) of China has recently required the grid companies to supply sufficient network

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1947

Fig. 4 EV Production and charging facilities of Guangdong Province in China (2016–2020)

connection points for all the solar and wind projects registered in 2019 and 2020 since various renewable energy sources should be providing 11% of the country’s electricity supply by the end of 2021. Major state-owned enterprises and their subsidiaries stipulate that the proportion of solar and wind power sources as the nation’s power generation mix must be increased to 11% this year. Accordingly, the NEA has asked grid companies to deliver enough network connection points for new solar and wind power generating facilities, focusing on those registered in 2019 and 2020. In addition, it is expected that capacity planned from this year onward must include a certain proportion of energy storage capability. Similar expectations are made on provincial authorities and operators which have not yet built grid connection capacity. In this connection, the management of Xinyi Solar – a major solar panel producer in the country – has made an announcement to install energy storage in its solar projects starting from the second half of 2021 in response to the recent 5-year plan (Hall 2021). The Chinese authorities are expected to mandate the installation of the storage technology across its portfolio of solar power projects. The company’s board discloses that the company plans to install energy storage linked to 11.8 MW of its Chinese solar projects in the second half of the year, and a further 47 MW per year for the following 2 years. It is also anticipated that energy storage has to be mandated as a result of the nation’s latest 5-year plan. Such a development is expected to alter the existing business model of solar power generating and the related economic viability.

1948

5

A. W. Ng et al.

Concluding Remarks

While there have been encouraging growth and development of PV as a viable source of renewable energy, its further deployment into green and intelligent buildings represents an opportunity to be utilized in a large scale for self-consumption and charging of EVs as a clean transport in replacement of traditional vehicles running on fossil fuels that result in greenhouse gases. Advancement of AI and its application to improve availability and efficiency solar power generated from PV based on optimizing solar tracking technologies would further improve the economics and revenue generating potentials from such capital investments in installation of PV panels and a BES system. Specifically, revenues can be generated from (a) EV charging services, (b) sales of electricity generated from PV panels and stored energy in BES to the building tenants, and (c) sales of extra capacity back to the smart grid. The key message from this chapter is about exploring the potentials of a scalable business case that can be led by an operator of green and intelligent buildings that offers an integrated one-stop solution to the building owners to deliver clean energy that reduces carbon emissions while generating viable financial returns to its investors embracing sustainability performance (see Fig. 2). Such a potential would be particularly economically viable in an environment of highly dense urban city. However, the experience of China may not be entirely relevant to other countries around the world due to variations in urbanization, social economic development, as well as technological infrastructure. Such a limitation of this study suggests future studies should examine economic, social, and technical feasibilities among such real-life cases being developed in various countries around the world. Their derived business models and scalability pertinent to their regional and local characteristics would be of interest for policy makers, entrepreneurs, venture capitalists, etc. Acknowledgments The research work in this paper has been supported by the Research Centre for Green Energy, Transport and Building (RCGETB) at the School of Professional Education and Executive Development at the Hong Kong Polytechnic University. RCGETB is a project supported by a grant from the Research Grants Council of the Hong Kong (Project No.: UGC/IDS(R)24/20).

References Boretti A (2021) Integration of solar thermal and photovoltaic, wind, and battery energy storage through AI in NEOM city. Energy AI 3:100038 Buonomano A, Calise F, Dentice M, Vicidomini M (2018) A hybrid renewable system based on wind and solar energy coupled with an electrical storage: dynamic simulation and economic assessment. Energy 155:174–189 Chan CS, Yu KM, Yung KL (2011) Selection of solar energy for green building using superiority and inferiority multi-criteria. In: Proceedings: 3rd international postgraduate conference on infrastructure and environment, vol 1. Faculty of Construction and Land Use, The Hong Kong Polytechnic University, Hong Kong, pp 45–52 Chaudhari K, Kandasamy NK, Krishnan A, Ukil A, Gooi HB (2019) Agent-based aggregated behavior modeling for electric vehicle charging load. IEEE Trans Ind Inf 15:856–868. https:// doi.org/10.1109/TII.2018.2823321

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1949

Chen Z (2019) Economic benefit analysis of green building based on fuzzy logic and bilateral game model. J Intell Fuzzy Syst 37:301–313 Chen T, Zhang XP, Wang J, Li J, Wu C, Hu M, Bian H (2020) A review on electric vehicle charging infrastructure development in the UK. J Mod Power Syst Clean Energy 8:193–205. https://doi. org/10.35833/MPCE.2018.000374 China EV Charging Infrastructure Promotion Alliance (2021) Statistics of charging infrastructures. Archived on Apr 25th, 2021 via http://www.evcipa.org.cn/ Chinese Guangdong Provincial Department of Statistics (2021) Monthly statistics of industrial production. Archived on Apr 25th, 2021 via http://stats.gd.gov.cn/zycpcl/index.html Chinese Guangdong Provincial Development and Reform Commission (2020) Guangdong provincial action plan for the development of strategic industrial clusters for automobiles (2021–2025). Archived on Apr 25th, 2021 via http://www.gd.gov.cn/zwgk/jhgh/content/post_3097824.html Chinese National Bureau of Statistics (2021) Annual statistics of national economic and social development of china. Archived on Apr 25th, 2021 via http://www.stats.gov.cn/ztjc/zthd/lhfw/ 2021/lh_hgjj/202103/t20210301_1814216.html Darko A, Chan APC, Huo X, Owusu-Manu DG (2019) A scientometric analysis and visualization of global green building research. Build Environ 149:501–511 Datta S, Bhattacharya S, Roy P (2016) Artificial intelligence based solar panel tilt angle optimization and its hardware implementation for efficiency enhancement. Int J Adv Res Electr Electron Instr Eng 5(10):7830–7842 El Shenawy ET, Kamal M, Mohamad MA (2012) Artificial intelligent control of a solar tracking system. J Appl Sci Res 8(8):3971–3984 Engin M, Engin D (2013) Optimization controller for mechatronic Sun tracking system to improve performance. Adv Mech Eng 5:1–9 Engr FU, Onoh GN, Eke J (2014) An artificial intelligent based solar tracking system for improving the power output of a solar cell. Int J Eng Res Technol 3(11):1203–1207 Fachrizal R, Munkhammar J (2020) Improved photovoltaic self-consumption in residential buildings with distributed and centralized smart charging of electric vehicles. Energies 13(5):1153. https://doi.org/10.3390/en13051153 Fachrizal R, Ramadhani UH, Munkhammar J, Widén J (2021) Combined PV–EV hosting capacity assessment for a residential LV distribution grid with smart EV charging and PV curtailment. Sustainable Energy Grids Netw 26:100445 Fang Y, Wei W, Mei S, Chen L, Zhang X, Huang S (2020) Promoting electric vehicle charging infrastructure considering policy incentives and user preferences: an evolutionary game model in a small-world network. J Clean Prod 258:120753 Fares RL, Webber ME (2017) The impacts of storing solar energy in the home to reduce reliance on the utility. Nat Energy 2(17001). https://doi.org/10.1038/nenergy.2017.1 Farrokhifar M, Momayyezi F, Sadoogi N, Safari A (2018) Real-time based approach for intelligent building energy management using dynamic price policies. Sustain Cities Soc 37:85–92 Fu J, Ng A (2020) Sustainable energy and green finance for a low-carbon economy: perspectives from the Greater Bay Area of China. Springer, Cham Garud K, Jayaraj S, Lee M (2021) A review on modeling of solar photovoltaic systems using artificial neural network, fuzzy logic and genetic algorithm and hybrid models. Int J Energy Res 45:6–35 Grote M, Preston J, Cherrett T, Tuck N (2019) Locating residential on-street electric vehicle charging infrastructure: a practical methodology. Transp Res Part D: Transp Environ 74:15–27 Haenleun M, Kaplan A (2019) A brief history of artificial intelligence: on the past, present, and future of artificial intelligence. Calif Manag Rev 61(4):5–14 Hafez AZ, Yousef AM, Harag NM (2018) Solar tracking systems: technologies and trackers drive types – a review. Renew Sust Energ Rev 91:754–782 Hall M (2021) Chinese solar developer expects $0.22/W cost for lithium-ion storage in 2023. PV Magazine. https://www.pv-magazine.com/2021/04/27/chinese-solar-developer-expects-0-22w-cost-for-lithium-ion-storage-in-2023/

1950

A. W. Ng et al.

Huang P, Lovati M, Zhang X, Bales C, Hallbeck S, Becker A, Bergqvist H, Hedberg J, Maturi L (2019) Transforming a residential building cluster into electricity prosumers in Sweden: optimal design of a coupled PV-heat pump-thermal storage-electric vehicle system. Appl Energy 255:113864 Hurtado LA, Syed A, Nguyen PH, Kling WL (2015) Multi-agent based electric vehicle charging method for smart grid-smart building energy management. IEEE Eindhoven Power Tech 2015: 1–6. https://doi.org/10.1109/PTC.2015.7232774 International Energy Agency (IEA) (2020) Global energy review 2020. IEA, Paris. https://www.iea. org/reports/global-energy-review-2020 Kalogirou S, Sencan A (2011) Artificial intelligence techniques in solar energy applications. In: Ochieng RM (ed) Intech: solar collectors and panels, theory and applications, pp 315–340 Karolides A (2011) Green building approaches. In: Hoboken NJ (ed) Green building: project planning & cost estimating, Wiley pp 3–25 Kermadi M, Berkouk E (2017) Artificial intelligence-based maximum power point tracking controllers for photovoltaic systems: comparative study. Renew Sust Energ Rev 69:369–386 Lee JH, Chakraborty D, Hardman SJ, Tal G (2020) Exploring electric vehicle charging patterns: mixed usage of charging infrastructure. Transp Res Part D: Transp Environ 79:102249 Lehtola T, Zahedi A (2019) Solar energy and wind power supply supported by storage technology: a review. Sustainable Energy Technol Assess 35:25–31 Li Y, Rong Y, Ahmad UM, Wang X, Zuo J, Mao G (2021) A comprehensive review on green buildings research: bibliometric analysis during 1998–2018. Environ Sci Pollut Res 28: 46196–46214. https://doi.org/10.1007/s11356-021-12739-7 Modi A, Buhler F, Andreasen J, Haglind F (2017) A review of solar energy based heat and power generation systems. Renew Sust Energ Rev 67:1047–1064 Newsham GR, Mancini S, Birt B (2009) Do LEED-certified buildings save energy? Yes, but. . .. Energy Build 41:897–905 Ng AW, Nathwani JFJ, Zhou H (2021) Green financing for global energy sustainability: prospecting transformational adaptation beyond industry 4.0, sustainability: science. Pract Policy 17(1): 377–390. https://doi.org/10.1080/15487733.2021.1999079 Qin D, Sun Q, Wang R, Ma D, Liu M (2020) Adaptive bidirectional droop control for electric vehicles parking with vehicle-to-grid service in microgrid. CSEE J Power Energy Syst 6(4): 793–805. https://doi.org/10.17775/CSEEJPES.2020.00310 Racharla S, Rajan K (2017) Solar tracking system –a review. Int J Sustain Eng 10(2):72–81 Rahwan I, Cebrian M, Obradovich N et al (2019) Machine behaviour. Nature 568:477–486. https:// doi.org/10.1038/s41586-019-1138-y Ranamuka D, Muttaqi KM, Sutanto D (2020) Flexible AC power flow control in distribution systems by coordinated control of distributed solar-PV and battery energy storage units. IEEE Trans Sustainable Energy 11:2054–2062. https://doi.org/10.1109/TSTE.2019.2935479 Seyedmahmoudian M, Horan B, Soon T, Rahmani R, Co A, Mekhilef S, Stojcevski A (2016) State of the art artificial intelligence-based MPPT techniques for mitigating partial shading effects on PV systems – a review. Renew Sust Energ Rev 64:435–455 Shaw V (2021) China mandates energy storage as it sets 16.5% solar and wind target for 2025. PV Magazine. https://www.pv-magazine.com/2021/04/29/china-mandates-energy-storage-as-itsets-16-5-solar-and-wind-target-for-2025/ Stone P et al (2016) Artificial intelligence and life in 2030. One hundred year study on artificial intelligence: report of the 2015–2016 study panel, Stanford University. https://ai100.stanford. edu/2016-report Tushar W, Wijerathne N, Li WT, Yuen C, Poor HV, Saha TK, Wood K (2018) Internet of things for green building management: disruptive innovations through low-cost sensor technology and artificial intelligence. IEEE Signal Process Mag 35:100–110. https://doi.org/10.1109/MSP.2018. 2842096

98

AI Optimized Solar Tracking System for Green and Intelligent. . .

1951

Walker A (2011) Solar energy systems. In: Hoboken NJ (ed) Green building: project planning & cost estimating, Wiley pp 121–137 Walter LF et al (2022) Deploying artificial intelligence for climate change adaptation. Technol Forecast Soc Chang 180:121662 Wu YA, Ng AW, Yu Z, Huang J, Meng K, Dong ZY (2020) A review of evolutionary policy incentives for sustainable development of electric vehicles in China: strategic implications. Energy Policy 148:111983 Zhang Y, Jiang B, Yan H et al (2019) Distributed power control considering different behavioural responses of electric vehicle drivers in photovoltaic charging station. J Shanghai Jiaotong Univ (Sci) 24:597–604. https://doi.org/10.1007/s12204-019-2100-8

Moving Forward: Visions on the Future of Sustainable Development Walter Leal Filho

99

, Valerija Kozlova, and Lucas Veiga A´vila

Contents 1 Introduction: Definitions of Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 The Status of Sustainable Development Today . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Some of the Challenges in Implementing Sustainable Development . . . . . . . . . . . . . . . . . . . . . 4 Conclusions: Future Trends and Themes in Sustainable Development . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1954 1956 1956 1961 1963

Abstract

This chapter provides an overview of the current state of the art on sustainable development, which includes an analysis of the various definitions and the current status of implementation. It also offers an outline of the many challenges faced when implementing sustainable development. It concludes by outlining some trends and themes that will probably guide the future evolution of the topic within a 2050 perspective. Keywords

Sustainability · Future · Challenges · Cooperation · New trends

W. Leal Filho European School of Sustainability Science and Research, Hamburg University of Applied Sciences, Hamburg, Germany Manchester Metropolitan University, Manchester, UK e-mail: [email protected]; [email protected] V. Kozlova (*) Faculty of Business and Economics, RISEBA University of Applied Sciences, Riga, Latvia e-mail: [email protected] L. V. Ávila Federal University of Santa Maria – UFSM, Santa Maria, Brazil e-mail: [email protected] © Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8_111

1953

1954

1

W. Leal Filho et al.

Introduction: Definitions of Sustainable Development

Sustainable development has had several different meanings over the years. Sustainable development is broken down into two parts, namely, sustainability and development (Mensah 2019). Development can be defined as a social condition in which the needs of a particular area or country are met in a manner in which the resources are used and managed in a way to ensure enough is available for future generations. It incorporates major changes in the structures of society, attitudes, and the economy with the aim of reducing inequality, and the reduction of poverty (Mensah 2019). Sustainability has a similar meaning to development, with the addition of sustaining a healthy environment, economy, and social system that can allow for human development. This can further be explained as the equal distribution of resources both intra-generationally and inter-generationally. In other instances, it can be described as the human race reaching its full potential while ensuring that no adverse effects on the environment are incurred. Taking into account all of the possible definitions, it can be defined as a dynamic equilibrium between the economy and society in terms of a regenerative capacity that ensures a healthy planet (Mensah 2019). Sustainable development can then be defined as methods that ensure that the current generation’s needs are met without compromising the future generations from meeting their own needs. It allows for people to improve their livelihoods without damaging the health of the planet. Previously, sustainable development only incorporated the need to ensure resource sustainability when improving livelihoods. However, in more recent times, it aims to prevent critical global issues such as climate change and the destruction of ecosystems. Essentially, sustainable development is the process by which the endpoint of sustainability will be attained (Klarin 2018; Mensah 2019). In a similar manner, the need for sustainable development has increased as global issues have worsened. Previously, the concept was vaguely discussed, whereas in more recent times, there has been an urgency with regards to defining the term as well as designing plans to properly implement sustainable development globally. Moreover, there has been an increase in the amount of financial support allocated toward ensuring that sustainable development is achieved (Clark et al. 2018; Mensah 2019; Silvestre and Ţîrcă 2019). Sustainable development can then be broken down into three main categories, namely, social sustainability, economic sustainability, and environmental sustainability. Social sustainability refers to ensuring a sustainable society in terms of equity and empowerment as well as stability and accessibility. It ensures social organization with the reduction of poverty (Littig and Grießler 2005). Furthermore, it encompasses the improvement of the lives of people, communities, and cultures with an emphasis on ensuring good healthcare, education, gender equality, and overall societal stability across the world (Mensah 2019). In other instances, social sustainability does not ensure that people’s needs are met; however, it allows people to realize their specific needs by providing the optimal conditions to do so (Kolk 2016). This is often the hardest type of sustainable development to achieve, because the

99

Moving Forward: Visions on the Future of Sustainable Development

1955

processes of society are often difficult to model and change. Furthermore, a large portion of the change relies on the changing of people’s attitudes (Mensah 2019). Economic sustainability ensures that production occurs in a way that does not compromise the needs of future people or generations. This allows for substantial economic growth without resource depletion. It takes into account that not all resources can be replaced, and therefore, they need to be used in a regenerative manner. Sustainability is taken into account from the production, to the distribution, and to the consumption/use of products. Environmental sustainability is the preservation of the natural environment, ensuring a productive and resilient life for human beings (Mensah 2019). Resources must be used in methods that ensure that they can be replaced at an appropriate rate. This is to ensure that resources are not depleted and can be used by future generations. Unfortunately, the human demand for resources is placing a huge burden on the Earth’s systems (Brodhag and Talière 2006). This places the emphasis on the need for environmental sustainability. Moreover, the climate change crisis has urged people to design plans and campaigns to deal with the problem (Grafakos et al. 2020). Climate change is one of the major causes of biodiversity loss. This is concerning, as it is occurring at a rate that exceeds that of natural extinction (Mensah 2019). Therefore, it is vital that we ensure environmental sustainability. Past definitions of sustainable development have not included sustainable development goals. More recently, the United Nations designed the SDGs to be achieved by the year 2030. Currently, there are 17 SDGs that highlight different global problems that need to be tackled (Bebbington and Unerman 2018). These goals are a follow-up to the Millennium Development Goals (2000–2015), showing how the world has progressed in terms of prioritizing different sustainable issues. The MDGs were not all achieved by the end of the established time frame, causing a need for new planning and reprioritization that led to the development of the Sustainable Development Goals (SDGs) (Breuer et al. 2019). The SDGs are aimed at ensuring good planetary health, good livelihood of people, and the eradication of poverty. These goals were adopted by 193 global countries in 2016 (Breuer et al. 2019; Mensah 2019). However, with recent pandemic events, many setbacks have been experienced (Sakamoto et al. 2020). In order to achieve sustainable development and the SDGs, a few principles have been highlighted over the years. The dominant principle noted is ecosystem conservation. This prevents the extinction of ecosystems and biodiversity on the planet. This is achieved mostly through the reduction of the exploitation of resources (Mensah 2019). The next major principle is the control of human population growth to reduce the demand for resources on the Earth (Qureshi et al. 2019), alluding to the following principle of resource management. Resource management is vital to ensure that future generations are able to meet their needs. Therefore, resources must be used in a sustainable, accountable manner (Chams and García-Blandón 2019). Furthermore, human skills and mind-sets need to be conditioned toward ensuring sustainability (Collste et al. 2017). This leads to the final principle, which focuses on social cultures and traditions that can be modified to promote sustainable development in society (Tjarve and Zemite 2016).

1956

2

W. Leal Filho et al.

The Status of Sustainable Development Today

The world received a strong shock due to the COVID-19 pandemic crisis, and a major question arose about its impact on sustainable development and its aims. Would the virus slow the sustainability process, or could it give it a push forward (Al-Dabbagh 2020)? Clearly, the pandemic will have profound implications on the progress toward sustainable development. The implications of the pandemic encompass public health, economics, social stability, politics, and geopolitics. The crisis is unprecedented in severity, at least since the influenza epidemic at the end of World War I, and it is still very uncertain in its trajectory. The world will change markedly (Sachs et al. 2020). Beyond the obvious short-term impacts (such as loss of life and a profound hit to economic and social activity), the pandemic is likely to cast a long shadow. The impact of this pandemic shall be long lasting, influencing all spheres of human lives and slowing all developmental activities, including the ambitious and aspirational sustainable development (Khetrapal and Bhatia 2020). Combating the COVID-19 pandemic is highest on the global agenda at present. Achievement of sustainable development within the stipulated time frame of 2030 has become secondary. All SDGs are being impacted, but at the same time, sustainable development is a very important requirement for coping with the negative effects of the COVID-19 pandemic crisis. The health crisis is affecting all countries, including high-income countries in Europe and North America. The necessary measures taken to respond to the immediate threat of Covid-19, including the shutdown of many economic activities for weeks, have led to a global economic crisis with massive job losses and major impacts, especially for vulnerable groups. This is a significant setback for the world’s ambition to achieve sustainable development, in particular for poor countries and population groups. The only bright spot in this foreboding picture is the reduction in environmental impacts that results from declines in economic activity: a key objective will be to restore economic activity without simply restoring old patterns of environmental degradation. However, all long-term consequences of the pandemic remain highly uncertain at this point (Sachs et al. 2020). Table 1 shows the COVID-19 consequences on the SDGs.

3

Some of the Challenges in Implementing Sustainable Development

The defining challenge of our era is to accelerate development that is economically sound, socially inclusive, and environmentally sustainable. The Sustainable Development Goals embody nothing less and represent the best possible opportunity of all the complexities of economic development that we face today (Jaiyesimi, F, p. 05). For Leal Filho et al. (2020)‘s study on COVID-19 and the UN Sustainable Development Goals: Threat to Solidarity or an Opportunity?, they describe how

99

Moving Forward: Visions on the Future of Sustainable Development

1957

Table 1 Some of the COVID-19 consequences on the SDGs SDGs

COVID-19 pandemic implications Highly negative impact Even before the COVID-19 pandemic, progress towards Goal 1 had slowed, and the world was not on track to ending extreme poverty by 2030 (UNSD 2020). Over the past 12 months, the pandemic has harmed the poor and vulnerable the most, and it is threatening to push millions more into poverty (Paul Blake and Divyanshi Wadhwa 2020). The pandemic was estimated to increase extreme poverty by between 88 million (baseline estimate) and 93 million (downside estimate) in 2020 (Christoph Lakner et al. 2021) Highly negative impact At the global level, hunger and food insecurity have been on the rise, and malnutrition still affects millions of children. The situation is likely to get worse owing to economic slowdowns and disruptions caused by a pandemic-triggered recession (UNSD 2020). It is estimated that, due to the global recession, 49 million extra people are at risk of falling into extreme poverty this year while the number of people facing food or nutrition insecurity will “rapidly expand” (United nations 2020) Highly negative impact The pandemic is throwing progress even further off track. The rapid increase in COVID-19 cases is causing a significant loss of life and overwhelming many health systems (UNSD 2020). By the end of 2020, around 1 845 597 1 people died from the disease across the world. Hospitals and health facilities overwhelmed with COVID-19 patients are making it difficult for other patients with acute or chronic ailments to access standard care (Khetrapal and Bhatia 2020). Mixed or moderately negative impact Education systems worldwide have been hit hard and abruptly by the pandemic. School closures to stop the spread of COVID-19 have affected most of the world’s student population. Disrupted education is adversely affecting learning outcomes and the social and behavioural development of children and youth (UNSD 2020). UNESCO data shows that nearly 1.6 billion learners in more than 190 countries, 94% of the world’s student population, were affected by the closure of educational institutions at the peak of the crisis, a figure that stands at 1 billion today (United Nations 2020) Mixed or moderately negative impact Early evidence suggests that women are in many ways disproportionately affected by the health and economic crises. Women are more exposed to labour-market disruptions, and domestic violence against women and girls has increased during the lockdowns (IEEP and SDSN 2020). Women's wellbeing has suffered during the COVID-19 outbreak, with incidences of domestic violence increasing by 30% in some countries and a greater demand on women for unpaid care work (The Author(s). Published by Elsevier Ltd. 2020) Mixed or moderately negative impact. The coronavirus crisis has brought to the fore the critical importance of water, sanitation and hygiene for protecting human health. Despite progress, billions of people around the globe still lack these basic services. Immediate action to improve access to water, sanitation and hygiene services is required to prevent infection and contain the spread of COVID-19 (UNSD 2020) Mixed or moderately negative impact. Despite accelerated progress over the past decade, the world will fall short of ensuring universal access to affordable, reliable, sustainable, and modern energy by 2030 unless efforts are scaled up significantly (A joint report of the custodian agencies 2020). The COVID-19 pandemic is highlighting the urgent need for affordable and reliable energy – for hospital and health facilities to treat patients, for communities to pump clean water and access vital information, and for out-of-school children to learn remotely (UNSD 2020). Highly negative impact The coronavirus has caused abrupt and profound changes, slowing the economy even further and pushing the world into the worst economic crisis since the Great Depression (UNSD 2020). The unprecedented shock to the world’s labour markets is expected to result in a decrease of around 10.5% in aggregate working hours in the second quarter of 2020, equivalent to 305 million full-time workers. Small and medium enterprises, workers in informal employment, the self-employed, daily wage earners and workers in sectors at the highest risk of disruption have been hit the hardest (United Nations 2020) . Mixed or moderately negative impact. The pandemic has dealt a severe blow to the manufacturing and transport industries, causing disruptions in global value chains and the supply of products as well as job losses and declining work hours in these sectors. The air transport sector has been hit the hardest by the pandemic. Global manufacturing output growth saw a sharp decline of 6.0 % in the first quarter of 2020 due to economic lockdown measures. Since manufacturing is considered an engine of overall economic growth, the global slump in manufacturing production has had serious impacts on the global economy (UNSD 2020) Highly negative impact The COVID-19 crisis is making inequality worse. It is hitting the most vulnerable people hardest, and those same groups are often experiencing increased discrimination. The wider effects of the pandemic will likely have a particularly damaging impact on the poorest countries. If a global recession leads to reduced flows of development resources, that impact will be even more severe (UNSD 2020).

1958

W. Leal Filho et al.

Table 1 (continued) Mixed or moderately negative impact. The pandemic is hitting the most vulnerable the hardest, including the 1 billion residents of the world’s densely populated informal settlements and slums (UNSD 2020). Nevertheless, in some cities, the lockdowns in response to COVID-19 have significantly lowered certain air pollutants due to the closing of factories and the reduction in the number of cars on the road. However, that improvement is likely to be only a temporary reprieve from a long-term unhealthy situation. Impact still unclear The COVID-19 pandemic has disrupted production and consumption systems across the globe. While some nations have already passed the peak of the first wave of the COVID-19 pandemic, other nations are still experiencing its impacts. But there are several statistical gaps regarding the challenges, prospects, and lessons from the COVID-19 outbreak for the sustainability of production and consumption. Impact still unclear We are seeing lower environmental footprints due to a slow down in economic activity. NO2 pollution in some cities fell by 60% (Nuno Moreira da Cruz, Filipa Pires de Almeida, and Manon Blom-El Nayal 2020). Despite the drastic reduction in human activity due to the COVID-19 crisis, the emissions are expected to rise as restrictions are lifted. If the world does not act now, and forcefully, the catastrophic effects of climate change will be far greater than the current pandemic (UNSD 2020). Impact still unclear Surface observations may indicate positive progress toward SDG14, due to reduced fishing owing to the lockdown. Furthermore, tourism and marine transport industries have slowed, with port calls of passenger ships falling by 29% as of May 2020. However, containment measures due to COVID-19 may negatively impact efforts towards sustainable oceans (FAO 2020). Mass migration from urban to rural areas or island homes due to job loss has increased small-scale fishing for subsistence. Unlike large fleets that stay offshore for longer, fishermen engage in daily fishing closer to shore with more efficient but damaging methods (such as night-time spearing and nets). These further pressure the already fragile marine ecosystems (UNCTAD 2020) Impact still unclear There is a misperception that nature is “getting a break” from humans during the COVID-19 pandemic. Instead, many rural areas in the tropics are facing increased pressure from land grabbing, deforestation, illegal mining, and wildlife poaching. People who have lost their employment in cities are returning to their rural homes, further increasing the pressure on natural resources while also increasing the risk of COVID-19 transmission to rural areas. Mixed or moderately negative impact. The onset of COVID-19 has put the issues of peace, justice, and strong institutions on the backburner. Not only have they been completely halted, but the lockdown has also scaled down the attention to justice issues. Many countries imposed some sort of martial law in their territories (Gulseven et al. 2020). Mixed or moderately negative impact. The current pandemic has put the partnerships to test. The countries are focused largely on mitigating the impact of the pandemic. The good thing from the onset of the pandemic is that it has woken up the political establishment. They are hastening to share data and research on how to cope with reducing the impact. Partnerships are being forged actively to source protective gear for medical personnel and equipment to deal with those infected, and they are receiving medical attention (Gulseven et al. 2020).

Source: Prepared by the authors

the multiple harms caused by the COVID-19 epidemic to the world economy and to the social welfare of millions of people will require many years in order to recover. Current trends suggest that the process of implementing SDGs may be delayed, and the many socio-economic pressures and setbacks are diminishing the level of priority given to the SDGs. For the authors, the potential and opportunities offered by the SDGs, such as the fight against poverty or eradicating hunger, can be at least partially harmed by the COVID-19 pandemic. Therefore, the global crisis unleashed by COVID-19 means that the search for and implementation of the SDGs are more important now than they were before, as they represent some of the means by which the quality of life can be restored and by which the many problems associated with a lack of water or food or poverty health conditions can be addressed.

99

Moving Forward: Visions on the Future of Sustainable Development

1959

The SDGs emerge, as never before, as a guiding light for companies for the safer path toward an uncertain future, where one thing is certain: the wellbeing of our society is crucial for business success (Hollensbe et al. 2014; Van Tulder 2019). The SDGs are able, as mentioned by the UN General Secretary, “to lead to a different economy more equal, inclusive and sustainable, to be more resilient to pandemics, climate change, and other global challenges” (IISD 2020), where business can succeed hand in hand with society. There are many challenges in implementing sustainable development, especially created by the pandemic, which can lead to a transformation from what is currently considered a global threat to a global opportunity, providing a new impetus leading to the achievement of the UN Agenda 2030 as a whole, and the SDGs in particular. However, it is wise and necessary to understand what scientific advances have been made since the implementation of Agenda 2030 to understand the historical evolution, a situation driven by COVID-19, and to propose some means that can assist implementation. For scientific background, a Web of Science – WOS survey was conducted for the period 2015 to 2020 using the topics “challenges” and “implementation of sustainable development,” and 2738 published papers were found. The main results are that environmental sciences, green sustainable science technology, and environmental studies are the leading research areas. The University of London, Chinese Academy of Sciences and CGIAR (consultative group on international agricultural research) are the leading publishers. Ming j. Zuo, Walter Leal Filho, and Donald Huisingh are the leading authors. Sustainability, Journal of Cleaner Production, and Renewable Sustainable Energy Reviews are the titles (journals) of publications. The United States, England, and China are the most published countries/regions. However, the results indicate that the challenges to implementing sustainable development compose a recognized field of action in literature, and that in recent years many efforts in different regions of the world are being made to meet the Sustainable Development Goals. However, the results of the survey on the challenges for the implementation of sustainable development is that they are linked to the areas of environmental sciences and studies and technology. As business success also depends on the success of society, the opportunity emerging for business engaging with SDGs is immense. According to the Business and Sustainable Development Commission in its study “Valuing the SDG Prize,” the SDG-related market opportunities for business are worth more than 12$ trillion annually, until 2030. Moreover, it is also expected that the job creation opportunity is more than 380 million new jobs, if companies embrace the SDGs strategically (BSDC 2017). In a world that claims positive change and highlights the need and success of purpose-driven management models as the basis for action, the SDGs will be increasingly adopted as the benchmark for leveraging the economy of the future. The following Table 2 presents some challenges (propositions) that can assist organizations. In addition to the challenges mentioned, there are seven dimensions of policy for sustainable development: (a) temporal: focuses on the relatively long term (for

1960

W. Leal Filho et al.

Table 2 Some of the challenges (Propositions) in the implementation of sustainable development in organizations Propositions Embracing the SDGs strategically; Have a common language and a global consensus on the priorities of sustainable development, transposing it to the reality of the organization; Define measurable objectives, capable of aligning the organization, society, and the government; Create opportunities through initiatives (through proactive strategies) capable of leveraging business models aimed at the purpose of sustainable development; Develop intersectoral partnerships, necessary for change and effective joint action, toward collective prosperity; Define a reliable forecast of the long-term evolution of the needs of the markets, the demands of society and general trends for the coming years, which can be used by companies as an advantage and connections with the SDGs; Have consistent, transparent and effective communication with markets and interested parties; As the success of an organization also depends on the success of society, new opportunities may arise with advances in sustainability; Create impact metrics and a greater sense of shared responsibility for the future of humanity; Consumers increasingly tend to respect companies that focus on the 2030 sustainable agenda. It is important to publicize initiatives and actions; It is important that companies have a social focus in favor of a more egalitarian, inclusive society and with a focus on the quality of life of future generations; It is of paramount importance that organizations focus on initiatives for water reuse, adequate use of energy, and reduction of environmental impact, among others. Facilitate the transfer of sustainable technological solutions for the resolution of environmental problems, including technology facilitation mechanisms and technology bank for less developed regions or countries. Based on: Van Zanten (2018); Van Tulder (2018); WEF (2020); United Nations (2020a); United Nations (2020b); United Nations (2020C).

example several decades) results and policy impact for sustainable development; (b) spatial: focuses on the scope and scale of problems, such as geographic and regional realities in countries; (c) scientific: knowledge to support policy making; (d) societal: focuses on the so-called light dimensions of development, such as people’s desires, aspirations, attitudes, opinions, needs, mentalities, behavior and priorities; (e) economic: focuses on international markets, investments in cleaner energy, green economy, and renewable resources; (f) politics: focuses on governance structures and systems, democratic practices, policymaking dynamics, international collaboration, and sectoral alignment for implementation policy; (g) cultural: focuses on values, belief systems, ideologies, ethics and morals that influence the formulation of policies and processes. With these challenges in mind, “Everything we do during and after this crisis must be with a strong focus on building more egalitarian and inclusive societies that are more resilient in the face of pandemics, climate change and many other challenges we face” (United Nations 2020c). However, the connections between civil society organizations, the private sector, academia, and regional, national and international public organizations must be connected to international agencies for sustainable development, so as to consider current policies, strategic agendas and

99

Moving Forward: Visions on the Future of Sustainable Development

1961

programs, and measure current statistics in each region or country. The connection, purpose, and engagement of all parties is of utmost importance. The purpose of this section was to analyze the challenges for implementing sustainable development and the 2030 agenda in different types of organizations, while considering the current impacts of the Covid-19 pandemis, which represents a moment of restart for the world and an opportunity for organizations to take on leadership and definitively embrace sustainability in its strategy and commitment.

4

Conclusions: Future Trends and Themes in Sustainable Development

Sustainable development has become a popular term since the United Nations set out the Sustainable Development Goals (SDGs) in 2015. The agenda was created with 17 goals aimed to be achieved by the year 2030. However, plans put into place to achieve these goals are constantly changing and evolving to adapt to variable global problems that may arise. The recent ongoing COVID-19 pandemic has posed a major threat to sustainable development in terms of finances and resource availability. It is predicted that at least 12 of the 17 SDGs will be adversely affected due to the pandemic. This is mostly observed in low and middle income countries (Barbier and Burgess 2020). Therefore, many countries are looking at different strategies to achieve sustainability post-pandemic. The future of sustainability in these countries includes designing policies that combine different SDG, thus achieving goals simultaneously. Furthermore, countries are looking at designing more cost-effective or revenueraising policies that can be implemented within a short timeframe. In doing so, the design of the policies will ensure that the achievement of the selected SDGs will not affect the progress of other SDGs (Barbier and Burgess 2020). The first type of policy suggested is a subsidy swap, which involves the reallocation of funds from unsustainable projects to more sustainable initiatives. A key example includes swapping funds from fossil fuel energy sources to green energy projects. This will aid in improving old technologies and developing new ones for renewable energy. This is impactful, as it has the ability to reduce energy poverty in rural areas in developing countries, including Morocco and South Africa (IISD 2019; Barbier 2020; Barbier and Burgess 2020). Other subsidy swap approaches are observed with irrigation use, where funds from irrigation are redirected toward clean water and sanitation. Irrigation is often the cause of water wastage, and subsidies tend to be allocated to larger farms. These funds can, however, be used to improve water conditions in poorer areas of both developed and developing countries (Gany et al. 2019; Barbier and Burgess 2020). A newer trend observed is the implementation of the “tropical carbon tax.” This involves imposing taxes on the use of fossils fuels. The funds are then used for natural climate solutions aimed at improving land management and protecting biodiversity and natural eco-systems. Natural climate solutions are often able to reduce tropical land use, which is a huge source of carbon emissions. This solution is

1962

W. Leal Filho et al.

considered to be advantageous to poor areas, as ecosystems contribute to water and food supply as well as cultural activities, which may provide income to people. This strategy is able to aid in the progress of several SDGs (Barbier et al. 2020; Barbier and Burgess 2020). However, even with the design of different policies, the future of sustainable development lies with proper education. Education for sustainable development has become an emerging trend that has gained global popularity. Higher education institutions have aimed to incorporate sustainable development into their learning processes while also designing specific modules or courses to improve sustainable development (Perello-Marín et al. 2018). The promotion of sustainable development at HEIs aids in conditioning the minds of youth to live sustainably as well as to spread their knowledge to others. Furthermore, the theme of ESD has prompted university presidents and vice-chancellors to sign declarations that aim to promote sustainable development. One such declaration is the Talloires Declaration. This was signed by over 500 universities across the world (Zutshi et al. 2019). In cases where universities are not always available, lifelong learning has promoted sustainable development. It is a self-motivated learning process that has the ability to pass knowledge from different domains and generations to different people. This process can be used effectively to educate people about the need for sustainable development as well as teach them the appropriate techniques that can be used to achieve the SDGs. This process does not require formal learning training and can occur in local communities by means of informal learning activities (Terziev 2019). The most pressing global crisis – climate change – adversely affects the progression of all SDGs. Therefore, methods are being designed to ensure that climate change action can work simultaneously with the achievement of SDGs. This is possible, as climate change action can aid in creating peaceful societies, jobs, poverty reduction, and improvement health of people. Climate change action further takes into account resource management, sustainable production, energy usage, and most importantly, carbon emissions control. This can allow for the improvement of environmental conditions and the health of the people. Therefore, it is imperative that climate change is always considered when discussing plans to achieve sustainable development (Nerini et al. 2019). A newer trend that has emerged recently is innovation for sustainable development. This has become more popular as problems related to sustainability are ever changing and require adaptable processes to resolve issues. The first type of innovation is traditional innovation. This type of innovation accounts for profit rather than the adverse effects associated with the process. The second type of innovation is green innovation, which aims to conserve the environment. Thirdly, social innovation aims to address social sustainability but does not priorities environmental or economic problems. Lastly, sustainable innovation aims to address both social and environmental concerns. Therefore, it may be known as socio-ecological innovation (Silvestre and Ţîrcă 2019).

99

Moving Forward: Visions on the Future of Sustainable Development

1963

References A joint report of the custodian agencies (2020) Tracking SDG 7: the energy report 2020. www. worldbank.org Al-Dabbagh ZS (2020) Sustainable development and its role in containing crises: corona virus pandemic crisis (COVID-19) in China as a model. J Public Aff 20(4). https://doi.org/10.1002/ pa.2339 Barbier EB (2020) Is green rural transformation possible in developing countries? World Develop 131:104955. https://doi.org/10.1016/j.worlddev.2020.104955 Barbier EB, Burgess JC (2020) Sustainability and development after COVID-19. World Develop 135(1):105082. https://doi.org/10.1016/j.worlddev.2020.105082 Barbier EB, Lozano R, Rodríguez CM, Troëng S (2020) Adopt a carbon tax to protect tropical forests. Nature 578:213–216. https://doi.org/10.1038/d41586-020-00324-w Bebbington J, Unerman J (2018) Achieving the United Nations sustainable development goals: an enabling role for accounting research. Account Audit Accountabil J 31(1):2–24 Breuer A, Janetschek H, Malerba D (2019) Translating sustainable development goal (SDG) interdependencies into policy advice. Sustainability 11(7) https://www.die-gdi.de/uploads/ media/DP_9.2016.pdf Brodhag C, Talière S (2006) Sustainable development strategies: tools for policy coherence. Nat Res Forum 30. https://doi.org/10.1111/j.1477-8947.2006.00166.x. (March 10, 2021) BSDC (2017) Valuing the SDG prize. Unlocking business opportunities to accelerate sustainable and inclusive growth. Business and Sustainable Development Commission Chams N, García-Blandón J (2019) On the importance of sustainable human resource management for the adoption of sustainable development goals. Resour Conserv Recycl 141:109–122 Christoph Lakner et al (2021) Updated estimates of the impact of COVID-19 on global poverty_ Looking Back at 2020 and the Outlook for 2021 Clark R, Reed J, Sunderland T (2018) Bridging funding gaps for climate and sustainable development: pitfalls, progress and potential of private finance. Land Use Policy 71:335–346 Collste D, Pedercini M, Cornell SE (2017) Sustainability science and implementing the sustainable development goals policy coherence to achieve the SDGs: using integrated simulation models to assess effective policies. Sustain Sci 12:921–931. http://isdgs.org FAO (2020) The impact of COVID-19 on fisheries and aquaculture – a global assessment from the perspective of regional fishery bodies. FAO. https://doi.org/10.4060/ca9279en (March 10, 2021) Gany AHA, Sharma P, Singh S (2019) Global review of institutional reforms in the irrigation sector for sustainable agricultural water management, including water users’ associations. Irrig Drain 68(1):84–97. https://doi.org/10.1002/ird.2305 Grafakos S et al (2020) Integration of mitigation and adaptation in urban climate change action plans in Europe: a systematic assessment. Renew Sust Energ Rev 121:109623 Gulseven O, al Harmoodi F, al Falasi M, ALshomali I (2020) How the COVID-19 pandemic will affect the UN sustainable development goals? SSRN Electron J. https://ssrn.com/abstract= 3592933, https://doi.org/10.2139/ssrn.3592933 Hollensbe E, Wookey C, Hickey L, George G, Nichols V (2014) Organizations with purpose. Acad Manag J 57:5 IEEP, and SDSN (2020) The 2020 Europe sustainable development report: meeting the sustainable development goals in the face of the COVID-19 pandemic. Paris and Brussels. www.picapublishing.com IISD (2020) UN creates fund with three windows for COVID-19 response. Future Resilience. Retrieved from: http://sdg.iisd.org/news/un-creates-fund-with-three-windows-for-covid-19response-futureresilience/ Khetrapal S, Bhatia R (2020) Impact of COVID-19 pandemic on health system & sustainable development goal 3. Indian J Med Res 151(5):395–399

1964

W. Leal Filho et al.

Klarin T (2018) The concept of sustainable development: from its beginning to the contemporary issues. Zagreb Int Rev Econ Bus 21(1):67–94 Kolk A (2016) The social responsibility of international business: from ethics and the environment to CSR and sustainable development. J World Bus 51(1):23–34 Leal Filho W, Brandli LL, Lange Salvia A, Rayman-Bacchus L, Platje J (2020) COVID-19 and the UN sustainable development goals: threat to solidarity or an opportunity? Sustainability 12:5343. https://doi.org/10.3390/su12135343 Littig B, Grießler E (2005) Social sustainability: a catchword between political pragmatism and social theory. Int J Sustain Dev 8(1–2):65–79 Mensah J (2019) Sustainable development: meaning, history, principles, pillars, and implications for human action: literature review. Cogent Soc Sci 26. https://www.tandfonline.com/action/ journalInformation?journalCode¼oass20 Nerini FF, Sovacool B, Hughes N, Cozzi L, Cosgrave E, Howells M, . . . Milligan B (2019) Connecting climate action with other Sustainable Development Goals. Nat Sustain 2(8):674– 680. https://doi.org/10.1038/s41893-019-0334-y Nuno Moreira da Cruz, Filipa Pires de Almeida, and Manon Blom-El Nayal (2020) The impact of COVID-19 on the sustainable development agenda, Lisbon Paul Blake, and Divyanshi Wadhwa (2020) 2020 year in review_ The impact of COVID-19 in 12 charts. WorldBank Blogs, last modified December 2020. https://blogs.worldbank.org/voices/ 2020-year-review-impact-covid-19-12-charts Perello-Marín MR, Ribes-Giner G, Pantoja Díaz O (2018) Enhancing education for sustainable development in environmental university programmes: a co-creation approach. Sustainability 10(1):158. https://doi.org/10.3390/su10010158 Qureshi MI et al (2019) Management of various socio-economic factors under the United Nations sustainable development agenda. Reso Policy 64. https://doi.org/10.1016/j.resourpol.2019. 101515 Sachs J, Schmidt-Traub GK, Fuller G (2020) The sustainable development goals and COVID-19. Sustainable development report 2020. Cambridge. www.pica-publishing.com Sakamoto M, Begum S, Ahmed T (2020) Vulnerabilities to COVID-19 in Bangladesh and a reconsideration of sustainable development goals. Sustainability 12(13) www.mdpi.com/ journal/sustainability Silvestre BS, Ţîrcă DM (2019) Innovations for sustainable development: moving toward a sustainable future. J Clean Prod 208:325–332 Terziev V (2019) Lifelong learning: the new educational paradigm for sustainable development. Proc INTCESS 5(13). https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3333867 The Author(s). Published by Elsevier Ltd (2020) Will the COVID-19 pandemic threaten the SDGs? Lancet Public Health 5(9). https://doi.org/10.1016/S2468-2667(20)30189-4. (March 10, 2021) Tjarve B, Zemite I (2016) The role of cultural activities in community development. Acta Universitatis Agriculturae et Silviculturae Mendelianae Brunensis 64(6):2151–2160 UNCTAD (2020) COVID-19 offers opportunity to save our ocean. https://www.instagram.com/ unctad/ United Nations (2020a) Education during COVID-19 and beyond United Nations (2020b) The impact of COVID-19 on food security and nutrition. https://data. unicef.org/resources/jme-report-2020/ United Nations (2020c) Sustainability becomes central in Davos while the World Economic Forum (WEF) celebrates its 50th anniversary. Retrived from: https://www.undp.org/content/undp/en/ home/news-centre/news/2020/world-economic-forumcelebrates-its-50th-anniversary.html UNSD (2020) The sustainable development goals report. New York. https://unstats.un.org/sdgs/ report/2020/goal-01/ (March 10, 2021)

99

Moving Forward: Visions on the Future of Sustainable Development

1965

Van Tulder R (2018) Business and the sustainable development goals – a framework for effective corporate involvement. Rotterdam School of Management, Erasmus University, RSM Series on Positive Change, Rotterdam Van Tulder R (2019) The multinational perspective on responsible management – managing risk responsibility trade-offs across borders. Extended version of a contribution to Oliver Laasch, Dima Jamali, R. Edward Freeman and Roy Suddaby (eds) (2020). Research Handbook of Responsible Management Education. Edward Elgar Publishing Van Zanten et al (2018) Defining a land boundary for sustainable livestock consumption. Glob Chang Biol 24(9). https://doi.org/10.1111/gcb.14321 Zutshi A, Creed A, Connelly BL (2019) Education for sustainable development: emerging themes from adopters of a declaration. Sustainability 11(1):156–170. https://doi.org/10.3390/ su11010156

Index

A Aalborg Charter, 1641 ABARI, 1792 Abu Dhabi Ports, 837 Academic achievement, 567 Academic curricula, 1394 Academic goal orientation, 564 Academic motivation, 559 Academic performance, 560 Academic staff development, 178 Acceleration mechanisms, 636 Accounting, 1775, 1781 Accumulation, 859 Accuracy, 1929 Action, 1060–1063, 1065–1067 Adaptive capacity, 876 Adaptive resilience, 835 Administrative entity, 602 Advancement of Sustainability in Higher Education (AASHE) Columbia University, 502 New York University, 501 Saint Louis University, 503 STARS model, 496, 497 African Entrepreneurial Collective, 1856 Agaricus, 1910 Agency banking model, 263 Agenda 2030, 368–371, 383, 385–388, 594, 612, 798, 1237, 1244, 1733, 1738 The agenda 2030 of sustainable development, 1896 Agile methods, 1130 application of methodology for selecting, 1135–1137 cluster of, 1132–1134 methodology for selection, 1134–1135 transdisciplinary research and development, 1130–1131

Agile project management incremental approach, 1562 Scrum framework, 1562 Agribusiness model, 1445 Agricultural activities, 1602 Agricultural revolution, 216 Agricultural sustainability, 1319, 1604 Agriculture, 1586, 1587 Agriculture 4.0, 1897, 1901 Agriculture 5.0, 1904 Agri-food industry, 1404 Agri-food waste, 1603 Agroecological farming, 1445 Agroecology, 1442 agronomic practices and approaches, 1443 anthropocene, 1446 education in 21st century, 1452–1453 micro and urban farming as new trends in, 1450–1452 Agro-food sector, 1414 Agroforestry systems, 1186, 1193, 1195 Air pollution, 726, 1160–1162 environmental impacts of, 1163 health impacts of, 1162, 1163 Air quality monitoring and management case studies on, 1165, 1166 community-based awareness campaigns, 1171 co-occurance keywords network for published studies during 2010-2021, 1167 environmental education curricula, 1171 funding and air quality monitoring equipment, 1170 limitations, 1172 real-time or near real-time centrally coordinated monitoring and reporting system, 1171

© Springer Nature Switzerland AG 2023 W. Leal Filho et al. (eds.), Handbook of Sustainability Science in the Future, https://doi.org/10.1007/978-3-031-04560-8

1967

1968 Air quality monitoring and management (cont.) reference analyzers, 1170 scientific research and legislation, 1169 seasonal temporal variations for particulate matter, 1168 SO2 emission data, 1169 spatial location of air quality studies, 1167 study implications, 1169 Altruistic suicides, 583 Ambient air, 1160, 1162, 1164, 1165, 1169, 1172 American University, 499 Amphitheater, 1670 Analyses of Variance (ANOVA), 564 Ancestors, 396 Ant colony optimization (ACO), 1940 Anthropocene, 220, 226, 924, 925, 928, 937 Anthropocene consciousness 2.0, 937 Anthurium andreanum, 1910 Antimicrobial resistance (AMR), 759 Appropriate technology, 658, 659 Aravind Eye Hospitals, 1854 Architectural research, 1663 Arduino, 1171 Argentinian model, 851 Artificial intelligence (AI), 39, 808–810, 817, 950, 1616, 1936, 1939, 1942 definition, 1939 solar tracking, 1939–1940 Artificial intelligence (AI) technology, 1037 agricultural cultivation, 1038 distribution and logistic, 1042 food consumption, 1045–1047 food processing and manufacturing, 1040 food quality control, 1041 food shortage and waste, 1037 food supply management, 1047, 1048 robotic technology, 1047 work labor, 1044, 1045 Artificial neural network (ANN), 1590, 1701, 1702, 1706, 1939, 1940 Arts and sustainable science, 1061–1063 Arup scenarios, 1662 ASPAPEL, 689 Assumptions based on classical Newtonian mechanics, 950 relevant of, 947 transparency of, 951 ASWOT analysis, 1410 ASYPS, 689 Attainment value, 561 Attitude–behavior gap, 1364

Index Attributional life cycle assessment (ALCA), 1924, 1925 Audit-friendly framework, 266 Australia barriers, 477–478 benefits and enablers of circular Australia, 477 circular discourses, 470–471 federal, state and initiatives, 471–472 government funding and industry support, 472 (multi-level) governance relations, 479–480 waste management and recycling policy narrative, 478–479 Australian politics, 481 Australian Sustainable Built Environment Council (ASBEC), 197 Australian universities commitment and leadership, 205 curriculum, 198 educational paradigm, 207 education and training, 198 engagement and commitment to the SDGs, 207 environmental sustainability, 200 environment sector, 205 external engagement, 206 higher education and sustainability, 199, 200 interdisciplinary manner, 204 internal engagement, 206 low cost solutions, 208 public commitments, 202 qualifications in sustainability, 201 teaching and learning, 197, 207 Australia’s growth in the international education sector, 199 Australia’s National Determined Contributions (NDCs), 197 Autotomized pre-recycling process, 1077 Awareness, 798, 801 Axiology, 849, 853

B Backcasting, 1761 Bacon, Francis, 217 2018 Banana Skins report, 254 Banco do Brasil Foundation, 655, 657, 663, 664, 668–671 Bank of good practices (BGP), 610

Index Baobab, 263 Bariloche model, 850–852 BASTA1, 1805 Batteries (B), 542 Battery Energy Storage (BES), 1941, 1944 Battery system, 1940–1941 Beauty, cynicism and desire, 1060, 1061 Beauty, 1058–1061, 1066–1070 Beauty and responsibility to act, 1060 BebeR-project, 1472–1475 Behavioral barriers, 1366 Belief systems, 397 Bibliometric analysis, 275 Bibliometric mapping, 276 Bibliometric research, 904 Big Data, 807, 810, 817, 837–839 Bilateral cooperation, 11, 25 Bio-based matrixes, 1009 casein, 1011 cellulose, 1003, 1010 chitin, 1003 polylactic acid, 1011 starch, 1003, 1010–1011 Bio-based polymer decomposition, 1141 Biocommodities, 1902 Biocomposite materials, 1004–1005 bio-based matrixes, 1012 natural fibers, 1005 Biodegradable polymers, 1143 Biodiversity, 274 Bioeconomy, 107, 1920 Bio-economy Transformation Programme (BTP), 108 Bioenergy, 1922–1925, 1927, 1929–1931 Bioenergy with carbon capture and storage (BECCS), 1927 Bioethics, 1238, 1239, 1244 Biofuels, 1921, 1923, 1924, 1926, 1927, 1930, 1931 Biographic method, 639 Bioindustry of bio-based chemicals, 1902 Biomass, 1896, 1900, 1901, 1905, 1906, 1909, 1911 feedstocks, 1926 production, 107 Biomethanization, 323, 325, 326, 332–334 Bioplastics, 1003 See also Bio-based matrixes Bio resources, 107 Bitcoin cryptocurrency, 1829, 1834 Black Carbon (BC), 1162 Black Death, 1757 Blind spots, 959

1969 Blockchain on sustainable supply chain management, 260, 265–267, 1844 challenges, 1843 data protection and verification, 1834 decentralization, 1836 on economic values, 1842, 1843 on environmental values, 1840–1842 general characteristics, 1835 immutability, 1836 smart contracts, 1838 on social values, 1839, 1840 traceability, 1837 transparency, 1837 Body, 394 Bodying, 402 Boolean operators, 327 Boston University, 503 “Bottom-up” approach, 1722 Bottom-up approach, 1722, 1851–1857 Bradford’s law, 278 Brazil, 656, 657, 659, 662–669, 675, 1140 Brazilian Agricultural Research Corporation (Embrapa), 783 Brazilian Amazon, 1378, 1379, 1383 Brazilian Coffee Industry Association, 450 Brazilian legal system, 1291 Brazilian Ministry of Tourism, 1293 Brazilian public universities, SDGs affordable and clean energy, 312–313 clean water and sanitation, 312 climate action, 314 decent work and economic growth, 313 gender equality, 312 good health and well-being, 312 industry, innovation and infrastructure, 313 life bellow water, 314 life on land, 314 no poverty, 308 partnerships for the goals, 315 peace, justice and strong institutions, 315 quality education, 312 reduced inequalities, 313 responsible consumption and production, 314 SDGs, 306–308 sustainable cities and communities, 314 zero hunger, 311 Brazilian Solid Waste Policy, 325, 333 Brazilian Standard (NBR), 1702 Brazilian Technology Parks Program, 779 Bronowski, Jacob, 216 The Brundtland definition, 1733 Brundtland Report, 680 Buen Vivir, 751–754, 758, 761, 762, 765–767

1970 Building certification schemes and standards, 1800 Building codes, 1799 Building information modelling (BIM) models, 1340 Buildings as Material Banks (BAMB), 1796 Built environment, 1329–1331 Built Environment Education, 203, 204 Built Environment in Australia, 202, 203 Business courses, 1203 C Caleb Motshabi informal settlements, 729 location, 730 poverty and unemployment, 733–735 primary health facilities and services, 735 SDG 1, 733–735 SDG 3, 735 SDG 6, 735–737 SDG 11, 737–739 Campi, 618, 619, 622, 625, 626 Campus greening, 579 Campus sustainability American universities, 499, 504 definition, 491 dimensions of, 492 operationalizing leadership for, 494, 496 STARS indicator-based approach, 496, 497 transformational role of leadership and planning for, 492, 494 Campus Sustainability Assessment Framework (CSAF), 324, 334 Cancer scenario, 1511–1512 Capitalism, 217–219, 222–223, 1455 Capital requirements, 856 Carbon capture and storage (CCS) technologies, 1926, 1927 Carbon cycle, 1755 Carbon footprint, 1216–1220, 1223, 1225, 1226, 1233, 1931 Carbon-intensive production processes, 1369 Carbon pricing, 1368–1369 Carbon Sequestration Factor, 1223 Cargo handling, 836 Carnegie Mellon University, 499 Case-based learning, 639 Case Western Reserve University, 502 CE Action Plan, 1800 Cellulose derivates, 1009 bacterial cellulose, 1010 carboxymethyl cellulose, 1010 cellulose acetate, 1010

Index cellulose nanocrystal, 1010 ethylcellulose, 1010 hydroxypropyl cellulose, 1010 hydroxypropyl methylcellulose, 1010 nanofibers, 1010 nano fibrillated, 1010 Center for Bioethanol Science and Technology (CTBE), 784 Center for Research and Development in Telecommunications (CPqD), 783 Centralization, 859 Certified palm oil Sustainability principles, 1526 CE transition processes, 1560 Challenge-based learning (CBL), 688, 689, 695 CHET Project E-learning platform, 692 Childe, Gordon, 216 China EV charging industry in, 1945 installed solar power capacities in, 1944, 1946 NEA, 1946 Chrono-urbanism, 1882 Circular bioeconomy, 1920 Circular building industry building certification schemes and standards, 1800 building codes, 1799 challenges to upscaling, 1800 changes, 1804–1805 construction and demolition waste recycling target and end-of-waste criteria, 1797 construction product standards, 1799 deconstruction, 1795 design for disassembly, 1794 economic instruments, 1798 enabling circular strategies, 1796 environmental product declarations (EPDs), 1799 EU circular economy tools, 1800 extending building lifetimes, 1792 layers of building, 1791 lifecycle stages and circular strategies, 1790 outlook of future construction, 1805 policy challenges, 1802 pre-demolition audit, 1798 recycling, 1795 renovation, 1794 reuse, 1793 selective demolition, 1798 sharing, 1793 upcycling, 1795

Index Circular Construction in Regenerative Cities (CircuIT), 1796 Circular economy (CE), 232, 233, 244, 332, 451, 452, 466–477, 479, 481, 595, 1004, 1005, 1013, 1310–1312, 1360, 1361, 1364, 1558, 1560, 1561, 1615, 1789, 1797, 1799, 1800, 1803, 1805, 1901, 1902, 1914, 1920 agri-food industry, 1404 aims, 1331 benefits, 1402 business models, 1334 CMF (see Circular multi family (CMF) housing design) conceptual and empirical studies, 1609 country of research, 1611–1612 definition, 1401 descriptive analysis, 1610–1611 distribution of methods, 1611, 1612 distribution of tools and techniques, 1613, 1614 field of research, 1613 in homebuilding, 1331–1332 implementation of, 1403, 1404 versus linear economy, 687 olive oil (see Olive oil industry, CE) theoretical studies, 1609 transition to, 1402 type of supply chain, 1614–1615 Circular farming systems, 1616 Circularity food consumption, 1605–1607 food production, 1604–1605 food waste management, 1607 SCM, 1607–1608 as sustainability transition, 468–470 Circular multi family (CMF) housing design building exterior flexibility, 1337 circular building practices, 1344–1348 dimensions of, 1335 economic potential of, 1342 environmental impacts of, 1340–1341 kitchen layout designs, 1336 prefabrication for circularity, 1338–1339 social impacts of, 1343–1345 Circular trading, 1805 Citizen science approach, 639 Civic education, 1734 Civil society, 117 Civil society organizations (CSOs), 21 Classical Newtonian mechanics assumptions underlying, 951 complexity and linearity, 951

1971 forces represented by vectors, 951 Gauss curves, 951 regularity, 951 Classical Sociocracy, 639 Clean Development Mechanisms (CDM), 755 Clean Tyne project, 836 Clean Water and Sanitation, 1700, 1707 Climate, 1287, 1291, 1293 Climate action, alliance for international networks and initiatives, 428–430 Red Campus Sustentable, 431–433 Climate change, 426, 742, 925, 926, 937, 950, 957, 1055, 1057, 1063, 1065, 1216–1218, 1378, 1388, 1503, 1508, 1512, 1921–1923, 1925–1927, 1930, 1931 adaptation, 275, 291, 293 awareness, 284 Climate change education bibliometric mapping, 276 co-citation network, 286 collaboration network between countries, 278 data extraction and item selection, 276 evolution of authors’ keywords, 290 evolution research area, 277 frequent of keywords, 285, 287 geographical context of scientific production, 278 local-cited documents and authors, 284 most-cited documents, 281–283 research funding, 294 research implications, 293 scientific production, 277 top-authors’ production over time, 285 trend topics, 290 Climate justice, 285, 286, 288, 289, 292 Closed Circuit of Substances and Waste Management Law, 1403 Clothing industry, 1687 Cloud, 817 Cloud-native micro service-oriented framework, 264 Cluster analysis, 276, 287, 289 Clustering, 1591 CO2 emissions, 274, 1223, 1897 Cocco Bello, 1858, 1859, 1862 Co-citation analysis, 292 Co-creation, 795, 796, 802 Codes of Practices (CoP), 1522 Coffee, 450, 1910

1972 Coffee grounds, 450, 451 diversion of landfill waste, 454–455 estimation of monetary value, 459–460 mass reduction and yield of organic compounds, 456–457 mass reduction of treatments, 453–454 monetary value of organic compounds, 455–456 selection of sectors and collection routes, 452–453 yield of the compounds, 454 Cognitive capabilities, 560 Cognitive revolution, 216, 217 Collaboration, 947, 953, 954, 956, 959, 1057, 1063 Collapse, 1503, 1509, 1512 Columbia University, 502 Comma Separated Values (CSV) file, 1165 Commercial single-use plastic bags, 1142 Commitment to Sustainable Practices of Higher Education Institutions, 907 Commodification, 859 Common good, 794, 795, 801 Common International Classification of Ecosystem Services (CICES), 1187 Communicator, environmental issues, 931–933 Communities of practice boundary objects, 953 discipline-specific methodologies, 956 tacit knowledge, 953 Community/collective partnership, 633 Community awareness, 1171 Company owned port, 814 Complete neighborhood, 1875, 1877, 1878 Completeness, 1148 Complex adaptive systems digital cities, 878–879 nature, 877–878 Complexity, 951 Composite indicators, 972–976, 1545 Compostable organic matter, 456 Composting, 323, 325, 326, 330–335, 450–453, 456–458, 460, 461, 1542 Compost production, 459–460 Comte, August, 634, 637 Comunativa sector, 1672–1676 Conceptual analytical model, 519–520 Confined animal feeding operations (CAFOs), 1448 Connectivity, 812 Consequential approach, 1925 Consequential (CLCA), 1924

Index Construction and demolition waste (CDW), 539, 542, 1789, 1795–1800, 1802 Construction, renovation, and demolition (CRD) waste, 1328, 1331, 1349 Construction Products Regulation (CPR), 1799, 1803, 1806 Consumerism, 218–219 Consumer skepticism, 466 Contamination assessment, 1100 Content analysis, 301, 307, 731, 1779 Continuous social/societal sustainability learning/adjustment, 374 Control group, 690 Conventional capitalist technology, 659, 660 Conventional contracts, 1837 Conventional learning methodology, 686 Conventional petrochemical polymers, 1141 Conventional Technology model, 659 Convention on Biological Diversity (CBD), 1182 Convergent thinking, 1314 Conversion, 107 Cooking oil waste (COW), 538 COP26, 1758, 1763 COPERNICUS Charter, 906 Copernicus program, 1469 Core design approaches, 1315 Coronavirus (COVID-19) pandemic, 197, 274, 361, 632–634, 656, 727, 743, 922, 1160, 1161, 1378, 1401, 1578, 1588, 1757, 1758, 1855, 1881, 1883, 1887, 1890, 1956 crises on children, 1278 economic and social effects, 1270 food and drug authority (FDA), 1276 herbal medicine and steam inhalation, 1278 impact of business, 1275 methodology, 1273 overview, 1271 prevention measures and effect, 1271–1273 social actions (SA), 1271, 1280 social protection engagement, 1274, 1275 stigmatization, 1279 Corporate Social Responsibility (CSR), 751, 753, 757, 760, 761, 764, 1530 proactive CSR strategy, 753, 764 reactive CSR strategy, 753 Corporate sustainability, 767 Corruption Perceptions Index, 656 Cost analysis, 1342–1343 Course curriculum, 1067–1068 Creative and transformative approaches, 928

Index Creativity, 357, 583, 690, 692, 693 Creativity index, 183 Creativity techniques toolkit, 692 Criteria of the precautionary principle, 957 Critical thinking, 354, 356 Critical thresholds, 950, 952 Crop productivity, 1603 Crop protection, 118 Crude palm oil (CPO), 1520 Cucurbitaceae, 1910 Cultural ecosystem services (CES), 1183 Culture, 1060, 1063 Culture of teaching and learning, 588 Curricular transformation, 583 Curriculum, 990, 991, 993 Cyber-physical agricultural swarm system, 1318–1320 Cybersecurity, 1843 D Dasar Jaminan Bekalan Makanan (DJBM), 1588 Data aggregate, 949, 958 artificial intelligence and big data, 950 decontextualized, 950, 952 ethics, 949 incomplete or unavailable, 948, 949 numerical representation, 950 sensitive, 948 sharing, 949 use of proxy values, 949 Data analytics framework, 1022, 1025 descriptive analytics, 1027 diagnostic analytics, 1027 predictive analytics, 1027 prescriptive analytics, 1027 Data collection, 604, 1149 Data driven decision making, 1023–1025 Data economy, 808, 810 Data envelopment analysis (DEA), 1722 Data governance, 1025 Data lake, 1025 Data protection and verification, 1834 Data sharing, 948 Data warehouse, 1025 Decentralization, 1835, 1836 Decentralized ledger technology (DLT), 260 Decent work, 30, 33 dimensions of economic growth for, 34 goals, 35 innovation and productivity, 37–39

1973 multi-sided companies, 41 and technologic advancement, 36–42 working from home, 39–41 Decision making, 1920 Decision trees, 1590 Declaration on HE for the Twenty-First Century, 906 Decomposition process, 1141 Deconstruction, 1795 Decoupling, 1429, 1432 Deep learning, 1591 Default GHG emissions, 1928 Default nudges, 1367 Deforestation, 108, 1379, 1393 Degraded spaces, 1663, 1676 Degrowth, 856, 863 Deliberation, 1752 Delphi method, 691 Dematerialization assessment methodologies, 1430–1431 challenges, 1434–1436 definition, 1429 and development, 1431–1433 input-output analysis, 1431 life cycle assessment, 1431 material flow analysis, 1431 statistical and econometric method, 1431 studies on, 1430 variations in industrial sectors, 1433–1434 3DEO, 808 Descriptive analytics, 1026 Design, 1059, 1060, 1067 Design considerations, 1060 Design for disassembly (DfD), 1335, 1340, 1794 Design for sustainability, 1313 Design thinking, 1314 Deutsche Telekom, 836 Development cooperation, 14 Diagnostic analytics, 1027 Diffuse and distributed phenomena, 951 Digital city, 878–879 Digital credit facilities, 263 Digital database, 1834 Digital Games Student Olympics, 1858 Digital innovation, 816 Digitalization benefits of, 261, 262 challenges and risks related to, 262 components, 258–260 in the context of microfinance, 257–262 Digital transformation strategy, 809 Digital Twins, 836

1974 DIKW pyramid data, 1023 information, 1023 knowledge, 1023 understanding, 1023 Wisdom, 1023 Disclosure, 1768, 1775, 1776, 1778 Disposal of organic waste, 333 Disruptive digital innovations, 265 Distributed power sources, 1940 Divergent thinking, 1314 Do No Significant Harm (DNSH) assessment, 1807 Door-to-door waste pickers, 620 Doughnut economics (DE), 467–471, 474, 479–482 Driving sustainability, 1379–1381, 1383 Dushevnie lyudi (Soulful people), 1858, 1861 E Earth Overshoot Day, 1665 Ecoanxiety, 394, 396 Eco-cultural health perspective, 926, 927 Ecodevelopment, 1381 Eco-efficiency category, 1232 ECOEMBES, 689 Ecofeminism, 1503, 1507 Ecological economics, 482 Ecological Economic Zoning (EEZ), 1290 Ecological Footprint, 324 Ecological impact, 1609 Ecology, 991, 993 E-commerce, 835 Economic acceptability, 470 Economic dimension of sustainability, 1834 Economic growth, 856, 1389 Economic models, 1309 Economic sustainability, 1955 Economic transformation program (ETP), 1525 Eco points, 1673 Eco-Social University Days, 418, 419 Ecosystems, 936, 937 Ecosystem services-based approaches, 1184 Eco-Village Design Course, 642 Ecuador economy, 757 electricity sector, 754 government, 751 institutional environment, pressures from, 765 metallic mining, 757–759

Index mission-oriented thinking, sustainable business practices, 765–766 reactive/proactive business operating strategy, 764 shrimp aquaculture, 759–761 EDpuzzle platform, 687 Education, 225, 1061 Educational context, 560 Educational innovations, 683, 685, 687, 689, 690, 696, 1382 Educational institutions (EIs), 323–326, 328–332, 334, 335, 458, 1387 Education Educational Research area, 276 Education for sustainable development (ESD), 176, 340–342, 344, 347, 361, 413, 599 limitations, 1732 methodological approach, 1732 pedagogical research, 1734–1737 Swedish Defense University, 1738 Education for Sustainable Development Goals (ESDGs), 576 Education history, 995 Education institutions, 602 Efficiency approach, 1359 Effort, 560 Eldorado Research Institute, 783 E-learning platform, 693 Electrical vehicles, 1921 Electricity, 1221 Electricity generation, 754–756, 762, 764–766 Electricity supply, 732 Electric vehicle (EV), 1936, 1944, 1945 Electronic waste, 1076 recycling (see Recycling) Ellen MacArthur Foundation (EMF), 597, 1402 Emapic-OMA.Mob tool, 1225 Emapic-OMA carbon footprint calculators calibration and verification, 1223 carbon sequestration factor, 1223 changes and improvements, 1226 collective projects, 1225 electricity, 1221 Emapic-OMA general portal, 1223 Emapic-OMA maps, 1225 Emapic-OMA-Mob calculator, 1233 emission factors for transport modes, 1221 energy calculators, 1220 footprint intensity of carbon (FIC), 1222 fuel emission factors, 1222 geographical location of participants, 1218 knowledge and feelings of participants, 1218 map information management, 1226

Index mapping efficiency in water consumption devices, 1219 mobility, 1219 reference values for domestic energy in Galiza, 1222 reference values of waste generation, 1220 tool management, 1224, 1225 waste management and prevention practices, 1219 waste management in Galiza, 1228, 1229 water consumption devices, 1218 water efficient practices in Galiza, 1231 water use efficiency indicators, 1221 Emapic-OMA-Energy calculator, 1220 Emapic-OMA general portal, 1223 Emapic-OMA-Mob calculator, 1219, 1233 Emapic-OMA-Waste calculator, 1219, 1220, 1227, 1229–1231 Emerging area of research, 287, 292, 293 Emerging dangers, 958 Emerging economies, 1850, 1851, 1853–1857, 1859, 1861–1864 Emission factors, 1220, 1221 Emission pathways in Africa and the Middle East urban areas, 154 city-level urban, 151 in Eastern Europe and West-Central Asia urban areas, 153 in Latin America and the Caribbean urban areas, 153 for urban areas in Asia and developing Pacific, 153 for urban areas in the developed Countries, 153 Emotion, 1061, 1063–1069 Employment status, 734 ENCLOSE, 702 End-of-Waste (EoW) concept, 1797 Energy Efficiency Directive (Dir. 2012/27/EU) (EED), 1800 Energy-efficient appliances usage” (EC1), 915 Energy footprint calculators, 1232 Energy Performance of Buildings Directive (Dir. 2010/31/EU) (EPBD), 1800 Energy potential for biofuel, 1913 Energy resource management (ERM), 603 Energy-smart green building green and intelligent building for EV charging, 1943 PV and energy storage for EV charging, 1944

1975 Engineering education, 1379–1387, 1389, 1390, 1393, 1394 Engineering studies, 681–684, 688, 690, 693, 694, 696 Enlightenment, 222, 223 Enterprise zone (EZ), 814 Entrepreneurship, 856 Entry Point Project (EPP), 94 Environmental assessment, 1150 Environmental Brazilian legislation, 1298 Environmental communication, 928–930, 938, 940 Environmental dimension of sustainability, 1832 Environmental education and communication, 929, 931 Environmental education curricula, 1171 Environmental education (EE), 607, 889 early childhood education and care (ECCE), 890, 891 education for sustainable development (ESD), 890 Environmental education program, 458 Environmental Education Research, 277, 281, 291–293 Environmental governance, 774–778, 782, 785, 787 Environmental health, 1603 Environmental impacts, 1140, 1141, 1143, 1163 Environmental management systems (EMS), 1525 Environmental mass media studies, 930 Environmental organizational communication studies, 930 Environmental personal identity and interpersonal relationships, 929 Environmental pollution of waste disposal, 1898 Environmental product declarations (EPDs), 1799 Environmental protection, 118 Environmental rhetoric and cultural studies, 930 Environmental science, technology, and health communication, 930 Environmental sustainability, 233, 936, 1641, 1955 Environmental systems analysis, 1921 Environment and human health, 967 Environment-conscious design practices, 1373 Epistemic distance, 954 Equity in ranking, 913 Erasmus+ CHET Project, 690

1976 Eschatological perspectives, 584 Ethereum, 1837 Ethical Committee, 730 Ethical framework, 795 Ethics, 956, 957, 995 Ethnographic method, 345 Ethnography, 639 EU Biodiversity Strategy 2020, 1181 EU circular economy tools, 1800 EU (2009) GHG default values, 1929 EU Industrial Strategy, 1807 EU Renewable Energy Directive (EU-RED), 1522 European Commission (EC), 681, 1521 European Green Deal, 681, 1181, 1185 European INSPIRE geoportal, 1469 European Taxonomy Regulation, 1807 European Waste Framework Directive, 1795 European Week for Waste Reduction (EWWR), 1226 Europe Sustainable Development Report, 683 EU strategic policy framework, 1797 Evaporation ponds, 1415 Exchange business models, 1362 Existing system, 119 Exnovations, 860 Exoskeletons, 1318 Expectancy component, 559, 560 Experiences of recovery for sustainability, 1383 Explorative approach, 948, 955, 959, 960 Exploratory research, 345 Extinction express, 1662 Extreme events, 951–952 Extreme scenarios, 948

F FairTradeTown Magdeburg, 420 FAOSTAT data, 1415 Farmers’ livelihood, 95–99 Farm management information systems (FMIS), 1594 Fascia tissue-system, 397–399 Federal District (DF), 665 Federal Land Development Authority (FELDA), 113 Federal University of Bahia (UFBA), 617, 620–625 Feedstocks, 1922, 1924–1929 Fertilizer, 1754–1756, 1759, 1763 Financial aids for students, 308, 311–314 Financial crisis, 1834 Financial sustainability, 256

Index Findable, accessible, interoperable, and reusable (FAIR) data, 1463 Fire-resilient forest ecosystems, 1194 Five capitals model, 1649 Flexibility, 1337, 1349 Flexible social/societal sustainability management systems, 374 Flipped classroom (FC), 686–688, 696 Food access, 1586 Food availability, 90, 1585 Food consumption, 1020, 1605–1607, 1616 Food industry, 1900, 1904 Food loss, 1607 Food production and consumption, 77–81, 1604–1605, 1613 Food security, 1021, 1036, 1602, 1603, 1716, 1717 applications of machine learning, 1591–1596 and challenges to Malaysia, 81–83 concepts and definitions, 72–74 data analytics, 1031 definition, 90, 1584 Entry Point Project, 94 and food self-sufficiency, 90 livestock management, 1591–1592 in Malaysia, 1587–1589 policy in Malaysia, 74–77 smallholder farms, 95 stockpiling for, 94 and sustainability, 1585–1587 Food self-sufficiency, 91 Food stability, 90 Food system, 1451, 1453, 1454 Food utilization, 1586 Food waste composition of, 1905 definition, 1903 in developing countries, 1897 energy potential for biofuel, 1913 environmental pollution of waste disposal, 1898 fruit and vegetable waste (FVWs), 1898, 1901 global demand for food, 1900 Human Development Index (HDI), 1900, 1901, 1912 life cycle assessment (LCA), 1906, 1908, 1909 management strategies, 1607, 1903 pollution from agricultural waste, 1912 reasons for waste generation, 1904 socioeconomic and environmental importance in the tropics as case study, 1908–1910

Index treatment, 1902 valorization, 1905, 1906 value of food production, 1899 Footprint Intensity of Carbon (FIC), 1222 Forcasting, 1761 Forecasting, 948, 952 Foreground systems (FS), 1316 Forest ecosystems, 1180 carbon sequestration capacity, 1183 conservation, 1181 cultural ecosystem services (CES), 1183 ecosystem services, 1182–1184 good practices, 1194–1195 human well-being, 1182 sustainability and multifunctionality, 1184, 1185 value, 1193 Formal education, 931 Fossil feedstocks, 1925, 1926 Fossil fuels, 1753, 1755 Framework Convention on Climate Change, 1758 Framework for organizing different sustainability office structures, 494 Framing of future challenges, 810 Free port, 814 Free trade, 100 French National Institute of Informatics and Automatic Control (INRIA), 1763 Fresh fruit bunches (FFB), 1520, 1525 Fromm, Eric, 218 Frugal innovation, 1854, 1855, 1857, 1862, 1864 Fruits and vegetables waste (FVWs), 1898, 1901 Fuel emission factors, 1221, 1222 Futurability, 1752, 1753, 1758, 1759, 1761, 1763 Future, of SDGs in regional university, 794–796, 799–802 Future design (FD) effectiveness, 1759 future of, 1763 Future-oriented methodologies accessibility to researchers of, 959 approaches for challenging times, 958–960 communicative function of, 952, 953 inertia of knowledge systems, 958, 959 lock-in effect and anticipatory methodology development, 954–956 necessity for, 947–948 need for mapping, 959 non-linear, delayed and distributed consequences of actions, 950–951 outliers, extremes and weak signal, 951–952

1977 power and ethics, 956–958 purposes and problems of, 955–956 reductionist representations of real-world events, 949–950 research as communities of practice and implications for collaboration, 953–954 Future smart ports, 834 Future Strategy Office, 1762 Fuzzy logic, 1939 FY2020, 1762 G GDP per capita, 665 Gender, 242 Gender equality (GE), 312, 1236–1239, 1243–1245 Generic evaluation structure, 1649 Generic meta competencies, 586 Genetic engineering (GE), 1445 Geoconservation, 1299 Geodata infrastructures, 1468 Geographical correlation, 1148 Geographical information systems (GIS), 1461, 1465, 1475 Geology, 1287, 1289 Geomorphology, 1287, 1289, 1294 George Washington University, 500 Geotourism, 1286–1288, 1293, 1299 activity in Brazil, 1290–1291 Brazilian touristic legislation, 1297 constraints, 1295, 1296, 1299 implementation of, 1290 local management, 1295 tourism and sustainable, 1288–1289 Ghana, 1236, 1237, 1239, 1243, 1244 Glasgow Climate Pact, 1752 Global awareness, 1144 Global demand for food, 1900 Global emissions, 221 Global Footprint Network, 221 Global governance, 15–16 Global models of sustainability, 847 new models of, 852 World 3 and Bariloche models, 850–852 Global partnerships for sustainable development access to technologies, 1488 in 2030 agenda, 1484–1489 (see also Public-private partnerships (PPP)) financial support, 1485–1486 formation, 1481–1483 institutional environment, 1486–1487 training and institutional capacity, 1487–1488

1978 Global population, 1602 Global Reporting Initiative (GRI), 201, 324, 333, 753 Global South, 1382 Global supply chain, 466 Global sustainability, 225 Global warming, 274, 288, 732, 1896 GOD-IQR index, 1107 Governance, 635 Governance of higher education institutions, 514 challenges, 523–525 conceptual analytical model, 520 department responsible for innovative initiative, 515 document types, 521 elements to promote sustainability, 523–524 exclusion criteria, 519 implementation of sustainable practices, 516 inclusion criteria, 518 initiatives to promote green campuses, 519 internal stakeholders, 516 knowledge management, 516 proactive initiatives, 517 strategic green campus initiatives, 521–522 students’ cultural sensitivity, 515 Graphical Assessment of Sustainability in Universities (GASU), 324, 331 Graz Declaration, 906 Greater tap water consumption, 1230 Greece, CE in agri-food sector, 1414 olive industry, 1415–1417 waste management, 1411, 1413, 1414 Greek olive industry, 1415–1417 Green applied media and art, 930 Green Building Council of Australia (GBCA), 197 Green building development, 1937 Green campus, 516, 517 dynamics in university management, 521–522 strategic initiatives, 519 Greenhouse gas (GHG) emissions, 451, 915, 1160, 1161, 1163, 1524, 1543, 1607, 1755, 1896, 1899, 1900, 1914 Greenhouse gas (GHG) savings attributional approach, 1925 consequential approach, 1925 default GHG emissions, 1928 iLUC, 1927

Index life cycle impact assessment, 1928 MIRAGE, 1927 reference systems for sources of energy meeting global energy demand, 1926 variability of biofuels, 1924 Green marketing, 1365 Green Metrics, 324, 333 GreenMetric World University Ranking, 912, 914, 915 Green Office Model, 410 Green procurement, 1361 Green Report Card, 324 Green revolution, 1309, 1443, 1754 Green skills, 683, 685 Green technology financing scheme (GTFS), 1545 Greentocracy, 1662 Gross development product, 51 Gross domestic product (GDP), 862 Group lending model of microfinance, 256 6G systems, 1818 architecture, 1819 economic sustainability, 1821 environmental sustainability, 1822 mobile communications, 1820 social sustainability, 1822 technology design, 1818 UN SDGs, 1819 Guaranteed minimum price policy, 98

H Haber-Bosch process, 1754, 1755 Halifax Declaration, 905 Handprints, 369 Handprint thinking, 369, 371 Harare tropospheric column levels, 1169 Harmonized European Norms (hENs), 1799 Harmony with Nature, 215–217 Hazard analysis and critical control points (HACCP), 1028 Hazardous waste (HW), 542 Hazardous waste management, 532 Healing scenario, 1512–1514 Health education, 935 Health impacts of air pollution, 1162, 1163 Health promotion, 934–936 Hedychium gardnerianum, 1004, 1012, 1013 HEI-wide targets or HEI governance structures, 915 Heliconia genus, 1910 High-density polyethylene (HDPE), 1152

Index Higher education, 340–349, 354, 355, 360, 361, 363, 364, 432, 445, 684–686, 688, 695, 696 in Latvia, 792, 793, 795, 796, 800–802 Higher Education Act, 1738 Higher Education Institutions (HEIs), 4, 176–178, 191, 300, 491, 492, 494, 496, 533, 550, 554, 594, 619, 622, 624–626, 782, 904, 1731, 1735, 1737, 1739–1745 academic training, 607, 608 Brazilian HEIs and SDGs, 306–317 change within, 409, 417 circular economy, 596 economic activity, 606 environmental management, 604 governance, 410, 413 institutionalization programs, 598 operations, 416, 417 participation of, 904 research and teaching, 413, 416 selection, 605 social aspects, 606 social responsibility support, 597, 598 stimulating behavior change among members, 417, 419 strategic commitment for sustainable development, 301–304 sustainability assessment, 304–306 sustainability assessment tools, 905–907 sustainable development goals, 599, 600, 608–611 sustainable initiatives, 300 Higher education students, 560, 569 Higher education sustainability model, 578 campus greening, 579 sustainability curricula, 579–580 sustainability sciences, 579 Hippie communities, 640 Holacracy, 644 Holistic approaches, 587 Home-based digital platform work, 40 Homebuilding, 1334 circular economy in, 1331–1332 performance, 1330 Hong Kong higher education sustainability dynamics and shape of, 580 limitations of qualitative study, 589–590 structure of, 580 students’ sustainability consciousness, 582–585 teaching descriptors of sustainability consciousness, 585–587 UN SDGs implementation, 581

1979 Household average income, 734 Housing affordability, 1332–1334 HTW SAAR, 709–710 Human action in the Anthropocene, 947 Human Development Index (HDI), 1900, 1912 Human health, 937 Human Inc., 1662 Humanity, 888, 1055 Hybrid organizations, 1852, 1862–1864

I Imaginary Future Person (IFP), 1760–1764 Imagination, 1058, 1068 Immutability, 1836 Inclusive growth, 36 Increase global competition, 809 Indigenous groups, 117 Indirect land use change (iLUC), 108, 1922, 1926–1930 Individual lending model of microfinance, 256 Inductive-conducted category system, 1567, 1568 Industrial agriculture, 1443–1446 Industrial ecology, 1402 Industrial home work, 40 Industrial revolution, 1756, 1757 Industrial Strategy Challenge Fund (ISCF) pump-priming funding, 807 Industry 4.0, 807, 1701, 1828, 1904 Industry partner, 809 Informal education, 931 Informal settlements SDG 1, 724–725, 733–735 SDG 3, 725–726, 735 SDG 6, 727, 735–737 SDG 11, 728, 737–739 SDG 13, 728–729 Information and communication technologies (ICTs), 817, 1812, 1834, 1883 economic sustainability, 1816 environmental sustainability, 1817 future 6G technology design, 1818 mobile communications, 1813, 1820, 1823 6G mobile communication networks, 1815 social sustainability, 1817 triple bottom line of sustainability, 1813 UN SDG framework, 1814, 1815, 1819 Inhabiting poetically the city, 1069 Inhotim Institute, 1670 Innova-ambiental, 686

1980 Innovation, 856, 865, 1378–1383, 1386, 1387, 1389, 1392–1394 Innovation-related research performance, 1382 Innovative educational methodologies, 685 Innovative technologies, 700 “Input, Process, Output” approach, 181 Input-output analysis (IOA), 1431, 1721 Institutional Development Plans (IDPs), 307, 308, 311–315, 317, 318 Integrated Agricultural Development Authority (IADA), 82 Integrated approach with a combined top-down and bottom-up approach, 1056 Integrated logistics, 807, 809, 810, 812, 813, 815–818, 824, 833–835, 838, 839 Integrated reporting, 1769, 1771–1773 guiding principles, 1773–1774 issues in SMEs, 1776 motivations in SMEs, 1776 support to SDGs, 1774–1775 and sustainability reporting, 1778–1780 Integrated Valuation of Ecosystem Services and Tradeoffs (InVEST) model, 1192 Intellectual property, 859 Intensification of agriculture, 1446–1448 Inter-American Development Bank (IDB), 785 Interdisciplinary approach, 394, 795 Interdisciplinary ecological challenges, 969 Intergenerational Sustainability Dilemma Game (ISDG), 1760 Intergovernmental Panel on Climate Change (IPCC), 1063, 1758, 1899 Intergovernmental Platform on Biodiversity and Ecosystem Services, 1182, 1183 Inter-industry analysis, 1685 International Association of Science Parks (IASP), 780 International cooperation benefits, 19–23 description, 13 economic growth alternative to, 23–25 global debates on, 17–19 and global governance, 15–16 and official development assistance, 17 public goods provision, 13–14 for sustainable development, 16–17 International Energy Agency (IEA), 55, 1602 International events, to sustainability and sustainable development, 1640 International Food Policy Research Institute (IFPRI), 1927 International Fund for Agricultural Development (IFAD), 1020

Index International Hub for Sustainable Development (HIDS) project composition of the founding board, 785 constitutive characteristics and specificities, 775 environmental governance, 775, 778 in Latin America, 783–785, 787 technology parks, 778, 780, 782 International Maritime Organization (IMO), 811, 835 International Port Community Systems Association (IPCSA), 836 Internet based global communication, 835 Internet of Things (IoT), 784, 807, 816, 835–837, 839, 1170, 1616, 1701 Interpretive programs, 938 Interpretive structural modelling (ISM), 1695 Interviewees, 1830 INTREPID research, 395 Intrinsic value, 561 Inventory-modelling approach, 1930, 1931 Iroquois, 1759 Irreversible changes to Earth systems, 950 Irrigation management, 1592–1593 ISWA program, 969 Itinerant workshops for citizens, 1069 J Journals, 1713 Just-in-time (JIT), 836 Just transitions birth of the concept, 234, 235 circular business practices, 241 circular textile economy, 236, 237 conflicting visions, 235 gender, 242 livelihoods, 237 policies, 236 power imbalances, 242 quality of work, 239, 240 reshoring, 237 textile waste trade, 243, 244 vulnerable regions, 239 wealth distribution, 241 K Kairos, 800 Kemubu Agricultural Development Authority (KADA), 82 Kharkiv education system, 716 Kinaesthetic intelligence, 402

Index Knowledge, 927 ecology, 578 economy, 781 society, 781 Knowledge-intensive (business) services (KIBS), 861 Köppen’s classification, 1296 KRIHS Consultoria, 785 KTH–Royal Institute of Technology, 1732, 1739 Kyiv’s public transport systems, 715 Kyoto Declaration, 906 L Labor market, 134, 813 Labor market sustainability challenges and opportunities, 42–45 decent work and technologic advancement, 36–42 framework, 31–34 technology, economic sustainable growth and labor market, 34–36 Lakehouse, 1025 Lancet Commission, 1161 Landfill, 333 Language development, 216 Language of sustainability, 684 Languages, future and possibility (LFP), 1066–1067 Last-mile automated mobility system, 1320–1321 Latin-American world model, 852 Law for the Promotion of the Circular Economy of the People’s Republic of China, 1404 Leadership for sustainability for campus sustainability, 494, 496 transformational role of, 492, 494 Leadership in Energy and Environmental Design (LEED), 1937 Learning, 991–993, 995 Legislation, 1169 Libertarian paternalism, 1366 Life cycle assessment (LCA), 1141, 1145, 1151, 1154, 1340–1341, 1431, 1613, 1624, 1722, 1906, 1907, 1909 allocation, 1147 appropriate tool for supporting decisions regarding bioenergy expansion, 1922 data quality requirements, 1147 function and functional unit, 1146 GHG emissions, 1928

1981 GHG savings (see Greenhouse gas (GHG) savings) impact category and category indicator, 1147 outlook, 1930 phases, 1146 precision and accuracy, 1929 product system, 1146 reference flow, 1147 of single-use plastic bag, 1151–1154 system boundary, 1147 Life cycle impact assessment (LCIA), 1150, 1151 Life Cycle Inventory (LCI), 1147, 1149, 1150 Life cycle thinking, 205 LIFE demonstration project, 1416 Linear economic model, 1603 Linear food production model, 1604 Linear throughput economy, 1328 Linked open data, 1464 Linnaeus University, 1732, 1739 Listening, Communication, Creativity, 1068 Living Building Challenge, 1115–1117 Living Planet Report, 633 Lobby groups, 116 Local community, 120 Local Enterprise Partnerships (LEP), 814 Local food, 1921 Local government bodies (LGAs), 473, 474, 476, 479, 480 Locally critical thresholds, 950 Locus of control, 933, 934 Logical framework approach (LFA), 182 Logistics, 817 London 2012 Olympic Park project, 1686 Low-cost sensors (LCS) nodes/platforms, 1170, 1171 Low-density polyethylene (LDPE), 1152 Low-income families, 618, 620, 624 Luddite movement, 33 Luneburg Declaration, 906 M Machine learning, 1029 crop yield, 1593 definition, 1589 disease detection, 1594 irrigation management, 1592–1593 livestock management, 1591–1592 transportation, 1595–1596 weather prediction, 1594–1595 Macro-barriers, 1688

1982 Macro level, 765–766 Malaysia, food security and challenges to, 81–83 and food production, 77–81 policy, 74–77 Malaysian Agricultural Research and Development Institute (MARDI), 96 Malaysian palm oil board (MPOB), 115, 1521 Malaysian palm oil industry (MPOI), 1522 Malaysian palm oil mills, 1539 structural relationship between waste management treatment and technofinance, 1544–1545 sustainability challenges, waste management treatment, 1541–1544 Malaysian Ringgit (MYR), 115 Malaysian Sustainable Palm Oil (MSPO), 107, 118, 121, 1523 Malaysia, paddy and rice policies in Entry Point Project, 94 food security, 90–95 granary areas, 89 guaranteed minimum price, 98 in improving the livelihood of farmers, 95–99 incentives and subsidies, 98–99 intervention policy, 100–101 pricing mechanism, 92–93 rice self-sufficiency level, 90–92 setting up government agencies, 96–98 stockpile, 93–94 supply chain, 97 Malthusian theory, 1055 Management Reports (MR), 617, 618, 623, 624, 626 Mangaung Municipality, South Africa governance and management of informal settlements and climate risks, 732–733 physical and spatial conditions of informal settlements, 731 provisioning of basic services, 732 SDG 13 and climate-related health risks, 739–740 Mapping and Assessment of Ecosystem Services (MAES), 1180, 1186–1188, 1190, 1191 Margulis, Lynn, 400 Maritime 2050 Executive Summary, 810 Maritime 2050 strategy, 818, 819, 826 Maritime sector, 807, 810–812, 819, 833–835, 839 Marketability, 1346–1347 Market environmentalism, 1308

Index Mass-based approach, 1429 Massive machine-type communications (mMTC), 1043 Material consumption, 1428, 1432, 1434, 1435 Material flow analysis, 1431 Material intensity, 1432 Material recovery, 1077, 1083 Maternity rate, 668 MATLAB ® 8.5 software, 1702 Maximum power point tracking (MPPT), 1939 MAXQDA, 1566 Means of implementation (MOI), 1355, 1358–1359, 1363, 1370–1372 Melbourne, Australia, 1878–1880 Meso-barriers, 1688 Meso level, 765 Mesopotamian civilization, 217 Metadata management, 1025 Metadata schema, 1465 Metallic mining, 757–759, 762 Metastudies, 958 Methane, 1921 Methodological conventions function and stability of, 955, 956 lock-in effect in knowledge systems, 954, 956 Methodological development, 954–956, 958, 960 Methodological innovation anticipatory and proactive stance, 955 legitimacy, 955, 956 methodological creativity, 958, 959 time lag relative to sustainability challenges, 955 Methodologies access to research infrastructure, 958 cost of, 958 create barriers in communication and interpretation, 953, 954 delimit disciplinary territories and sense of identity, 956 development of, 959, 960 enable collaboration, 953, 954 as meta-language, 952 provide contextual information, 952 social and environmental impacts, 958 that can be rapidly learned for collaboration in ad-hoc teams, 956 Metrics and indicators, 1117, 1122–1124 Metropolitan Region of Campinas (MRC), 783 MFI and FinTech firm, 263

Index Micro-barriers, 1688 Micro-credit delivery systems, 255–257 Micro-farming, 1451–1452 Microfinance, 253, 254 digital innovations in, 263–264 digitalization of, 257–262 integrated framework for employing blockchain in, 265–267 micro-credit delivery models of, 255 Micro level, 764 Microplastics, 1624 Microsoft Excel, 276 Millennium Development Goals (MDGs), 20, 577, 1091, 1481–1483 Millennium Ecosystem Assessment (MEA), 223, 1182, 1187 Minister Marcos Pontes (MCTI), 784 Ministries, 116 Ministry of Environment and Energy (MEE), 1412 Ministry of Science, Technology, and Innovations (MCTI), 784 15-Minute City, 1875, 1876, 1880–1883 20-minute neighborhood acknowledging inequality and difference, 1890 buy-in from local communities, 1889 changes to existing urban form, 1889 economic opportunities, 1886 emergence, 1876 environmental opportunities, 1887 functional opportunities, 1884 health opportunities, 1884 Melbourne, Australia, 1878–1880 neighborhood definition, 1874 Paris, France, 1880–1883 political visions and governance, 1888 Portland, United States, 1877 social opportunities, 1885 Mixed Parliamentary Front to Support Technology Parks, 784 Mobility, 703 Mode 2 science, 953 Modelling International Relationships in Applied General Equilibrium (MIRAGE), 1927 Montreal Protocol, 752 Morphological box, 1735 Motivation, 560, 933 Mucajaí, Brazil data collection, 1293 geological, geomorphological and landscape potential, 1291–1292

1983 geomorphology, 1294 study area, 1291–1292 Muda Agricultural Development Authority (MADA), 82 Multi-actor approach, 1184, 1186 MultiForest project, 1185 indicators for assessing ecosystem condition, 1189–1191 indicators for assessing ecosystems’ quality, 1191–1192 mapping and assessment of forest ecosystem services, 1186–1188 methodological approach, 1186–1187 SolVES model, 1192 spatial modelling, 1191 study areas, 1188 Multi (inter) disciplinarity, Agenda 2030 goals, 1056–1058 Multilateral cooperation, 11, 16, 25 Multi-level perspective (MLP), 468, 470, 479, 1309 Multinational mining company, 460 Municipal waste production, 1411 Myofascial lines, 399 N Nagoya Declaration, 907 NASA-Global Climate Change, 221 National Agricultural Policy (NAP), 89 National Agrofood Policy, 91 National Biomass Atlas, 1911 National Center for Research in Energy and Materials (CNPEM), 783, 784 National Council for Scientific and Technological Development (CNPq), 779 National Documentation Center, 1413 National electricity supply, 754 National emission reduction pathways, 150 National Energy Administration of China (NEA), 1946 National Environment Council (CONAMA), 1290 National Innovation System (NIS), 1853, 1856 National Solid Waste Policy, 332 National System of Conservation Units (SNUC), 1291 National Waste Management Plan, 967 Natural Ecosystem Services, 923, 924

1984 Natural fibers, 1005 economic value, 1008 non-wood fibers, 1006 wood fibers, 1006 Nature, 215 and ancient humans, 215–217 and capitalism, 217–219 earth, 220–221 Neighborhoods, 1644–1646 Neighborhood sustainability assessment tools, 1646–1647 ability to adapt local indicators, 1647 comparative and similarity analysis, 1653–1656 identification of publication, 1649–1650 interpretation of tools, 1651–1653 methodological approach, 1647–1649 recommendations, 1657–1658 Neo-institutional theory, 751, 752, 754, 765 Nested institutions, 879 New Economic Policy (NEP), 113 New Environmental Governance (NEG), 482 New normal, 127–129 New York University, 501 NGO, 797 Nitrogen fertilizer, 1753–1755, 1763 Nitrogen Use Efficiency (NUE) of livestock farming, 1759 “NNTOOL” tool, 1702 Nonacademic stakeholders, 953 Non-biodegradable polymers, 1143 Non-formal education, 931 Non-hazardous waste, 533 Non-organic fraction of municipal waste (NOFMW), 535, 543, 545, 548 Non-probabilistic sampling, 131 Non-renewable polymer, 1141 Non-renewable resources, 1329 Normative directionality, 1560 Normative nudges, 1367 Normativity, 849 North East of England ports future smart ports, 834 port analysis, 825, 826 port size comparison, 824 relevant projects and funded research initiatives, 826 research summary, 821, 822 role, 818 SWOT analysis, 822, 824 UK maritime clusters, 820 workshops with local ports, 827, 831 NVivo software, 132

Index O Occupancy type and configuration analysis, 1343–1345 Ocean transportation, 810 Odebrecht Holding Group, 1853 Official development assistance (ODA), 17, 1481, 1483–1484 Olive Mill Solid Waste (OMSW), 1409 Olive oil industry, CE Greece, 1415–1417 oil extraction technologies, 1406 olive oil mill waste (OOMW), 1407, 1408 products and by-products, 1406 total global olive oil production, 1405 valorization of olive oil by-products and waste, 1408 Olive oil mill waste (OOMW), 1405, 1407, 1408, 1410, 1415–1418 Olive pomace, 1406, 1408–1410, 1416, 1417 One country-two systems, 584 One-health conceptual model, 1449, 1450 One Planet network, 1789 Online instruction, 989 On-shore transport, 817 Open data, 1461 by administrations and enterprises, 1468–1471 criteria for, 1463 citizen science and volunteered geographic data, 1472–1476 default and request, 1471 findable, accessible, interoperable, and reusable (FAIR) data, 1463 grades, 1464 principles of, 1471 significance of, 1462 Open-ended semi-structured interview questions, 1830 Open innovation, 1851, 1853, 1855–1857, 1860–1864 Open Knowledge Foundation, 1462 Open-source hardware (OSH), 1171 Open-source software (OSS), 1171 Operational efficiency, 809, 810 Operations management, 1529 Organic compost, 453, 455, 459–461 Organic food systems, 1921 Organic fraction of municipal waste (OFMW), 535, 543, 545 Organic solid waste, 323, 326, 328, 451, 452, 461 Organic waste, 450–453, 458, 460, 461 Organic waste composting, 1230

Index Organization for Economic Cooperation and Development (OECD), 342, 558 Ornamental plant, 106 Otto von Guericke University Magdeburg (OVGU), 412–415, 418, 420 Our Common Future, 1640 Outliers, 952, 958 Ownership of shared goals, 206 P Paddy Price Subsidy Scheme (SSHP), 99 Padiberas Nasional Berhad (BERNAS), 93, 96 Palm oil management practices, 1528 Palm oil mill effluent (POME), 108, 1542, 1543 Palm oil sustainability consumers, 1529 debates against palm oil producers, 1528 environmental non-government organizations, 1527 smallholders, 1527 top management certification policies, 1528, 1529 Pandemic, 128–129 Paper bags, 1921 The Paris Agreement, 1896 Paris Agreement, 196, 205, 274, 291, 1936 Paris, France, 1880 Parisian model, 1881 Participatory community-based science, 953 Particle swarm optimization (PSO), 1940 Particulate matter (PM), 1161–1163, 1168 Partnership for Research and Innovation, 1721 Passive tracking system, 1938 Passo Fundo community, 1663 Past design, 1760 PÅTÅR coffee, 1860 Pedigree matrix, 1147, 1148 Peer-to-Peer transactions, 1835, 1839 People-First PPP, 1490, 1491, 1497 Perceptions of the Forests’ Ecosystem Services Value, 1193 Periphery, 1502, 1504 Personal protective equipment (PPE), 1243 Personal responsibility, 583 Personal skepticism, 474 Pest management, 1594 Petrochemical polymers, 1141, 1143, 1152, 1155 Pharmaceutical waste (PM) management, 1250 disposal of, 1264 ethical issues, 1255 experts’ knowledge, 1262 household pharmaceuticals, 1253

1985 improper management, 1251 instruments, 1254 medical facilities, 1252 medicare facilities, 1258 mixed-method approach, 1254 out-of-date and unused discarded medicinal drugs, 1251 patients’ perception, 1256, 1258 pharmacists’ perception, 1255, 1257 pharmacists’ respondents, 1263 policy, 1252 public policy guidelines, 1263 study area, 1253 study sampling, 1254 Photovoltaic (PV) system, 1937 Photovoltaic-thermal (PVT) system, 1937 Pioneer Parks, 779 Piteira, Xana applying and spreading S3, 644–645 “Artful Participation”, 645 educational and society model, failures in, 642 journey, holistic learning, permaculture and eco-village design, 642–643 journey and relocation, 643 pioneer project, 643 S3 patterns, 644 S3 practitioners and part of a network, 644 traveler’s pattern, 643–644 Planetary boundaries, 394 Planetary consciousness, 1736 Planetary health, 923 health communicators, 933 health for human health, 939 Planet’s resources, insufficiency, 1055 Plan Melbourne, 1879 Planning projects, 1561 Plants, 396 Plastic films, 1153 Plastics, 1003, 1622 advantages of, 1622 attitude towards, 1628 availability of information on the impacts of health, 1629–1630 European strategy for, 1623 frequencies and modalities of consumption of, 1626–1628 impact on health, 1628–1629 microplastics, 1624 online survey, for willingness to change plastic consumption, 1625–1626 polyethylene terephthalate bottles, 1623 recycling, 1003

1986 Plastics (cont.) responsibility to adapt the buying behavior, 1632–1633 waste, 621 ways to increase awareness of the impacts of consumption, 1632 willingness to reduce consumption, 1630–1631 Pleistocene, 219 Pleurotus citrinopileatus, 1417 Plug-and-play approach, 1334 Poetry, 1064–1072 and sustainable wor(l)d, 1063–1064 tool for understanding science of sustainability, 1064–1066 Policy apathy, 120 and decision-making, 947 makers, 1021, 1855, 1864 Polish higher education sector, 710–711 Political ecology, 1503, 1507 Political visions and governance, 1888 Pollutants, 1162, 1163, 1165, 1166, 1169–1171 Pollution from agricultural waste, 1912 Pólos de Tecnologia do Sistema Paulista de Parques Tecnológicos (SPTec), 783 Polyethylene terephthalate (PET) bottles, 1623 Polymers, 1003 biopolymers, 1004, 1011 in single-use plastic bag production, 1142–1143 synthetic polymers, 1003 Pontifical Catholic University of Campinas (PUC-Campinas), 783 Popularization of assessment tools, 1646 Port community system, 836 Port governance, 813, 814 Port infrastructures, 807, 817 Portland Plan, 1877, 1878 Portland, United States, 1877 Port maps, 827 Port of Rotterdam White Paper, 814 Port operations, 807, 809, 810, 815–817, 831, 833, 834, 838, 840 Port Optimizer digital platform, 836 Ports, 807, 809–811, 837 Portugal, 1180, 1185, 1186, 1188, 1193, 1195–1197 categories and implications in waste ecological challenges, 973 composite waste indicators framework, 972–976 interdisciplinary ecological challenges, 969 Sociocracy 3.0 in (see Sociocracy 3.0) Post anthropocene, 1662

Index Post-growth, 856, 857 interdependency, 857–859 service innovation, 861, 862 social innovation, 863–865 technical innovation, 859–861 wellbeing, 865, 866 Post-sustainability, 633 Poverty, 724, 725, 733 Power global hierarchies in research, 957 imbalances, 241 precarity of researchers, 958 power consumption self-sufficient green building for, 1941–1942 PoW mechanism, 265 Precautionary principle, 957 Precision, 1929 Pre-demolition audit, 1798 Prediction models, 1701, 1706, 1707 Predictive analytics, 1027–1029 Preferred Reporting Items for Systematic reviews and Meta-Analyzes (PRISMA) method, 326 Prescriptive analytics, 1027 Preservation, 118 Previous academic achievement, 562, 567 Pricing mechanism, 92–93 Priming nudges, 1367 Printing waste (PW), 542 Private electricity companies, 755 Problem-based learning (PBL), 343, 345, 347, 348, 361, 364 Process system engineering design methodology, 1723 Product-service systems (PSS), 1315, 1316 Professional development, 176 Professors, 694 Project-based learning, 696 Project management, 1130, 1131, 1136 Project roadmap, 810 PROSODOL, 1416 Prosperkolleg project, 1564–1566, 1577 Publications, 277, 280, 281, 284, 291–294 Public health approaches, 934 Public opinion, 1644 Public participation in environmental decision making, 930 Public-private partnerships (PPP), 15, 16 civil society institutions, 1494–1495 private business, 1492–1494 public authorities, 1492 role of science in development, 1495–1496 for sustainable development goals, 1489–1491 Public transportation, 1653

Index Q Quadruple helix models, 782, 785 Quadruple helix framework, 794 Qualitative interview recruitment and thematic analysis, 474 Qualitative research, 12 Quality education, 312, 696 Quality of work, 33 Quality-price ratio, 1347 Quality sustainability decision support system (QSDSS), 1595 Quantification limit of method (QL), 1099 R R.A.I.N. method, 1117 Rainwater treatment solution, 1857 “RAND()” function, 1704 Raspberry Pi, 1171 Rate of maternity mortality (RMM), 667, 668 ReciclApp, 607 Recovery and Resilience Facility (RRF), 1807 Recovery and Resilience Plan (RRP), 1807 Recovery for sustainability, 1383, 1387, 1389, 1390, 1392 Recovery of organic waste, 332 Recyclable solid waste, 621, 623, 626 Recycled Construction Materials Ordinance, 1798 Recycle UFBA program, 623, 624 Recycling, 532, 533, 548, 552–555, 1076, 1795 input rates for different materials, 1076 robotized pre-recycling technique, 1077–1083 traditional e-waste, 1076–1077 of waste, 323–325, 332, 333 Red Campus Sustentable carbon neutrality working group, 436–442 method to achieve HEIs’ carbon neutrality, 433–436 objectives, 431 perspectives on critical issues, 442–444 Reference air quality monitoring equipment, 1170 Reference systems for sources of energy meeting global energy demand, 1926 Reference values for domestic energy, 1222 of waste generation, 1220 Reflective thinking, 1203–1204 Reflective Thinking Measurement Questionnaire coefficient for habitual action, 1210

1987 Cronbach’s Alphas and Omega coefficients, 1207 development of, 1204 scales for evaluation, 1204 statistical test, 1205 steps for validation, 1205 translation and adaptation of, 1206 Reform, 986, 990, 994, 995 Regenerative cultures, 637, 645, 651 Regenerative design, 1113 Regenerative landscape, 1669, 1675 Regional Off-Grid Electrification Project (ROGEP), 63 Regression model, 1024, 1590, 1593 Regulatory agency, 1530 Regulatory focus theory, 1365 Reliability, 1148 Remote working, 881 Renewable energy, 752, 1385, 1392–1394 Renewable Energy Directive (RED) (2009/28/EC), 1923 Renewable polymers, 1141, 1143, 1155 Renewable resources, 1329 Renovation, 1793, 1794 Reporte y Evaluación de la Sustentabilidad en Instituciones de Educación Superior (RESIES), 433 Reproduction, 859 Research design, 1565 economic drivers of, 953 English-only mode, 957 global challenges, collaboration and inequalities, 957 projects, 1558 risks to scientific integrity, 958 sustainability challenges, 947, 948 translation, 208 Research and development (R&D), 1382 Residue hierarchy, 323 Resilience, 835, 986, 1448, 1449 Resilience management, 879 Resistance to sustainability, 1736, 1741 ReSOLVE framework, 1361 Resource-consumption based development model, 1432 Resource management, 1296 Response-ability, 400 Responsible Research and Innovation (RRI), 781 RetroFirst campaign, 1805 Returnable Trade Items (RTIs) system, 1044 Return on Investment (ROI), 837 Reuse, 1793, 1794 Rice stockpile, 93–94

1988 Robotized pre-recycling technique, 1077 automated pre-recycling approach, 1077–1078 cordless screwdriver, 1078–1083 implementation barriers, 1083–1084 Roundtable on Responsible Soy (RTRS), 109 Roundtable on sustainable palm oil (RSPO), 1521 R-strategies, 1316, 1322 Rubber Industry Smallholders Development Authority (RISDA), 106 Ruhr Area, 1564 Runaway global warming, 1510 Rural areas cancer scenario, 1511–1512 diverse and sustainable, 1505–1509 futures through metaphors, 1509–1514 healing scenario, 1512–1514 heart attack scenario, 1509–1511 rural-urban relationship, 1503–1505 Rural electrification, SIDS, 57 complex investment landscape, 63 development assistance, 62 financial, 62 institutional capacity, 61 social vulnerability, 63 technological and technical expertise, 62 technological appropriateness, 61 S Safety, 728 and security, 809 Saint Louis University, 503 Salience nudges, 1367 Sanitary landfills diagnosis of environmental impacts of, 1099–1104 ground and surface water monitoring, 1099–1104 solid waste management, 1105 vulnerability of local aquifer, 1099 Sanitation, 727, 732 Santander Data Processing Center, 783 Sao Tome and Principe (STP), 53, 63 Sapporo Declaration, 906 SARS-19 virus, 1160 Scale jumping, 1116 Scale-up processes, 635, 650, 1687, 1694 See also Upcycling Scholars, 1021 School education, 225

Index Science and poetry, 1064, 1072 Science and Technology Parks (STPs), 780 Science and Technology policy, 658, 662 Science mapping, 275 Scientific integrity, 958 SCOPUS database, 1165, 1171 Scrum, 1562, 1576, 1577 adaption, 1573 advantages, 1570, 1572, 1575 appreciation, 1572 closed feedback loops, 1571 difficult in non-agile environments, 1572 direct and continuous improvement, 1571 disadvantages, 1572, 1573, 1575 expenditure of time, 1572 flexibility, 1570 focus and commitment, 1573 inductive coding process, 1576 inspection, 1573 no predictable project plan, 1572 ongoing communication, 1571 open-endedness and uncertainty, 1574 participant’s autonomy, 1571 poor stakeholder engagement, 1572 practicability, 1572 product backlog, 1574 product goal, 1573 project management tool, 1565 in Prosperkolleg, 1562, 1563, 1566 in research projects, 1575 sprint backlog, 1574 sprint goal, 1574 sustainability transformation projects, 1568, 1574 teamwork-oriented framework, 1570 transparency, 1573 user focus, 1571 Scrum master, 1562 SDG’s in the regional university, 794, 796, 797, 799–802 Sea traffic management (STM) solutions, 836 Secondary education, 667 Seed hybridization, 1603 Selective collection of organic waste, 333 Self-efficacy, 559, 566, 569 Self-learning, 583 Self-sufficiency level (SSL), 78–80 Self-sufficient green building, 1941–1942 Self-sufficient policy, 1588 Selous Metallurgical Complex Platinum Smelting Group (PGM), 1169 Semi-passive tracking system, 1938

Index Senses, poetry and theatre labs for sustainability, practical experiences, 1065, 1066 Sensoriality and beauty, educational tools for sustainable development, 1058–1059 Separation at source, 534, 548, 553, 554 Serra Geral Aquifer System (SASG), 1096 Service oriented economic model, 1432 Shadow education, 583 Shared knowledge and communities of practice, 207 Sharing, 1793 Sharing economy, 466 Shinshu University FD team, 1762 Short supply chains, 1513 Shrimp aquaculture, 759–761, 763 Silencing, 958 Silent Spring, 922, 923 Silo CESA, 1667 Silo Museum, 1670 Similarity of indicators, 1654–1655 Single mothers, 1243 Single-use plastic bag production polymers in, 1142–1143 production process, 1143–1145 Sino-British handover agreement, 580 Six SDG Transformations for Europe, 683 Skepticism, 860 Sliding scales, 960 Small and medium-sized enterprises (SMEs), 861, 1775–1782 Small Island Developing States (SIDS) community development, 67 energy access rate, 54 energy distribution, 53 energy landscape, 52, 55 financing mechanisms, 66 IRENA database, 52 methodological framework, 56 monitoring and evaluation, 67 overview, 51 Pacific Island Countries (PICs), 55 poor and rural areas, 51 rural electrification policy, 64 technology suitability, 67 urban and rural landscape, 64 Smart contracts, 267, 1838 Smart Digital Ports of the Future 2022, 836 Smart food industry, 1036 Smart grid, 1941–1942, 1945, 1948 Smart logistics, 807

1989 Smart port, 816 cloud, 817 definition, 815 environment, 817 infrastructure, 817 intertwined aspects of smart innovation, 819 logistics, 817 North East of England (see North East of England ports) on-shore transport, 817 for strategic competitiveness, 818 Smart port infrastructure, 836 Smart Ports Global Market Report 2022, 836 Smart Ports Testbed Pilot project competing solutions, 809 design-led innovation approach, 809 industry partner, 809 Smart Ports Value Calculator, 836 Snowball literature search, 326, 328 SO2 emission data, 1169 Social change, 634 Social dimension, 1381, 1833 Social distancing, 880 Social-economic data, 665, 668 Social entrepreneurship, 863 bottom-up initiatives, 1855–1857 challenges, 1851 dual or hybrid organizations, 1852 emerging economies, 1853–1855 empirical evidence on entrepreneurs, 1864 framework, 1863 The How, 1859–1861 The What, 1857 The Where, 1858, 1859 The Who, 1861, 1862 The Why, 1858 Social handprints, 369 Social hazards with resilience thinking, 876–877 on sustainable urban development, 876 Social impact structure, 602 Social interventions (SI), 856, 863, 864, 1057, 1236, 1237, 1239, 1241, 1243, 1245, 1851–1856, 1862, 1864 Social license, 757, 758 Social media, 224 Social movement, 640 Social resilience, 877 Social responsibility, 316 Social/societal sustainability reforms, 374 Social sustainability, 31, 232, 709 Social sustainability handprint, 370, 372–388

1990 Social technologies Banco do Brasil, 663, 665 characteristics, 658 definition, 657, 660, 661 geographical distribution, 668, 669 methodology and data, 665 social-economic data, 665–668 themes and SDGs, 670, 673 Social transformation, 639 Social values, 1308 Social welfare, 1382 Sociocracy 3.0, 638 eight learning-cases, 646–650 Piteira, Xana, 642–645 S3 7 principles, 638 S3 reductive synthesis, 638 typology of experiences and management of transition, 647 Sociodemographic characterization, 1240 Socioeconomic paradigm, 1381 Soil organic matter (SOM), 1451 Solar power, 1936, 1944, 1947, 1948 battery system, 1940–1941 capacities in China, 1944, 1946 Solar tracking technologies, 1938 Solid fuel combustion, 1171 Solid organic waste, 452 Solid waste management, 325, 329, 331–333 Solid Waste Management Index for Higher Education Institutions (HEI), 331 Solid waste management (SWM), 603 Solution-oriented programs, 1382 Soular Backpack, 1857, 1860–1862 Source separation, 533 South African Air Quality Information System (SAAQIS) network, 1165 South African National ambient air quality standards (NAAQS), 1164 Southern Africa Development Community (SADC), 1169 Space needs program, 1669 Spatial data, 1465–1466 citizen science and volunteered geographic data, 1466–1467 default and request, 1471 spatial data infrastructures, 1468–1470 Spearman correlation coefficient, 1702, 1704 SSP-RCP framework, 150 Stability, 1586 Stakeholder workshop, 833 Standardized precipitation index (SPI), 1594 Standardization protocol, 453 State owned port, 814

Index State-Trait Anxiety Inventory (STAI), 563 STATISTICA 7 software, 1702 Statistical analysis, 1387–1391, 1393 Status Quo Agile 2020, 1130 Strategic environmental assessment (SEA), 1300 Strategic planning, 303, 307 Structural adjustment programme (SAP), 19 Student enrolment at Australian universities, 198 Studentenwerk, 419 Students, 694, 695, 796–802 Students’ inequality, 587 Studio Re:design, 1685 Sub-Saharan Africa (SSA), COVID-19, 1274 crises on children, 1276 effects, 1277 herbal medicine and steam inhalation, 1278 impact of business, 1275 social actions, 1280 social protection engagement, 1274, 1275 socioeconomic impacts, 1274 stigmatization, 1279 Successful neighborhood model, 1650 Suitable production, 1685, 1686, 1693 SULPiTER, 703 Supply chain management (SCM), 1607–1608 Support vector machines (SVM), 1590 Sustainability, 178, 254, 268, 274, 275, 285, 288, 291, 292, 294, 300–304, 306, 307, 315, 317, 408, 409, 416, 418, 634, 856, 858, 1054, 1057, 1058, 1061, 1064–1072, 1112, 1113, 1130, 1135, 1286–1289, 1300, 1328, 1505, 1507, 1508, 1513, 1604, 1607, 1700, 1701, 1828–1832, 1834–1836, 1839–1844, 1875 assessment, 304–306, 1733 challenges towards 2050, 137–139 change, knowledge, reuse, 136 critical ethnography, 131 description, 136–137 environment and environmental, 137 exploratory models of, 849 future in 2050, 134 labor market, 134 lessons from pandemic, 139 and new business opportunities, 809 principles, 578 strategies, 848 World 3 and Bariloche models, 850–852 Sustainability Assessment Questionnaire (SAQ), 324, 333

Index Sustainability Assessment tool for technological higher education, 332 Sustainability Assessment Tools (SATs), 904 Sustainability competencies, in higher education students, 341–342, 350, 351 advanced level, 352–355 assessment of, 343 beginner level, 349–352 data analysis, 348–349 data collection, 348 expert level, 355–360 participants and context, 346–347 real-life problems and education for sustainable development, 343–345 research design, 345–346 Sustainability consciousness, 582 conceptual and practical construct, 589 definition, 588 features of, 582 with “nil participation” paradox, 588 teaching descriptors of, 585 Sustainability curricula, 579–580 Sustainability Development Goals (SDGs), 1730–1735, 1737–1742, 1744, 1745 Sustainability education, 579 in digital age, 988–990 eco-centric curricula in, 990–992 environments for teaching and learning, 992–993 holistic model, 996 move upward approach, 994 reforms, 994 Sustainability ensoulment, 588 Sustainability future, 223–226 Sustainability handprints, 369–372, 376 Sustainability issues, 927 Sustainability-oriented curriculum, 1382 Sustainability-oriented social entrepreneurship, 1851, 1852, 1863 Sustainability reporting, 1770 and financial reporting, 1776 and integrated reporting in SME, 1778–1780 Sustainability science, 368–370, 372–379, 579, 1561 Sustainability Tracking, Assessment and Rating (STARS), 201, 304, 324, 331, 334, 496–498, 500, 505 Sustainability transformation projects, 1568, 1574 collaboration, 1569 implementation, 1569 management, 1578 research approach, 1569

1991 Sustainability transformations and transitions, 1559, 1560 Sustainability transitions, 752–753, 946, 1309, 1313, 1314 circularity as, 468–470 intermediaries in, 472–473 Sustainable buildings and construction, 1789 Sustainable business practices, 754 Sustainable circular economy cyber-physical agricultural swarm system, 1318–1320 design, 1312–1316 last-mile automated mobility system, 1320–1321 passive, preventative exoskeleton, 1317–1318 Sustainable circular economy, 1311–1312 Sustainable consumption, 1680 behavioral economics, 1364–1366 green nudges, 1366–1368 Sustainable consumption and production (SCP), 1354, 1355, 1360, 1367–1371 Sustainable design, 1686 Sustainable development, 16–17, 300–304, 316, 325, 633, 755, 906, 1055, 1057, 1060, 1472–1475, 1663, 1666, 1669, 1940 barriers to, 5 capacity building, 6 challenges in, 1956, 1959 circular and doughnut economics for, 467–468 COVID-19 pandemic, 6, 1956 definition, 1954, 1955 elements which influence the future of, 8 future trends on, 6–7, 1961, 1962 governance, 4, 468 role of education, 5 societal changes and new behaviors, 7 and technology, 7, 1308–1309 Sustainable development agenda, 201 Sustainable development concept, 910 Sustainable development framework, 578 Sustainable development goals (SDGs), 112, 369, 372, 558, 577, 618, 619, 624–626, 657, 662, 673–675, 680, 682, 695, 702, 774, 775, 784, 786, 787, 970, 1020, 1037, 1091, 1093, 1104, 1184, 1480, 1513, 1521, 1604, 1616, 1716, 1758, 1774 access to technologies, 1488 and Brazilian HEIs, 306–317

1992 Sustainable development goals (SDGs) (cont.) challenges in new educational path design, 708–716 economic and global challenges, 704 financial support, 1485–1486 Germany case study, 710 higher education sector (HES), 703 institutional environment, 1486–1487 Italian HEIs, 711, 712 Polish higher education sector, 710–711 public-private partnerships, 1489–1491 SDG 1, 724–725 SDG 3, 725–726 SDG 5, 1236–1238, 1243–1245 SDG 6, 727 SDG 11, 728 SDG 13, 728–729 training and institutional capacity, 1487–1488 universities approach, 705–707 Sustainable development goals 12 (SDG12), 1372, 1373 business-friendly regulatory approach, 1373 carbon pricing, 1368–1369 implementation initiatives, 1359–1360 indicators, 1355–1356 MOI, 1358–1359 Sustainable development in agriculture, 101 Sustainable Development of Energy, Water and Environment Systems (SDEWES) Index dimensions and indicator framework of, 169–171 urban mitigation actions, 167–168 Sustainable Development Solutions Network (SDSN), 581 Sustainable food system, 1038 agricultural cultivation, 1038, 1039 distribution and logistic, 1042 food consumption, 1045–1047 food processing and manufacturing, 1040 food quality control, 1041 work labor, 1044, 1045 Sustainable geotourism, 1288–1291 Sustainable materials, 1004 Sustainable production circular economy principles, 1360–1362 VSS, 1362–1364 Sustainable products, 1005, 1009, 1013 Sustainable recovery, 1378, 1383, 1387, 1390–1394 Sustainable Shrimp Partnership (SSP), 760 Sustainable societal development, 1738 Sustainable societies, 936

Index Sustainable supply chain management, 1832 economic dimension of sustainability, 1834 environmental dimension of sustainability, 1832 social dimension of sustainability, 1833 Sustainable technology, 1309–1311, 1321 Sustainable urban development, 1643, 1644 Sustainable urban logistics plans (SULPs), 703 Sustainable Urban Mobility Plan (SUMP), 711 Sustainable waste management, 533 Swansea Declaration, 906 Swedish Defense University, 1738 Swedish Higher Education Authority, 1731–1733, 1737–1739, 1741, 1742 Swedish Maritime Administration (SMA) MonaLisa project, 836 SWOT analysis, 822, 824 Synanthropic species, 1448 Synthetic fertilizer, 1603 Synthetic fibers, 1009 System/institutional level social/societal sustainability approaches, 374 Systematic coordinated approach, 1487 Systematic review, 1647 Systemic design, 956 Systemic review, 1608, 1615 Systems biophysical, 950 cascades, 950 complexity, 951 critical thresholds, 950, 952 human, 947 mathematical, 950 natural, 947 T Take-make-dispose pattern, 1400 Talloires Declaration, 905 Teaching activities, 608 Team Humber Maritime Alliance (THMA), 826 Techno-Finance, 1544–1545 Technological advancement, 1541, 1544, 1545 Technological change, 31, 37 Technological correlation, 1149 Technology, 254, 257, 258, 264 Technology assessment (TA), 861 Technology innovation, 1308, 1309 Technology parks, 774, 775, 778–780, 782, 784, 785, 787, 788 Technology transfer (TOT), 114 Telework, 40 Temporal correlation, 1148

Index Terminal automation, 836 Terminal Operative Systems (TOS), 817 Tertiary Education Facilities Management Association (TEFMA), 201 Tertiary Quality and Standards Agency (TEQSA), 198 Textile and wood upcycling businesses, 1687 Textiles, 232 Theatre-like experiments, 1067, 1068 Theoretical framework academic motivation construct, 559, 560 materials, 562 methods, 563, 564 present study, 562 prior academic achievement, 560, 561 results, 564, 566, 567 Third generation science parks, 779, 781 Third Mission model of University, 794 Times Higher Education Impact Ranking (THEIR), 301, 304, 305, 307, 308, 317 Time-stamping methods, 266 Top-down approach, 1853, 1855, 1856, 1864 Total factor productivity, 857 Total mass of coffee preparation residues, 454, 458 Total organic matter, 456 Tourism, 1288, 1294 Town’s Comprehensive Future Plan, 1762 Toxic emissions, 1169 Traceability, 266, 1837 Tracking system, 1938 Trade unions, 117 Traditional construction process, 1346 Traditional educational practices, 583 Traditional e-waste recycling, 1076–1077 Traditional extraction of olive oil, 1406 Traffic management system, 836 Transboundary River Basin Nexus Approach methodology, 1721 Transdisciplinary research, 947, 953, 954, 956, 959, 1130–1131 Transforma!, 663, 664, 673 Transformation, 408–410, 412 Transformational sustainability research projects, 1574 Transformation towards a circular economy, 1568 Transformative learning, 395, 400–404, 796, 800 Transgressive learning, 796 Transition amplification, 636 Transition governance, 635 Transition initiatives, 635

1993 Transition management cycle, 636 Transition mechanisms, 635 Transition model, 684 Transition theory, 402, 1309–1311 Transparency, lack or loss of, 951, 954 Transparency, 1837 Transportation, 1595–1596 Transport engineering sector, 712 Treatment Water Turbidity (TWT), 1705, 1706 Triple bottom line (TBL), 197, 1529, 1641 Triple Helix, 782 Tropical developing country, 1908 Trust port (TP), 814 Turin Declaration, 907 U UDC Cartography Laboratory (cartoLAB), 1218 UI GreenMetric, 329, 332 UI GreenMetric World University Ranking (WUR), 910–912 UK maritime clusters, 820 Ukraine integration in EU area, 712–714 sustainable city development, 712–714 UN Agenda 2030, 368, 370, 377, 1057 Uncertainty anticipatory and proactive stance, 955 methodologies for, 960 precautionary principle, 957 uncertain futures, 948 UN Conference on Environment and Development, 1354 Undergraduate final work (TFG), 1663 Unemployment, 733, 741, 744 UN-Habitat’s City Prosperity Index, 1721 Unicamp Innovation Agency (INOVA), 783 United Kingdom Science Park Association (UKSPA), 780 United Nations, 1020, 1955 United Nations Children’s Fund (UNICEF), 1020 United Nations Commission on Environment and Development (UNCED), 1733 United Nations’ Conference on Trade and Development (UNCTAD), 813 United Nations Decade of Education for Sustainable Development (UNDESD) 2005-2014, 199 United Nations Development Program (UNDP), 1911

1994 United Nations Economic Commission for Europe (UNECE), 342 United Nations Educational, Scientific and Cultural Organization (UNESCO), 1239 United Nations Environment Program (UNEP), 1755 United Nations’ SDG 10 Reduced Inequalities, 1890 United Nations Sustainable Development Goals (UN SDGs), 215, 368, 370, 377, 380, 383–388, 750 Universal Declaration of Bioethics and Human Rights (UDBHR), 1239 Universities, 4, 302–304, 307–309, 311–318 Universiti Sains Malaysia (USM) model, 180 pedagogical innovations, 187–190 PIMPIN Siswa, 181–184 policy role to set direction and affirm action, 190–191 risk reduction and knowledge-transfer projects, 184–187 sustainability assessment methodology, 180–181 University built environment programs, 203 University commitment to sustainability, 581 Hong Kong Baptist University, 581 Hong Kong University of Science and Technology, 581 University of Hong Kong, 581 University of A Coruña (UDC) generation and on-site composting of bio-waste, from canteen services, 545–547 generation of CDW, WEEE, HW, B and PW, 542–543 main campus, 534 new selective collection model for PC-OFMW-NOFMW, 550–552 overall assessment and main challenges, 552–554 per capita waste generation and comparison, with HEIs, 550–551 quality of selective collection and aspects, 536 quantity and composition of OFMW and NOFMW streams, 543–545 selective collection of waste paper/ cardboard, glass and batteries, 543 sources of information and study approach, 534–535 total waste generation, composition and selective collection, 549

Index type and number of waste containers and frequency of waste collection, 539–542 waste quantities, 535–536 waste streams, origin and agents, 537–538 University of Campinas (Unicamp), 774, 783, 786, 787 University of Manchester, 1732, 1740 University of Pennsylvania, 501 University sustainability model, 577 structural trap, 589 sustainability implementation, 590 Unsheathed structural panels, 1339 Unsustainability, 794, 799, 801 Upcycling biotechnological upcycling of plastic waste, 1688 of building materials, 1795 categories of cross-industry and crosscountry challenges in, 1692 challenges and opportunities in construction and demolition wastes, 1686 clothing industry, 1687 craft-based, 1685 definition, 1680 development of, 1680 of electronics, 1684 furniture, 1685 macro-enablers and meso-enablers, 1688 opportunities for successful, 1694 stakeholders, 1689 textile and wood, 1687 URBACT, 702 Urban adaptive systems complex nature of, 877–878 digital cities, 878–879 Urban agriculture, 1450 Urban communities, 1160, 1164, 1165, 1169–1172 Urban ecosystem services, 1113–1114 categories, 1119–1122 R.A.I.N. method, 1117 Urban environment, 1936 green building development, 1937 solar tracking technologies, development of, 1938 Urban form, 1889 Urban growth, 149, 151 Urban health challenges, 724, 730, 731, 743 Urbanization, 221, 666, 714, 889, 1643 Urban oasis, 1663 comunativa sector, 1672–1676 contemplative sector, 1672–1673 immersive sector, 1670–1672

Index Urban planning, 633 Urban project programs, 1642 Urban resilience, 875–877 Urban sustainability in Africa and the Middle East, 160–161 in Asia and Developing Pacific, 157–158 climate action, 162–165 definition, 875 in Eurasia and developed countries, 153–154 impact of COVID-19 pandemic on, 879–883 in Latin America and the Caribbean, 158–159 method and approach for pathway determination, 150–154 and urban resilience, 876 Urban Waste Management Hierarchy Index (UWMHI), 975 Urban workshops, 1069–1072 USC Cinematic Arts building, 1792 Utility value, 561 V Valorization of olive oil waste, 1409–1411, 1417 Valorization processes, 1409 Value-based sustainability, 584 Value component, 559 Value of food production, 1899 Values, 850 Ville du quart d’heure, 1880 Vision, 139–140 Voluntary sustainability standards (VSS), 1362–1364 Volunteered geographic information (VGI), 1466, 1467 VOSviewer, 289 VOSviewer v. 1.6.15, 276 Vulnerability maps, 1472 Vulnerable populations, 1236 Vulnerable regions, 238, 239 Vygotsky, 588 learning theory, 588 sociocultural perspective, 588 W Warsaw School of Economics (WSE), 710 Wärtsilä’s Sea Traffic Management, 836 Wärtsilä Voyage’s Navi-Port platform, 836 Waste composition, 536, 551

1995 Waste Framework Directive (WFD), 1797 Waste generation, 532, 534, 536, 547–551, 554, 1331 Waste Landfill Quality Index (IQR), 1098 Waste management, 240, 554, 1219, 1220, 1227–1229 and education, 533 practices, 970, 972, 976 Waste management treatment structural relationship between TechnoFinance and, 1544–1545 sustainability challenges due to, 1541–1544 Waste management (WM), 618, 619, 621, 627 Waste minimization and diversion, 334 Waste of electrical and electronic equipment (WEEE), 542, 553 Waste pickers, 618–627 Waste prevention, 533 Waste recyclables, 620 Waste recycling, 621, 624 Waste reduction, 1402 Water consumption devices, 1218 Water contamination, 1100 Water-Energy-Food (WEF) nexus articles characteristics, 1718 case studies, geographical scale, place of analysis and objectives, 1717 content evaluation, 1713 data extraction, cross search and results synthesis, 1713 definition, 1716 future research trends, 1723, 1724 indicators, 1720, 1721 input-output analysis (“I-O”), 1721, 1722 literature review protocol, 1712 sustainable development goals (SDGs), 1716 Water management, 1387 Water treatment plants (WTP), 1700, 1701, 1703, 1705, 1706 Water use efficiency indicators, 1221 Weak signals, 952 Web mapping service, 1467 Web of Science, 1959 WEF Nexus Tool 2.0., 1721 Wellbeing, 865 Wetland paddy, 88 Winter wheat, 1593 Women waste handlers (WWH), Ghana bioethical paradigm related to gender equality, 1238 data related to the occupational activities, 1241

1996 Women waste handlers (WWH), Ghana (cont.) ethical considerations, 1242 occupational safety and health risk issues, 1243 sample characterization, 1239, 1240 SDG5, 1237, 1238, 1243 single mothers, 1243 symptoms associated with professional activities, 1242 Work, 400 Work Packages (WPs), 808 Workshops with local ports, 827 World 3 model, 850–852 World Bank, 724 World Café, 183 World Commission on Environment and Development (WCED), 300, 680 World Economic Forum, 1716 World Environment Day, 1226 World Food Programme (WFP), 1020 World Health Organization (WHO), 1020 World University Ranking (WUR) methodology, 904

Index Y 10-Year Framework of Programmes on Sustainable Consumption and Production Patterns (10YFP), 1354 Young children ecological and sustainability issues, 889 educational interventions, 898 environmental and sustainability issues, 894 environmental attitudes and values, 896 environmental perceptions, 892 natural environment, 893 social and economic aspects, 898 Z Zeitz Museum of Contemporary Art, 1670 Zero Waste strategy, 331, 332