Michael Stauffacher

Transdisciplinary research in sustainability science: practice, principles, and challenges

There is emerging agreement that sustainability challenges require new ways of knowledge production and decision-making. One key aspect of sustainability science, therefore, is the involvement of actors from outside academia into the research process in order to integrate the best available knowledge, reconcile values and preferences, as well as create ownership for problems and solution options. Transdisciplinary, community-based, interactive, or participatory research approaches are often suggested as appropriate means to meet both the requirements posed by real-world problems as well as the goals of sustainability science as a transformational scientific field. Dispersed literature on these approaches and a variety of empirical projects applying them make it difficult for interested researchers and practitioners to review and become familiar with key components and design principles of how to do transdisciplinary sustainability research. Starting from a conceptual model of an ideal–typical transdisciplinary research process, this article synthesizes and structures such a set of principles from various strands of the literature and empirical experiences. We then elaborate on them, looking at challenges and some coping strategies as experienced in transdisciplinary sustainability projects in Europe, North America, South America, Africa, and Asia. The article concludes with future research needed in order to further enhance the practice of transdisciplinary sustainability research.

Transdisciplinary case studies as a means of sustainability learning: Historical framework and theory

Purpose – This paper aims at presenting the theoretical concepts of the transdisciplinary case study approach (TCS), which is a research and teaching approach developed and elaborated at the Swiss Federal Institute of Technology (ETH), as a means of transition support.Design/methodology/approach – The paper reveals the historical roots of case studies, transdisciplinarity and sustainable development as teaching and research paradigms. The TCS approach is presented, which has been developed at ETH for supporting transition management of regional, urban, and organizational systems. This approach is entrenched by an ontology that reveals the basic characteristics of ill‐defined transition problems, an epistemology that refers to Probabilistic Functionalism and distinguishes between multi‐layered systemic and normative epistemics, a methodology that includes a set of methods for case representation (including modelling and projection), assessment, and strategy building, and a project management model that ref...

Learning to research environmental problems from a functional socio‐cultural constructivism perspective: The transdisciplinary case study approach

Purpose – The purpose of this paper is to present the transdisciplinary case study (TCS) as a learning framework based on what we call functional socio‐cultural constructivism and project‐based learning (PBL). In doing so, the paper attempts to illustrate the applicability of TCS to learn competencies and skills necessary to research problems of sustainable development.Design/methodology/approach – TCS is considered a learning framework based on the principle of self‐regulated learning; i.e. students must actively deal with the requirements as well as plan and execute their project work within their own worldviews and goals. TCS methods are essential as we tackle complex real‐world problems.Findings – The paper discusses challenges and obstacles of such an approach and present lessons learned since 1994, on both the viewpoints of students and of teachers. It conclude that case study learning is a demanding task, especially in a transdisciplinary context where more challenges emerge than in PBL, since goal...

Enabling Effective Problem-oriented Research for Sustainable Development

Environmental problems caused by human activities are increasing; biodiversity is disappearing at an unprecedented rate, soils are being irreversibly damaged, freshwater is increasingly in short supply, and the climate is changing. To reverse or even to reduce these trends will require a radical transformation in the relationship between humans and the natural environment. Just how this can be achieved within, at most, a few decades is unknown, but it is clear that academia must play a crucial role. Many believe, however, that academic institutions need to become more effective in helping societies move toward sustainability. We first synthesize current thinking about this crisis of research effectiveness. We argue that those involved in producing knowledge to solve societal problems face three particular challenges: the complexity of real-world sustainability problems, maintaining impartiality when expert knowledge is used in decision making, and ensuring the salience of the scientific knowledge for decision makers. We discuss three strategies to meet these challenges: conducting research in interdisciplinary teams, forming research partnerships with actors and experts from outside academia, and framing research questions with the aim of solving specific problems (problem orientation). However, we argue that implementing these strategies within academia will require both cultural and institutional change. We then use concepts from transition management to suggest how academic institutions can make the necessary changes. At the level of system optimization, we call for: quality criteria, career incentives, and funding schemes that reward not only disciplinary excellence but also achievements in inter-/transdisciplinary work; professional services and training through specialized centers that facilitate problem-oriented research and reciprocal knowledge exchange with society; and the integration of sustainability and inter-/transdisciplinary research practices into all teaching curricula. At the level of system innovation, we propose radical changes in institutional structures, research and career incentives, teaching programs, and research partnerships. We see much value in a view of change that emphasizes the complementarity of system innovation and system optimization. The goal must be a process of change that preserves the traditional strengths of academic research, with its emphasis on disciplinary excellence and scientific rigor, while ensuring that institutional environments and the skills, worldviews, and experiences of the involved actors adapt to the rapidly changing needs of society.

Functional‐dynamic public participation in technological decision‐making: site selection processes of nuclear waste repositories

Projects for the long‐term disposal of radioactive waste have often been hampered by strong local and regional opposition. Public participation has been recognized as a means to cope with this problem. Advocates promoting extensive public participation suggest various, mostly distinct, involvement techniques that are claimed to cover all needs. However, public participation is still a controversial issue. Several key questions need to be answered: why and when should who be involved, by whom, using which technique, and with which expected outcome? Here, a procedure with a functional‐dynamic view of public participation is proposed that combines the decision‐making process (DMP) with specific types and extents of public participation. We distinguish four discrete levels of public participation, namely information, consultation, collaboration, and empowerment. We argue that these levels of participation must fit the corresponding technical and non‐technical requirements of the different phases of the DMP and illustrate our arguments using a proposed site selection process for nuclear waste. This means that the type and the extent of public participation vary over the time span of a long‐term DMP.

Managing Transition in Clusters: Area Development Negotiations as a Tool for Sustaining Traditional Industries in a Swiss Prealpine Region

We document a two-year transdisciplinary project on the transition management processes of regional clusters in textile, timber, and dairy industries in the Swiss canton of Appenzell Ausserrhoden. This canton is a rural prealpine area, which has been historically shaped by traditional industries and which lies in the vicinity of St Gallen in the Greater Zürich Area. Scientists and regional stakeholders collaboratively planned, assessed, and discussed how to realize cooperative business strategies in order to sustain a continued presence in their selected industry. 101 stakeholders participated in a project, which made use of the area development negotiations method. This systematic and analytical method involved (a) the construction of different regional business strategies and clustering variants through formative scenario analysis, (b) a multicriteria evaluation of these variants, and (c) a multi-stakeholder consensus process on different forms of horizontal and vertical cooperation. As a result, a regional learning process with the ultimate goal of moving towards a sustainable development form was initiated between industries, public authorities, and research institutions.

Linking stakeholder visions with resource allocation scenarios and multi-criteria assessment

Stakeholders and decision makers often develop visions of the ideal-type future as a response to complex societal problems and design their actions accordingly. However, these actors sometimes have a limited understanding as to whether their visions are feasible, what action is required and what the potential consequences are. This paper presents a methodology for linking visions with quantitative resource allocation scenarios which show different options in implementing the visions. The consequences are then appraised by multi-criteria assessment in order to find optimal and acceptable ways of implementation. As a result, stakeholders and decision makers learn about their visions and may even rethink them before decision making. The methodology thus couples visionary ideas with analytical information, providing a novel approach using quantitative techniques in a soft framework. The methodology is illustrated via a real-world case study concerning the future energy system in a small Swiss community.

Context-specific energy strategies: coupling energy system visions with feasible implementation scenarios.

Conventional energy strategy defines an energy system vision (the goal), energy scenarios with technical choices and an implementation mechanism (such as economic incentives). Due to the lead of a generic vision, when applied in a specific regional context, such a strategy can deviate from the optimal one with, for instance, the lowest environmental impacts. This paper proposes an approach for developing energy strategies by simultaneously, rather than sequentially, combining multiple energy system visions and technically feasible, cost-effective energy scenarios that meet environmental constraints at a given place. The approach is illustrated by developing a residential heat supply strategy for a Swiss region. In the analyzed case, urban municipalities should focus on reducing heat demand, and rural municipalities should focus on harvesting local energy sources, primarily wood. Solar thermal units are cost-competitive in all municipalities, and their deployment should be fostered by information campaigns. Heat pumps and building refurbishment are not competitive; thus, economic incentives are essential, especially for urban municipalities. In rural municipalities, wood is cost-competitive, and community-based initiatives are likely to be most successful. Thus, the paper shows that energy strategies should be spatially differentiated. The suggested approach can be transferred to other regions and spatial scales.

Technical safety vs. public involvement? A case study on the unrealized project for the disposal of nuclear waste at Wellenberg (Switzerland)

The disposal of radioactive waste is a striking example with which to trace the changing relationship between technology, society and policy when dealing with societally relevant controversial issues. The change is characterized by a transition from a technocratic approach to an approach with more intense cooperation and public participation. We analyze the societal discourse of a failed disposal project for low- and intermediate-level waste at the Mount Wellenberg site, Canton of Nidwalden (Central Switzerland). Insights are based on a case study in 2006, with focus groups, expert interviews, a media analysis, a representative canton-wide postal survey and targeted in-depth stakeholder interviews. The article focuses on the relationship of safety and process aspects. The data suggest that both are prime issues and people recognize the need for disposal of radioactive waste in a technical system but only if a fair procedure is guaranteed. We conclude that a sound balance between safety and procedural aspects needs to be found and thus a functional-dynamic view of public involvement is necessary, i.e. distinct levels of involvement (ranging from mere information up to empowerment) must fit the corresponding technical and non-technical requirements of a stepwise decision-making process.

The unseen uncertainties in climate change: reviewing comprehension of an IPCC scenario graph

The reports published by the Intergovernmental Panel on Climate Change (IPCC) are comprehensive assessments of the scientific knowledge and uncertainties surrounding climate projections. They combine well-formed language with supporting graphical evidence and have the objective to inform policymakers. One of the most discussed and widely distributed visual in these reports is the graph, showing the global surface temperature evolution for the 21st century as simulated by climate models for various emission scenarios, which is part of the Summary for Policymakers (SPM) and the Working Group I contribution to the Fourth Assessment Report (AR4). It displays two types of uncertainties, namely the socio-economic scenarios and response uncertainty due to imperfect knowledge and models. Through 43 in-depth interviews this graph and caption was empirically tested with a sample of people analogous to the SPM target audience. It was found that novice readers were unable to identify the two different types of uncertainties in this graph without substantial guidance. Instead they saw a great deal of uncertainty but falsely attributed it to the climate model(s) and ignored the scenario uncertainties. Our findings demonstrate how the choice of display can directly impact a reader’s perception of the scientific message. A failure to distinguish between these two types of uncertainties could lead to an overestimate of the response uncertainties, and an underestimation of socio-economic choices. We test this assumption and identify the difficulties non-technical audiences have with this graph and how this could inevitably impede its value as a decision support tool.